Computers in Railways

COMPUTERS IN
RAILWAYS XII
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TWELFTH INTERNATIONAL CONFERENCE ON

COMPUTER SYSTEM DESIGN AND OPERATION IN RAILWAYS
AND OTHER TRANSIT SYSTEMS
COMPRAIL XII
CONFERENCE CHAIRMEN
B. Ning
Beijing Jiaotong University, China
C.A. Brebbia
Wessex Institute of Technology, UK
CONFERENCE CO-CHAIRMEN
NATIONAL PROGRAMME COMMITTEE
C. Roberts
University of Birmingham, UK
A.F. Rumsey
Delcan Corporation, Canada
G. Sciutto
Universit degli Studi di Genova, Italy
N. Tomii
Chiba Institute of Technology, Japan
J. Guo
Southwest Jiaotong University, China
Y. Ji
Tsinghua University, China
L. Jia
M. Li
Chinese Academy of Sciences, China
T. Tao
INTERNATIONAL SCIENTIFIC ADVISORY COMMITTEE

E. Arias
J.M. Mera
A. Radtke
R. Takagi
P. Tzieropoulos
Organised by
Sponsored by
WIT Transactions on the Built Environment
WIT Transactions
Transactions Editor
Carlos Brebbia
Wessex Institute of Technology
Ashurst Lodge, Ashurst
Southampton SO40 7AA, UK
Email: carlos@wessex.ac.uk
Editorial Board
B Abersek University of Maribor, Slovenia
Y N Abousleiman University of Oklahoma,
G Belingardi Politecnico di Torino, Italy

R Belmans Katholieke Universiteit Leuven,
P L Aguilar University of Extremadura, Spain

K S Al Jabri Sultan Qaboos University, Oman
E Alarcon Universidad Politecnica de Madrid,
C D Bertram The University of New South
USA
Spain
A Aldama IMTA, Mexico

C Alessandri Universita di Ferrara, Italy
D Almorza Gomar University of Cadiz,
Spain
B Alzahabi Kettering University, USA

J A C Ambrosio IDMEC, Portugal
A M Amer Cairo University, Egypt
S A Anagnostopoulos University of Patras,
Greece
M Andretta Montecatini, Italy

E Angelino A.R.P.A. Lombardia, Italy
H Antes Technische Universitat Braunschweig,
Germany
M A Atherton South Bank University, UK

A G Atkins University of Reading, UK
D Aubry Ecole Centrale de Paris, France
H Azegami Toyohashi University of
Technology, Japan
A F M Azevedo University of Porto, Portugal

J Baish Bucknell University, USA
J M Baldasano Universitat Politecnica de
Catalunya, Spain
J G Bartzis Institute of Nuclear Technology,
Greece
A Bejan Duke University, USA
M P Bekakos Democritus University of
Thrace, Greece
Belgium
Wales, Australia
D E Beskos University of Patras, Greece

S K Bhattacharyya Indian Institute of
Technology, India
E Blums Latvian Academy of Sciences, Latvia

J Boarder Cartref Consulting Systems, UK
B Bobee Institut National de la Recherche
Scientifique, Canada
H Boileau ESIGEC, France

J J Bommer Imperial College London, UK
M Bonnet Ecole Polytechnique, France
C A Borrego University of Aveiro, Portugal
A R Bretones University of Granada, Spain
J A Bryant University of Exeter, UK
F-G Buchholz Universitat Gesanthochschule
Paderborn, Germany
M B Bush The University of Western

Australia, Australia
F Butera Politecnico di Milano, Italy

J Byrne University of Portsmouth, UK
W Cantwell Liverpool University, UK
D J Cartwright Bucknell University, USA
P G Carydis National Technical University of
Athens, Greece
J J Casares Long Universidad de Santiago de

Compostela, Spain
M A Celia Princeton University, USA

A Chakrabarti Indian Institute of Science,
India
A H-D Cheng University of Mississippi, USA
J Chilton University of Lincoln, UK

C-L Chiu University of Pittsburgh, USA
H Choi Kangnung National University, Korea
A Cieslak Technical University of Lodz,
Poland
S Clement Transport System Centre, Australia

M W Collins Brunel University, UK
J J Connor Massachusetts Institute of
Technology, USA
M C Constantinou State University of New

York at Buffalo, USA
D E Cormack University of Toronto, Canada

M Costantino Royal Bank of Scotland, UK
D F Cutler Royal Botanic Gardens, UK
W Czyczula Krakow University of
Technology, Poland
M da Conceicao Cunha University of

Coimbra, Portugal
L Dvid Kroly Rbert College, Hungary

A Davies University of Hertfordshire, UK
M Davis Temple University, USA
A B de Almeida Instituto Superior Tecnico,
Portugal
E R de Arantes e Oliveira Instituto Superior

Tecnico, Portugal
L De Biase University of Milan, Italy
R de Borst Delft University of Technology,
Netherlands
G De Mey University of Ghent, Belgium
A De Montis Universita di Cagliari, Italy
A De Naeyer Universiteit Ghent, Belgium
W P De Wilde Vrije Universiteit Brussel,
Belgium
L Debnath University of Texas-Pan American,
USA
N J Dedios Mimbela Universidad de
Cordoba, Spain
G Degrande Katholieke Universiteit Leuven,
Belgium
S del Giudice University of Udine, Italy
G Deplano Universita di Cagliari, Italy
I Doltsinis University of Stuttgart, Germany
M Domaszewski Universite de Technologie
de Belfort-Montbeliard, France
J Dominguez University of Seville, Spain
K Dorow Pacific Northwest National
Laboratory, USA
W Dover University College London, UK
C Dowlen South Bank University, UK

J P du Plessis University of Stellenbosch,
South Africa
R Duffell University of Hertfordshire, UK

A Ebel University of Cologne, Germany
E E Edoutos Democritus University of
Thrace, Greece
G K Egan Monash University, Australia

K M Elawadly Alexandria University, Egypt
K-H Elmer Universitat Hannover, Germany
D Elms University of Canterbury, New Zealand
M E M El-Sayed Kettering University, USA
D M Elsom Oxford Brookes University, UK
A El-Zafrany Cranfield University, UK
F Erdogan Lehigh University, USA
F P Escrig University of Seville, Spain
D J Evans Nottingham Trent University, UK
J W Everett Rowan University, USA
M Faghri University of Rhode Island, USA
R A Falconer Cardiff University, UK
M N Fardis University of Patras, Greece
P Fedelinski Silesian Technical University,
Poland
H J S Fernando Arizona State University,

USA
S Finger Carnegie Mellon University, USA

J I Frankel University of Tennessee, USA
D M Fraser University of Cape Town, South
Africa
M J Fritzler University of Calgary, Canada

U Gabbert Otto-von-Guericke Universitat
Magdeburg, Germany
G Gambolati Universita di Padova, Italy

C J Gantes National Technical University of
Athens, Greece
L Gaul Universitat Stuttgart, Germany

A Genco University of Palermo, Italy
N Georgantzis Universitat Jaume I, Spain
P Giudici Universita di Pavia, Italy
F Gomez Universidad Politecnica de Valencia,
Spain
R Gomez Martin University of Granada,

Spain
D Goulias University of Maryland, USA

K G Goulias Pennsylvania State University,
USA
F Grandori Politecnico di Milano, Italy

W E Grant Texas A & M University, USA
S Grilli University of Rhode Island, USA

R H J Grimshaw Loughborough University,
D Gross Technische Hochschule Darmstadt,
D L Karabalis University of Patras, Greece

M Karlsson Linkoping University, Sweden
T Katayama Doshisha University, Japan
K L Katsifarakis Aristotle University of
R Grundmann Technische Universitat
J T Katsikadelis National Technical
A Gualtierotti IDHEAP, Switzerland

R C Gupta National University of Singapore,
E Kausel Massachusetts Institute of
UK
Germany
Dresden, Germany
Singapore
J M Hale University of Newcastle, UK
K Hameyer Katholieke Universiteit Leuven,
Belgium
C Hanke Danish Technical University,
Denmark
K Hayami National Institute of Informatics,
Japan
Y Hayashi Nagoya University, Japan
L Haydock Newage International Limited, UK
A H Hendrickx Free University of Brussels,
Belgium
C Herman John Hopkins University, USA
S Heslop University of Bristol, UK
I Hideaki Nagoya University, Japan
D A Hills University of Oxford, UK
W F Huebner Southwest Research Institute,
USA
J A C Humphrey Bucknell University, USA
M Y Hussaini Florida State University, USA
W Hutchinson Edith Cowan University,
Australia
T H Hyde University of Nottingham, UK
M Iguchi Science University of Tokyo, Japan
D B Ingham University of Leeds, UK
L Int Panis VITO Expertisecentrum IMS,
Belgium
N Ishikawa National Defence Academy, Japan
J Jaafar UiTm, Malaysia
W Jager Technical University of Dresden,
Germany
Y Jaluria Rutgers University, USA
C M Jefferson University of the West of
England, UK
P R Johnston Griffith University, Australia
D R H Jones University of Cambridge, UK
N Jones University of Liverpool, UK
D Kaliampakos National Technical
University of Athens, Greece
N Kamiya Nagoya University, Japan
Thessaloniki, Greece
University of Athens, Greece

Technology, USA
H Kawashima The University of Tokyo,

Japan
B A Kazimee Washington State University,

USA
S Kim University of Wisconsin-Madison, USA

D Kirkland Nicholas Grimshaw & Partners
Ltd, UK
E Kita Nagoya University, Japan

A S Kobayashi University of Washington,
USA
T Kobayashi University of Tokyo, Japan

D Koga Saga University, Japan
S Kotake University of Tokyo, Japan
A N Kounadis National Technical University
of Athens, Greece
W B Kratzig Ruhr Universitat Bochum,

Germany
T Krauthammer Penn State University, USA

C-H Lai University of Greenwich, UK
M Langseth Norwegian University of Science
and Technology, Norway
B S Larsen Technical University of Denmark,

Denmark
F Lattarulo Politecnico di Bari, Italy

A Lebedev Moscow State University, Russia
L J Leon University of Montreal, Canada
D Lewis Mississippi State University, USA
S lghobashi University of California Irvine,
USA
K-C Lin University of New Brunswick,

Canada
A A Liolios Democritus University of Thrace,

Greece
S Lomov Katholieke Universiteit Leuven,

Belgium
J W S Longhurst University of the West of

England, UK
G Loo The University of Auckland, New

Zealand
J Lourenco Universidade do Minho, Portugal

J E Luco University of California at San
Diego, USA
H Lui State Seismological Bureau Harbin,

China
C J Lumsden University of Toronto, Canada

L Lundqvist Division of Transport and
Location Analysis, Sweden

T Lyons Murdoch University, Australia
Y-W Mai University of Sydney, Australia
M Majowiecki University of Bologna, Italy
D Malerba Universit degli Studi di Bari, Italy
G Manara University of Pisa, Italy
B N Mandal Indian Statistical Institute, India
Mander University of Tartu, Estonia
H A Mang Technische Universitat Wien,
Austria
G D Manolis Aristotle University of
W J Mansur COPPE/UFRJ, Brazil
N Marchettini University of Siena, Italy
J D M Marsh Griffith University, Australia
J F Martin-Duque Universidad Complutense,
Spain
T Matsui Nagoya University, Japan
G Mattrisch DaimlerChrysler AG, Germany
F M Mazzolani University of Naples
Federico II, Italy
K McManis University of New Orleans, USA
A C Mendes Universidade de Beira Interior,
Portugal
R A Meric Research Institute for Basic
Sciences, Turkey
J Mikielewicz Polish Academy of Sciences,
Poland
N Milic-Frayling Microsoft Research Ltd,
UK
R A W Mines University of Liverpool, UK
C A Mitchell University of Sydney, Australia
K Miura Kajima Corporation, Japan
A Miyamoto Yamaguchi University, Japan
T Miyoshi Kobe University, Japan
G Molinari University of Genoa, Italy
T B Moodie University of Alberta, Canada
D B Murray Trinity College Dublin, Ireland
G Nakhaeizadeh DaimlerChrysler AG,
Germany
M B Neace Mercer University, USA
D Necsulescu University of Ottawa, Canada

F Neumann University of Vienna, Austria
S-I Nishida Saga University, Japan
H Nisitani Kyushu Sangyo University, Japan
B Notaros University of Massachusetts, USA
P ODonoghue University College Dublin,
Ireland
R O ONeill Oak Ridge National Laboratory,

USA
M Ohkusu Kyushu University, Japan

G Oliveto Universit di Catania, Italy
R Olsen Camp Dresser & McKee Inc., USA
E Oate Universitat Politecnica de Catalunya,
Spain
K Onishi Ibaraki University, Japan

P H Oosthuizen Queens University, Canada
E L Ortiz Imperial College London, UK
E Outa Waseda University, Japan
A S Papageorgiou Rensselaer Polytechnic
Institute, USA
J Park Seoul National University, Korea

G Passerini Universita delle Marche, Italy
B C Patten University of Georgia, USA
G Pelosi University of Florence, Italy
G G Penelis Aristotle University of
W Perrie Bedford Institute of Oceanography,

Canada
R Pietrabissa Politecnico di Milano, Italy

H Pina Instituto Superior Tecnico, Portugal
M F Platzer Naval Postgraduate School, USA
D Poljak University of Split, Croatia
V Popov Wessex Institute of Technology, UK
H Power University of Nottingham, UK
D Prandle Proudman Oceanographic
Laboratory, UK
M Predeleanu University Paris VI, France

M R I Purvis University of Portsmouth, UK
I S Putra Institute of Technology Bandung,
Indonesia
Y A Pykh Russian Academy of Sciences,

Russia
F Rachidi EMC Group, Switzerland

M Rahman Dalhousie University, Canada
K R Rajagopal Texas A & M University, USA
T Rang Tallinn Technical University, Estonia
J Rao Case Western Reserve University, USA
A M Reinhorn State University of New York
at Buffalo, USA
A D Rey McGill University, Canada
D N Riahi University of Illinois at UrbanaChampaign, USA
B Ribas Spanish National Centre for
Environmental Health, Spain
K Richter Graz University of Technology,
Austria
S Rinaldi Politecnico di Milano, Italy
F Robuste Universitat Politecnica de
Catalunya, Spain
J Roddick Flinders University, Australia
A C Rodrigues Universidade Nova de Lisboa,
Portugal
F Rodrigues Poly Institute of Porto, Portugal
C W Roeder University of Washington, USA
J M Roesset Texas A & M University, USA
W Roetzel Universitaet der Bundeswehr
Hamburg, Germany
V Roje University of Split, Croatia
R Rosset Laboratoire dAerologie, France
J L Rubio Centro de Investigaciones sobre
Desertificacion, Spain
T J Rudolphi Iowa State University, USA
S Russenchuck Magnet Group, Switzerland
H Ryssel Fraunhofer Institut Integrierte
Schaltungen, Germany
S G Saad American University in Cairo, Egypt
M Saiidi University of Nevada-Reno, USA
R San Jose Technical University of Madrid,
Spain
F J Sanchez-Sesma Instituto Mexicano del
Petroleo, Mexico
B Sarler Nova Gorica Polytechnic, Slovenia
S A Savidis Technische Universitat Berlin,
Germany
A Savini Universita de Pavia, Italy
G Schmid Ruhr-Universitat Bochum, Germany
R Schmidt RWTH Aachen, Germany
B Scholtes Universitaet of Kassel, Germany
W Schreiber University of Alabama, USA
A P S Selvadurai McGill University, Canada
J J Sendra University of Seville, Spain
J J Sharp Memorial University of
Newfoundland, Canada
Q Shen Massachusetts Institute of Technology,
USA
X Shixiong Fudan University, China
G C Sih Lehigh University, USA

L C Simoes University of Coimbra, Portugal
A C Singhal Arizona State University, USA
P Skerget University of Maribor, Slovenia
J Sladek Slovak Academy of Sciences,
Slovakia
V Sladek Slovak Academy of Sciences,

Slovakia
A C M Sousa University of New Brunswick,

Canada
H Sozer Illinois Institute of Technology, USA

D B Spalding CHAM, UK
P D Spanos Rice University, USA
T Speck Albert-Ludwigs-Universitaet Freiburg,
Germany
C C Spyrakos National Technical University

of Athens, Greece
I V Stangeeva St Petersburg University,

Russia
J Stasiek Technical University of Gdansk,

Poland
G E Swaters University of Alberta, Canada

S Syngellakis University of Southampton, UK
J Szmyd University of Mining and Metallurgy,
Poland
S T Tadano Hokkaido University, Japan

H Takemiya Okayama University, Japan
I Takewaki Kyoto University, Japan
C-L Tan Carleton University, Canada
M Tanaka Shinshu University, Japan
E Taniguchi Kyoto University, Japan
S Tanimura Aichi University of Technology,
Japan
J L Tassoulas University of Texas at Austin,

USA
M A P Taylor University of South Australia,

Australia
A Terranova Politecnico di Milano, Italy

A G Tijhuis Technische Universiteit
Eindhoven, Netherlands
T Tirabassi Institute FISBAT-CNR, Italy

S Tkachenko Otto-von-Guericke-University,
Germany
N Tosaka Nihon University, Japan

T Tran-Cong University of Southern
Queensland, Australia
R Tremblay Ecole Polytechnique, Canada

I Tsukrov University of New Hampshire, USA
R Turra CINECA Interuniversity Computing
H Westphal University of Magdeburg,
S G Tushinski Moscow State University,
J R Whiteman Brunel University, UK

Z-Y Yan Peking University, China
S Yanniotis Agricultural University of Athens,
Centre, Italy
Russia
J-L Uso Universitat Jaume I, Spain

E Van den Bulck Katholieke Universiteit
Leuven, Belgium
D Van den Poel Ghent University, Belgium
R van der Heijden Radboud University,
Netherlands
R van Duin Delft University of Technology,
Netherlands
P Vas University of Aberdeen, UK
W S Venturini University of Sao Paulo, Brazil
R Verhoeven Ghent University, Belgium
A Viguri Universitat Jaume I, Spain
Y Villacampa Esteve Universidad de
Alicante, Spain
F F V Vincent University of Bath, UK
S Walker Imperial College, UK
G Walters University of Exeter, UK
B Weiss University of Vienna, Austria
Germany
Greece
A Yeh University of Hong Kong, China

J Yoon Old Dominion University, USA
K Yoshizato Hiroshima University, Japan
T X Yu Hong Kong University of Science &
Technology, Hong Kong
M Zador Technical University of Budapest,

Hungary
K Zakrzewski Politechnika Lodzka, Poland

M Zamir University of Western Ontario,
Canada
R Zarnic University of Ljubljana, Slovenia

G Zharkova Institute of Theoretical and
Applied Mechanics, Russia
N Zhong Maebashi Institute of Technology,

Japan
H G Zimmermann Siemens AG, Germany
COMPUTERS IN
RAILWAYS XII
COMPUTER SYSTEM DESIGN AND OPERATION
AND OTHER TRANSIT SYSTEMS
Editors
B. Ning
C.A. Brebbia
IN
RAILWAYS
B. Ning
C.A. Brebbia
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British Library Cataloguing-in-Publication Data
A Catalogue record for this book is available
from the British Library
ISBN: 978-1-84564-468-0
ISSN: 1746-4498 (print)
ISSN: 1743-3509 (on-line)
The texts of the papers in this volume were set individually by the authors or under their
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Preface
The International Conference on System Design and Operation in Railways and

other Transit Systems (COMPRAIL) has become the most successful conference
in its field since it started in 1987. This book contains papers accepted for
presentation at the 12th meeting in the series, held in Beijing, China in 2010.
The book reflects the new achievements and applications of computer based
technologies in management, design and operation of passenger and freight transit
systems.
Rail transport has many advantages over other systems in terms of capacity,
punctuality, being weather resistant, savings in fuel and land, and fairly low pollution.
It is a low-carbon emission transport mode and ought to be the backbone of any
regional and city comprehensive travel system.
Safety is one of the central topics of rail systems, together with efficiency. Computer
based technologies have always played an important role in the safety and efficiency
of transit systems. Many countries have recently become interested in using high
speed railways, resulting in up to now, more than 10,000 km of high speed track in
the world. By 2020, the total length of high speed railways will reach 18,000 km in
China alone. These topics are discussed in this book and it is expected that they
will become even more important in future COMPRAIL meetings.
The above are just some of the themes presented in this volume, which contains a
substantial number of sections covering topics such as: Advanced train control;
Traffic control and safety of high-speed railways in Asia; Computer techniques;
Planning; Maglev and high speed railways; Metro and other transit systems; Energy
supply and consumption; Dynamics and wheel/rail interface; Operations quality;
Monitoring and maintenance; Safety and security; Timetable planning.
The Editors are grateful to all the authors for their excellent papers as well as to the
members of the International Scientific Advisory Committee who participated in
the review process. They all contributed to the success of the Conference and the
publication of this book. Their help will ensure the continued success of
COMPRAIL.
The Editors
Beijing Jiaotong University, China, 2010
Contents
Section 1: Advanced train control
Design, development, application, safety assessment and simulation
of the railway signaling system
B. Ning, T. Tang, C. Gao & J. Xun...................................................................... 3
Research on the simulation of an Automatic Train over speed
Protection driver-machine interface based on
Model Driven Architecture
B. Y. Guo, W. Du & Y. J. Mao ........................................................................... 13
A framework for modeling train control systems based on agent and
cellular automata
J. Xun, B. Ning & T. Tang ................................................................................. 23
A new train GPS positioning algorithm in satellite incomplete
condition based on optimization and the digital track map
X. Jia, D. Chen & H. Wang ............................................................................... 35
Simulation of a high-speed train control system based on
High Level Architecture and its credibility analysis
Wei ShangGuan, J.-Q. Chen, B. Li, L.-N. Guo, M. Li & L.-Y. Chen ................. 45
Research on a hybrid map matching algorithm for Global Navigation
Satellite System based train positioning
J. Liu, B. Cai, T. Tang, J. Wang & Wei ShangGuan.......................................... 59
Automated system testing of an automatic train protection system
B. Friman & T. Andreiouk................................................................................. 71
Design and implementation of a distributed railway
signalling simulator
X. Hei, W. Ma, L. Wang & N. Ouyang............................................................... 81
Train tracking problem using a hybrid system model

Y. Wang, R. Luo, F. Cao & B. Ning................................................................... 89
Latent energy savings due to the innovative use of advisory speeds
to avoid occupation conflicts
F. Mehta, C. Riger & M. Montigel ................................................................ 99
Section 2: Traffic control and safety of high-speed railways in Asia
Special session organised by N. Tomii
How the punctuality of the Shinkansen has been achieved
N. Tomii ........................................................................................................... 111
Linkage of a conventional line dispatch system with the
Shinkansen dispatch system
Y. Yoshino ........................................................................................................ 121
Train scheduling of Shinkansen and relationship to reliable
train operation
S. Sone & Y. Zhongping................................................................................... 133
Rescue operations on dedicated high speed railway lines
R. Takagi.......................................................................................................... 141
Track measurement by Kyushu Shinkansen cars in
commercial service
H. Moritaka & T. Matsumoto .......................................................................... 147
Development of a high-speed overhead contact line measurement
device for the Kyushu Shinkansen
N. Kinoshita, Y. Himeno & R. Igata ................................................................ 155
The analysis of train reliability for the Taiwan High Speed Rail
J.-C. Jong, T.-H. Lin, C.-K. Lee & H.-L. Hu ................................................... 169
Section 3: Communications
Development of a railway signaling device based on mixed digital
and analog signals using digital signal processors
R. Ishikawa, D. Koshino, H. Mochizuki, S. Takahashi,
H. Nakamura, S. Nishida & M. Sano............................................................... 183
A multi scalable model based on a connexity graph representation
L. Gly, G. Dessagne, P. Pesneau & F. Vanderbeck....................................... 193
Universal communication infrastructure for locomotives

U. Lieske .......................................................................................................... 205
Section 4: Computer techniques
Research on a novel train positioning method with a single image
B. Guo, T. Tang & Z. Yu .................................................................................. 213
Software redundancy design for a Human-Machine Interface in
railway vehicles
G. Zheng & J. Chen ......................................................................................... 221
Study on the method of traction motor load simulation on
railway vehicles
F. Lu, S. Li, L. Xu & Z. Yang ........................................................................... 233
Formalizing train control language: automating analysis of
train stations
A. Svendsen, B. Mller-Pedersen, . Haugen, J. Endresen
& E. Carlson.................................................................................................... 245
Design and operation assessment of railway stations using
passenger simulation
D. Li & B. Han................................................................................................. 257
Modeling of an interoperability test bench for the on-board system
of a train control system based on Colored Petri Nets
L. Yuan, T. Tang, K. Li & Y. Liu...................................................................... 271
Section 5: Planning
How regular is a regular-interval timetable? From theory
to application
P. Tzieropoulos, D. Emery & D. Tron ............................................................. 283
Port Hinterland traffic: modern planning IT methods
A. Radtke.......................................................................................................... 295
Generating optimal signal positions
E. A. G. Weits & D. van de Weijenberg........................................................... 307
A method for the improvement need definition of large, single-track

rail network analysis and infrastructure using
Rail Traffic System Analysis
T. Kosonen ....................................................................................................... 319
Automatic location-finding of train crew using GSM technology
F. Makkinga & B. Sturm.................................................................................. 327
Alignment analysis of urban railways based on passenger
travel demand
J. L. E. Andersen & A. Landex......................................................................... 337
Maintenance plan optimization for a train fleet
K. Doganay & M. Bohlin................................................................................. 349
SAT.engine: automated planning and validation tools for modern
train control systems
B. Wenzel, J. Schuette & S. Jurtz ..................................................................... 359
Case studies in planning crew members
J. P. Martins & E. Morgado ............................................................................ 371
Generating and optimizing strategies for the migration of the
European Train Control System
C. Lackhove, B. Jaeger & K. Lemmer ............................................................. 383
Synthesis of railway infrastructure
J. Spnemann & E. Wendler............................................................................ 395
Dimensioning of a railway station for unknown operation
O. Lindfeldt & A.-I. Lundberg ......................................................................... 407
The simulation of passengers time-space characteristics using ticket
sales records with insufficient data
J.-C. Jong & E.-F. Chang................................................................................ 419
Headway generation with ROBERTO
A. D. Middelkoop............................................................................................. 431
Development and implementation of new principles and systems for
train traffic control in Sweden
B. Sandblad, A. W. Andersson, A. Kauppi & G. Isaksson-Lutteman.................. 441
Section 6: Maglev and high speed railways

A model for the coordination between high-speed railway lines and
conventional rail lines in a railway passenger transportation corridor
Y. Bao .............................................................................................................. 453
Derivation of the safety requirements for control systems based on
the interoperability property of the Maglev train
W. Zheng, J. R. Meller & K. Li ...................................................................... 467
Dynamic characteristics modelling and adaptability research of the
balise transmission module in high speed railways
H. Zhao, S. Sun & W. Li .................................................................................. 475
Section 7: Metro and other transit systems
CBTC test simulation bench
J. M. Mera, I. Gmez-Rey & E. Rodrigo ......................................................... 485
Development of the new CBTC system simulation and
performance analysis
R. Chen & J. Guo............................................................................................. 497
Efficient design of Automatic Train Operation speed profiles with
on board energy storage devices
M. Domnguez, A. Fernndez, A. P. Cucala & J. Blanquer ............................ 509
Research on the load spectrum distribution and structure optimization
of locomotive traction seats
W. Wang, M. Wang & Z. Liu ........................................................................... 521
Generation of emergency scheme for urban rail transit by
case-based reasoning
F. Li, R. Xu & W. Zhu ...................................................................................... 529
Application and perspectives for interoperable systems in Italy
and Europe
R. Bozzo, R. Genova & F. Ballini .................................................................... 537
Section 8: Energy supply and consumption

A method to optimise train energy consumption combining manual
energy efficient driving and scheduling
C. Sicre, P. Cucala, A. Fernndez, J. A. Jimnez, I. Ribera
& A. Serrano.................................................................................................... 549
Driving equipment with three-phase inverters and asynchronous
traction motors for trolleys and trams
V. Radulescu, I. Strainescu, L. Moroianu, S. Gheorghe, E. Tudor,
V. Lupu, F. Bozas, A. Dascalu, G. Mitroi & D. Braslasu ................................ 561
Development, testing and implementation of the pantograph damage
assessment system (PANDAS)
A. Daadbin & J. Rosinski ................................................................................ 573
Section 9: Dynamics and wheel/rail interface
Strategies for less motion sickness on tilting trains
R. Persson & B. Kufver.................................................................................... 581
Railway vehicle and bridge interaction:
some approaches and applications
G. Mikheev, E. Krugovova & R. Kovalev ........................................................ 593
Certain aspects of the CEN standard for the evaluation of ride
comfort for rail passengers
B. Kufver, R. Persson & J. Wingren ................................................................ 605
Latest development on the simulation of rolling contact fatigue
crack growth in rails
L. Zhang, S. Mellings, J. Baynham & R. Adey................................................. 615
Section 10: Operations quality
Disruption handling in large railway networks
F. Corman, A. DAriano & I. A. Hansen ......................................................... 629
A multi-stage linear prediction model for the irregularity of the
longitudinallevel over unit railway sections
H. Chang, R. Liu & Q. Li................................................................................. 641
Systematic analyses of train run deviations from the timetable
T. Richter ......................................................................................................... 651
A novel peak power demand reduction strategy under a moving

block signalling system
Q. Gu, L. Pei, F. Cao & T. Tang ..................................................................... 663
Section 11: Monitoring and maintenance
Development of an ES2-type point machine
(monitoring of point machine)
N. Obata, T. Ichikura, H. Narita & H. Tanaka................................................ 677
A heuristic approach to railway track maintenance scheduling
L. M. Quiroga & E. Schnieder......................................................................... 687
Track test monitoring system using a multipurpose experimental train
H. Matsuda, M. Takikawa, T. Nanmoku & E. Yazawa .................................... 701
Section 12: Safety and security
Verification of quantitative requirements for GNSS-based
railway applications
H. Mocek, A. Filip & L. Baant ....................................................................... 711
Modelling and design of the formal approach for generating test
sequences of ETCS level 2 based on the CPN
X. Zhao, Y. Zhang, W. Zheng, T. Tang & R. Mu.............................................. 723
The experimental evaluation of the EGNOS safety-of-life services
for railway signalling
A. Filip, L. Baant & H. Mocek ....................................................................... 735
System safety property-oriented test sequences generating method
based on model checking
Y. Zhang, X. Q. Zhao, W. Zheng & T. Tang ..................................................... 747
Scenario-based modeling and verification of system requirement
specification for the European Train Control System
W. Tang, B. Ning, T. Xu & L. Zhao ................................................................. 759
ROSA a computer based safety model for European railways
J. Schtte & M. Geisler.................................................................................... 771
An IP network-based signal control system for automatic block signal

and its functional enhancement
K. Hayakawa, T. Miura, R. Ishima, H. Soutome, H. Tanuma
& Y. Yoshida .................................................................................................... 783
The improvement of the safety-case process in practice:
from problems and a promising approach to highly automated
safety case guidance
J. R. Meller, W. Zheng & E. Schnieder.......................................................... 795
State-based risk frequency estimation of a rail traffic signal system
Y. Zhang, J. Guo & L. Liu................................................................................ 805
Use of model transformation for the formal analysis of railway
interlocking models
T. Xu, O. M. Santos, X. Ge & J. Woodcock ..................................................... 815
A model-based framework for the safety analysis of
computer-based railway signalling systems
R. Niu & T. Tang ............................................................................................. 827
A scenario-based safety argumentation for CBTC safety
case architecture
C. Liu, X. Sha, F. Yan & T. Tang..................................................................... 839
The cost benefit analysis of level crossing safety measures
R. Ben Aoun, E.-M. El Koursi & E. Lemaire ................................................... 851
Proposal of the standard-based method for communication
safety enhancement in railway signalling systems
H.-J. Jo, J.-G. Hwang, B.-H. Kim, K.-M. Lee & Y.-K. Kim ............................. 863
Section 13: Timetable planning
A heuristic algorithm for the circulation plan of railway
electrical motor units
J. Miao, Y. Yu & Y. Wang ................................................................................ 877
Working out an incomplete cyclic train timetable for high-speed
railways by computer
D. Yang, L. Nie, Y. Tan, Z. He & Y. Zhang...................................................... 889
A novel research on the relation between the number of passengers
and the braking distance of a metro
L. Wang, Y. Li & X. Hei................................................................................... 901
Computation and evaluation of scheduled waiting time for

railway networks
A. Landex......................................................................................................... 911
Computation of a suburban night train timetable based on key
performance indicators
B. Schittenhelm & A. Landex ........................................................................... 923
A cooperative strategy framework of train rescheduling for portal
junctions leading into bottleneck sections
L. Chen, F. Schmid, B. Ning, C. Roberts & T. Tang........................................ 935
Circle rail transit line timetable scheduling using Rail TPM
J. Zhibin, G. Jia & X. Ruihua .......................................................................... 945
A simulation analysis of train rescheduling strategies on Chinese
passenger dedicated lines
Z. He, L. Meng, H. Li & L. Nie ........................................................................ 953
An efficient MIP model for locomotive routing and scheduling
M. Aronsson, P. Kreuger & J. Gjerdrum......................................................... 963
Timetable attractiveness parameters
B. Schittenhelm ................................................................................................ 975
Author Index .................................................................................................. 985
Section 1
Advanced train control
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Computers in Railways XII
Design, development, application,

safety assessment and simulation of
the railway signaling system
B. Ning, T. Tang, C. Gao & J. Xun
The State Key Laboratory of Rail Traffic Control and Safety,
Beijing Jiaotong University, P.R. China
Abstract
The railway signaling system is one of the key subsystems in railway systems to
ensure the train operation efficiency and safety. It is a complicated system.
However, the railway signaling system is not independent in railway systems. In
this paper, five parts of the railway signaling system with their features and the
relationship are described in detail. Firstly, the core system of the railway
signaling system is designed and developed. Re-design is carried out for the
application of the core system for the specified rolling stocks and lines. The
safety of the core system and the applied system needs to be assessed. Finally, a
complete simulation system should be built for testing, installation, maintenance
and the technique upgrading of the systems. This paper helps people to get a
deep understanding about the functions, design and development, applications
and simulation of railway signaling systems.
Keywords: railway signaling system, system design, safety assessment,
simulation.
1 Introduction
The railway signaling system is the brain and nerve system of railway systems,
which ensures the safety and efficiency of the train operation. However,
compared with civil engineering, such as lines, bridges, tunnels, and rolling
stock, the cost for a signaling system is relatively low. Generally speaking, it is
less than 10% of the whole cost for a railway system. Little attention has been
paid give to it, either for the main line railway systems or the underground ones.
WIT Transactions on The Built Environment, Vol 114, 2010 WIT Press
www.witpress.com, ISSN 1743-3509 (on-line)
doi:10.2495/CR100011
4 Computers in Railways XII

With the quick development of railway systems, especially in the high-speed
railways and high-density urban transit systems, the importance of the signaling
system has been realized by more and more people. In order to get a better
understanding of the railway signaling system, we divide it into the core system,
the minimal system and the application system, according to their functions and
applications. Meanwhile, design, re-design, simulation, and safety assessment of
the railway signaling system in particular are also introduced.
There are two typical railway control systems in the world, which have been
developed into standardizations. One is the ETCS (European Train Control
System) for the railway signaling system in Europe, the other is the CTCS
(Chinese Train Control System) for the railway signaling system in China. In this
paper, the two systems are taken as examples to show how the signaling systems
are designed, developed, re-designed, assessed and simulated. The core systems
of a railway signaling system are defined. According to the requirements of the
application, the task of the core systems is described. The railway signaling
system is a requirements-tailored product for different lines and different rolling
stocks. Furthermore, the railway signaling system must be fail-safe and reliable.
In the design of the core system and the re-design of an applicable system, some
of the special principles must be considered. Therefore, safety assessment must
be carried out for the signaling system. In addition, the simulation system has
become one of the necessary tools for the design, application and maintenance of
the signaling system.
Much knowledge is accumulated during the whole cycle of the signaling
system, while it is relatively simple from the view of the function points. With
the introduction in the following sections, people will understand why the
railway signaling system is important, special and high cost.
2 Definition of railway control systems and their core systems

The railway system can generally be divided into three parts shown in Fig. 1.
lines, bridges
and tunnels
Figure 1:
Rolling Stock
The railway system.
One part is the infrastructure, which includes the lines, bridges, and tunnels. It
is called the fixed part of railway Fsystem. The second part is the rolling stock,
which is called as the movement part of railway system. The third part is the
signaling system, which is called the brain and the nerve system of railway
system.
As shown in Fig. 1, trains run on the lines controlled by the signaling system
in any railway systems. Therefore, the signaling system ensures trains to operate
safely and efficiently. The roles and functions of the signaling system in railway
systems are clearly stated in Fig. 1. It is obvious the signaling system is the brain
and the nerve system of railway system. Without signaling system, railway
systems cannot operate efficiently and safely. It also can be seen that the
signaling system has close relationship with rolling stocks and infrastructures.
The configuration of the signaling system is given in Fig. 2. Usually, there are
four parts included in the signaling system: (1) On-board control system, (2)
Station control system and wayside system, (3) Central control system, (4)
Communication network including mobile telecommunication.
The core systems of the signaling system are consisted by the above four
parts in Fig. 2. The interlocking system and RBC (Radio Block Control) belong
to the station control systems. The on-board control system, control center and
the communication system are also one of the core systems for signaling system.
In more details, the vital computer for interlocking system, on-board system and
RBC system, and the basic software for the four parts are also belong to the core
part of the signaling system. In the paper, the core systems are the foundation of
the signaling system, and are called as the basic models of the signaling system.
Up to now, the functions of the signaling system in railway system, and the
relationship between the core systems and the signaling system are explained.
When ETCS or CTCS is analyzed, the four parts, or the core systems can be seen
easily. In the ETCS, there are Euro-cab, Euro-radio (GSM-R) and Eurointerlocking, etc. In the CTCS, there are Chinese on-board system (Universal cab
signaling), GSM-R and Chinese interlocking systems (four kinds of interlocking
systems), etc. as in Ning et al. [3].
Figure 2:
Configuration of railway signaling.
3 Design and development of the core systems

Interlocking system is one of the core systems for the signaling system. An
interlocking system for a typical station layout is firstly designed and developed
to ensure a right route establishment. In the interlocking system, the basic
interlocking logic relationship among the routes, switches, and signaling must be
strictly ensured for the typical station layout. Usually, strict algorithms are used
in the core systems to guarantee that conflicting routes can never been
established in the same system.
After an interlocking system is designed, it must be tested thoroughly. Based
on the station layout, a complete test set should be built. Possibly, a simulation
system for the interlocking system is designed to test its logic functions. The test
will ensure the correctness and the safety of the system.
Before an interlocking system is designed, the specifications of the system
requirements and the system functions should be finalized. The specifications are
the basic files of the design and the test. Of course, the typical station layout
must be defined to ensure the functions of the interlocking system to be
complete.
As the core system, ATP system (one of the on-board system), RBC system,
the central control system, and the communication network connecting the core
systems should be designed and developed. The processes are the same as the
design and development of the interlocking systems. The classification and
process can be found in the files of ETCS and CTCS in Ning et al. [3].
In order to design and develop the core system, the prototype for the core
system should be designed and developed. Design and development of the
prototypes for the core system of the signaling system must obey the design
principles of the software engineering. It is divided into the three levels. The first
level is the system management level to operate the whole system management
including the safety requirement in the vital computer. The second level is to deal
with the logic requirements of the systems, i.e. the function rules. The third level
is the application level to match function requirements and an application
database. Fig. 3 shows the relation of the three levels.
The core systems of a signaling system should include six units based on the
four parts. They are the central control unit, the station control unit, the RBC
control unit, the on-board control unit, the communication network unit and the
wayside unit with radio unit. The six units consist into a minimal signaling
Figure 3:
Configuration of the software system for a core system.
Figure 4:
Configuration of a minimal signaling system.
system shown in Fig. 4. The minimal signaling system is the foundation of an

application signaling system, and meets all the function requirements of a
signaling system. Usually, only the prototype of the minimal signaling system
can be found in laboratory.
4 Re-design of application of the core system for the

specified lines
After development of the core systems for the signaling system, there we have
the prototype of the minimal signaling system. Before the application of real
signaling system, redesign must be carried out for an applied line based on the
core systems and the minimal signaling system. The main task of the redesign is
to match the database of a real line and the minimal signaling system with the
core systems. The redesign turns the minimal signaling system into a real
application signaling system. It needs experts with good skills, while the
importance of the step is often ignored. The designers need to know both the
core systems and all the requirements of the application line. That is why the
signaling system is called as requirements-tailed system, and it costs.
During the redesign, the database for the line and rolling stock must be
established. For example, some parameters such as curves and slopes of the line,
the parameters for rolling stock, traction features and braking features of rolling
stock are needed for the on-board system (ATP or ATO). An interlocking system
needs the data for the layout of each station along the lines. There is different
number of routes for different station. At each station, the number of switches
and the positions of switches are different. For the central control system, all the
data from the lines and the requirements are needed to general a train plan and a

train operation graph. At the same time, the disposition of communication
network units and wayside units such as position of design for radio units and
balises must be carried out.
In order to simplify the redesign without reducing the correctness, a
computer-aid design (CAD) tool is developed. Different CAD tools are designed
for the different units, such as Interlocking CAD tool and RBC CAD tool etc in
Mitchell [5].
After the redesign of an application signaling system is finished, the whole
system is test to verify the functions and safety. To test the signaling system, a
simulation system and environments should be built. Test set and test dictionary
for a line should been accumulated and established to ensure the test.
5 Safety assessment
The signaling system is a system to ensure train operation safety. Therefore, it
must be self-safety in its whole life cycle. Fail-safe concept was put forward for
the railway signaling system in the early 1900s. Safety assessment for the
railway signaling system begins with the start of the system design. From the
core system design to redesign of an application signaling system, from the
prototype of the core systems to the minimal system, from manufacturing to
installation, from operation to maintenance, safety assessment must be taken
during the whole life cycle. This is the main reason why a signaling system is
complicated and high cost.
There are always two groups of persons in this area. One is to implement the
signaling system. Safety assessment is done by another group to ensure the
systems implementing to be monitored. Moreover, the second group should
involve from the beginning of the system design. In other word, the whole
process of the signaling system design, manufacturing, installation and operation
must be monitored and assessed. Methods and principles for software
engineering must be used for the files management and flow management to do
safety assessments of the signaling system. For a big project of railway
signaling, the third professional company is invited to do the safety assessment
for the project.
What is the meaning for RAMS? The RAMS means Reliability, Availability,
Maintainability and Safety of the system. According to EN50126 (CENELEC
1999), the definition of RAMS can be found easily in Theeg and Vlasenko [6].
System reliability is defined as the probability that the system can perform a
required function under given conditions for a given time interval. System
availability is defined as the ability of a system to be in a state to perform the
required function under given conditions over a given time interval, assuming
that the required external sources of help is provided. System maintainability is
defined as the probability that a given active maintenance action, for a system
under given conditions of use, can be carried out within a stated time interval
when the maintenance is performed under stated conditions and using stated
procedures and resources. System safety is defined as fail-safe requirements that
system cannot give dangerous output when a given fault occurs. Reliability and
maintainability are both probability values which lead to failure and maintenance
rate respectively, related to a defined time period. The signaling system is
required to be with high availability, i.e. low failure rate and high maintenance
rate. System safety is the system quality requirement, and different with
reliability. When the concept, as reliability and safety of railway signaling
system, is discussed, there are still some of different views as in Ning et al. [2].
In order to ensure the requirements of RAMS for the signaling system to be
satisfied, fault-tolerant design, fault-diagnosis and fault test are applied in the
design and redesigned for signaling system development. Comparer is often used
in the design of signaling system to fulfill the fail-safe requirement of the
system. The comparer can be implemented both by hardware and software.
In the safety assessment, a simulation system can also be used to testify if
RAMS requirement of the signaling system is performed. It can be used for
safety assessment of the core system, the minimal system and the application
system of signaling system. Fault set and fault models of signaling system are
analyzed and built.
6 Simulation systems
Nowadays, it is difficult to imagine how to design and develop a signaling
system based on computers without simulation system tools. Simulation systems
for the core system and an application system of the railway signaling system
have become an important tool for its development, application and
maintenance. As far as the functions of the simulation system are concerned,
there are many kinds of simulation systems for the signaling system. Some of
them have been mentioned in the paper.
Simulation models construction and simulation platforms selection are the
first step for development of simulation systems for signaling systems as in Xun
et al. [1]. There are numbers of different models and algorithms for the different
applications. There are also many kinds of simulation platforms to be selected
for development of simulation systems. The above two issues are not addressed
in detains here since the limit of the paper contents.
As development tool, a simulation system is developed for the design of core
signaling systems and the minimal signaling system. By use of the simulation
system, the core signaling systems are designed, and their functions, safety and
reliability etc. are tested and proved.
As design tool, a simulation system is developed for redesigning an
application signaling system based on the minimal signaling system. The task of
the simulation system is to redesign the application signaling system according
to the database of the application line. By use of the simulation system, the
requirements and configuration of the application system are satisfied,
established, and proved.
Usually, a simulation system should be established for an application
signaling system. Before the application signaling system is put into operation,
the task of the simulation system is to test the functions, safety and fault-tolerant
features of the application signaling system and to ensure the correct connection

among the core signaling systems based on the database of the application line.
After the application signaling system is put into operation, the task of the
simulation system is to monitor the operation of the application system by
sharing the real-time data with the operating system. Meanwhile, as maintenance
tool, the simulation system plays an important role in diagnosing a fault and
maintaining the system when the fault occurs during the operation of the
application system. Moreover, when some of the parts in the application system
are revised or upgraded technically, the parts should be tested firstly in the
simulation system before be put into the real system.
It can be seen from the above description that the simulation systems have the
different classifications and functions. A common databases, test sets and
function models should be established and accumulated. The different simulation
systems could use the same database, the same test set and the same function
models. Interlocking system can be taken as an example. Interlocking function
test are the same at the core system development and an application signaling
system. As a design tool during the redesign for an application system, it uses the
same database with the simulation system of an application signaling system.
One of the difficult tasks is to establish a perfect test sets by use of accumulating.
7 Conclusion
To get a better understand on the railway signaling system, in the paper, its
design and development are defined as the two periods: core system design and
application system design, as shown in Fig. 5. It is also introduced in details how
simulation systems and safety assessment play an important role in the whole life
cycle of a signaling system. The relationship between the phases and systems is
Figure 5:
The phases of the signaling system.
11
explained. The key points at each phase are described. This paper gives an
overall picture and the whole process of railway signaling system. It shows the
importance of the railway signaling system.
Acknowledgement
The research is supported by the National Science foundation: Basic theories and
key technologies of train control and organization (60634010).
References
[1] Xun, J., Ning, B. & Li, K., Multi-objective optimization method for the
ATO system using Cellular Automata. Computers in Railways XI -Computer
System Design and Operation in the Railway and Other Transit Systems.
vol. 103, eds. Allan, J., Arias, E., Brebbia, C. A., Goodman, C. J., Rumsey,
A. F., Sciutto, G. & Tomii, N., WIT Press: Toledo, pp. 173-182, 2008.
[2] Ning, B., Tang, T., Qiu, K. & Gao, C., CBTC (Communication Based Train
Control): system and development, Computers in Railways X-Computer
System Design and Operation in the Railway and Other Transit Systems.
vol. 103, eds. Allan, J., Brebbia, C. A., Rumsey, A. F., Sciutto, G., Sone, S.
& Goodman, C. J., WIT Press: Prague, Czech Republic, pp. 413-420, 2006.
[3] Ning, B., Tang, T., Qiu, K., Gao, C. & Wang, Q., CTCS-Chinese Train
Control System, Computers in Railways IX-Computer System Design and
Operation in the Railway and Other Transit Systems. vol. 103, eds. Allan, J.,
Brebbia, C. A., Hill, R. J., Sciutto, G., & Sone, S., WIT Press: Dresden,
Germany, pp. 262-272, 2004.
[4] Rail Safety and Standards Board, Engineering safety Management (the
Yellow Book).
[5] Mitchell, L., The Sustainable Railway Use of Advisory Systems for Energy
Savings, IRSE NEWS 151, pp. 2-7, 2009.
[6] Theeg, G. & Vlasenko, S., Railway Signalling and Interlocking, Eurail
Press, pp. 17-21 and pp. 30- 36, 2009.
13
Research on the simulation of an Automatic

Train over speed Protection driver-machine
interface based on Model Driven Architecture
B. Y. Guo, W. Du & Y. J. Mao
State Key Laboratory of Rail Traffic Control and Safety,
Abstract
The principle of Model Driven Architecture (MDA) was drawn into the
emulation research of an Automatic Train over speed Protection (ATP) drivermachine interface (DMI). To realize the functions of the DMI, a new method
based on the MDA principle was raised. Specific to the requirement of the DMI,
the ICV (Core Interface-Frame Controller-View) model was proposed. This is
the Platform Independent Model of the ATP driver-machine interface. ICV is a
View-centred GUI model that includes a Core Interface and a Frame Controller.
The View was used for the description of interface visualization. The Frame
Controller accomplished the communication between the driver and the on-board
vital computer (VC) by the display of different views. The Core Interface
provided the information bridge among View, the driver and VC. Then the
detailed transform rules from the Platform Independent Model to the Platform
Specific Model were drawn up. The transform rules were separated into two
parts. One part realized the core communication function to ensure the accuracy
of the system communication interface by the auto-transform method and,
according to the definition of the Platform Independent Model, the other part
built each module of the ICV model using manual mode. The ultimate complete
ATP driver-machine interface system satisfied the emulation requirements, and
has been used for the research of the evaluation and testing on the CTCS-3.
Keywords: ATP driver-machine interface, MDA, GUI model, simulation.
doi:10.2495/CR100021
1 Introduction
The control of operation signalling for Railway China has developed from
manual operation by drivers, who follow the traffic command of ground signals,
to automatic speed control by the Train Controlling System, which receives the
information sent from the ground [1]. The ATP (Automatic Train over speed
Protection) driver-machine interface is displayed at the centre of a LCD monitor,
which is configured with a speaker and a keyboard. Drivers are notified with all
kinds of information about the train and status of the ATP by sound and
graphical information, and then are able to change its working mode and status
by input through the keyboard. As a media of displaying the train information
and speed command, the human-machine interface is the only interface to
communicate with the backend train running control system; it plays an
important role in the running process of the train as its normal display affects the
arrival time and safety of the train.
The CTCS-3 simulation and testing platform is a research platform hosted by
the National Key Laboratory of Rail traffic Control and Security, Beijing
Jiaotong University, in order to make researches on systems and solutions, and
evaluate the equipment testing for the CTCS-3. This system includes the train
security computer, track information receiving unit, transponder information
receiving unit, speed sensor, human-machine interface and 3D scene, to simulate
the train running environment to be as real as possible. The simulation of the
ATP driver-machine interface has a great significance in the implementation of a
simulation platform of the entire train control system.
The principle of Model Driven Architecture (MDA) was drawn into the
emulation research of the ATP driver-machine interface (DMI). To realize the
functions of the DMI, a new method based on the MDA principle was raised.
Specific to the requirements of the DMI, the ICV (Core Interface-Frame
Controller-View) model was proposed. Then the detailed transform rules from
the Platform Independent Model to the Platform Specific Model were drawn up.
The ultimate complete ATP driver-machine interface system satisfied the
emulation requirements, and has been used for the research of the evaluation and
testing on the CTCS-3.
2 Simulation method of the ATP driver-machine interface

based on MDA
MDA is the collection of a series of Standards (MOF, UML, CWM and XMI)
and Technology (CORBA, Java, C++, etc.), which are the basis for supporting
MDA [2]. The core idea of MDA is to form a CIM (Computation Independent
Model) based on users needs, including the development purposes, performance
and requirements of the software to be developed in the system development
process [3]. According to the CIM model, using the above standards and
technology, the platform-independent, highly summarized models are abstracted
and concrete, which are called PIMs (Platform Independent Models). Then, the

Requirement
Requirement
Capture
Analysis
Computation
Independent
Models
Figure 1:
Design
PIM
Coding
PSM
Testing
Code
15
Release
Code
MDA development process, using PIM as driven.
MDA software development cycle.
transform rules are defined based on the specific implementing technology

platform. The PIM is transformed to the PSM through the defined transformation
rules and tools, and the PSM will be converted into executable code
automatically.
The development process of the MDA-based system is shown in Fig. 1.
Using MDA, the system development process is detached from the building
process of two models: one is the establishment of the PIM; the other is the
establishment of the PSM, and the key technology is the conversion between
the PIM and the PSM. In the beginning of the system development, the PIM
should be established, which is independent of the specific implementation
technology and platform and is the high-level abstraction of the system. Then,
according to the transformation definition, the PIM is converted into the PSM,
which is closely related with the specific implementation technology and
platform. The framework of the MDA includes the PIM, PIM description
language, transformation rules, PSM, PSM description language and several
other elements [4]. In traditional software development processes, the model
represents not only the demand, but also the realization of specific
technologies. Using MDA, models are classified into PIM, representing
demand, and PSM, representing the realization of specific technologies, and
therefore, the demand and technologies are related.
To develop an ATP driver-machine interface simulation system, the
requirement must be analyzed above all, and the function of the ATP drivermachine interface could be described using UML. On top of this, the PIM was
established, which did not contain any platform-related details. In the description
of the PIM, the demand should be summarized and summed up; restraint
describing language should be used to achieve the transformation. After the
completion of the PIM description, the PIM was mapped to a particular
simulation development platform, and then the PSM was obtained. The PIM-toPSM transformation rules were divided into two parts. One part is to carry out
the communication function, since the core function of the ATP driver-machine
interface is to accomplish communication with the Vehicle Computer [5, 6]. In
order to ensure the accuracy of communication, the automatic conversion mode
was used in this part [7]. The other part is to complete the construction of the
modules and interaction among the modules according to the definition of the
ICV model. The manual mode was used in this part. The PSM was generated by
a combination of these two conversion methods and then the ultimate simulation
system was completed.
The comparison between the MMI development framework and the MDA
development framework is shown below.

MDA Development
Framework
ATP Driver-machine Interface

Simulation Framework
CIM
Requirement Analysis of ATP

Driver-machine Interface
PIM
PIM of ATP Drivermachine Interface
PSM
Code
Figure 2:
Communication Function of
ATP Driver-machine
Interface
Construction and Interaction

of Modules of ATP Drivermachine Interface
Simulation Code
Development framework of the DMI simulation system.
3 Requirement analysis of the ATP driver-machine

interface simulation
The Vehicle Computer sent information to the ATP driver-machine interface at a
fixed frequency. The ATP translated the information to a readable data,
according to the prior agreed rules, and showed the data on the interface as
certain rules. The ATP followed multi-level hierarchical design ideas and was
decomposed into various views in its logic functions. Each view could be
divided into multiple sub-views and each sub-view was a further decomposition
of its parent view. Drivers may make driving operations based on the
information displayed in all levels of views, including entering data, such as
Driver ID, train number, train length and so on, controlling the train
independently for functions such as mitigation and change the running status,
and responding to the information sent by the vehicle security computer, such as
the need for confirmation of the driver when transforming from CTCS-2 to
CTCS-3. The information would be sent back to the Vehicle Computer by the
ATP after the driver finishes the operation and then responses were sent back to
the ATP after being confirmed by the Vehicle Computer, which formed a closed
loop for the information communication.
The train initial data, such as Driver ID, train number, train length and so on,
are input at the first step when the driver started to drive. Then the start button
was pressed. The driver should drive in accordance with the interface display.
During driving, the information transmitted from the Vehicle Computer was
responded to by the driver and the driver could control the train independently.
17
The main responding operations are confirmation of operation level and the
status of the front track.
From the workflow, the functions and use case of the system were confirmed,
including: 1. data display; 2. data input; 3. mode selection; 4. carrier frequency
mode selection; 5. selection and confirmation of operating level; 6. release
selection; 7. departure selection; 8. driver response. The ATP driver-machine
interface shows the information sent by the Vehicle Computer and contacts the
Vehicle Computer and the train driver. Therefore, it can be determined that the
driver and Vehicle Computer are system participants. The system use case
diagram is shown in Fig. 3.
4 Establishment of the PIM for the ATP driver-machine

interface
The ATP driver-machine interface is a graphical user interface. To build the PIM
of the ATP driver-machine interface based on MDA is to design graphical user
interface models at the system point of view. In this research, combined with an
Figure 3:
Diagram of the ATP driver-machine interface.
Presentation
Communication
Driver
Communication
Communication
VC
Core
Interface
Message
Figure 4:
Message
View
Frame
Controller
Message
ICV model.
important GUI model, the Seeheim model [8], a kind of PIM for the ATP drivermachine interface was presented. That was the ICV, the Core Interface-Frame
Controller-View model. The ICV was a kind of GUI model whose centre was
View, including the Core Interface and Frame Controller. The visible part of the
user interface was described by View, and the tasks from the driver and vehicle
computer were accomplished by the frame controller through each view. The
core interface was used to offer an information exchanging interface for train the
driver and the Vehicle Computer. The model is illustrated in Fig 4.
Since multi-level hierarchical design ideas were used in the ATP drivermachine interface, the View decomposed the interface into various views in its
logic functions. Each view could be divided into multiple sub-views and each
sub-view was a further decomposition of its parent view, but the sub-views did
not have to be called by parent views, while some shortcut keys were set. Those
frequently used sub-views would be called by shortcut keys rather than by parent
views, and this facilitated the drivers operation. The static characteristics of the
View included size, location and its own form of property, while the dynamic
behaviours of the View included the internal action and communication between
the View and Vehicle Computer. The View is the core of the ICV model. The
View of each level could fulfil its specific function. The hierarchical and
modular description of the complex ATP driver-machine interface could be
actualized by the use of the View module.
The information response was as a core in modelling the View mode. The
View dealt with the messages from the Vehicle Computer and driver by the
information response process, for example, the current speed display and calling
the sub-views. The sub-views of each level in the View mode interacted inhouse. Several Views of level 2 and Views of level 3 had the ability of sending
information. According to the incoming control information, the corresponding
information was sent to the Vehicle Computer.
The button information collection process in the model was integrated into
the driver module. Since its primary role was to capture the drivers button
information and send it to the ATP driver-computer interface by the way of
19
communication, this part was dissociated in the periphery of the ATP drivercomputer interface model and it was not necessary to build a separate module for
this part. The Driver would be representing this process instead in the model.
The Core Interface module had a dual mission. One part was to receive the
information from the Vehicle Computer and the other was to receive the drivers
button information. It provided an interface between the vehicle equipment and
the train driver and established a buffer zone. As a result, the efficiency and
maintainability of the code have improved.
The main function of the Frame Controller was to receive control information
from the Core Interface, which is responsible for switch scheduling among each
view and to control the operation of each view. This module was divided into
two parts. One part was used to receive the control information from driver and
open the appropriate view according to the drivers manipulation. The other part
was used to receive the control information from the Vehicle Computer and open
the appropriate view according to the incoming message.
5 PSM construction of the ATP driver-computer interface

When the PIM was constructed, the transformation work from the PIM to the
PSM could be launched. Because the current transformation tools can only
accurately converse the elements of the PIM into the PSM elements, it was
necessary to manually complete the construction of the PSM to achieve specific
functionality. According to the past practice, the research was divided into two
parts and each part of work is as follows.
The first part was to mainly complete the communication function, including
the following aspects.
1. The elements in the ATPInterface Class of Core Interface, which is the core
one in the PIM, should be converted into the corresponding functions elements
of the PSM.
2. The operations in the ATPInterface Class of Core Interface, which is the
core one in the PIM, should be converted into the corresponding operations of
the PSM.
3. The elements in the SendInformation Class of the View in the PIM, which
need to communicate with the Vehicle Computer, should be converted into the
corresponding functions elements of the PSM.
4. The operations in the SendInformation Class of the View class in the PIM,
which need to communicate with the Vehicle Computer, should be converted
into the corresponding operations of the PSM.
This part is the emphasis of the ATP driver-machine interface simulation,
using Rational Rose to automatically generate codes to complete communication
between the Vehicle Computer and the ATP driver-computer interface.
The tasks to be done in the other part are as follows.
1. Construct the PSM according to each divided class in the PIM.
There were three parts of the PIM: the Core Interface, Frame Controller
and View. The Core Interface contained two sub-modules: one is in charge
of receiving information from the Vehicle Computer; the other is in charge of

receiving information from the driver. There are also two sub-modules in the
Frame Controller. One is responsible for accomplishing the control on the View
from the Vehicle Computer, and the other is to accomplish the control on the
View from the rail driver. The View module was divided into several submodules according to its interface and all these sub-modules were classified in
accordance with different view parts. Each sub-module should be described
while the PSM is constructed.
2. Information exchange among the PSMs should be completed according to
the interaction among the various modules in the PIM.
Information exchange is the top priority of the ATP driver-machine interface
simulation. After the construction of the PSM, interaction among the various
models should be accomplished. The Core Interface module had to achieve the
interaction between the Vehicle Computer and the ATP driver- machine interface
and interaction between the driver and the ATP driver-machine interface. Then
the information coming from these two areas were divided into two parts: one
was the data message, which would be sent to the View module to display; the
other was the controlling information, which will be sent to the Frame Controller
to complete the task of calling for the View. The View received data information
from the Core Interface and controlling information from the Frame Controller to
display the view.
The graphical programming language called G language was used in this part.
The PSM description was carried through in the LabVIEW platform. Finally, the
simulation system would be finished.
6 ATP driver-machine interface running a typical example

The simulation platform of the ATP driver- machine interface is part of the Rail
Control System Simulation Platform in the lab, and has been used for system
research, program research and equipment testing and evaluation on the CTCS-3.
Fig. 5 shows the ATP driver-machine interface operation chart. In the picture,
it can be seen that the ATP driver-machine interface was shown in the centre of
the driving devices LCD screen. Speakers and keypad are around the screen,
Figure 5:
ATP driver-machine interface operation chart.
Figure 6:
21
ATP driver-machine interface operation status and the transforming

confirmation menu to the CTCS-3.
and the driver can input some relevant information through the keyboard to
change the mode of the ATP system and work status. The ATP driver-machine
interface can correctly display various status images. This is shown in Fig. 6.
7 Conclusion
The first step of this method was to do a requirement analysis, following which
the PIM can be established. Combined with the GUI model, a new model called
the ICV (Core Interface-Frame Controller-View) model was proposed as the
PIM of the ATP driver-machine interface simulation. The process of
transforming from the PIM to the PSM was divided into two parts. One part is to
finish the most important section of the ATP driver-machine interface,
communication, especially the communication between the Vehicle Computer
and the ATP driver-machine interface. The other part was used to establish the
PSM according to each module of the PIM and the interaction among the
modules. Then the system simulation would be completed. It has been proven
that this method saves development time and enhances the portability and
accuracy of the system. The ATP driver-machine interface simulation system has
been used for the research of evaluation and testing on the CTCS-3.
Acknowledgement
This work is supported by the Key Science and Technology Research Project of
the Chinese Ministry of Education (No. 109010).
References
[1] Wang Xi, Tang Tao. Design and Realization of Train Operation Control
System Onboard MMI Based on UML. Journal of System Simulation, 18(2),
pp. 338-361, 2006.
[2] Heng Xiangan. Research on the Modeling and Simulation Method based on
MDA. Changsha: National University of Defense Technology. 2005.

[3] Jishnu Mukerji. Model Driven Architecture-A Technical Perspective.
www.omg.org/cgi-bin/doc/ormsc/2001-07-01.
[4] Jiang Chun. MDA Method and MDA Modeling Based on UML. Journal of
Shenyang Institute of Engineering: natural Science, 4(1), pp. 67-93, 2008.
[5] Gronbaek, J, Madsen, T.K, Schwefel H.P. Safe Wireless Communication
Solution for Driver Machine Interface for Train Control Systems. System, 4,
pp. 208-213, 2008.
[6] Ceccarelli A., Majzik I., Lovino D. A Resilient SIL 2 Driver Machine
Interface for Train Control Systems. Dependability of Computer, 6, pp. 365374, 2008.
[7] Deuk Kyu Kum, Soo Dong Kim. A Method to Generate C# Code from
MDA/PSM for Enterprise Architecture. Computer and Information Science,
6, pp. 238-243, 2006.
[8] Sun Xiaoping, GUO Tengchong, WEI Mingzhu, etc. A UML-Based ObjectOriented Graphic User Interface Design Model. Computer Science, 30(5),
pp. 108-112, 2003.
23
A framework for modeling train control

systems based on agent and cellular automata
J. Xun, B. Ning & T. Tang
Beijing Jiaotong University, P.R. China
Abstract
A train control system is a system that is geographically and functionally
distributed. Its subsystems have a high degree of autonomy. Because of these
characteristics, this paper describes a two-layer framework for modeling train
control systems. The upper-layer is defined by agents. The lower-layer is the
cellular automata (CA) traffic model to simulate the train following dynamic.
The CA model delivers the knowledge needed by the agents to make decisions.
The interaction between agents can describe the decision-making processes of
train control systems to achieve its functions. Its functions are classified into
three levels: Service Control Functionality, Signaling Functionalities and Train
Operation Functionality. A case study is used to illustrate the applicability of the
proposed framework. The study results show that the proposed framework can
be successfully used to analyze the influence on traffic flow, which is caused by
the train control system.
Keywords: modeling, train control system, agent, Cellular Automata (CA).
1 Introduction
A train control system model is an important tool to research train control
systems. The previous models are based on the equipments that are used in the
practical train control system. For different train control systems, they may have
different equipments. In other word, the equipments that constitute the train
control system can be tailored towards requirements. This leads to different
systems having different system configurations. It is possible to accept the nonuniformity of the configurations in practical projects; however, it is not
conducive to understanding the train control system.
doi:10.2495/CR100031

This problem can be solved by modeling the train control system based on its
functions. Its functions are achieved through the equipments in the system.
Although the equipments are various and their configurations are distinct, the
functions are the same for the different train control systems. It is fundamental to
railway control systems that they should be concerned with the positional control
of trains [1]. Therefore, the essential purposes of the functions for any train
control system are [2, 3]:
To maintain a safe distance between following trains on the same track;
To safeguard the movement of trains at junctions and where crossing a path

that could be taken by another train;
To control train movement between and at stations;
To regulate the passage of trains according to the service density and speed
required, accounting for the planned schedule.
This places the train control system at the heart of the railway [4].
2 The function-oriented model of train control systems

According to these essential purposes, the functionality of the train control
system can be summarized in three levels:
Service Control Functionality: The functionality in this level is to maintain

the quality of transportation service, both in normal and abnormal
situations. It will compare the real-time traffic status with the schedule and
reschedule in order to reduce the delay.
Signaling Functionality: The functionality in this level is to ensure

the safety of the train movement. It will collect the information related to
the movement of trains first. Then, based on the information, it will allocate
the movement authority (MA) for each train. Moreover, it will send the
corresponding signal information to the Train Operation Functionality and
the Service Control Functionality respectively.
Train Operation Functionality: The functionality in this level is to operate

trains in an effective way. The operation will consider energy saving and
comfort as the object of train operation.
Next we will introduce the above three kinds of functionality in details.
2.1 Service Control Functionality (SCF)
The Service Control Functionality is enforced through the train control system.
Where more serious service abnormalities occur, it is necessary to manage the
service in real time to ensure that train destinations are appropriately balanced,
that bunching/conflicts are minimized, and that staff and stock resources are
available when and where required. This function is referred to as Service
Control [4].
Service Control Functionality includes the Centralized Manual Control
function, Local Manual Control function, Platform Management function and
Automatic Train Supervision function.
25
The Centralized Manual Control function manages the service on the whole
railway line. Normally it will not control the service directly. The control order
will be transmitted to the Local Manual Control function first and then it will be
transferred to other functions. In particular, the temporary speed restriction order
will be sent to other safety critical functions in order to ensure its consistency,
completeness and validity.
The Local Manual Control function manages the service around one or
several stations on the railway line generally. It is not only a transfer station for
exchanging information between the Centralized Manual Control function and
other functions, but also a commander to control the local service. The local
service includes the management of the platform.
The Platform Management function is to reduce the dwell time at stations.
Dwell times result from a number of delays associated with train and platform
design, service regularity, operating practice and passenger behavior. Their
effects can be limited by implementing systems and techniques for platform
management. The systems and techniques can be found in [4].
The Automatic Train Supervision function takes on the automation of the
signalers and controllers roles. It is therefore responsible for the monitoring
and co-ordination of individual train movements in line with the schedule and
route assignments [2]. Its function is accomplished through the cooperation
among the functions of Automatic Train Regulation, Automatic Route Setting
and Automatic Traffic Monitoring. Currently these functions are usually used to
operate an alarm to draw a human operators attention to the need for action and,
subsequently to provide information to support decisions by that operator.
2.2 Signaling Functionality (SF)
The movement of trains is in accordance with the signaling information in
railway system. The signaling information includes the aspect of signal, slope,
curve, the status of points (lock or unlock, normal position and reverse position),
train position, train integrity, train route information, and so on. The information
should be collected by the SF. In some ways, SF is a set of functions that gather
the information related to the movement of trains, select and send to the
destination functions who will act upon the information. Among the information,
the aspect of signal, slope, curve and the status of points will be collected by the
Line Information Collection function; train position will be collected by the
Train Location function; train integrity will be collected by the Train Integrity
Check function; train route information will be collected by the Interlocking
function.
First, all of the collected information is the input of other sub-functions in SF,
such as the In Cab Signaling, the MA Allocation, the Interlocking and the
Automatic Train Protection.
The In Cab Signaling function will receive the track-side signal and display it
in the cab. That will benefit driver to drive, especially when trains run at highspeed. The MA Allocation function needs the trains position and route
information. The trains position and route information is necessary for the MA
allocation function. The Interlocking function needs the aspect of signal, status

of points and MA information so that it can evaluate this information and permits
movements via the signals. The Automatic Train Protection (ATP) function is a
safety critical function. It will intervene in real time to slow, even stop a train
when the train runs over the permitted speed restriction. In order to decide the
permitted speed restriction, the ATP requires the following information [57]:
Dynamic data: the current train location and speed (detected by the
Speed Measurement function), and master controller position;
Train data: the class, length, acceleration performance, braking

performance (for service and emergency braking) and maximum
permitted speed of the train;
Route data: gradients, current maximum line speed, the line speed
profile ahead (relevant to the particular class of train) including the
start and finish points of temporary speed restrictions, the distance to
the next signal/marker/data transmission point, the distance to go
before the train must slow down or stop (the movement authority).
Besides supplying information to the sub-functions in SF, it will provide
information for other two functionalities. The Automatic Train Operation
function or driver (Manual Driving function) needs the signaling information to
guide the operation of train. Automatic Train Supervision, Centralized and Local
Manual Control needs to know the actual traffic condition.
All information is transmitted in a dedicated data communication network,
which can be classified into wired and wireless communication. The wireless
communication is used between train and trackside, hand signaling equipment
and control center respectively. In other conditions it is wired communication.
No matter it is wired or wireless communication, it is safety critical if it transmit
safety related information.
2.3 Train Operation Functionality (TOF)
In addition to the above two kinds of functionality, the Train Operation
Functionality is also a key functionality in train control system.
Most of trains on railway lines are operated manually. As technology
continues to advance, the Automatic Train Operation function became feasible. It
has to operate trains in a comfortable and energy-saving way, depending on the
information collected from other functions. The information includes the current
train location and speed, train length, acceleration performance, braking
performance (for service and emergency braking) and maximum permitted speed
of the train, gradients, current maximum line speed, the delay of the front train
and so on.
It is not safety critical because it only represents the movement control
aspects of the driving function. It cannot therefore exist without the Automatic
Train Protection (ATP) function, since it relies upon ATP to provide the
movement safety functions [8, 9].
At last, the movement control is implemented through the Train
Traction/Brake Control function.
27
Centralized Manual Control

Temporary speed limit order release and cancel
Local Manual Control
Automatic Traffic Monitoring
Platform
Management
Automatic Train Supervision

Automatic Train Regulation
Hand
Signaling
MA
Allocation
Automatic Route setting
Management of the Line and Wayside Unit

signals, track circuit, points, balisesLEU
Line Information Collection
(status of points, slope, curve, route information
Train Location
Interlocking
(to ensure the interlocking logic)
In Cab Signaling
Wireless Communication
Speed Measurement
Automatic Train Operation
Wired
Communication
Train Integrity Check

Automatic Train Protection
Movement Control
Manual Driving
Train Traction/Brake Control

Key
Safety Critical Function
Data Flow
Figure 1:
Non-Safety Critical Function
Function-oriented model of a train control system.
As mentioned above, the three functionalities have the principal task of

ensuring the safe separation of trains. Meanwhile, they affect the performance of
train control system in aspect of capacity. The train control system should
provide a means of improving the performance. So, the train control system has
competing requirements placed upon it: those of safety (safety critical functions)
and those of operational capacity (capacity related functions). Based on the
aforementioned functions, a function-oriented model of train control system is
shown in fig. 1. It is a generic model because no special equipment is involved.
Two-layer framework for modeling train control systems
3.1 Two-layer framework

According to the study in [10], the NaSch model(one of cellular automaton
models) has been proposed to simulate the railway traffic. Some complicated
traffic conditions, such as mixed traffic, overtaking, can be generated. These

studies demonstrate NaSch model is applicable to simulate the dynamic of the
railway traffic.
However, there is a problem in the NaSch model. Since it is too complex to
achieve full functions of train control system by using rules, it uses some basic
rules to describe the functions of train control system in a relative simple way.
This leads the decrease of the accuracy of the model, and that will have bad
influence on the study of the train control system when using the NaSch model.
Actually, these functions are generally achieved through the interactions
between the units, which are distributed in the railway system. So it is doable to
model the functions of the train control system through the interaction between
agents in multi-agents system (MAS).
So, we proposed a two-layer framework for modeling train control system:
The upper-layer is designed by the agent technology based on the

function-oriented model of train control system. The interaction
between agents can achieve the functions of train control system.
The lower-layer is the cellular automata (CA) railway model to

simulate train following dynamic. The CA model provides the
knowledge needed by the agents to make decisions and react upon the
decisions.
Figure 2:
Sketch of the two-layer framework.
29
3.2 Design of train control systems by agents

In general, the railway traffic system consists of many autonomous, intelligent
units, which are distributed over a large area and interact with each other to
achieve certain goals. These units may be completely different: drivers, trains,
signals, but all of them have a high degree of autonomy, actively perceive the
environment and act upon that environment. Owing to these characteristics,
many systems in this domain are developed based on an agent approach [11, 12].
Vernazza and Zunino [13] proposed a methodology which is to use
Distributed Artificial Intelligence techniques to overcome the limitation of the
centralized methodologies. It exhibits an upper bound on the size of the
controlled area because of the requirement of real-time processing.
Intelligent agents have successfully solved the train pathing problem on a
small portion of railway network [14]. Next, based on this research, Blum and
Eskandarian [15] introduced a method to enhance the collaboration of the agents.
A protocol is proposed that makes the agents operate as efficiently as possible.
One of the most recent references about multi-agent railway system [16],
presents a multi-agent system for communication based train traffic control. The
system infrastructure has an architecture composed of two independent layers:
Control and Learning. Control layer includes three agent types:
Supervisor, Train and Station.
In order to design a system by agents, several components have to be defined
precisely: the agents, the interactions and the environment.
3.2.1 Agents
In our generic model, we propose three categories of agents:
SCF agents that achieve service control functionality. They detect conflicts
and find a solution to minimize delay time. To find a solution, many
intelligent technologies, such as expert system, compute intelligence,
machine learning and searching, can be used.
SF agents that achieve signaling functionality. These agents includes the

signaling-related information which is the aspect of signal, slope, curve, the
status of points (lock or unlock, normal position and reverse position), train
position, train integrity, train route information.
TOF agents that achieve train operation functionality. Each TOF agent is
the abstract model of an actual train running on the railway network and its
dynamic status can be collected by SF agents.
3.2.2 Choice of interaction method: the environment modeling approach
Interactions between agents through message exchange are an important part of a
multi-agent system. Our interaction model is based on EASI model
(Environment as Active Support of Interaction) [17]. In this model, agents share
a common communication media, the environment, which is used to support
interactions. The environment contains description of messages and agents,
which is represented by a set of entities, 1 ,..., m . An entity i is
related to a component of the MAS and has a description given by observable
properties. In order to find these properties that it is interested in, the agents have

the ability to put filter in the environment. A filter
f j is the description of the
constrains on the observable properties of the entities that are related to the
connection j .In other words, a filter is a reification of a connection, by which a
message transmitted. Let P p1 ,..., pn be the set of the n observable
properties of the MAS. An observable property pl is a function that gives for an

entity
value
that
can
be
used
for
the
connect,
pl P, pl : d l unknown, null , with dl the description domain

of pl . dl can be quantitative, qualitative or a finite data set.
Figure 3 shows an illustration of our environment modeling for a scenario in

railway. Here are four entities, 1 , 2 , 3 , 4 that are respectively the
description of the train operation agent TOA1 and TOA2 , of the service control
agent SCA1 and of the message m1 . The train operation agents have three
properties called pos , speed and connectionObject , which is for position,
speed and its connection object respectively. The value pos 1 is the position
of a train who is represented by TOA1 ; the value pos 3 is unknown
because the value has not been given; the value pos 4 is null because 4
does not have this property in its description. The value of a property can be
modified by the agent in real-time.
According to the Definition of Filter in [17], three types of filter can be
defined and put into the environment: reception, emission and interception filter.
1 id , "TOA1" , class, " CBTC / ATP " , pos, val _ pos _ 1 , speed , " val _ speed _ 1 ,
connectionObject, " SCA1"
3 id , " SCA1" , pos , unknown , pos _ start _ management , " val _ pos _ 3" ,
pos _ end _ management , " val _ pos _ 4" , rank , " local "
4 sub, " delay" sender, "TOA1" , receiver, " SCA1"

2 id , "TOA2" , class, " CBTC / ATP" , pos, val _ pos _ 2 , speed, " val _ speed _ 2 ,
connectionObject, " SCA1"
Figure 3:
Example of EASI interaction model.
31
Reception filters: to search the value of a specified property for the

agent to decide the receiver. For instance, if the agent has an id
property, the filter that enables interaction based on the value of this
property is a reception filter.
env
f reception
[id (a) " SCA1" ],[ sub(4 ) " delay" ]
, " reception",0, environment
This type of filter is put by the environment generally.

Emission filters: to match the potential receivers of a message. For
instance, the delay message should inform to not only the local service
control agent SCA1 but also the central service control agent SCA2 .
TOA1
f emission
[rank (a ) " central" ] [ sons (a ) " SCA1" ],
[ sub(4 ) " delay" ], " emission",0, TOA1

This type of filter is put by TOA1 generally.
Interception filters: to allow the agent to receive a message that has

not been sent to it directly, but it is interested in. For instance, the
delay message from TOA1 may be useful to the control of TOA2 .
TOA2 is the following train of TOA1 . Hence, TOA2 can put an

interception filter to overhear the delay message from TOA1 .
TOA 2
fintercepti
on [id ( a ) "TOA2" ],[ sub(4 ) " delay" ]
[ sender (4 ) "TOA1" ], "int erception",0, TOA2

The example of the three types of filter is illustrated in Figure 4.
env
reception
TOA
emission
TOA
f intercepti
on
2
Figure 4:
Transmission scenario of a train delay message.

3.3 CA model for rail traffic dynamic simulation
The lower-layer extends the model in [18]. The state of a cell is not only a
symbol of if there is a train but also used to represent other information of
infrastructure on the track-side. The information possibly includes the status of
signal and point, slope, curve, and so on. More details can be found in [18].
Simulation
In this section, we apply the proposed framework in our simulation. The

simulation is based on a 8000 m long line, which has three stations A, B and
C. The stations A, B and C are located at 1 m , 4000 m and 8000 m
respectively. Trains depart from station A successively with interval I under a
moving block system and stop at station B for a dwell time Tdw , then leave and
run to station C. Finally, they move out of this system after staying at station C
for Tdw . The length of the computational time is taken as T 1000 s . The
other parameters used in the simulation are as follows:
(1) Train acceleration and deceleration is a 1 m / s and b 1 m / s ;
2
(2) Train length LT 100 m ;

(3) Safe distance Ls 60 m ;
(4) Maximum speed of train Vmax 20 m / s ;
(5) Speed limit of line SLi 20 m / s, i ( 1, L) ;
(6) Interval of the trains departure time at station A I 60 s ( I is a
variable when we calculate the minimum time headway);
(7) Dwelling time at the station B and C Tdw 30 s , and for the delayed
train 106 the dwelling time is Tdw 60 s .
Based on the proposed framework, a train delay scenario is simulated and the
simulation results are shown in Figure 5. The Train 106 is delayed at station B in
Figure 5(a). If the following train 107 does not percept the delayed information,
it results that the following train 107 has to stop outside of station B (The dotted
line in Figure 5(a)). After rescheduling, the Train 106 will have a new departure
time. In our model, the message of the new departure time (or the delay of the
train 106) can be overheard by the following train 107 by an interception filter,
which it put in the environment. With this information, it could brake earlier and
run with a slow speed as shown by the dotted line in Figure 5(b). The
optimization of their speed profile will avoid stop and benefit their energy-saving
and comfortable object.
30
30
Train 106
Train 107
Train 106
Train 107
25
25
20
Velocity(m/s)
Velocity(m/s)
20
15
15
10
10
5
station B
0
3300
3400
3500
3600
3700 3800 3900

Postition(m)
4000
4100
station B
4200
4300
0
3000
3200
3400
(a)
3600
3800
Position(m)
4000
4200
(b)
Figure 5:
33
Results of simulation.
Conclusions and future research
In this paper we present a two-layer framework for modeling train control

system. The upper layer describes a function-oriented model of train control
system by using an agent-based approach. The agents in the proposed framework
are classified into three types: SCF, SF and TOF agents. The interaction between
agents is based on a model called EASI. The model defines an interaction in a
generic way to achieve some functions of train control system. The lower layer is
a CA model that describes the perception and reaction of agents in upper layer. It
represents the actual dynamic of railway traffic.
The preliminary simulation result demonstrates the availability of the model.
Until now this has been a framework. Through the proposed framework, the
agents in the system can get more information. The use of the available
information is not discussed in this paper. The future research should focus on
how to optimize the performance of the train control system by using the
available information.
Acknowledgement
The project is supported by National Natural Science Foundation of China under
Grant No. 60634010 and Major Program of Beijing Municipal Science &
Technology Commission "Comprehensive research and core technology
development to improve the urban rail transportation efficiency".
References
[1] Short, R.C., Fundamentals of Signalling and Train Control
Systems,presented at the IEE Power Division Sixth Vacation School on
Railway Signalling & Control Systems, 1996.

[2] Khessib, M., Improved energy exchange by central train control, University
of Birmingham, 1989.
[3] Nock, O., Railway signalling, A & C Black, London, 1980.
[4] Woodland, D., Optimisation of Automatic Train Protection Systems,
Doctor of Philosophy, Department of Mechanical Engineering, University
of Sheffield, Sheffield, 2004.
[5] Barnard, R., SELCAB Automatic Train Protection for British Rail's
Chiltern Lines, presented at the Aspect'91 International Conference
Proceedings 1991.
[6] Dapre, S., Introduction to Signalling - Automatic Train Control, Institution
of Railway Signal Engineers, 1999.
[7] Rose, J. & Fisher, A., Flexible Automatic Train Control: IRSE, 1989.
[8] Taskin, T. & Allan, J., Overview of Signalling and Train Control Systems,
presented at the IEE Power Division Third Vacation School on Electric
Traction Systems, 1995.
[9] Waller, J., Control Concepts in Automatic Rapid Transit Systems, in Rail
Engineering The Way Ahead, London, 1975.
[10] Li, K.P., Gao, Z. & Ning, B., Cellular automaton model for railway traffic.
Journal of Computational Physics, 209(1), pp. 179-192, 2005.
[11] Lind, J., Fischer, K., Bocker, J. & Zirkler, B., Transportation scheduling
and simulation in a railroad scenario: A multi-agent approach. Logistik
Manage, eds. Kopfer, H. & Jou, R.C., Springer: Berlin, 1999.
[12] Bcke, J., Lind, J. & Zirkler, B., Using a multi-agent approach to optimise
the train coupling and sharing system. European Journal of Operational
Research, 131(2), pp. 242-252, 2001.
[13] Vernazza, G. & Zunino, R., A distributed intelligence methodology for
railway traffic control. IEEE Transactions on Vehicular Technology, 39(3),
pp. 263-270, 1990.
[14] Tsen, C. K., solving train scheduling problems using A-teams, Ph.D.,
Carnegie Mellon University, USA, 1995.
[15] Blum, J. & Eskandarian, A., Enhancing intelligent agent collaboration for
flow optimization of railroad traffic. Transportation Research Part A, 36,
pp. 919-930, 2002.
[16] Proenca, H. & Oliveira, E., MARCS Multi-agent Railway Control System,
Lecture notes in computer science, pp. 12-21, 2004.
[17] Saunier, J. & Balbo, F., Regulated multi-party communications and context
awareness through the environment. Multiagent and Grid Systems, 5(1), pp.
75-91, 2009.
[18] Xun, J., Ning, B. & Li, K., Multi-objective optimization method for the
ATO system using Cellular Automata. Computers in Railways XI Computer System Design and Operation in the Railway and Other Transit
Systems. vol. 103, eds. Allan, J., Arias, E., Brebbia, C. A., Goodman, C. J.,
Rumsey, A. F., Sciutto, G. & Tomii, N., WIT Press: Toledo, pp. 173-182,
2008.
35
A new train GPS positioning algorithm in

satellite incomplete condition based on
optimization and the digital track map
X. Jia1,2, D. Chen1 & H. Wang2
1

2
School of Electronics and Information Engineering,
Abstract
The train positioning plays a key role in the train control system. The current
train positioning is determined by the track circuit or balise, which cost a lot to
build and maintain. GPS (Global Positioning System), one kind of GNSS
(Global Navigation Satellite System) positioning technology, provides a cheap
and real-time option. However, the inherent defect of GPS positioning is the socalled incomplete condition of GPS when less than four satellites are effective.
This paper presents a new train GPS positioning algorithm based on the digital
track map and optimization method for the incomplete condition of GPS. First,
the track piece where the train is located is identified at the moment when the
GPS satellite signals become incomplete. Then, a straight-line equation
constrained by the pseudo-range equation is deduced. Finally, the estimated train
position is obtained by minimizing the sum of the squared errors, which is solved
by the gradient descent method and compared with the actual location in the
digital track map. After the experiments were carried out in Sanjia dian Station,
Beijing Railway Station, to get the field GPS positioning data, the performance
of the proposed algorithm was evaluated and analyzed. The results demonstrated
that the accuracy and stability of train positioning employing the proposed
method were improved in GPS satellite incomplete condition (SIC).
Keywords: railway, GPS, incomplete condition, digital track map, optimization
method.
doi:10.2495/CR100041
1 Introduction
With the rapid growth of the Chinese economy, railway transportation plays a
more and more important role in the national social and economical
development. In the train control system, the train positioning is one of the key
techniques. Obtaining accurate train position data is a prerequisite for the train
safety and control. The present train positioning mainly depends on ground
equipments, such as track circuits, balise and so on. However, ground
equipments cost a lot to build and their security and the maintainability are not
easy, which has greatly increased railroad worker's labor intensity. Furthermore,
it is obviously advantageous to use GPS positioning for the train control system
in reducing cost in infrastructure and maintenance, especially for low-density
railways [1].
GPS is one kind of modern navigation technology whose applications are
getting more and more widespread in transportation, surveys, geodetic and so on.
However, GPS positioning also has its flaws: GPS receivers cannot work in
satellite incomplete condition (SIC). When vehicles travel in some areas, such as
urban tall building areas, tunnels and multi-level crossing bridges, some GPS
satellite signals are often covered. In this case, the number of satellites is less
than four or the geometric distribution received from satellite is non-uniform [2].
In particular, when GPS is applied in the train integrity inspection, the GPS
antenna installed in the vehicle hook in the train rear part is easily occluded by
the compartment [3].
Lin studied the problem of ground emitter positioning by a satellite cluster
composed of three satellites and proposed an iterative algorithm based on a
digital map for the urban traffic application [4]. Zou proposed a DR (Dead
reckoning) positioning algorithm using Doppler and range data as the
complementary information when the number of effective satellites was three.
[5]. Liu proposed a positioning algorithm using a virtual satellite when the
satellite number is three for train integrity inspection, checking with the GPS
receivers in the head and tail of a train [6]. In a certain moment when the
receiver in the tail of a train only receives three satellites signal because of
carriage occlusion, the fourth constraint equation is added by making the height
in the head and in the tail the same, which is called the virtual satellite assisted
positioning method. Then, the three satellites with visual simultaneous equations
can obtain the position solution of the rear. This method is easy to understand
with few errors, but still needs three satellites and employs the four-star location
model restrictions. Li proposed a GPS autonomous integrity detection method
and a train-positioning algorithm assisted by a digital track map [7]. However,
the algorithm was also in accordance with the four-star positioning mode. The
linearized pseudo-range equation and track map data were used as the fourth
constraint. However, these algorithms must be given an initial value, which has a
deep influence on the results. The process assumed zero elevation changes,
which cannot apply to larger areas of undulating terrain.
In this paper, we propose a solution for this GPS positioning incomplete
condition, which combines the digital track map information and the
37
optimization method [8]. As the train is running on a fixed track, there are some
strict regulations: Tracks approximately approach straight lines or curves with
big curvature radius; any track has lots of nodes, such as turnouts, signals,
insulation sections, kilometer marks and so on. All of this makes digital track
maps easily described. In practice, a large number of low-cost GPS track data
and a small number of high-precision nodes (turnout generally, signals and other
properties points) can be used to describe the digital track map. Track straight
lines can be fitted into the equivalent linear equations; curved tracks can be
divided into several sections of line segments for approximate description and
each track section of the endpoint nodes are high-precision [9].
In SIC, the results of position resolution equations due to the lack of
conditions cannot be solved. However, we can use the digital track map as a
constraint to achieve satellite positioning in the SIC according to the features of
the digital track map. In this way, we not only use characteristic of the digital
track map, which is not easily affected by outside influences and has high
stability, but also use the optimization method to decrease the positioning error.
Positioning model in the satellite incomplete condition
When the number of available satellites is more than four, it is defined as the
satellite complete condition (SCC), where the trains position is calculated by the
traditional pseudo position method, as shown in Fig. 1.
The distance between satellites and a GPS receiver can be calculated by
equation (1).
(1)
t c
c : The velocity of light;

t : The signal propagation time.
Then, the trains position can be calculated by equation (2):
j ( x j xu ) 2 ( y j y u ) 2 ( z j z u ) 2
j
j
c d tr d tsj d ion
d trop
(x2,y2,z2)
(x1,y1,z1)
Figure 1:
( j 1,2,3,4 )
(x3,y3,z3)
(x4,y4,z4)
Schematic diagram of positioning theory.
(2)
Figure 2:
Schematic diagram of the track segment.
j : The geometric distance between the satellite position by satellite

broadcast ephemeris and receiver;
x j , y j , z j : The three-dimensional coordinates of satellite J;

d tr : Receiver clock error;
d tsj : Clock error of satellite J;
xu , yu , zu : The three-dimensional coordinates of the receiver;

j
: The distance deviation by the ionospheres effects of satellite J;
dion
j
dtrop
: The distance deviation by the tropospheres effects of satellite J.
When the number of available satellites is less than four, which is defined as
the SIC, the trains position is calculated with the help of the digital track map.
First, the track segment that the train belonged to is judged, as illustrated in
Fig. 2.
xu X 1 yu Y1 zu Z1
k
X1 X 2 Y1 Y2 Z1 Z 2
(3)
k [0,1]
From equation (2) and equation (3), we can get equation (4).
f j
(x j (k(X2 X1) X1))2 ( y j (k(Y2 Y1) Y1))2 (z j (k(Z2 Z1) Z1))2 (4)
j
j
c dtr dtsj dion
dtrop
j
( j 1,2,3)
Then the train positioning can be achieved by using the gradient descent
method, which calculates k by minimizing the E ( E ( pfi )2 ). Assuming that
the initial value of k is 0.5, we get the updated value of k as follows:
k i 1 k i
E
k
k ki
k i 2 * pf i
i
pf
k
(5)
k ki
where is the learning rate, we set it as 0.1 in the beginning of the algorithm. A
heuristic rule is applied to assure the stability of the optimization method. If the
39
E decreases two times continuously, we increase at 10%. However, if E

decreases and increases alternately twice, we decrease it also at 10%.
3 The proposed positioning algorithm

According to the model, the steps of the proposed positioning algorithm are as
follows:
Step 1; Judge the number of satellites received. If the number is more than
four, use the traditional pseudo positioning method; if the number is less than
four, go to step 2.
Step 2; Judge the number of segments the train belongs to and then load the
coordinates of the nodes of the segment.
Step 3; Using the node coordinates and the satellite information to calculate
the position of the train by the descent gradient method.
The flow chart of the algorithm is shown in figure 3.
4 Results and analysis

The data collection and experimental validation was conducted in Sanjia dian
Station, Beijing Railway Station. Experimental equipments were the Novatel
(DL-4) GPS Receiver and the cart especially designed for track measurement, as
shown in fig. 4.
Figure 3:
The flow chart of the algorithm.
Figure 4:
Figure 5:
Measurement cart and Novatel (DL-4) GPS receiver.
Digital track map model on the plane coordinate system.
The experimental steps were as follows:

Step 1: Select the track section and turnout section in the track map database
as the experimental section;
Step 2: Collect GPS satellite ephemeris and pseudo-distance and other data
using the Novatel (DL-4) GPS Receiver;
Step 3: Data extraction and processing;
Step 4: In the SCC, calculate the position using the algorithm. The satellite
incomplete condition was created by deleting some satellite signals to make the
number of satellites be two and three;
Step 5: Results comparison and analysis.
Track 16 of the station was chosen as the map model to test the proposed
algorithm, then its coordinates were transferred from Gauss coordinates into
plane coordinates, as shown in figure 5. In this model, "" means the map nodes
where signals or turnouts are placed. The line between two nodes indicates the
41
fragment. From the mathematical point of view, the head node and the
corresponding tail node constructed a space straight-line equation. In SCC, the
position can directly be calculated by equation 2. As in figure 6, the dots on the
line in the figure are the true values; the star dots around the line are the value of
point locations obtained by a GPS receiver. The positioning error is shown in
figure 7, which means that the positioning error is less than 3.5m.
Figure 6:
Figure 7:
Result of positioning in SCC.
Positioning errors in SCC.

In the experiment, the satellite condition was very good and about 10
satellites signals were received. To construct the satellite incomplete condition,
we deliberately chose two or three satellite signal data to validate the proposed
algorithm. Of course, the positioning errors are different with the different
satellite selection. There are many methods in satellite selection, which we do
not want to overemphasize due to the page limits.
In SIC, the result of three satellites is shown in figure 8 and the positioning
error is shown in figure 9, which means that the positioning error is less than
3 m, even less than the positioning error in SCC without using the digital track
map.
Figure 8:
Positioning result for three satellites.
Figure 9:
Positioning errors for three satellites.
Figure 10:
43
The positioning errors for two satellites.
In SIC, the positioning errors of two satellites are obviously influenced by the
geometric distribution between the GPS receiver and satellites. The positioning
errors are shown in figure 10, which means that the positioning error is greater
than 11m. It can be found that the positioning error is much greater than that in
the three satellites condition.
5 Conclusions
In this paper, we propose a positioning algorithm using the digital track map and
optimization method in the SIC. The algorithm broke through the limit that GPS
positioning must need four or more satellites. The experimental results show that
the positioning accuracy obtained by the algorithm proposed in this paper can
meet the positioning requirements if three satellites are available. In addition, the
algorithm provides a valuable supplement and improvement for the application
of GPS technology in the railway.
Due to the limited experimental conditions, we did not do large-scale
experimental tests. Only some simulation experiments were carried out, but the
results have some reference value. In addition, the positioning error of two
satellites is still large, so how to improve the algorithm to make it work better for
two satellites or even one satellite still needs further research.
Acknowledgements
This research is partly supported by a National Natural Science Foundation of
China (NSFC) under grant number 60776833 and by the State Key Laboratory of
Rail Traffic Control and Safety (Contract No. RCS2008ZZ001,
RCS2009ZT004), Beijing Jiaotong University.
References
[1] J. Liu, W. Wu, Train Positioning Technology of Railway and Mass Transit,
Urban Mass Transit, 4(1), 2004.
[2] X. Sang, S. Li, Study of GPS Positioning in Incomplete Condition,
Computer Engineering and Applications, 42(24), 2006.
[3] X. Chen, J. Wang & B. Cai, Research of GPS Application in Train Integrity
Monitoring, Journal of Beijing Jiaotong University, 30(2), 2006.
[4] X. Lin, Y. He, Location Method and Error Analysis for Three-Star TimeDifference System Using Digital Map, Journal of University of Electronic
Science and Technology of China, 36(4),2007.
[5] B. Zou, N. Zhang, Study on 3D Satellite Positioning Algorithm, High
Technology Letters, 10(2), 2000.
[6] H. Liu, Research and Implementation of GPS Aided Train Integrity
Monitoring Algorithm, Master thesis of Beijing Jiaotong University, 2008.
[7] C. Li, Research on Train Positioning Method Aided by Track Digital Map,
Master thesis of Beijing Jiaotong University, 2008.
[8] JSR Jang, CT Sun, Neuro-Fuzzy and Soft Computing, Pretence Hall, 2000.
[9] Y. Zhang, J. Wang & B. Cai, Research of Virtual Balise Based on GNSS,
Journal of the China Railway Society, 30(1),2008.
[10] R. Glaus, G. Peels & U. Muller, Precise Rail Track Surveying, GPS World,
2004.
45
Simulation of a high-speed train control system

based on High Level Architecture and its
credibility analysis
Wei ShangGuan, J.-Q. Chen, B. Li, L.-N. Guo, M. Li & L.-Y. Chen
School of Electronic and Information Engineering,
Abstract
The study of the simulation of a high-speed train control system has great
significance for the realization of a train control system. This paper studied the
basic theory of a high-speed train control system in China. Based on the theory
and structure of HLA (High Level Architecture), multi-resolution modelling,
simulation real-time management methods and the system architecture of a highspeed train control system simulation was studied systematically, and the
simulation result of the on-board vehicle and field centre equipment was shown.
With the aim of establishing the credibility of simulation, the methods of
VV&A, qualitative and quantitative RAMS analysis and system fault injection
were studied, which improved the credibility of high-speed train control system
simulation.
Keywords: high-speed train control system, HLA, high level architecture,
credibility analysis, multi-resolution modelling, fault injection.
1 High-speed train control system

The Chinese railway department makes a set of CTCS standards that are fit for
Chinese actual conditions by referring to the ERTMS/ETCS standards .The
CTCS standards have made an overall technical program and master plan for the
great-leap-forward development of Chinas railway signalling system. CTCS is
classified into five grades, from CTCS-0 to CTCS-4. Its structure is made up of
the railway transport management layer, the network transport layer, the ground
equipment layer and the on-board equipment layer [1, 2].
doi:10.2495/CR100051
Figure 1:
The federal structure of the high-speed train control systems

simulation platform.
CTCS is a technical specification classified into grades for different transport

requirements to be used to ensure the trains operational safety. We have
determined the need to adopt the CTCS-3 train control system, with high
reliability and high safety, as the general technical platform to be consulted for
the passenger specific line and the Beijing-Shanghai express railway.
2 High Level Architecture for modelling

High Level Architecture is a new framework for distributed simulation, which
was developed by the U.S. Department of Defense to meet the needs of
interconnection and interoperability problems of a variety of simulation systems
with multiple-models, which were developed in various fields. In a HLA
simulation system, the federate is a distributed simulation system used to achieve
a particular simulation purpose. It consists of several interactive federal
members. All the applications participating federal running can be called federal
members [3, 4].
According to the functional analysis of the Simulation Integration Platform
for the Train Control System, we built the Simulation systems Federation based
on HLA. Federation members are shown in Fig 1.
3 High-speed train control system simulation system based

HLA
3.1 Multi-resolution Modelling
Multi-resolution Modelling is a modelling method that uses multi-precision and
multi-level approaches to model a system. A high-speed train control systems
Multi-resolution Modelling is defined as: in the process of modelling and
simulation, making the details of interaction with different levels of information
as the criteria, we use the method with different precision and different levels to
47
descript every function of the train control system to improve simulation fidelity
or improve simulation efficiency. These precision and levels are defined as the
high-speed train control systems modelling resolution [5].
After understanding the basic structure of the high-speed train control system
and the division of the train members, to be directed against a different persons
focus on different sides of train equipment, such as ground equipment and trainground information exchange processes, we research the establishment of the
high-speed train control systems multi-resolution model on the basis of existing
research. In this paper, the high-speed train control system is divided into three
types of resolution, using details of interaction with different levels of
information as the criteria, as shown in Fig 2.
Low-resolution information (the top) is embodied by the train moving,
obtaining the speed and location information generally. Medium-resolution
information is embodied by exchanging information among members. The
establishment of this model is favoured to check whether the information
channel is established. Because this model does not involve computing
information and access, it does not only effectively reflect the interaction of
information, but does easily grasp the overall message. The high-resolution
model is embodied by the calculation of the various members of the internal
information and access, and this model can be used to test the accuracy of the
information.
3.2 Simulation of real-time management
How do we realize the data exchange between the model points? We process
data exchange with the RTI of the HLA to ensure real-time and reliability. The
RTI is assistant software system of the HLA. The basic way to improve network
trial-time is to advance the RTI performance [6].
Figure 2:
Instantiation of multi-resolution in the high-speed train control

system.

1) With Multithread
In HLA, the process mode decides the ways that the application process
(member) calls the RTI and the RTI call callback function. At the same time, it
decides members share the CPU clock with the RTI.
There are three process modes for the RTI: single thread, asynchronous mode
and multithread. For single thread mode, the member must use the RTI and call
tick() function to complete the callback in a thread. For the synchronous mode, it
assists the multithread reentrant. It calls the RTI service with a thread and
continuous calls tick() with another thread. Its performance is better than single
thread. For the multithread mode, the member does not need to call tick().
Message process and callback could auto complete in the RTI. There is no
message starvation state and message obstruction state. Because this makes full
use of the CPU clock, it effectively improves network real-time.
2) Further Improvement to the Data Filtering Mechanism
Net data excess leads to network obstruction and delay. HLA provides a data
filtering mechanism based on class and value to limit redundant data in the
system and reduce system source pressure. The communication mechanism that
points to multipoint in distributed interactive simulation applies multicast
communication well in a distributed interactive simulation environment,
especially combined with the data filtering mechanism, leading to reduced
network traffic and simulator point communication load. As a result, it improves
the systems scalability.
3) Improve Time Management Algorithm
Data manage (DM) and time manage (TM) are the focus and difficulty points of
HLA/RTI. The RTIs time management algorithm used for reference Parallel
Discrete Event Simulation (PDES). Its important key is Lower Bound of Time
Stab (LBTS). Based on the test data of the network delay aforementioned, we
can establish that there is a message transfer delay between nodes, which is
caused by time advance. When a member requires the RTI to provide a Time
Advance Request (TAR), the RTI provides LBTS to the members who ask for a
TAR, according to members TM mode (time limit and time limited) and their
logic time and time lookahead, and reacts to the request. Improving the time
management algorithms key improves the time advance requests reaction. In
other words, it is a LBTS algorithm.
4) Improve System Real-time from the Application Level
Considering that the time-delay of the RTI responding to the time advance
request from the federate is the main factor in affecting the real time of the
system, we can reduce the times taken to request, even coordinating the time
advance request without the RTI. In that case, the real-time performance of the
system will be significantly improved. Based on such consideration, a new
improved strategy is researched in this paper. Experimental studies show that the
strategy can effectively reduce the time-delay caused by the RTI and improve the
real-time performance of the system.
Time management service is an important aspect that the HLA distinguishes
with the DIS system. In addition, it is the problem of bottleneck that affects the
real-time performance of HLA. With the problem of bottleneck unsolved, we can
49
coordinate the time synchronization between the federate by an application layer

without the time management service, and the other services that the RTI
provides are still valid.
Fig. 3 shows that the time management mentioned above integrates into the
simulation of the high-speed train control system. Through reducing the number
of time advances in the application layer, it can save time. The time advance
strategy of the RTI itself is achieved by improving the data filtering mechanism,
using multi-thread, improving time management algorithms according to the data
needs of the application layer.
3.3 Architecture of high-speed train control system simulation
Because of the problem that using simulation becomes more and more
complicated, it is meaningful to improve the authenticity, timeliness, usability,
reusability and interoperability of the simulation of the high-speed train control
system with using High Level Architecture (HLA) [7].
The high-speed train control simulation system is divided into the simulation
management subsystem and simulation equipment modules, which are put
together into the HLA/RTI environment as federations. Fig. 4 shows the
architecture of the system.
The simulation management subsystem includes a line database, verify and
analysis module and simulation management module. Before the simulation, it
can complete the data preparation and configure other federations by the
HLA/RTI underlying environment. During the simulation process, it can start the
simulation and issue orders. After simulation, it can verify and analyze the data
and evaluate the entire platform.
Simulation equipment modules include the interlocking module, CTC
module, train control centre, etc. As a result of HLA, we can separate the bottom
environment and the application layer, and each simulation module can be
individually designed according to different needs and concerns with different
algorithm models.
Figure 3:
Time management module plan.
Figure 4:
Architecture of the high-speed train control system simulation

based on HLA.
Figure 5:
On-board equipment speed control modelling.
3.4 Simulations
The on-board equipment and ground equipment are achieved based on the HLA
multi-resolution modelling method and time management strategies in this paper.
Fig. 5 shows the simulation of vehicle equipment. Fig. 6 shows the simulation of
the 3D view and the DMI module simulation. Fig. 7 shows the ground
equipment, CTC module and interlocking module simulation.
4 Analysis of credibility for simulation

After the high-speed train control system simulation is built, the analysis of
credibility for the simulation system is needed based on the simulation
environment.
4.1 Loop simulation model and analysis of VV&A
At present, there are two categories for train control system simulation, one is
total digital simulation, and the other is loop simulation. In the design and
assessment of a complex train control system, the latter is more beneficial, which
51
can not only descript the process of train running, but also can put the real
equipments into the simulation. In order to ensure the credibility of the train
control system, the VV&A workflow is used, as shown in Fig. 8.
Figure 6:
Figure 7:
On-board view and DMI.
Simulation of CTC and interlocking.
Concept
model
Figure 8:
check
results
VV&A flowchart of simulation.

For the problems of the credibility of complex system, such as the high-speed
train control system, after analysis, synthesis, determination and formation of
function modules related to the credibility problems, and according to the
relationship and importance, the function structure is shown in Fig.9.
There is only one factor in the highest layer of the complex simulation
system that is credible for the purpose of solving problems, which is also
the overall goal, so this layer is also called the target layer.
The middle layer represents the intermediate links that adopt and implement
the programs used to achieve the overall goal, which is generally called the
strategy layer, constraint layer or rule layer. Through the analogy,
according to the characteristics of the simulation system, the middle layer is
designed to the subsystems credibility and function modules credibility,
such as the subsystems credibility (1,2,,m) and function credibility
(1,2,,n), which can be further broken down based on the actual system.
The bottom layer is the credibility of the sub-function modules. These subfunction modules are characterized as being more independent and credible
and they are easily measured, providing more detail than the middle layer.
4.2 High-speed train control system for qualitative and quantitative
analysis of RAMS
RAMS is the reliability, availability, maintainability, and safety of the short.
RAMS in the train control system is subject to the following aspects: fault
source triggered within the system, failure source introduced in the system
operation phase, failure source introduced in system maintenance activities.
RAMS and their interrelations in the train control system are shown in Fig.10.
In order to achieve quantitative analysis of the RAMS in the train control
system, they need to define a quantitative expression. The tandem structure of
Figure 9:
Simulation system function structures chart.
Figure 10:
53
RAMS and their interrelations.
the train control system usually use means time between failures (MTBF) to
measure each subsystem and the entire subsystem reliability [8].
(1)
1
MTBFSystem
q
i
i 1
The train control systems maintainability is expressed by the average time

required to identify the failure and return to normal state and maintenance
convenience. Usually we use mean time to repair (MTTR) to measure this,
expressed by the formula:
(2)
q MTTR
n
MTTRSystem
i 1
q
j 1
where qi is the number for
i device and i is the failure rate for i device.
In the quantitative analysis of the system RAMS, the Markov method has
powerful functions. It can fully reflect impact from the system testing and
maintenance and the time-varying characteristics of real-time response systems.
The Markov method can also be calculated using a number of different RAMS
indicators, such as the system reliability within a certain time period, the
availability of a moment and the MTTF.
For the general mathematical model of the Markov chain, suppose
{ X ( n), n 0,1,2,......} is a value in the E {0,1,2,......} or E {0,1,2,......, N } on a
random process, the former expressed as an unlimited number of states. In the
latter case, it is expressed as a limited number of state spaces. The following
formula will be used for the definition of Markov chains.
Suppose { X (n), n 0,1,2,......} random sequence of discrete state space for E .
If for any m non-negative integer n1 , n2 ,......, nm (0 n1 n2 ...... nm ) and any
natural number k , and arbitrary T, to satisfy:
P{ X (nm k ) j | X ( n1 ) i1 , X (n2 ) i2 , X (nm ) im }
(3)
P{ X (nm k ) j | X (nm ) im }
This illustrates an important property of the Markov process: it has a no aftereffect nature, which is also known as non-memory. The RAMS analysis
flowchart based on the Markov chain is shown in Fig. 11.

Start
End
To understand system function

and structure ,To determine the
meaning of failure
Solve the model, obtain

Analysis results
Carry out FMEA
Simplified model
Divide into Safety And

Dangerous Fault, Calculate
Failure Rate
Establishment Model
Determine the failure

detection and commoncause failure the details ,
divide the corresponding
failure rate further
Figure 11:
RAMS analysis flowchart based on the Markov chain.

F a u lt p a tte rn b a s e
F a u lt
case
C ase
c o m b in a tio n
In te rfa c e
In je c t
a lg ris m
DMI
C3 simulation system
In te rfa c e
In te rface
In te rfa c e
In te rfa c e
D a ta
O b ta in
a n a ly z e
re s u lts
E v a lu a tio n m o d u le

Figure 12:
General structure of the software fault injection system.
Through the merger of the state, the Markov model can be greatly simplified.
In addition, there are a number of other Markov model simplification techniques,
for example, the system decomposition and model compression. In the case that
the system is relatively large and complex, one can use these technologies.
4.3 Realization of the fault injection system
The general structure of the software fault injection system is shown in Fig. 12.
This system has three modules, a fault injection module, fault pattern base and
evaluation module [9].
The fault pattern base plays an important part in fault injection. A good fault
pattern base could improve fault injection quality efficiently. The fault patter
base is composed of the fault case coding module, fault tree module, automatic
evaluation module and evaluation result module, as shown in Fig. 13.
55
Fault Pattern Base
Fault case coding

module
Fault case coding

Data base storage
Tree-view model
Edit/delete
Automatic
evaluation module
Fault tree module
Obtain fault tree

Data base storage
Component attribute
edition
Figure 13:
Obtain the minimal cut

sets, the probability of
the occurrence of the
top event,etc.
Evaluation result
module
Fault tree figure
Minimal cut sets
...
Fault pattern base function module.

Obtain T
Read and store system
information
Is there new
fault pattern?
Y
Update structural
body FAULT[T]
Is there any
injected fault?
Y
Inject fault
Figure 14:
Injection algorism.
The fault injection module finishes one round of fault injection in the
following steps: monitor simulation system, collect and transmit operation data,
read fault pattern, inject fault, stop injection. The injection algorism injects the
structural body, which is coded already, into the simulation system [10]. The
process of this algorism is: as soon as the simulation system time is obtained,
update the fault pattern structural body; according to the structural body, the fault
inject place and fault data are obtained; intercept transmission data and inject
fault data.
The fault injection module finishes one round of fault injections in the
following steps: monitor the simulation system, collect and transmit operation
data, read the fault pattern, inject the fault, stop the injection. The injection
algorism injects the structural body, which is coded already, into the simulation
system. The process of this algorism is: as soon as the simulation system time is
obtained, update the fault pattern structural body; according to the structural
body, the fault inject place and fault data are obtained; intercept transmission
data and inject the fault data. A flowchart of the injection algorism is shown in
Fig. 14.
5 Conclusion
This paper has made a design of a high-speed train control system from a multiresolution model to reliability, analyzing step by step the needs of the high-speed
train control system, and HLA is used as the simulation supporting environment.
The HLA environment can meet the distributed requirement of the high-speed
train control system; Improved RTI time management can meet the requirement
of real-time. The high level architecture can show the interaction between
modules and the data interfaces, while the multi-resolution can build the modules
based on the different concerns. Making use of the advantages of the software
simulation system, fault injection is used to inject to the system to get the
information caused by the fault; the Markov chain method is used to achieve the
qualitative and quantitative analysis of RAMS, while the analysis of VV&A
provides the basis for performance to improve and optimize the system design
and confirm the system capability. Furthermore, the methods researched in this
paper can be used to analyze effectively the high-speed train control system.
Acknowledgements
This research work was supported by the Key Program of the National Natural
Science Foundation of China (No.60736047, 60870016), Independence Research
Task of State Key Laboratory of Rail Traffic Control and Safety
(RCS2009ZT013), Technological Research and Development Programs of the
Ministry of Railways (No. Z2009-059), Science and Technology Foundation of
BJTU (No.2008RC023) and Fundamental Research Funds for the Central
Universities (No. 2009JBM005).
R.B.G. thanks Pro. Cai and Dr. Wang who had devoted their attention to my
study and guided the right research direction; thanks for my team partners, they
have given me a great deal of instructive advice on my research; and thanks for
my family, my familys self-giving love is my most important power; thanks for
everybody who has ever helped me.
References
[1] Beijing Railway Administration. CTC-2 train control system used in
maintenance [M]. Beijing: Chinese Railway Press. 2007.
[2] Xu Xiaoming, Yuan Xiange, Li Ping. Train operation control system
controlling ground equipment books column [M]. Beijing: Chinese Railway
Press. 2007.
[3] Zhang Xuguang. CTCS-3 Train Control System Technology Innovation
[M] Program of Transportation. 2008.3
[4] Qin Jiandong, Yan Changfeng, Wangdi. Collaborative ship defense
simulation system based HLA and UML [J]. Journal of Wuhan University
of Technology,2008,30(2):261-264
[5] Liu Baohong. Multi-resolution Modelling Research and development [J].
System Simulation, 2004, 16(6):1150-1154
57
[6] Rachel F.M, Cuganasca P.S. Objected-oriented approach for automatic

train operation control systems [C]. Computers in Railways IX
Proceedings, Wit Press, 2004:421-430
[7] Pataricza I, Majzik G, Huszerl Gy. Vrna. UML-based Design and Formal
Analysis of a Safety-Critical Railway Control Software Module In G.
Tarnai and E. Schnieder (eds.): Formal Methods for Railway Operation and
Control Systems (Proceedings of Symposium FORMS-2003, Budapest,
Hungary, May 15-16), L. Harmattan, Budapest, 2003:125-132.
[8] Decknatel G, Slovak R, Schnieder E. Definition of a Type of ContinuousDiscrete High-Level Petri Nets and Its Application to the Performance
Analysis of Train Protection Systems. In Engell S, Frehse, G, Schnieder E,
Hrsg. Modelling, Analysis, and Design of Hybrid Systems, Springer,
Berlin, 2002:355-367
[9] Decknatel G. Modelling Train Movement with Hybrid Petri Nets. FME
Rail Workshop, Stockholm, 1999, 99(5):11-12.
[10] Adelantado M., Bonnet S. and Siron P. Multi-resolution Modelling and
Simulation with the High Level Architecture. Proceedings ESS2000, 12th
European Simulation Symposium, 2000:1-6
59
Research on a hybrid map matching algorithm

for Global Navigation Satellite System based
train positioning
J. Liu1,2, B. Cai1, T. Tang2, J. Wang1,2 & Wei ShangGuan1,2
1

2
Abstract
GNSS has been proved to have great potential for Safety-of-Life critical rail
applications, particularly the train control technique and railway signalling. In
the GNSS based train positioning scheme, although with the aid of inertial
sensors (e.g. the odometer, gyro, accelerator and Doppler radar) some systematic
and random errors could be reduced or limited by an appropriate measuring
method and data fusion filtering, it is significant to improve and guarantee the
positioning precision and integrity performance by using the map matching
(MM) technique in a cost effective way. In this paper, the structure of an
electrical track map database is designed according to the requirements of
precision and efficiency, the architecture of a GNSS based train positioning
system integrating INS sensors is introduced, and a novel hybrid map matching
algorithm is proposed, in which the determined train position is the integration of
the position solution from multi-sensor fusion, the identification of the similarity
or matching probability, and heading validation, with different track map levels.
As the point-to-curve and point-to-point matching strategy are adopted with
the provided feature of track map data, the adaptive performance and
completeness of the map matching algorithm is guaranteed and improved. A
field test in the Qinghai-Tibet line demonstrates that the proposed algorithm
earns high position decision accuracy and integrity with simple implementation,
which is of great practical value to precise train control and railway signalling.
Keywords: map-matching, train positioning, integrated positioning, GNSS, INS,
track map database, similarity, train control.
doi:10.2495/CR100061
1 Introduction
The fast developing GNSS (Global Navigation Satellite System), including U.S.
GPS, European Galileo, Russian GLONASS and Compass in China, will play a
more important role in railway transport, especially the signalling and traffic
control. The integration of satellite navigation systems and the ERTMS/ETCS
will bring great benefits to both corridor and regional low density lines. Within
recent years, a number of R&D determination projects based on GNSS have
been carried out world-wide, such as ATCS, ARES, PTS and NAJPTC in North
America and APOLO, ECORAIL, LOCOPROL/LOCOLOC, RUNE and
GADEROS in Europe [1, 2].
China has been developing the modern train control system, named CTCS
(China Train Control System), and has reached the CTCS level 3 [3]. With the
implementation of the next generation satellite system Compass, there will be a
high demand for the GNSS technique for safety related railway applications in
China.
The position of the train is the core function of all the railway operations.
Quite different demands on an on-board GNSS based train positioning system
are required by safety related applications, mainly those concerning signalling
and train control, and one important aspect of them is to develop the positioning
system as precisely and cost-effectively as possible [46].
Due to the disadvantages of single sensor configuration for train positioning
systems, a multi-sensor based structure has been an inevitable trend to improve
the performance of accuracy, reliability and integrity. In the position sensing and
measuring process, there must be some systematic and random noise to increase
the deviation between the real train position in the Map Set Space and the
practical measurements in Measuring Space, in which the final measuring error
is the combination of sensor behaving error and the stochastic interference
(Fig. 1).
With the analysis of train position sensing, then the train positioning process,
which is aiming at the integrity, accuracy and reliability, could be divided into
Figure 1:
Architecture of the train positioning process.
61
three main steps to return to the original position state constrained by the rail
track map. The three steps, integrity assurance, multi-sensor fusion and map
matching, are designed to solve the systematic, random and errors in position
decisions.
Among the three steps, the map matching calculation, which provides a link
by integrating positioning data with spatial track map data to identify the correct
geographical position and the track that the train is moving on, is the key
component to improve and realize the required performance index. In recent
years, there have been a lot of map matching algorithms developed for GNSS
based transport applications, and those approaches can be categorised into four
groups: geometric, topological, probabilistic and other advanced techniques,
which have been introduced and detailed in [7]. For the one-dimensional
character of rail trains and the switch based topological structure of rail tracks,
the geometric way is most direct approach to realize the matching process, such
as the vertical projection from the positioning fix to the connection between
candidate track points [8], correlating the angular rate extracted from the map
database to the corresponding measurements [9]. In order to be capable of
supporting the requirements of various operation conditions, the integrity,
adaptive ability and computational efficiency should be concerned in the design
of the map matching algorithm. In this paper, based on the analysis of rail track
map structure and multi sensor integration, a hybrid map matching algorithm is
proposed with similarity extraction, point matching and the heading validation in
different map levels, and the algorithm can be implemented into various train
positioning solutions.
2 Track map database for train positioning

Map-matching not only enables the physical location of the train to be identified,
but also improves the positioning accuracy, if precise track map data is available.
There must be some kind of error on the track map for the inadequate measuring
means and uncertainties derived from the generation process. So the precision of
track map is a crucial factor to the map matching approaches.
The railway track map is composed of rail track lines and the rail equipments
along the lines. Measurements of the track map are always obtained by static
measurement in a long period at the key points (such as the switch and signal
controller) and dynamic operation along the centre of track lines. With post
processing of track position measuring data and corresponding completeness, the
map could be expressed or described by the track map database, combining
discrete track line points and the attribute data.
As the cost of the track map database depends on the accuracy it holds (i.e.
higher track database accuracy leads to high complexity and expense), according
to different operation conditions, the map is generated at three levels separately,
which is as shown in Fig. 2.
For level 1, there are only position and attribute data of points of interesting
collected, which describe the most significant information of the track lines, with
high accuracy measuring, such as switch, signal controller and insulation section.

However, the description of the rail track in this level is a low resolution
strategy, and the precision performance could be compensated by the cost
effectiveness.
For level 2, except the key track points in level 1, some characteristic points
of track curve are extracted from raw GNSS track measurements by certain curve
feature extraction and data reducing algorithm (i.e. Douglas-Peucker algorithm),
then the precision of the track description will be improved to fulfil the matching
requirements.
For level 3, regardless of the cost of track map building, the detailed curve
feature information of rail tracks are introduced by interpolating the key points
and characteristic points in level 1 and 2 as the cubic B-spline principle. A factor
of precision is employed to constrain the uniform interpolation and evaluate the
point matching performance which will be presented in following chapters.
3 GNSS based integrated train positioning

Train positioning system could get lots of benefit (i.e. lower cost, better precision
and time-space coverage) from the application of GNSS, hence GNSS technique
has been integrated into some current train control and positioning systems in the
form of core position sensor or the virtual balise. But there are still some safety
risks for the satellite based system, such as the limited SIS availability, multipath
effect, Signal-In-Space verification and the electromagnetic interference, so the
GNSS-only strategy for train positioning cannot cover the performance indices
completely, then the multi-sensor integration is found an effective approach.
Figure 2:
Structure of the track map for train positioning.
63
It is evident that railway GNSS / INS (Inertial Navigation System) based

safety of life applications acquire highly reliable and accurate data provided by
onboard sensors. The core function of position (include the geographic location,
velocity and headings of a train, in a broader sense) could be realized by fusion
of data from GNSS receiver and INS sensors, which can be simply described as
follows: odometer, accelerometer and Doppler radar for distance calculation and
validation, and gyroscope for gyro-odometry for routing detection on switch
[11].
As an important component of train control system, multi-sensor integrated
positioning system could be introduced to current train control systems in many
ways, depending on the application level, interoperation capability and operation
context (high speed lines, low density lines, etc). With current odometer based
scheme in train control, two main integration approaches are as follow:
I. GNSS/INS enhances the odometer, in which the GNSS/INS based system is
taken as a complement to enhance the position determination function of the
current existing position sensors (the odometer with calibration from balise), thus
the integration could be realized without breaking the current configuration and
interoperation of the train control system.
II. GNSS/INS substitutes the odometer, in which GNSS/INS based system is
employed to realize the whole function of position determination, replacing the
current odometer based positioning solution, then that will be more independent
and flexible for the integration to innovate the train control architecture.
In practical implementation, approach I is more feasible for configuration
compatibility. The architecture of GNSS based integrated positioning system in
approach I is as Fig. 3.
On-board unit calculate the train position with position sensor data and the
cubature Kalman filter, which has been proved an efficient nonlinear data fusion
algorithm. The final position is determined and calibrated to the track map which
is taken as the absolute reference. In this map matching process, track map is
used as another virtual sensor in the form of a database, with the architecture
as described in former chapter.
Figure 3:
Architecture of GNSS based integrated train positioning.
4 Hybrid map matching for position determination

Map matching is a software algorithm that is used to integrate various position
sensors data with map data to give a better position estimate of trains. It plays an
important role in the positioning system as it employs digital track map database
to improve the accuracy and reliable of positioning system, with the principle
that trains can only move along the fixed track lines.
In practical application, based on the discussion of the structure of track map
database, map in level 2 and level 3 are feasible in most conditions. As for the
different feature of the map levels, the map matching algorithm is designed and
tested separately.
To map matching in level 2, as the medium precision map data are provided,
the point-to-curve strategy is adopted for matching algorithm; the similarity
maximization principle is used to obtain the optimal matched position. Assume
p f (k ) x f (k )
y f (k ) l f (k )
is the output of multi-sensor integration at
time k , where x f (k ) and y f (k ) are train position in east and north direction,
and l f (k ) is the travelling distance. V j are track line data in level 2, including
T
the key track points and curve characteristic points, and V j x j y j l j .

The aim of map matching is to determine the matched position pm (k ) for the
calculated p f (k ) with maximal probability and similarity. The hybrid matching
algorithm combines the CKF based data fusion with the similarity identification
and heading validation. The algorithm could be divided into three key
operations:
(1) Obtain the data fusion position.
The cubature Kalman filter (CKF) is a Gaussian approximation to Bayesian
filter, with more accurate filtering performance than traditional method and less
computational cost [13]. As some inertial sensors measurements have nonlinear
relation with filtering state, the CKF approach is adopted to estimate the position
error and compensate the inertial calculation, which is the foundation to match
the map database.
(2) Acquire the candidate map segment.
Use the distance between fusion output p f (k ) and map position V j
iN
j i
to
compute the probability of the candidate segment, with a fixed length window
of N points. The Gaussian function based probability is
pca (k , j )
p f (k ) V j
exp
h
2 c
(1)
The most probable extreme point can be determined by

M f (k ) arg max pca (k , j )
j
(2)
65
Then the other endpoint of the candidate segment M e (k ) could be selected

by the nearest strategy with train travelling distance. The curve segment M f M e
as candidate will be the map data set for matching.
(3) Similarity calculation and identification.
In order to find the matching position Pm (k ) from segment M f M e , the
similarity is employed to be the decisive factor for the point-to-curve solution.
Firstly, initialize the target model with the fusion position and candidate map
segment from step (1) and (2). The distance between p f (k ) , M f (k ) and M e (k )
in east and north are taken as the feature factors, and the initial target model can
be given as
x (k ) xmf
q1 C exp f
h0
y f (k ) ymf
q3 C exp
h0
x f (k ) xme
q2 C exp
h0
y (k ) yme
, q4 C exp f
h0
(3)
where C is the normalization factor, h0 is the bandwidth.

Then the candidate target model could be described with the same parameters.
For a candidate element P (n) M f M e , the model could be
x (n) xmf
p1 C p exp p
h0
y p (n) ymf
p 3 C p exp
h0
x p (n) xme
p 2 C p exp
h0
y p (n) yme
p 4 C p exp
h0
(4)
Finally, combine the target model and the candidate, the similarity function is
proposed for evaluation, which is defined as
4
(n) [ p (n), q ] p i (n)qi
(5)
i 1
where the similarity [0,1] , and the larger is, the more similar features are
identified between fusion position and the candidate model P (n) . The matched
position can be
Pm (k ) arg max (n)
n
(6)
The similarity based map matching process in level 2 could be described as

the upper graph of Fig 4.
Figure 4:
Principle of the map matching algorithm.
(4) Heading validation.

For the validation of Pm (k ) to be the final matched output, an independent
testing method is adopted with the heading of the train. Under the ideal
condition, the heading variation of the train trajectory should be the same as that
with map matching. In practical train operation environment, interferences and
errors lead to some differences to a certain extent. Given a reasonable error
threshold, then the map matched position could be validated and the positioning
precision and integrity monitoring will be realized simultaneously.
Assume the error threshold is , and then the validation could be defined as
h(k ) h f (k ) hm (k )
(7)
where the h f (k ) and hm (k ) are heading at fusion position and the map matched
respectively.
To map matching in level 3, where the interpolation map data are available, as
the high precision map data are provided with predefined precision factor d ,
which is usually at decimetre level, in order to keep a balance between efficiency
of map storage and matching computation, the point-to-point strategy is used
to realize the map matching.
Map matching process in level 3 has the same step (1), (2) and (4) as that in
level 2. Here in the step (3), candidate segment M f M e provide corresponding
interpolation data set C j | M f M e
for the determination which point would
be chosen as the matching result.

67
Similar to the acquisition of the most probable extreme point of candidate

segment, the matching operation is based on the maximum probability principle,
which is as shown in lower graph of Fig 4, where Pm (k ) satisfies
Pf ( k ) C j
Pm (k ) arg max exp
j
(8)
From the detailed analysis of the map matching in different map levels, the
whole hybrid map matching process could be unified into one flow diagram,
which is as shown in Fig 5.
In the unified process, the judgement of Interpolation data available is the
key step to vary the different map level based matching strategies. Only when
the heading validation is successful, the calculated matching position would be
used for output, and evaluation of the positioning precision and integrity.
Figure 5:
Flow of the hybrid map matching process.
Figure 6:
Map matching compared with sensors and track map.
5 Field test and validation

In order to validate the performance of proposed hybrid map matching algorithm
in this paper, field tests have been conducted with electrical track map generated
from Qinghai-Tibet rail line in June 2009.
A high precision GNSS receiver is employed to collect position
measurements along practical tracks or at the points of interest, and then the
track map levels 13 are generated with strict criteria. Extensive map validation
collections are also taken to test and validate the proposed map matching
algorithm.
Fig 6 shows the map matching results compared with the positioning sensor
fusion and track map data from a station, where all the position coordinates have
been shifting transformed. As is shown in the elliptical area, actually the position
from sensors are even close to the track lines, however, the map matching isolate
the error and further improves the positioning accuracy.
Take travelling distance as the one-dimensional map description, Fig 7 shows
how the similarity distributes and varies in the map matching process with 193
frame sensor measurements.
The maximum similarity of every epoch indicates the matched position from
the hybrid map matching algorithm, and from the similarity based determination
process. It can be concluded that the hybrid algorithm preserves the advantages
of both the geometric and probabilistic characters. With the point-to-curve or
point-to-point strategy, the longitude-latitude-altitude-similarity /probability
character space architecture is constructed and applied to every received sensor
data frame, and then the position matching is the dynamic form of the space. As
the results of the field test and validation shown, the proposed hybrid algorithm
earns a high adaptive ability for the track map level to achieve high precision,
reliability and completeness in GNSS based train positioning.
Figure 7:
69
Similarity variety in the map matching process.
6 Conclusion
In this paper, an approach for train position determination with an electronic rail
track map is demonstrated, with a novel map matching algorithm proposed for
GNSS based train positioning. Based on the architecture analysis of track map
database and the GNSS based train positioning system, a hybrid map matching
algorithm is proposed with four key steps, where the judgement for map
interpolation data is used to distinguish matching strategies in different map
level, and the heading validation for correction assurance. The proposed
approach holds high precision and computational efficiency, and field tests
validated the conclusions, including that the accurate sensor integration and
precise track map data are also crucial for realization of GNSS based train
positioning and train control.
Acknowledgements
This work was supported by National Natural Science Foundation of China
(No.60736047, 60634010, 60870016), and the Fundamental Research Funds for
the Central Universities (No.2009YJS020).
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structures and means 2005", Pardubice, Czech Republic, 2005.
[3] Cai B., Shangguan W., Li X., Wang J., Research on supporting technology
for simulation CTCS-3 based on multi-resolution modelling, Journal of
Beijing Jiaotong University, vol. 34, no. 2, 2010, pp. 5-10.
[4] Simsky A., Wilms F., Franckart J-P., GNSS-based failsafe train positioning
system for low-density traffic lines based on one-dimensional positioning
algorithm, 2nd ESA Workshop on Satellite Navigation User Equipment
Technologies, Noordwijk, Netherlands, 2004, pp. 1-8.
[5] Filip A., Bazant L., Mocek H., Taufer J., Maixner V., Dynamic properties
of GNSS/ INS based train position locator for signalling applications,
COMPRAIL 2002, Lemnos, Greece, 2002, pp.1021-1030.
[6] Filip A., Train real-time position monitoring trials at Czech railways,
Structural Integrity and Passenger Safety, WIT press, Great Britain, 1999,
pp. 152-166.
[7] Quddus M., Ochieng W., Noland R., Current map-matching algorithms for
transport applications: State-of-the art and future research directions,
Transportation Research Part C 15, 2007, pp. 312-318.
[8] Jana H., GNSS train position integrity monitoring by the help of discrete
PIM algorithms, Journal of Applied Mathematics, vol. 2, no. 3, 2009, pp.
73-79
[9] Saab S., A Map Matching Approach for Train Positioning Part I:
Development and Analysis, IEEE Trans. Vehicular Technology, vol. 49, no.
2, 2000, pp. 467-475.
[10] Noronha V., Goodchild M., Map accuracy and location expression in
transportation - reality and prospects, Transportation Research Part C 8,
2000, pp. 53-69.
[11] Maixner V., Mocek H., Taufer J., Bazant L., Filip A., The Simulator of
Train Position Locator, COMPRAIL 2004, Dresden, Germany, 2004, pp.
477-486.
[12] Meng Y., Chen W., Li Z., Chen Y., Chao J., A Simplified Map Matching
Algorithm for In-Vehicle Navigation Unit, Geographic Information
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[13] Arasaratnam I., Haykin S., Cubature Kalman Filters, IEEE Trans.
Automatic Control, vol. 54, no. 6, 2009, pp. 1254-1269.
71
Automated system testing of an automatic train

protection system
B. Friman & T. Andreiouk
Ansaldo-STS Sweden AB, Sweden
Abstract
The testing of safety critical software is becoming more and more automated.
Automated testing has the advantage that the tests can be carried out much more
frequently and with more numerous test cases. For low level unit testing, there
are several good tools available, such as Aunit. For system testing, however, the
test framework normally has to be specifically tailored for each project, since it
has to deal with external interfaces, e.g. man-machine-interfaces, and sensor and
control interfaces. For efficient operation, it is desirable that an automated
framework for system testing shall be able to serve both in a pure software setup, where most of the development is done, and in a hardware set-up, which is as
close as possible to the environment where the product shall operate. This paper
describes an automated system testing framework for a SIL 4 safety critical train
protection system. The testing framework can be used both in the pure SW setup and in the HW set-up, and is able to extract its test cases from readable Test
Specification documents and also produce high quality Test Protocol documents.
Approximately 98% of the system tests have been automated in this project.
The project in question is the development of STMs (Specific Transmission
Modules) for Sweden, Norway and Finland. The STMs carry out train
protection on national equipped lines lines that are not equipped with the
ERTMS (European Rail Transport Management System). A total of
approximately 1300 test scenarios are executed by the automated testing
framework.
Keywords: automated testing, system testing, ETCS, ERTMS, ATP.
doi:10.2495/CR100071
1 Testing of safety critical software

Safety critical software is normally tested in detail both on module level, and on
system level. A special requirement for SIL 4 software is that the tests must
cover all details of the system, and that this coverage has to be documented all
the way from the code and to the requirement specification. It must also be
proved that the documented tests are valid for the delivered system, meaning that
if changes have been done after the tests, then either all tests must be rerun, or
part of the tests rerun and a proof being presented that the other parts are
unaffected by the changes.
In order to limit the costs of rerunning old tests, many providers of safety
critical systems have started using tools to automate the unit tests. There are
different approaches on how to do this you can for example develop a second
implementation of each module (n-version programming) and make a set-up that
runs the twin modules in parallel and compares the outputs. You can also use
software tools which support writing of test cases and testing the expected results
automatically. There are several tools available for this kind of testing. Some of
them are script based. Other, such as A-Unit (for Ada software), use test cases
that are written in the form of Ada programs.
For system testing however, the test framework normally has to be
specifically tailored for each project, since it has to deal with external interfaces,
such as e.g. man-machine-interfaces, and sensor and control interfaces. When
you are testing on system level, the object you are testing remembers earlier
inputs and it is the sequence of inputs and outputs that defines the system
behaviour. This means that system testing has to be scenario based. You build a
scenario from the world where the system is supposed to operate. For a train
protection system, the scenario is a train that runs along a track. It starts and
stops, accelerates and brakes, runs forward and backward, and it picks up signal
information along the track, information which is used to prevent the train from
entering a dangerous area or running at a dangerous speed. When you test a
system in the laboratory, you have to build a simulated environment around it.
The environment for a train protection system consists of a train, a track and a
driver. This environment typically consists of several specially developed
hardware systems, and one or more PC computers. Once you have this
environment ready and running, you can test the train protection system
manually in the lab. During the testing, you operate the different hardware
systems, and monitor the result from various displays, PC windows, and logging
devices. To automate the system testing, you must:
1. find a way to control and monitor all the equipment from a single program
2. find a way to write the test cases that enables them to be automatically
executed and evaluated by this program
3. find a way to automatically create humanly readable test reports.
For efficient operation, it is desirable that an automated framework for system
testing shall be able to serve both in a hardware set-up as described above, which
is as close as possible to the environment where the product shall operate, and in
a pure software set-up, where most of the development is done.
73
This paper describes how we have done this in the STM projects, at Ansaldo
STS Sweden, in Stockholm. STM = Specific Transmission Module, in practice
an Automated Train Protection system that runs alongside and in co-operation
with ETCS (European Train Control System) onboard systems, in order to
provide continued protection on lines equipped with local (national) signalling
systems. See ERTMS Subsets 035 [1] and 058 [2] for more information about
STM.
2 Manual system testing

Manual system testing will still be the primary method for the developers to test
new functions and bug fixes in the software in their daily work. It means that the
test environment shall both support the manual tests by the developers and the
automatic tests by the validation team. The natural way to implement automatic
system testing is thus to build it on top of the manual test environment.
The following figure shows a typical system test environment:
3 Controlling and monitoring the test equipment from a

single program
In order to control and monitor the test equipment, we first must find a way to
communicate with the PC software associated with the different devices. We
Figure 1:
The photo shows a substantial number of different hardware

devices connected to each other and to one or more PC computers.
STM (device to be tested)
PC
Recorder
Log
S/W
Log
S/W
Test
program
track
Figure 2:
S/W
Vital computer
Sniffer
DMI
ETCS
EVC
BTM
Train and track simulator
The test system overview, now with the controlling and monitoring
connections included.
asked the developers of the different software to implement TCP/IP server ports
which we could connect to, send control directives to and read logged data from.
We must also find a way to push buttons on the DMI (Driver Machine Interface)
and to register the information shown on it. To our luck, the ETCS DMI already
had a serial port dedicated to testing, which enabled us to send simulated button
pushes using an RS 232 connection. Automatic pushing of buttons is absolutely
indispensable for automated testing. Had it been required, we have even
considered building a device with electrically controlled fingers for this
purpose. The registering of information shown on the DMI was no problem,
since we can pick it up from the high speed bus between the STM vital computer
and the ETCS EVC (European Vital computer), with the sniffer.
4 Writing test cases so they can be automatically executed

and evaluated
As mentioned earlier, system test cases normally are built as scenarios. In a
scenario for a train protection system, you describe each event along the track,
from the time when the equipment is powered-on, to the time when the test is
finished. A common way to do this is in the form of a table, where inputs are
specified on the left side, and expected outputs on the right. For automatic
testing, all inputs and outputs must be machine readable, but they must also be
humanly readable, so that the meaning of the test is comprehensible. For this

Group
Pos.
---
+10
10
+290
(500)
11
+200
---
+1295
---
+142
Figure 3:
75
Information
Acceptance criterion
Accelerate to 70
--km/h
(Preset speed increase exists = No)
Si 160/130,
(Linking distance = 1,2*5000 + 100 = 6100 m)
5000m
(Linking margin = 0,2*5000 + 100 = 1100 m)
(Reference location = 500 m)
(Linking distance = 700 - 500 + 1,2*1000 + 100 = 1500 m)
SH 100, 1000m
(Linking margin = 0,2*1000 + 100 = 300 m)
(Linking distance will be updated because current point <
primary target point: 1500 < 6100)
(Reference location + Linking distance was passed)
(Balise erasing = SIG)
MR ceiling speed = 80 km/h
DMI indications:
--Indicator C5 = Balise failure 2/Fixed_Yellow
Text Message = 7UU Signal missing
Service brake = Yes
(Brake is
autoreleased)
Service brake = No
Accelerate to 70
km/h
An excerpt from a test case for automatic execution. Parentheses

are used for comments.
purpose, we have created a symbolic language for signal information and driving
commands, that both shall be easy to understand, and possible to compile to
binary data.
The test case scenarios have four columns Transponder id (group), position
(m), Information, and Acceptance criterion. The information column can contain
both trackside signalling information (transponder data) and driving commands.
As you can see, the scenario positions (Pos.) are relative, which makes it easier
to later insert or remove lines in the scenario. The absolute locations will be
automatically calculated by the script.
5 Distilling test cases from the test case database

In order to automatically distil the files needed to run the tests, from the test case
database, we must first export it into a public format. We chose to export it to
html, since our database tool DOORS had the possibility to export to html.
XML would have worked too, if DOORS had been equipped with an XML
exporting facility.
Below we have used the command <filtersvs> to distil all the test cases in the
database. Only the end of the summary is visible in the figure:
The test base database is approximately 1000 pages long, when printed out.
The distilling script requires approximately 45 seconds to convert the htmlversion of the database to the files needed for running the tests. If you want to
test not the entire test database, but only a chapter, it is also possible to extract a
single chapter or a single test case.
Figure 4:
After running the distilling script, we get a list of all files generated,
and a summary of the number and length of the scenarios.
The distilling script also checks the syntax of all the scenario information,
including position information, trackside data, train running commands and
acceptance criteria, example of output when a fault is found. Example:
*** UpdatePos: Unable to understand: "stop-pos. +70". Chapter = 3.1.4.3.1.2: a.
File="out.htm", line=30434.
The distilling function also contains a trackside data compiling function. For
the ATP-systems we are designing, the trackside data consists of telegrams from
transponders which are placed on the rail, and from which the train collect
information about signals and fixed speed restrictions along the track. In this
example you can see both the symbolic notation and the compiled binary data.
51 400 4 8 9 9 2 12 /Si 130/160, 500m
It says: At position with id 51, located 400 m after the start of the test case,
there are two transponders, one with the telegram 4 8 9 and one with the
telegram 9 2 12, and the tell that the train has passed a signal with main signal
speed 130 km/h, distant signal speed 160 km/h, and distance to next signal
500m. The amount of binary data is very small in this example, since Sweden
was first in the world with ATP systems, and the transponders at that time could
only host 12 information bits each. Modern transponders can host up to 800
information bits, thanks to better coding and CRC-technology. Here is an
example from Finland which use 180-bit balises, in this case the complete
telegrams, also the CRC-code is included:
2 200 /Si 200/200, 2500m -0,8% Sw: 80, 263m -1% +150m Sw: 35, 4900m +90m
|2211 3111 1EEE EEED 3D3D 855E EEEE 1865 2845 EE2A 153E E62C 76D5 66BE
EF47 BD74
|3211 3111 1EEE EEED 3D3D 855E EEEE 1865 2845 EE2A 153E E371 6304 CF9E
570E 39DE
77
It says that, there is a transponder group at position 200m after the start of the
test case, in which there is a signal with id=2, main signal speed 200 km/h,
distant signal speed 200km/h, plus information of distance to next signal, and
two switches which reduce the allowed speed of the train.
6 Running the test cases in a PC environment

At earlier stages of development, most tests are run in a PC environment. All the
equipment that the tested ATP needs to communicate is then simulated by PC
programs. Some of these simulators are written in Ada, others are written in a
script language (X). In our case, we need simulators for the following
equipment:
ETCS (European Train Control System) the European standard ATP
system. Written in Ada. Brake curve algorithm by Friman [3] is used.
The train, including acceleration, braking, driving forward, reversing,
changing cabin, measuring brake pressure, etcetera. Written in Ada.
The track, including transponders which shall send data when the train
passes them. Written in Ada.
A profibus sniffer, which in the real test will be connected to the physical
profibus connection between the STM (national ATP) and the ETCS
(European standard ATP). Written in script language.
A recorder, which is part of the STM to be developed, and will play a role in
extracting test results in the real tests. Written in script language.
ETCS DMI, which in the real test set-up is an LCD device with pressure
sense surface to enable pushing buttons. The DMI has an input interface
(RS232) that enables automatic pushing of buttons. Written in Ada.
The driver. For automatic testing, also the driver is simulated. Written in
script language (X).
For all these simulators to work together, there is a script which co-ordinates
the entire tests. In this script you can order the test of a separate chapter, or the
entire test database. Example: <test 3.1.5+>. The + means that all the
subchapters shall also be included in the test.
The test is started by specifying which chapter in the test database shall be
tested. If the chapter is on high level, example chapter 3, then a large number of
scenarios will be run before the tests ends. If a low level chapter, e.g. 3.1.4.3.1.3
is specified, then a single scenario is run, but also a single scenario can take long
time to run, e.g. one hour. A single scenario is separated into several test cases, a,
b, c etcetera, which test different requirements belonging to the same chapter. If
a single test case is specified (e.g. <test 3.1.4.3.1.3_g>, then the test coordination script will first run the common initialisation part of the scenario, then
jump to test case g.
During the test, all output data are saved in an output data file. Here follows
an excerpt from an output data file:
20547
20586
20586
20586
(70
(70
(70
(70
km/h)
km/h)
km/h)
km/h)
Service brake = Yes

V_PERMIT = 150 km/h
V_INTERV = 160 km/h

20586
20586
20617
20617
20652
20652
20850
(70
(70
(70
(70
(70
(70
(70
km/h)
km/h)
km/h)
km/h)
km/h)
km/h)
km/h)
Button F8 = Loss/On
Indicator C3 = 150/Fixed_Green
Button F8 = Off
Service brake = No
Text Message = 6 L U
Indicator C5 = Balisfel 1/Fixed_Yellow
Indicator C5 = Off
The excerpt above shows the output data between position 20547 and 20850
in a test scenario. The output data is seen as a number of variables which can
change value. A logging is done every time a variable changes its value. In the
example above we can both see changes on the DMI (e.g. Button F8= Off) and in
the brake interface (e.g. Service brake = yes). Since all variable changes are
logged, it will later be possible to determine the value of each variable at any
given position, just by searching for the last time it was changed before the given
position.
7 Test report generation

A test report is automatically generated after the end of a test scenario.
The test report contains the test cases, the output data, and an evaluation,
PASS or FAIL, of each acceptance criteria. The test report generator, starts with
the table containing the test cases, then evaluates the acceptance criteria and adds
a column with the evaluation result, then merges this table with the output data
file, and finally converts the now 8 column wide table into an RTF document.
Figure 5:
The test co-ordination script will start all the simulators, and put the
windows of those that shall be visible during the test, on the PC
screen.

Input = svs_3.1.4.3.1.5_a_e4s1.ida
Grp Pos
Information
Acceptance criterion
11
700
SH 100, 1000m
1995 -
(Reference location = 500 m)

(Linking distance = 700 - 500 +
1,2*1000 + 100 = 1500 m)
(Linking margin = 0,2*1000 +
100 = 300 m)
(Linking distance will be updated
because current point < primary
target point: 1500 < 6100)
-
(Reference location + Linking

distance was passed)
(Balise erasing = SIG)
Indicator C5 = Balisfel
2/Fixed_Yellow
Text Message = 7UU Signal
missing
Service brake = Yes
Figure 6:
Output = svs_3.1.4.3.1.5_a_e4s1.oda
Pos +
Spd Test output
marg
704
70 MR target distance = 1200 m
1693
70
1992
70
V_PERMIT = 130 km/h

Permitted Speed Bar = 130/Grey
V_INTERV = 140 km/h
D_TARGET = 0 m
Target Distance Bar = 0
Indicator C2 = Off
Indicator C3 = 130/Flash
Slow_Green
Release speed = 10 km/h
Text Message = 7 U U
V_PERMIT = None km/h
Permitted Speed Bar = Off
V_INTERV = None km/h
Intervention Speed Bar = Off
Indicator C3 = FEL/Flash
Fast_Green
Indicator C5 = Balisfel
2/Fixed_Yellow
Indicator C7 =
Tgverv/Fixed_White
79
Res.
-
PASS
PASS
PASS
FAIL
(value
=No)
Example excerpt from a test report.
Both the evaluation of the test criteria and the merging of test cases with
output data require some amount of arithmetic calculation. For evaluation, it
must be decided at which position the expected value shall be compared with the
logged value. The calculation must then take into account the delays in the ATP
system. A similar calculation is done in the merging, in order to decide whether
an output data logging shall be on the same line or a different line as a line in the
test case scenario. The test report contains all output data, not only those needed
to evaluate the acceptance criteria. This is an advantage, because even if a test
case is targeted to test a specific requirement, manual analysis of other output
data can sometime reveal interesting insight in how the system works. Errors in
other requirements can also be discovered earlier, by analysing the output data.
In Ansaldo STS Swedish STM project, the customer has decided to allocate
some of its own experts to analyse the output data of the automated tests.
8 Running automated tests on the real hardware

The scripts which distil the test cases, and those which co-ordinate the automated
tests and create the test reports, are written so that they shall be compatible with
both the PC based environment and the real hardware environment. You can see
a picture of the real hardware test environment in section 2 above. The input files
and the output files will look exactly the same. The script will adapt to the
changes in the interfaces. For example, in the real hardware environment, a
profibus sniffer is used to monitor the output data from the STM, and a serial
interface RS232C to send simulated button pushes to the DMI. In the PC based

test environment, all interfaces use TCP/IP. There are other differences. In the
real hardware environment, there are ID-plugs which contain installation
parameters for both the ETCS and the STM. In order to test the function of these
parameters, the system has to be manually restarted after each change of ID-plug.
In order to minimise these manual interceptions, the test case distilling script
contains a sorting function so that all test cases which use the same combination
of ID-plugs, can be run in an unbroken sequence.
9 Conclusions
Automated system testing is today an obvious part of the daily work at the
validation department of Ansaldo-STS Sweden. It does the tedious work of
repeating old test every week, and enables the personnel to focus their efforts on
developing new and exploratory tests. The increased amount of testing also
appears to boost project performance. Site acceptance test 1 for STM Finland
was successfully completed in record time, in April 2010. Finally, it can be
mentioned that the customers have expressed their trust in the automated system
tests and how they are repeated and documented.
References
[1] ERTMS/ETCS
Class
1,
Specific
Transmission
Module
FFFIS, SUBSET-035, Alcatel, Alstom, Issue 2.1.1, Date 2003-07-24
[2] ERTMS/ETCS Class 1, FFFIS STM Application Layer. SUBSET-058,
Alcatel, Alstom, Issue 2.1.1, Date 2003-11-19
[3] Friman, Bertil. An algorithm for Braking Curve Calculations in ERTMS.
Proc. of the 10th Int. Conf. On Computers in Railways, ed. C.A. Brebbia, pp.
421-429, 2006.
81
Design and implementation of a distributed

railway signalling simulator
X. Hei1,2, W. Ma1, L. Wang1 & N. Ouyang1
1
School of Computer Science and Engineering,

Xian University of Technology, China
2
State Key Laboratory of Rail Traffic Control and Safety
(Beijing Jiaotong University), China
Abstract
The Distributed Railway Signalling System (DRSS) is a new signalling system,
in which all devices including trains, switch point and signals, as well as position
checking, interact and exchange information based on some logic constraint
relations. These devices operate independently to ensure train safety. Based on
this idea, we have presented the concept of modelling these device actions with
G-nets (an Object-oriented Petri Net tool) in Comprail 2006. In this paper, a
simulation system that we developed is introduced in order to conduct
experiments on DRSS and verify its feasibility. The simulator is based on the
concept of DRSS and includes mainly six classes and their functionality
modules: station layout automatic generation, train operation, position checking,
switch point and signal. In addition, the instance generation of all classes and
timetable design are considered in the simulator. It is possible to verify and
simulate almost all functions with this simulator, such as train protection, route
process, interlocking logic verification and terminal device procedure, etc.
Keywords: distributed railway signalling system, simulator, object-oriented.
1 Introduction
A railway signalling system has been developed over the long history of
railways, and has been vital in ensuring the safe operation of trains. However,
computers have been used in such safety-critical systems for no longer than 30
years [1], and they have demonstrated a high level of safety and reliability. One
drawback of the existing computerized railway signalling systems, however, is
doi:10.2495/CR100081

that they require the development of different software for different stations,
which tends to introduce unreliable human errors. Further, they are difficult to
upgrade due to their lack of standardization, both in hardware and software. A
possible solution to overcome these problems is to apply modular-based
technology to railway signalling systems. For this, a novel system named
Distributed Railway Signalling System (DRSS) was presented in Comprail 2006
[2]. In the new signalling system, all devices including trains, switch point and
signals, as well as position checking, interact and exchange information based on
some logic constraint relations. These devices operate independently to ensure
train safety.
It is vital to design the logic functions and control flows for such a safetycritical system. A convenient approach is to develop a simulator based on the
designed logic and control flows.
In this paper, a simulation system we developed is introduced in order to
conduct experiments and verification on DRSS. The simulator is based on
object-oriented concept and includes mainly six classes and their functionality
modules: information display module, initialization module, train operation,
position checking, switch point, and signal. Also the instance generation of all
classes, timetable design are considered in the simulator. It is possible to verify
and simulate almost all functions with this simulator, such as train protection,
route process, interlocking logic verification and terminal device procedure.
2 Distributed Railway Signalling System (DRSS)

Compare with traditional signalling system, DRSS needs not the centralized
computer for controlling the whole system. All terminal devices work
independently and exchange messages via network to ensure safety operation of
trains. In the case of a typical interlocking system, these devices include signals,
points and track units. Signals indicate whether the train can run or not by
displaying green or red. Points are devices for controlling turnouts which
determine the direction in which trains move. Track units detect whether or not
there is a train on the track. If there is, then other trains are prohibited from
entering this section of track until the first train leaves.
Consider an interlocking system in a station, the architecture and message
interaction flows of DRSS are illustrated in Figure 1. All devices are composed
of logic process part and action part. The logic process part receives/sends
messages from/to other devices, and makes decision. The action part provides
mechanical output according to the orders sent by logic process part, such as
displaying green or red for a signal device, turning over the switch for a point.
The development process deals with standardized hardware and software for
the interlocking devices. Control flows of the interlocking devices are based on
their function specification.
The development strategy of the DRSS is shown in Figure 2. Structure of
standardized devices consists of hardware part and software part. The hardware

Control
P1
processor
and data
SS1
processor
and data
Communication
TY
processor
and data
T1
processor
and data
SH1
processor
and data
SS1
T1
X
TY2
processor
and data
(1)
Station
P1
TX1
TY2
(2 )
Figure 1:
TX1
processor
and data
TY
SH2
T2
SS2
TX
processor
and data
P2
SH1
TX
83
T2
processor
and data
SS2
processor
and data
P2
processor
and data
SH12
processor
and data
Architecture of the DRSS in the case of an interlocking system.

DRSS (for a interlocking system)
Corresponding to
stations
Standardized device models

Track Units
Signals
Hardware
Points
Software
Classes
Specification(Methods) Data(Attributes)
Figure 2:
Interlocking figure
logic relations between
devices and routes)
Initial phase
Development
phase
Internal structure of
standardized device
models
Development strategy of the DRSS.
specifications include device board design, CPU, digital circuit, input/output, etc.
The software specifications include the necessary modules design of typical
interlocking devices. Each module is similar with a class or object which inherits
from one kind of device class. The device control flows are expressed by
methods, while interlocking logic data related to a specific station are expressed
by attributes.
When the devices are initialized, the logic data will be loaded into the
devices, and then the devices operate based on these data.

Once the devices have been verified safe enough, they can be ordered and
produced when a new station is constructed. What engineers just need to do is
analyzing the logic relations and allocating some basic attributes such as device
ID to each device.
DRSS simulator design
Authors have proposed a Petri net-based designing approach for DRSS in

reference [3]. Toward development of the DRSS simulator, object-oriented
methodology is an ideal choice. Thereby UML tools like sequence diagram, class
diagram and activity diagram are used for the system design [4, 5].
CDevice
CDeviceSignal
Figure 3:
CDeviceTrain
CDevicePoint
CDeviceTrack
Device classes and their inheritance relations.

TrainStart
TrainSendRouteRequestToSignal
SignalRouteProcess&Sig
nalLockRelativeSignal
SignalSendRouteRequest
TrackReceiveRequest
TrackRouteProc
ess
PointReceiveRequest
PointRouteProc
ess
TrackMonitorAndLock
PointMonitorAndLock
TrackSendMess
ageToSignal
PointSendMess
ageToSignal
TrackReceiveMesFromSignal
PointReceiveMesFromSignal
PointSetting
TrackPrepare
SendMessage
SendMessage
ReceiveMessage
SignalChangeGr
een
SignalSendMessageToTrain
TrainRunning&SignalTrackPoint
UnlockAndReleaseResource
Figure 4:
Activity diagram when a train is approaching a signal.

theTrain:CDe
viceTrain
theTrack:CD
eviceTrack
OnInitTrain()
theSignal:CDe
viceSignal()
OnInitTrack()
85
thePoint:CD
evicePoint
OnInitSignal()
OnInitPoint()
SendMsg()
SendMsg()
SendMsg()
ReceiveMSG()
ReceiveMSG()
LockInterrelatedSignal()
Dispatcher()&ifReservation()
Dispatcher()&ifReservation()
DeviceLock()
DeviceLock()
ChangStatus()
SendMsg()
TrainRunning()
DeviceUnLock()&RecoverStatus()
DeviceUnLock()&RecoverStatus()
SignalUnlock()&ChangeRed()
Figure 5:
Sequence diagram of the four classes and objects.
In the DRSS simulator, there are four device classes and two function classes
are designed. Device classes include CDeviceSignal, CDevicePoint,
CDeviceTrack and CDeviceTrain, which are shown in Figure 3. These four
device classes inherit from CDevice class. Function classes include station layout
automatic generation and message. Based on these classes, the instance
generation of all classes and timetable design are considered in the simulator.
The process when a train comes can be depicted as activity diagrams of these
devices. With moving of the train, a signal will start the route reservation process
and request to lock the conflict signals. All devices which are related to the
requested route check their states and send a response message to the signal. If
and only if all these devices are ready for this route request, the route can be
reserved and the signal displays green. Figure 4 gives the activity diagram. These
procedures for sending and receiving messages and actions of each device are
predefined as member functions of class.
The sequence diagram is designed as Figure 5.
4 Implementation of DRSS simulator

4.1 System flowchart and modules
There are mainly six modules in the simulator: information display module,
initialization module, train module, signal module, switch point module and
track module.
1) Information display module: displaying system information, train
information, timetable window.

2)
Initialization module: initializing communication module, signal module,

switch point module, track module based on the interlocking interlocking
logic relations, and initializing train module with train schedule
information.
3) Signal module: description of the associated signal, point and track,
displaying green or red based on the associated devices.
4) Switch point module: locking/unlocking point, setting position (Normal or
reverse) of switch point, indicating the reachable stations when the switch
point is in normal or reverse position.
5) Track module: determining whether the train is on some track segment or
not.
6) Train module: description the train ID, status (running or stop), the train
starting station and destination, and all pass through stations, the current
track section and the next, train acceleration and deceleration function.
The system process flowchart is illustrated in Figure 6.
4.2 Displaying stations and railway lines
For the implementation, an important step is to display the station layout
automatically. Consider the universal property, the station layout has to be record
as data and a drawing module is needed. The module can be divided into five
steps.
i.
Dividing the main window's client area (size 800 500) into 32 20
grids, each grid is 25 pixels long side.
S ystem sta rt
Sy ste m initialze
S tation a nd line
Se le ctiong
Ca llin g o th er
m od ule s
Train
in itia lize
S ignal
initialize
P oint
initialize
Trac k
initialize
M ess age loop

a nd wa it
Figure 6:
System process flowchart.
87
ii.
Constructing an array with 21 rows 33 columns, the array subscript

(i, j) is corresponding to the main window's client area coordinates (j *
25, i * 25), where i = 0, 1 ... 20, j = 0,1 ... 32.
iii.
The element value of the array is assigned to an equipment ID or
connection mark of two adjacent rail sections when there is a device.
Otherwise, the element value is assigned to 0 which indicates that
there is not equipment.
iv.
In the array, equipment ID should be one of three kinds: switch
machine ID, track circuit (including the station platform) and signals.
Here switch machine's ID is assigned 301-399; track circuit ID is 101199 (track segment) and 201-299 (station platform), and signal ID is
401-499.
v.
Designing a switch machine table. The fields include switch machine
ID, device ID, device ID, device ID, which means that the switch
machine is associated with the three equipments followed.
vi.
Creating data for each device and drawing these devices based on the
data table described above, when the station and lines need to be
introduced.
With the drawing module above, it is convenient to display a different station
by designing a corresponding two dimension array. It executes when the
simulator initializes and a station and line is selected.
4.3 Layout of the simulator
The window is divided into four areas: main client area, system information area,
train information area and timetable area, as shown in Figure 7. Station and
Figure 7:
Main window of the simulator.

railway lines will be displayed in the main client area. System running
information will be displayed in the system information area. Operation
information of all trains will be displayed in the train information area.
Timetable area lists the departure as well as pass through time of all trains from
the firstrun to the last-run.
5 Conclusion
The simulator shows the essential features of the DRSS: all device classes
process all messages and make decision independently. This process starts with
approach event of train. The DRSS simulator provides a platform for almost all
experiments and analysis, including exploring the effect of device amount on
message process, communication protocols design, etc. In addition, the
stochastic failures or events can be inserted into the operation process of trains.
This work will be carried out soon. Therefore, it is possible to verify control and
schedule logics and simulate almost all functions with this simulator, such as
train protection logic, route process logic as well as logic verification and
terminal device procedure.
Acknowledgement
This work is supported by the State Key Laboratory of Rail Traffic Control and
Safety (Contract No. RCS2008K008) and Natural Science Basic Research Plan
of Shaanxi Province (2009JQ8010).
References
[1] K. Akita, T. Watanabe., H. Nakamura., I. Okumura: Computerized
Interlocking System for Railway Signaling Control; SMILE. IEEE Trans.,
May 1985: Ind., 1A-21.
[2] X. Hei, H. Mochizuki, S. Takahashi. & H. Nakamura: Modeling distributed
railway interlocking system with object-oriented petri-net. In 10th
International Conference on Computer System Design and Operation in the
Railway and Other Transit System, Prague, Czech Republic, 2006, pp.309318.
[3] Xinhong Hei, Sei Takahashi, Hideo Nakamura,: Modelling and Analyzing
Component-based Distributed Railway Interlocking System with Petri Nets,
Institute of Electrical Engineers of Japan (IEEJ) Transactions on Industry,
Sec. D, Vol.129 , No.5, 2009.5.
[4] Object Management Group, Unified Modeling Language Specification
v.2.0, www.uml.org, September 2003.
[5] C. Lindemann, A. Thummler, A. Klemm, M. Lohmann, and O. Waldhorst:
Performance Analysis of Time-enhanced UML Diagrams Based on
Stochastic Processes, In Proc. of the 3rd Workshop on Software and
Performance (WOSP), pp. 2534, Rome, Italy, 2002.
89
Train tracking problem using

a hybrid system model
Y. Wang, R. Luo, F. Cao & B. Ning
Abstract
Tracking is an important problem in train operation control. A key requirement
for this problem is an accurate knowledge of the trains position, velocity, and
running mode. In this paper a hybrid system model of the trains movement is
introduced, which, for the first time, gives a clear description of the uncertainties
during the movement. Based on this hybrid model, a new hybrid estimation
algorithm is proposed in order to achieve a more accurate estimation of the
trains states, thereby improving the tracking performance. In the algorithm, the
state transition probability matrix is dependent on the operation mode.
Simulation results illustrate the good performance of the new estimation
algorithm with the hybrid system model.
Keywords: hybrid system, automatic train operation, tracking, estimation.
1 Introduction
The automatic train operation system is one of the key sub-systems in trains.
Accurate estimation of the trains velocity and position is the basis for the safety
of the automatic train operation. With that, the train tracking problem becomes
more and more important for obtaining an accurate estimation of the trains
states. Hybrid estimation algorithms have been used in many target tracking
applications, including air traffic surveillance [1, 2].
In this paper, a hybrid system model is proposed for modelling the trains
dynamics. Four operation modes, power, speed holding, coast and braking, are
modelled as the discrete states of the system, under which the train operates
based on a continuous-time dynamic equation. Meanwhile, our model considers
doi:10.2495/CR100091

the stochastic factors due to the uncertainties in the train movement. Few
literatures consider these, yet they have a great effect on the tracking problems.
Based on the hybrid model of the trains movement, a new hybrid estimation
algorithm is proposed to track the trains movement and estimate the trains
operation state. Interacting the Multiple Model (IMM) algorithm is a popular
hybrid estimation algorithm based on multiple-model Kalman filters. It has been
shown to give excellent performance with low computational cost in Blom and
Bar-Shalom [5]. However, the IMM algorithm and other similar algorithms
usually assume constant mode transition probabilities. The estimation algorithm
presented in this paper has different mode transition probabilities corresponding
to different modes, called the Mode-Dependent-Hybrid-Estimation (MDHE)
algorithm. The simulation results show that the proposed algorithm achieves
more accurate tracking and estimation performance compared with the IMM
algorithm.
This paper is organized as follows: Sec. 2 introduces a stochastic linear
hybrid system model of train dynamics. Sec. 3 proposes a corresponding hybrid
estimation algorithm for the train tracking problem. In Sec. 4, the simulation
illustrates the performance of the algorithm. Conclusions are presented in Sec. 5.
2 Hybrid model of train movement

A hybrid system is a system whose evolution is driven by both the continuous
time and the discrete events. The dynamics of continuous components are
described by the traditional differential/difference equations. Only when some
conditions are satisfied, jumps of the systems state are triggered by discrete
events. In the train control system, the trains states change continuously with
time, such as velocity and position, which can be described by differential
equations [3, 6]. However, they will run into different modes triggered by
discrete events, such as the switches between traction and brake. In the trains
movement, there are four operation modes: power, speed-holding, coast and
braking. Let M {1, 2,3, 4} correspond to these four discrete modes. It is
assumed that p 0 is the traction power applied at the wheels and P is the
maximum power, q 0 is the braking force and Q is the maximum braking
force.
To describe the train dynamics in each mode, we define x [ s, s,
s ]T as the
continuous states vector, where s denotes the trains position, s denotes
velocity, and s denotes acceleration. In the hybrid model of the trains
movement, the uncertainty inherent in the trains motion is considered. The
uncertainty is due to traction and braking ability, weight bearing, climate factors
and so on, which is modelled by different white Gaussian noises with respect to
different modes. Let tk t0 kTs be the sampling time instant started from t0 ,
where Ts is the sample interval, and k 1, 2, . The train dynamics in each

mode are described as follows.
91
2.1 Train dynamics
1)
Power Mode. The traction force is equal to the maximum power and the
braking force is zero. The control in power mode is given by p P and
q 0 . In the power mode, we model the uncertainties as a white Gaussian
noise. The train dynamics are described by
1 Ts Ts 2 / 2
Ts 2 / 2
(1)
x(k 1) 0 1
Ts x(k ) Ts Power ,
0 0
1
1
where Power is white Gaussian noise with mean zero and covariance:
2
Power E[Power
] 0.052 (m s 2 ) 2
2)
(2)
Different covariances are chosen for different modes by analyzing the train
running conditions and moving data.
Hold Mode. If the train is running at a constant speed, we call this mode
speed holding or simply hold. When the train is in this mode, the traction
power changes with various resistances and braking force q 0 . The
model is given by
Ts 2 / 2
1 Ts 0
x(k 1) 0 1 0 x(k ) Ts Hold ,

(3)
1
0 0 0
where Hold is white Gaussian noise with mean zero and covariance:
2
Hold E[Hold
] 0.032 (m s 2 ) 2
3)
4)
(4)
Coast Mode. There is no power applied and no braking in coast mode,
i.e. p 0 , q 0 . In the coast mode, the model is similar to that the model
used in power mode.
1 Ts Ts 2 / 2
Ts 2 / 2
(5)
x(k 1) 0 1
Ts x(k ) Ts Coast
0 0
1
The process noise in the Coast mode is
2
Coast E[Coast
] 0.012 (m s 2 ) 2
(6)
Braking Mode. In the Braking mode, the speed declines by full braking
force, i.e. p 0 and q Q . The dynamic model is as following:
1 Ts
x(k 1) 0 1
0 0
Ts 2 / 2
Ts 2 / 2
(7)
Ts x(k ) Ts Braking
1
1
The process noise Braking is a white Gaussian noise with mean zero and
covariance
2
Braking E[Braking
] 0.052 (m s 2 ) 2
(8)

2.2 Measurement model
In train control systems, the measurement of trains speed and position are taken
by the corresponding sensors. All measurements are subject to uncertainty due to
the time delay and measurement disturbance. Thus, it can always be
approximated by a linear model given by
s (k )
1 0 0
(9)
z (k )
x(k ) (k ) ,
0
1
0
s
where s ( k ) , s ( k ) are Gaussian noise with mean zero and covariance:
E[ s 2 ]
0 0.1 0
R
E[ s 2 ] 0 0.05
0
(10)
3 Hybrid estimation algorithm for train tracking

We rewrite the train dynamics as a stochastic linear hybrid model as:
x(k ) Am ( k ) x(k 1) Dm ( k ) (k )
z ( k ) Cm ( k ) x ( k ) m ( k ) ( k )
(11)
(12)
Where x(k ) R and z (k ) R are continuous state and the measurement

variables, respectively. m(k ) M {1, 2,3, 4} is the discrete state at time k ,
corresponding to four different operation modes: Power, Hold, Coast, and
Braking. The process noise m ( k ) (k ) and the measurement noise m ( k ) (k ) are
n
uncorrelated Gaussian sequences with zero mean. We use m(k ) j to denote the
event that the system is in mode j at time k , and m(k 1) i to denote the event
that the system is in mode i at time k 1 . A continuous-state-dependent mode
transition matrix is defined to describe the evolution of mode m(k ) :
( x(k 1)) { ij ( x(k 1))}i , j 1,2,3,4
(13)
ij ( x(k 1)) : p[ j | i, x(k 1)]
(14)
for i, j {1, 2,3, 4} . It is worthy to note that in some linear hybrid estimation
algorithms, such as IMM algorithm, the mode transition matrix is constant and
does not depend on the states.
We propose an estimation algorithm with different mode transition
probabilities corresponding to different modes, called Mode-Dependent-HybridEstimation (MDHE) algorithm. Fig.1 shows a schematic of the MDHE
algorithm. MDHE also uses a bank of Kalman filters (KF1 to KF4) to compute
the mode probabilities i (k 1) and the continuous state estimate x(k 1) .
However, individual Kalman fitters share information about the other Kalman
fitters through new initial conditions at each time step. The components of
MDHE in Fig.1 are described as follows:
93
xi (k ) Pi (k )
i ( k )
Compute mode transition
probability
Mixing
x j 0 (k ) Pj 0 (k )
ij (k )
Mode probability
update
KF1
j (k 1)
KF2
x j (k 1)
KF3
KF4
Pj (k 1)
Output
j (k 1) x(k 1) P(k 1)
Figure 1:
1)
Structure of the MDHE algorithm.
Mixing probability. This is the probability that the system is in mode i at

time k , given that it is in mode j at time k 1 ( i, j {1, 2,3, 4} )
ij (k 1| k )
1
ij i (k ) ,
cj
(19)
where c j is a normalisation constant, i (k ) is a measure of the probability
2)
that the system is in mode i at time k . It is assumed that i (0) is given,

which should be i (0) 1 for a specific mode i , with i (0) 0 for other
modes.
New initial conditions. For each Kalman filters, the initial states x0 j (k ) and
covariance P0 j (k ) are computed by weighting the output of each Kalman
filters with mixing probability as the weight
N
x0 j (k ) xi (k )ij (k 1 | k )
(20)
P0 j (k ) [ Pi (k ) [ xi (k ) x0 j (k )] [ xi (k ) x0 j (k )]T ]ij (k 1 | k )
(21)
i 1
i 1
3)
where xi (k ) and Pi (k ) are the estimation of state and its covariance of

KF i at time k .
Mode Transition Probability. The mode transition matrix is constant in
the IMM algorithm. In this paper, we utilize the objective velocity-speed
profile information to model the mode transition probabilities as modedependent probabilities. Each operation mode has a mode transition matrix
and the system switches among these matrixes depending on the objective
curve and continuous state.

4)
Kalman filter. Four Kalman filters run in parallel and each Kalman filter
computes the x(k 1) and P (k 1) using the initial conditions x0 j (k ) and
P0 j (k ) .
5)
Mode probabilities update. The probability of mode j at time k 1 is

computed as follow
N
1
j (k 1) j (k 1) ji i (k )
(22)
C
i 1
where C is a normalisation constant, j (k 1) is the likelihood function,
defined as
j (k 1) N p (rj (k 1); 0, S j (k 1))
(23)
where rj (k 1) z (k 1) C j x j (k 1| k ) is the residual of Kalman filter j ,

and S j (k 1) is its covariance.
6)
Output. The estimation of state is a weighted sum of the estimates from four
Kalman filters. The mode which has the highest mode probability is the
mode estimate.
N
x (k 1) x j (k 1) j (k )
(24)
j 1
P (k 1) {Pj (k 1) [ x j (k 1) x (k 1)]}
j 1
[ x j (k 1) x (k 1)]T } j (k 1)
(25)
m (k 1) arg max j (k 1)
(26)
where m (k 1) is the mode estimation at time k 1 .
4 Simulations
We consider an optimal speed-position trajectory of trains movement as shown
in Fig.2.
The mode transition matrixes of MDHE are chosen as follows:
0.9 0.06 0.03 0.01
0.06 0.9 0.03 0.01
0.06 0.9 0.03 0.01
0.9 0.06 0.03 0.01

Power
Hold
0.06 0.9 0.03 0.01
0.9 0.06 0.03 0.01
0.06 0.9 0.03 0.01 ,

0.9 0.06 0.03 0.01 ,
Coast
0.01
0.01
0.01
0.01
0.06 0.9 0.03

0.01
0.01
0.06 0.9 0.03

Coast
0.01
0.06 0.9 0.03
,
0.06 0.9 0.03
0.01
0.03 0.06 0.9

0.03 0.06 0.9
0.03 0.06 0.9
0.03 0.06 0.9 .
95
We compare the results of MDHE with that of IMM algorithm with constant
mode transition matrix as
0.9 0.1 3 0.1 3 0.1 3
0.1 3 0.9 0.1 3 0.1 3
.
I MM
0.1 3 0.1 3 0.9 0.1 3
0.1 3 0.1 3 0.1 3 0.9

60
50
Speed (m/s)
40
30
20
10
5000
10000
15000
20000
25000
30000
35000
Position (m)
Figure 2:
The optimal speed-position curve of the train.
40
MDTHE
IMM
Position error (m)
30
20
10
0
-10
-20
-30
-40
0
200
400
600
800
Time (s)
4
MDTHE
IMM
Velocty error (m/s)
3
2
1
0
-1
-2
-3
-4
200
400
600
800
Time (s)
Figure 3:
Comparison of tracking accuracy of MDTHE and IMM.

1.0
ture mode
estimated mode
Mode probabilitiesfrom MDTHE
Train Driving Mode
0.8
Power
Hold
Coast
Braking
0.6
0.4
0.2
1
0
200
400
600
0.0
800
200
Time (s)
ture mode
estimated mode
0.2510
3
600
800
Power
Hold
Coast
Braking
0.2515
Mode probabilitiesfrom IMM
Train Driving Mode
400
Time (s)
0.2520
0.2505
0.2500
0.2495
0.2490
0.2485
1
0
200
400
600
800
0.2480
200
Time (s)
Figure 4:
400
600
800
Time (s)
Estimation of modes and their probabilities.
Fig. 3 and Fig. 4 compare the tracking accuracy and the mode estimation
accuracy of the algorithms. The tracking accuracy of MDHE and IMM algorithm
depends on the design of the mode transition matrix. It is easy to see that MDHE
has better tracking performance compared with IMM. The result also shows that
the proposed algorithm improves the accuracy of the operation mode estimation.
5 Conclusions
In this paper, a hybrid system model is introduced to describe the trains
dynamics. The stochastic factors during the trains movement are considered in
this model. A new hybrid estimation algorithm is proposed for the train to track
the objective velocity-position curve more accurately with mode dependent
transition probability matrixes. Better tracking performance and the accuracy of
the algorithm have been illustrated with simulations.
Acknowledgements
The authors would like to acknowledge that this work is supported by the
Foundation No. 60634010, RCS2008ZQ003, and W08J0270.
References
[1] Seah, C.E. & Hwang, I., Terminal-Area aircraft tracking using hybrid
estimation [J]. Journal of Guidance, Control, and Dynamics, 32 (3), pp.83684, 2009.
97
[2] Hwang, I., Balakrishnan H. & Tomlin C., State estimation for hybrid
systems: applications to aircraft tracking [C]. IEE Proceedings of Control
Theory Application, 153(5), pp.556-566, 2006.
[3] Howlett, P.G. & Pudney P.J., Energy-Efficient Train Control, Advances in
Industrial Control, Springer, London, 1995.
[4] Zhu, J. & Feng, X., The simulation research for the ATO model based on
fuzzy predictive control, Autonomous Decentralized Systems, ISADS
Proceedings. 2005.
[5] Blom H.A.P. & Bar-Shalom Y., The interacting multiple model algorithm
for systems with markovian switching coefficients. IEEE Transactions on
automatic control, 33(8), pp.780-783, 1988.
[6] Khmelnitsky E., On an optimal control problem train operation, IEEE
Transactions on Automatic Control, 45(7), pp.1257-1266, 2000.
99
Latent energy savings due to the innovative use

of advisory speeds to avoid occupation conflicts
F. Mehta, C. Riger & M. Montigel
systransis Ltd., Switzerland
Abstract
Track occupation conflicts are frequent in standard railway operations today.
Train drivers, who are not aware of such conflicts in advance, are forced to stop,
which results in additional delays, timetable instability, and a waste of energy.
This could be avoided if they were informed about the conflict and had a chance
to adapt their driving behaviour accordingly. The innovative computer-based
train control system Automatic Functions Ltschberg (AF), developed by
systransis Ltd, tries to reduce these negative effects by sending advisory speeds
to the drivers of conflict affected trains in the Ltschberg base tunnel.
This article presents the results of a study done using real operational data
from the Ltschberg base tunnel to estimate the energy savings due to the AF
sending advisory speeds. These results are then extrapolated to estimate the
latent energy savings that could be achieved if a system like the AF were in
operation over the entire Swiss railway network.
Keywords: advanced train control, energy savings, advisory speeds.
1 Introduction
With a length of 34.6 km under the Swiss Alps, the Ltschberg base tunnel is
currently the longest land tunnel in the world. The computer-based train control
system Automatic Functions Ltschberg (AF), developed by systransis Ltd. as
a subcontractor of Thales Ltd, has been monitoring and controlling the train
traffic through the Ltschberg base tunnel since its opening in December 2007.
The topology of the tunnel introduces special challenges in its operation. The
northernmost two thirds of the tunnel is a single-track section, which feeds into a
two-track section in the south via the high-speed point W60. Figure 1
illustrates this topology. Solving track occupation conflicts between trains is
especially important since the single-track section needs to be used optimally.
doi:10.2495/CR100101
Figure 1:
Topology of the Ltschberg base tunnel.
The tunnel is equipped with ETCS Level 2 as its train protection system
which allows continuous tracking of train speeds and positions, and
communication to the on board units of each train.
One essential function of the AF is forecasting and solving track occupation
conflicts by calculating an optimal speed trajectory for a train affected by a
conflict that would otherwise have to stop or slow down. It then sends advisory
speeds via GSM-R to the train driver who uses them as a recommendation for his
onward journey. This gives him the possibility to solve the conflict by preemptively slowing down, instead of eventually being forced to stop. Advisory
speeds are sent to the affected train as text messages in regular time intervals of
30 seconds. A final message vopt = vmax is sent when the advisory speed limit
is to be lifted.
The primary goal of sending advisory speeds to train drivers is to reduce
collateral delays and minimise train stops caused by conflicts, and thereby
maintain capacity and timetable stability. Figure 2 illustrates the approach of
solving track occupation conflicts used by the AF. More details on the
computational aspects and use of the AF in the Ltschberg base tunnel can be
found in Montigel et al. [1] and Montigel [2].
Although not its main aim, a welcome side effect of this optimisation is the
reduction of the traction energy needed by trains to travel through the tunnel.
This claim is intuitive: energy consumption should be lower if a train is not
required to come to a full stop. In order to test this claim empirically, the
following study was undertaken to quantitatively estimate how much traction
energy was saved in this way using real operational data.
Technologies for increasing energy efficiency in the context of railway
operation are receiving increased attention. A review of these technologies can
be found in [7]. Increasing energy efficiency through energy-optimal train
trajectories have also been studied extensively. The possibilities for computing and
using such trajectories are described in detail in Albrecht [8], Howlett and Pudney
[9], and Franke et al. [10]. Lthi [4] discusses the energy saved as a result of
integrated real-time rescheduling. Mitchell [11] discusses the impact of advisory

systems on energy savings and uses a simulation-based model to quantitatively
estimate these savings. The novelty of the work described in this article is that
this is the first time that data from real-world commercial railway operations
with traffic flow optimisation is available and used to determine energy savings.
Figure 2:
101
Time gained by sending advisory speed. The solid line is optimised

and avoids a halt.
2 Methodology used
The following general methodology was used to estimate the energy savings as a
result of sending advisory speeds. Pre-recorded operational data (i.e. log files
generated by the AF) from the tunnel was used to extract all train movements in
the tunnel during which an advisory speed was sent to resolve an occupation
conflict. This operational data was used to reconstruct the actual train trajectory
through the tunnel, and thereby the actual traction energy consumed for each
such train run was calculated.
In order to compute the energy savings, a comparison of the actual traction
energy consumed with the energy that would have been consumed if no advisory
speeds were sent (i.e. for the non-optimised case) needs to be done. The
functionality of the AF to send advisory speeds has been continuously active
since the start of operation of the tunnel. Since such a study cannot warrant
turning off this functionality just for test purposes it was not possible to directly
measure the energy consumed if no advisory speeds were sent. Therefore,
assumptions about the behaviour of train drivers for the non-optimised case
needed to be made. Based on these assumptions, a non-optimised train trajectory
was generated and used to calculate the energy consumption for the nonoptimised case. This was then used to estimate the energy saved as a result of
sending advisory speeds.
Figure 3:
Conflict types for which an advisory speed is sent in the tunnel.
The rest of this section describes the above methodology in greater detail.
2.1 Conflicts considered in this study
The AF sends advisory speeds to train drivers in the tunnel in the following three
general cases:
a. Cross conflicts
b. Merge conflicts
c. Follow-up conflicts
Figure 3 illustrates these three conflict types. The filled train is the one
causing the conflict, and the hollowed train is the one affected by it. The
hollowed train receives advisory speeds. It should be noted that the AF also
solves other types of conflicts in the tunnel, but these are disregarded in this
study.
Out of these three cases, cross and merge conflicts are of interest as far as
energy savings are concerned since they will, in most cases, result in a full halt
of the affected (hollowed) train if not solved by the AF optimisations. Follow-up
conflicts are not currently considered, as this would significantly complicate the
method used, requiring more than one train to be considered per conflict case.
Furthermore, such follow-up conflicts are rare in practice since the train
dispatcher takes care to avoid them by positioning faster trains before slower
ones.
Another point to note is that conflicts are often interdependent. Solving a
conflict favourably in the present time can avoid future conflicts. This study
though only considers individual conflicts in order to avoid too much speculation
into the future.
2.2 Area of interest
The AF log files are processed to extract the following data for each train
affected by a cross or merge conflict in the tunnel:
Train characteristics: engines, weight, class (passenger or freight)
Position and speed reports at various times
Transmitted advisory speeds at various times
The analysis is restricted to the section of the travelled train path affected by
the receipt of advisory speeds. The start position of this area of interest is the
Figure 4:
103
Area of interest and train trajectories for the optimised and

non-optimised cases.
position where the affected train receives the first advisory speed. The end
position of this area of interest is the position where the train has finished its
reacceleration after the merging point W60 and reaches a stable speed over a
defined distance.
Figure 4 illustrates how this area of interest is determined using the
optimised (actual) train trajectory, and how the non-optimised (estimated)
trajectory is calculated using the start and end speeds and positions, and the
position of the last signal in front of the point W60. The calculation of the nonoptimised trajectory will be described in detail later. Note that the figure is to be
read from right to left since the affected trains travel in the direction of
decreasing mileage.
2.3 Energy calculation model
Energy consumption is calculated using the following standard formula, by
numerically integrating the traction force exerted by the engines ( Fi ) over the
respective travelled distances ( si ):
n
F s
i i
i1
The following components of the traction force are considered:

Rolling resistance (dependent on speed, always positive)
Tunnel resistance (dependent on speed, always positive)
Gradient resistance (positive for uphill tracks, negative for downhill)

Free acceleration force (positive for acceleration, negative for braking)
The free acceleration force is determined using the position and speed reports
extracted from the AF log files. The resistances are assumed to be constants that
depend on the actual speed and train class. The sum of all these forces needs to
be applied by the engines and is used to calculate the traction energy needed by
them.
2.4 Regenerative braking
It is assumed that a certain ratio of the negative free acceleration force could be
recuperated. This ratio accounts for the efficiency of the regeneration process,
the conductive losses of the overhead wire, and the fact that the recuperated
energy can only be effectively used if there is an energy consumer currently
connected to an interconnected overhead wire. Two values are used for this ratio:
1. For the optimised case it is expected that a high ratio (i.e. 40%) of the
deceleration energy can be recuperated. This is because the AF
calculates advisory speeds in such a way that the required deceleration
can be achieved solely using regenerative braking.
2. For the non-optimised case a lower ratio (i.e. 20%) is assumed because
a larger amount of the total braking force has to be provided using
mechanical brakes.
2.5 Estimating the non-optimised case
For the non-optimised case it is assumed that no advisory speeds are transmitted.
The train driver doesnt know about the conflict until he has to brake because of
the last signal in front of the point W60.
The calculation of the train trajectory for the non-optimised case uses the start
and end speeds and positions, as well as the position of the last signal in front of
the point W60 as described earlier. The trajectory consists of the following
phases:
1. Travelling with the start speed until hitting the braking curve of the last
signal in front of the point
2. Braking to standstill at the signal in front of the point
3. Accelerating to the end speed
The non-optimised curve in Figure 4 illustrates this trajectory. The model
used for calculating the non-optimised trajectory is based on the standard train
dynamics model contained in Hrlimann [3], which is also the one used in the
AF.
Brake applications are modelled as constant decelerations, dependent on the
class of the train. Coasting (i.e. speed decrease without application of traction
force) was not considered.
For acceleration, the traction capabilities of individual engines are considered.
For each engine type, the traction forces dependent on the current speed are used.
The free acceleration is calculated using the train weight, dynamic mass factor,
class, and the driving resistances described earlier.
105
The resulting free acceleration is then used to calculate the traction energy
needed to complete the non-optimised trajectory and thereby estimate the energy
saved as a result of sending advisory speeds.
3 Results and discussion

For this study 746 optimised train journeys over a three-month period from
August 2008 to October 2008 were considered. Of these, 117 journeys involved
passenger trains, and 629 involved freight trains.
3.1 Quantitative results
The total estimated energy savings for these journeys was calculated to be
45,655 kWh. The average saved traction energy per optimised journey was
therefore 61.2 kWh.
Although the absolute energy savings in kWh varies strongly for each train
run, the percentage of the energy saved (with respect to the energy used to cover
the area of interest in the non-optimised case) does not vary as significantly. This
can be seen in Figure 5. The percentage of total energy saved to cover the area of
interest was calculated to be 12.4%.
These estimates are still on the conservative side since, as mentioned before,
this study though considers individual conflicts as isolated, and does not take
into account that present conflicts, if not solved favourably, can lead to future
Figure 5:
Distribution of the percentage energy saved due to sending

advisory speeds.

conflicts. More conflicts would therefore be observed if advisory speeds were
not transmitted, leading to a greater energy consumption in practice for the nonoptimised operation than the estimate calculated above.
What is worth mentioning again is that energy savings are not directly taken
into account in the calculation of advisory speeds. They are purely a side effect
of reducing the delays resulting from a conflict.
3.2 Qualitative results
Apart from the above quantitative analysis, the data was also qualitatively
analysed in order to learn more about factors on which energy savings may
depend:
3.2.1 Journey attributes
It could be thought that the percentage energy savings depends on the train
weight, or the ratio between the initial and advisory speeds. However, the
analysis of this data did not reveal any such dependencies.
3.2.2 Train class
An interesting question is whether energy savings due to freight and passenger
trains differ. Passenger trains travel with higher speeds (160-200 km/h) through
the tunnel and have to spend a higher ratio of their energy to overcome resistive
forces. Freight trains are heavier and therefore need longer distances to
accelerate. The energy consumption was partitioned for the two train classes with
the result that the percentage of saved energy for freight trains is slightly higher
(12.9%) than that for passenger trains (10.3%).
3.2.3 Regenerative braking
The impact of regenerative braking on the consumed energy is often emphasized.
Since the total amount of recoverable energy is subject to many influences, it is
not easy to draw a final conclusion concerning the effectiveness of regenerative
braking. The assumption in this study was that all considered trains are capable
of regenerative braking and an average ratio of 20% of the free braking energy
could be recuperated in the non-optimised case, and 40% in the optimised case.
For the sake of comparison, energy savings with different ratios (0%-0%; 50%100%) was calculated. The results for these ratios deviated not more than 1.5%
from the original result. Reasons for this small impact of regenerative braking
are:
1. A high ratio of the braking energy is used to overcome resistance
forces, which are higher in a tunnel when compared to an open track,
leaving only a minor part for recuperation.
2. The distances where regenerative braking can be applied are short
compared to the total length of the area of interest.
Eventually, regenerative braking seems not to have a big influence on the
energy savings provided by the AF. Nevertheless, it may play a relevant role
when the total consumed energy is considered.
107
3.2.4 Driver behaviour

For this study, operational data from the tunnel was used to compute the energy
consumption in the actual case, regardless of whether the train driver obeyed the
advisory speeds or not. It would be interesting to see how much the saved energy
estimated from the actual data deviates from the optimised trajectory calculated
by the AF. To do this an ideally optimised trajectory based on the first advisory
speed transmitted by the AF was computed. The resulting estimated energy
savings were observed to be 10.1% compared to the 12.4% estimated energy
savings using the actual travelled trajectory, i.e. not all train drivers obey the
advisory speeds strictly and nonetheless consume less energy than estimated by
the AF. An explanation for this maybe unexpected result can be that in reality,
the train drivers partly applies coasting, which is not considered by the
calculations for the actual optimised case. Another point to note is that the aim of
sending advisory speeds is to minimise delays, and energy savings is only a side
effect of this. The computed optimal trajectory need not therefore consume the
least energy. The possibility that the train driver chooses a trajectory that is
energetically better is therefore possible.
4 Latent energy savings for the entire Swiss railway network

The study described till now estimated that the AF sending advisory speeds
saved about 60 kWh of traction energy per conflict. Using this figure, it would
be interesting to make a rough extrapolation of the total energy that could be
saved, given that a system, such as the AF, were in operation over the entire
Swiss railway network.
The following assumptions on the daily train traffic from [5] and [6] are used:
1. About 1500 passenger journeys (only long-distance trains) occur each
day, each experiencing on average 2 conflicts leading to an unplanned
stop
2. About 2000 freight journeys occur each day, each experiencing on
average 3 conflicts leading to an unplanned stop.
It is easy to see that the resulting latent energy savings for an entire year is in
the order of 200 GWh (i.e. 200 million kWh). The current market value of
electrical energy is around CHF 0.20 per kWh. Hence, this translates into a
monetary saving of about CHF 40 million in energy costs alone, not to mention
the added value and monetary gain due to fewer delays and better timetable
stability, and reduced maintenance costs due to less wear and tear.
Since engine efficiency and conductive resistance of the overhead wire have not
been taken into account for these figures, the metered energy saved would
therefore, in practice, be more than the estimates just calculated. As mentioned
before, it also has to be taken into account that the optimum for energy savings
does not necessarily have to match the optimum for operational purposes.
5 Conclusion
It can be concluded from this study that there exists a significant potential to
save energy in railway operations by introducing a computer-based train control

system like the AF that uses advisory speeds to resolve occupational conflicts in
a railway network.
In the case of the Ltschberg base tunnel, as per conservative estimates, it is
observed that about 60 kWh of traction energy is saved per conflict due to
advisory speeds. This translates to a savings of 12.4% of the traction energy
needed to travel through the conflict-affected region, when compared to an
estimated non-optimised train trajectory. It is also observed that this percentage
of saved energy does not depend significantly on regenerative braking, conflict
size, or class of train.
Even a rough extrapolation of these results for the entire Swiss railway
network yields a significant energy savings potential of about 200 GWh for a
year. The resulting monetary savings of about CHF 40 million per year could be
therefore well invested in a computer-based train control system like the AF on a
nationwide level, which would also provide further benefits such as reduced
delays and better timetable stability.
References
[1] Montigel M., Kleiner C. & Achermann E., Experience with the Speed and
Traffic Optimisation employed in the novel Train Traffic Control Center of
the Ltschberg Base Tunnel in Switzerland, Proceedings of Railway
Capacity The Engineering Challenge, 2007.
[2] Montigel M., Operations control system in the Ltschberg Base Tunnel,
RTR - European Rail Technology Review 02/2009, 2009.
[3] Hrlimann D., Objektorientierte Modellierung von Infrastrukturelementen
und Betriebsvorgngen im Eisenbahnwesen, Diss. ETH Nr. 14281, ETH
Zrich, 2001.
[4] Lthi M., Evaluation of energy saving strategies in heavily used rail
networks by implementing an integrated real-time rescheduling system,
Comprail 2008 Proceedings, 2008.
[5] Information from Media centre SBB, 2009.
[6] http://www.reisezuege.ch/, queried 24th November 2009 for timetable
period 2009/10.
[7] http://www.railway-energy.org,
Website
for
Energy
Efficiency
Technologies for Railways.
[8] Albrecht, T. Energy-Efficient Train Operation, Chapter in Railway
Timetable and Traffic, pp 83-106, Eurail Press, 2008.
[9] Howlett, P.G., Pudney, P.J. Energy-efficient train control, Springer, Berlin,
1995.
[10] Franke, R., Meyer, M., Terwiesch, P. Optimal Control of the Driving of
Trains, Automatisierungstechnik 50(12), pp 606-613, 2002.
[11] Mitchell, I, The Sustainable Railway Use of Advisory Systems for Energy
Savings, IRSE Technical Paper, 2009.
Section 2
Traffic control and safety of
high-speed railways in Asia
Special session organised by
N. Tomii
111
How the punctuality of the Shinkansen

has been achieved
N. Tomii
Chiba Institute of Technology, Japan
Abstract
The high speed railway line in Japan began operation in 1964. The high speed
railway is called the Shinkansen and is known for its safety and reliability. In
addition, the Shinkansen is well known for punctuality. As a matter of fact, the
average delay of trains is less than one minutes every year. The Shinkansen runs
along dedicated lines, which seem to be advantageous in keeping punctuality.
However, there are lots of disadvantages as well. For example, although traffic is
very dense, resources are not abundant. In some Shinkansen lines, trains go
directly through conventional railway lines and the Shinkansen is easily
influenced by the disruption of those lines. Punctuality of the Shinkansen is
supported by hardware, software and humanware. In this paper, we first
introduce a brief history of the Shinkansen and then focus on humanware, which
makes the punctuality possible.
Keywords: high speed trains, punctuality, rescheduling, Shinkansen.
1 Introduction
In 1964, a high speed railway line opened in Japan. The new line connects
Tokyo, the capitol, and Osaka, the second largest city located 600 km away. The
maximum speed of trains was 210km/h, which was almost twice that of other
trains in those days and the travelling time between these two cities was halved
to only three hours and ten minutes.
The new high-speed line was called the Shinkansen and it had a great impact
not only on railways in Japan, but also on railways worldwide.
From that time on, the Shinkansen was extended to other areas of Japan and
the length of Shinkansen lines is about 2,200 km at present.
We may well say that characteristics of the Shinkansen are very dense traffic,
very high safety and very high punctuality.
doi:10.2495/CR100111

In the Tokaido Shinkansen line, the total number of trains a day is 323 at
present. As a matter of fact, at Tokyo station, you can see trains departing every
several minutes.
The Shinkansen is proud of ultimate safety with evidence that no passengers
in trains were killed or injured for 46 years since the Shinkansen began its
operation.
Another important characteristic is punctuality. In the fiscal year 2008, the
average delay of trains in the Tokaido Shinkansen was just 0.6 minutes, namely
36 seconds. People might think this punctuality is achieved thanks to abundant
resources, such as extra train-sets, extra crews, lots of tracks at stations, etc.
However, this is not true. As described later, resources are not abundant. The
punctuality of the Shinkansen is achieved by hardware, software and
humanware.
As for the hardware, efficiency and reliability of signalling systems, electrical
power transmission, tracks and rolling stocks play quite an important role in
keeping punctuality.
As for the software, the Shinkansen is equipped with various kinds of
computer systems. To name a few, route control systems, operation management
systems, track maintenance management systems, rolling stock maintenance
management systems, etc, which are indispensable in keeping the punctuality of
the Shinkansen.
Humanware, however, is very important as well. In this paper, the importance
of humanware to keep punctuality is focused upon.
2 Brief history of the Shinkansen

An outline of the Shinkansen network is given in Table 1 and Figure 1. In Japan,
each line is given a line name such as Tokaido, Shinkansen and Sanyo
Shinkansen and so on.
Table 1:
Outline of the Shinkansen network.
Line
From
To
Distance
Remark
Tokaido
Tokyo
Osaka
515.4km
Sanyo
Osaka
Hakata
553.7km
Trains start from Tokyo.
Tohoku
Tokyo
Hachinohe
593.1km
Extended to Aomori
(2010/12)
Joetsu
Omiya
Niigata
269.5km
Hokuriku
Takasaki
Nagano
117.4km
Akita
Morioka
Akita
127.3km
Yamagata
Fukushima
Shinjo
148.6km
Kyushu
Yatsushiro
Kagoshima
126.8km
Extended to Hakata
(2011/3)
113
Shinkansen
under construction
conventional lines
Aomori
Akita
Akita
Yamagata
Shinjo
Nagano
Nagoya Takasaki
Osaka
Kyushu
Tohoku
Fukushima
Hokuriku
Sanyo
Morioka
Sendai
JoetsuNiigata
Hakata
Hachinohe
Tokaido
Tokyo
Yatsushiro
Kagoshima
Figure 1:
The Shinkansen network.
Although the Tokaido Shinkansen belongs to JR (Japanese Railways) Central

Co. Ltd. and the Sanyo Shinkansen belongs to JR West Co. Ltd, trains on these
two Shinkansen lines are operated jointly by these two companies because trains
on the Tokaido Shinkansen go directly to the Sanyo Shinkansen and vice versa.
The Tohoku, Joetsu, Nagano, Akita and Yamagata Shinkansens are managed by
JR East Co. Ltd and the Kyushu Shinkansen is managed by JR Kyushu Co. Ltd.
The maximum speed of the Shinkansen is 300km/h at present, and an increase
of the speed is in the planning stage.
Since its start of operation, the Shinkansen has taken a lot of passengers from
airplanes. As a result, the flight service between Tokyo and Nagoya and between
Tokyo and Sendai were given up after the Shinkansen began operation. At
present, the Shinkansen keeps 60% of the market share between Tokyo and
Akita and 81% market share between Tokyo and Osaka, for example [1, 2].
Figure 2 shows the annual transportation volume of the Shinkansen network
and Figure 3 shows the market share of the Shinkansen for passenger
transportation in fiscal year 2007 [3]. As you can see, the Shinkansen bears
82,825 million person kilometres, which is 6% of the market share of all over
Japan.
The Shinkansen was designed with a brand new philosophy. It is totally
different from railways in those days (railways other than the Shinkansen are
called conventional railway lines in contrast with the Shinkansen). Major
differences between the Shinkansen and conventional railway lines are:
Passengers(x1,000)
PersonKilometer(xmil.)
350,000
300,000
250,000
200,000
150,000
100,000
50,000
1965
1970
1975
1980
1985
1993
1994
1995
1996
1997
1998
1999
2000
2001
2002
2003
2004
2005
2006
2007
Figure 2:
Annual transportation volume of the Shinkansen.

Ship,3,834
Airplane,
84,327
Conv.Railway,
322,787
Car,936,049
Shinkansen,
82,825
Figure 3:
Market share of the Shinkansen.
1. The Shinkansen runs on dedicated lines, all of which were newly

constructed.
2. The gauge is standard (1435mm) whereas that of conventional railway
lines is narrow (1067mm).
3. Along all the lines, high fences are put to prevent public from
approaching the tracks. There are no level crossings. These are
established by special laws for the Shinkansen, which specify the rules
about construction and operation of the Shinkansen.
4. Train schedules are rather simple compared with those of conventional
railway lines. No freight trains are running and no night trains are
running, for example.
115
The Yamagata Shinkansen and the Akita Shinkansen are a bit different from
other Shinkansens. The Yamagata and Akita Shinkansen lines are not regarded
as Shinkansens from a legal point of view. Trains of the Tohoku Shinkansen go
directly into these Shinkansen lines where trains other than the Shinkansen are
also running. The gauges are standard (gauge was broadened so that the
Shinkansen train-set can run when the Yamagata and Akita Shinkansens opened.
In some part, lines are equipped with three rails so that both trains of the
Shinkansen and trains of conventional railway lines can run) but the special laws
about the Shinkansen are not applied. So, there are level crossings and no fences
along the line etc. Trains are coupled and decoupled at the junction stations
(Fukushima for the Yamagata Shinkansen and Morioka for the Akita
Shinkansen).
One of the most remarkable characteristics of the Shinkansen is high
punctuality. The average delay of the Tokaido Shinkansen is depicted in Figure
4[4]. In Japan, if a train is more than one minute behind the planned schedule,
the train is considered to be delayed (this rule is the same in conventional
railway lines). From Figure 4, we can observe that average delay of the Tokaido
Shinkansen has been less than one minute for almost twenty years. The figures
for the Tohoku and Joetsu Shinkansens are a bit larger than those of the Tokaido
Shinkansen because as stated earlier, the punctuality of the Tohoku Shinkansen
is easily influenced by the delay of trains in conventional railway lines.
However, the figures are also less than one minutes every year recently.
3 Disadvantages in keeping punctuality

It may well be said that the Shinkansen is in an advantageous situation in
keeping punctuality. In other words, special attention has been paid to prevent
various kinds of disturbance from occurring.
In fact, collision with cars at level crossings which often happen in
conventional railway lines never happen in the Shinkansen (except the Yamagata
and Akita Shinkansens). People often commit suicide in railway lines but this
seldom happen in the Shinkansen neither.
averagedelay(min.)
3.0
2.5
2.0
1.5
1.0
0.5
1980
1981
1982
1983
1984
1985
1986
1987
1988
1989
1990
1991
1992
1993
1994
1995
1996
1997
1998
1999
2000
2001
2002
2003
2004
2005
2006
2007
2008
0.0
Figure 4:
Average delay of the Tokaido Shinkansen.
STATION Z
STATION Y
STATION X
DELAY
Figure 5:
Partial cancellation of trains (grey: planned, black: result).
Still there are a lot of disadvantages as follows:

1. Trains are operated very densely. In the Tohoku and Joetsu Shinkansens,
This means if a train is delayed, a lot of other trains are influenced. So,
an extensive rescheduling is required.
2. It is difficult to use effective rescheduling methods. Cancelation of trains,
which is an effective measure in rescheduling, is usually difficult to use
in the Shinkansen. This is because trains run for a long distance and
trains have seat reservations. For the similar reason, partial cancelation is
never done in the Shinkansen. In conventional railway lines, partial
cancelation of trains (see Figure 5) is usually done to absorb delays but
this is never done in the Shinkansen because a lot of passengers are
inconvenienced at Station Y.
Partial cancellation of trains is never done in the Shinkansen.
3. It is necessary to keep enough time at terminal stations for turning out,
because cleaning inside trains and exchange of linen etc. are necessary.
This means it is difficult to absorb delays at terminal stations.
4. Resources are not abundant. Basically, there are no stand-by train-sets
and crews and there are not abundant tracks at stations. For example,
Tokyo station of the Tokaido Shinkansen from which 14 trains per hour
depart in the busiest time, has only six tracks. In Tokyo station of the
Tohoku-Joetsu Shinkansen, there are only four tracks, from which eight
trains per hour depart in the busiest time (It is all right to understand that
there two Tokyo stations; one has six tracks and the other has four
tracks). This becomes a serious constraint in rescheduling.
5. Natural disaster often happens and disrupts punctual train operation. In
some part of the Tokaido Shinkansen, they sometimes have a severe
snowfall in winter. Snowy weather itself is not a problem at all.
However, if there is a snowfall, snow sticks to the surface of train-sets
117
and these cause problems. That is, when the train-sets come to a rather
warmer area, the snowballs fall down and hit ballast. Then the stone hit
the train-set or houses along the Shinkansen line. So, trains are
compelled to decrease running speed in snowy area so that snow does not
stick to the train-set. In the Akita and Yamagata Shinkansens, on the
other hand, trains run through regions where weather especially in winter
is harsh and sometimes trains are delayed because they have to decrease
the running speed.
6. Connection with trains in conventional railway lines is considered to be
very important. The Shinkansen takes charge of long distance
transportation, and timetables of conventional railways are made taking
convenient connection with the Shinkansen into full account. This
means, however, if trains are delayed in conventional railway lines, the
Shinkansen trains have to wait although a limit of waiting time is
prescribed a priori.
7. In the Yamagata and Akita Shinkansens, trains go directly to
conventional railway lines. In conventional railway lines, trains other
than the Shinkansen including freight trains are also running. The
Shinkansen trains in these two lines are coupled or decoupled at junction
stations as stated above, and this implies that a delay in these two lines is
easily propagated to the Tohoku Shinkansen, the Joetsu Shinkansen and
the Hokuriku Shinkansen because these Shinkansens share a track in
some part.
8. Route control is done by computer systems (PRC: Programmed Route
Control system) totally automatically. You may think this is
advantageous in keeping punctuality. However, should a system-down
occur, it might cause a serious problem. Reliability of the PRC is very
high but the higher the reliability is, the less skilled dispatchers are in
manual operation of signals. Although a system-down is very unlikely to
happen, trains do not run on time if it really happens.
4 Realizing the punctuality of the Shinkansen

As described in detail in the previous section, there are a lot of disadvantages to
achieve high punctuality in the Shinkansen. In this section, efforts and devices to
concur the disadvantages are introduced.
1. As elaborate rescheduling as possible: When trains are delayed, elaborate
rescheduling is done. An example of rescheduling is depicted in Figure 6.
Gray lines mean planned schedule (left). Let us assume that Train 1 is
delayed at Station Z for some reason. A common method of modifying the
schedule in this case is shown in black lines (right). The train-set of Train
1 is to be turned back as a deadhead train and stored in the depot located
next to Station Y. Another train-set is urgently set up from the depot and
driven to Station X and it is assigned to Train 2 so that Train 2 can depart
on time. This may be thought to be easy, but that is not true. Usually, there

are no spare train-set at the depot. So, a lot of subsequent changes in trainset utilization schedule have to be made. In addition, there are no reserve
crew as well. So, again a lot of subsequent changes in crew shift schedule
have to be made. Figure 5 is just a simple example and in case of
disruption, very elaborate rescheduling is done to reduce dissatisfaction of
passengers as much as possible.
2. As standard as possible: Standard patterns and rules of rescheduling are
prepared: In the case of the Yamagata and Akita Shinkansens, there occurs
a serious problem about delay management if trains are delayed in
conventional railway areas. Dispatchers have to make a decision whether
they keep coupling or give up coupling at the junction station. JR East
prepares a manual for such cases (see Figure 6). It describes if the delay is
less than a certain threshold x, coupling has to be done, meaning trains in
the Tohoku Shinkansen (main line) have to wait. If the delay is larger than
x and less than another threshold y, coupling is given up (Figure 7 right).
This means trains of the Akita/Yamagata Shinkansen run in the Tohoku
Shinkansen line alone. If the delay is larger than y, the train is coupled
with the next train (Train 2 in Figure 7) of the Tohoku Shinkansen,
because it is very likely that the next train (Train 12) is also delayed. In
case of giving up coupling, the problem is again in assigning crew. One
more crew has to be squeezed out by drastically changing the subsequent
crew schedules.
3. As simple as possible: This could be considered to be an important and
basic idea in the operation of railways in Japan. I would say that in Japan it
is believed that usage of facilities must be as simple as possible. There is
an idea in the background that if usage of facilities is complicated, it might
cause operational errors because there are so many trains running.
For example, double single track is seldom used in Japan. This is because
people hate to complicate usage of tracks, which is crucial in guaranteeing
safety.
Another example is the drivers shift. Licences for the Shinkansen are
different from those of conventional railway lines. This means a driver of
conventional railway lines is not permitted to drive the Shinkansen (and vice
STATION Z
STATION Z
in
Tra
1
in 1
Tra
in 2
Tra
STATION Y
STATION Y
STATION X
STATION X
Figure 6:
An example of rescheduling.
in 2
DELAY
Tra
DELAY
(a) Planned
Figure 7:
119
(b) Result
Delay management at a junction station where trains are coupled.
versa). Hence, it is impossible for a driver to drive a Shinkansen train and a

conventional railway line train on the same day. This is to avoid drivers make
any mistakes in operation because equipments of train-sets and operational rules
are different between the Shinkansen and conventional railway lines.
One more example is seat layouts of Shinkansen trains. Series 700 and Series
N700 Shinkansen train-sets of the Tokaido Shinkansen were designed so that the
seat layouts are totally the same as Series 300, which was mainly used at that
time. This is because even if a Series 300 train-set is suddenly substituted with a
Series 700 or N700 (or vice versa), it is not necessary to give any further
announcement to passengers for their new seats, and it is all right just to say
Please take the seat described on your ticket. Otherwise, extensive guidance to
passengers about their new seats becomes necessary.
It might be true that by making usage of facilities complicated, you can
maximize the performance of the facilities. For example, in case of the double
single track, if a train has an engine trouble between stations, you can continue
train operation using the other track, which is not possible in a double track line.
So, to cope with such a criticism, a lot of efforts to increase reliability of
hardware are made in Japan in compensation of making usage of facilities
simple.
4. As much training as possible: Route settings of all trains for all stations are
automatically done by the programmed route control system (PRC). PRC
has a long history and has an extremely high reliability. However, in case
of a system-down, training of manual route setting is always done. It may
be improbable that this training is of any use one day, but they continue the
training just for a rainy day.
5. As much efforts as possible: As described in the previous section, in some
part of the Tokaido Shinkansen line, they sometimes have a lot of snow in

winter. The worst record was made in 1976. 635 trains were cancelled in
that year due to heavy snow and the average delay of trains on snowy days
was 20.1 minutes. Running speed must be decreased to avoid catching the
snow and the snow on the surface of train-sets has to be removed. This
means that trains are very much delayed on snowy days. In former days,
people hit the snow on the train-set with a wooden stick to fall it down.
Obviously, it took a lot of time and labour. Now, a new equipment using
high pressure is used to remove the snow. More than that, JR Central made
an intensive research about effective countermeasures to reduce damages
caused by snow such as to install sprinklers to make snow wet and
monitoring system for the condition of snow to decide when the sprinkler
should be started and so on [5]. The result was outstanding. For more than
15 years, no trains were cancelled due to snow and the average delays on
snowy days in fiscal years 2006 and 2007 were 1.4 minutes and 1.7
minutes respectively.
5 Conclusions
The Shinkansen of Japan is well known for its punctuality. Although there are
not abundant resources available, various kinds of ideas and hard training of
dispatchers and crews have realized the punctuality.
The Tohoku Shinkansen is extended to Aomori this year. The Kyushu
Shinkansen between Hakata and Yatsushiro is opened next year and it is planned
that some trains go to Kagoshima directly from Osaka. The lines and timetables
of Shinkansens become more and more complicated but I am quite sure that this
punctuality level will be kept in the future.
References
[1] JR East Annual Report 2009: http://www.jreast.co.jp/e/investor/ar/2009/
[2] Annual Report of JR Central (in Japanese), 2009.
[3] Facts and Figures of Japanese Railways - 2009 (in Japanese), Institution for
Transport Policy Studies, 2009.
[4] Environmental Report of JR Central 2009: http://english.jrcentral.co.jp/company/company/others/eco-report/_pdf/kankyo2009-e.pdf.
[5] T. Amatani: Countermeasures to reduce delays of trains on snowy days (in
Japanese), Technical Report of JR Central, Vol.8, 2009.
121
Linkage of a conventional line dispatch system

with the Shinkansen dispatch system
Y. Yoshino
Administration Division, Transportation Department,
Kyushu Railway Company, Japan
Abstract
With the partial opening of the Shin-Yatsushiro to Kagoshima-Chuo section of
the Kyushu Shinkansen in March 2004, management of the connection to the
conventional line limited express trains at Shin-Yatsushiro Station. It became
important to provide a service in the Hakata to Kagoshima-Chuo section that was
comparable to that of the transport system up to then. For that reason, station
facilities were made to enable transfers between the Shinkansen and
conventional line trains at the same platform. In addition, linkage functions
between the Shinkansen and conventional line dispatch systems were set up as
follows.
- Referencing of conventional line timetables when considering revised
Shinkansen timetables
- Adding conventional line connection management functions to the Shinkansen
programmed route control
- Adding conventional line occupation display to the Shinkansen line occupation
display and route control monitor
- Displaying the conventional line timetable (planned and actual) on the
Shinkansen timetable display monitor
- Sharing of operation information provision between the Shinkansen and
conventional lines
- Guidance of trains and operation, including information relating to
conventional line train connections on indicators for passengers
The work is supported by means such as allowing dispatchers to identify the
timetable of the day for the other type of train system and the current train
operation status.
Keywords: system linkage, transfer, operation control.
doi:10.2495/CR100121
1 Introduction
With the partial opening of the Shin-Yatsushiro to Kagoshima-Chuo section of
the Kyushu Shinkansen in March 2004, management of the connection to the
conventional line limited express trains at Shin-Yatsushiro Station. It became
important to a provide service in the Hakata to Kagoshima-Chuo section that was
comparable to that of the transport system up to then (Fig. 1). For that reason,
station facilities were made to enable transfers between the Shinkansen and
conventional line trains at the same platform (Fig. 2). Additional functions were
also established so as to enable necessary information exchange between the
Shinkansen and conventional line dispatch systems and allow dispatchers to
identify the timetable of the day for the other type of train system and the current
train operational status.
2 Outline of SIRIUS (super intelligent resource and innovated

utility for Shinkansen management)
SIRIUS consists of the following subsystems that form a total support from train
operation planning to actual daily operation. The system configuration is shown
in Fig. 3.
Figure 1:
Kyushu Shinkansen.
Figure 2:
123
Transfer between the Shinkansen and the conventional line.
Figure 3:
System configuration.
2.1 Transport planning system

This system makes train timetables as well as schedules for vehicle operation
and for drivers and conductors. In making train timetables, the system checks the
travel times between stations and conflicts among trains at the stations. Then it
plans departure, passing, and arrival times and tracks for each in-service and
deadheading train (Fig. 4). It also makes vehicle scheduling and driver/conductor
scheduling based on the created train timetables. For vehicle scheduling, the
vehicle use plan is made based on the identification check of arrival and
Figure 4:
Timetabling system.
Figure 5:
Vehicle/crew scheduling
system.
departure stations, the check of the night stay station, etc. For driver and
conductor scheduling, the work conditions are checked, and driver and conductor
scheduling is made (Fig. 5).
For each planning, the basic plan, the base for the train timetable revision, and
the daily change plan, which is based on the basic plan and includes test runs in
association with the passenger fluctuation and inspection, are necessary. This
system can make either plan.
2.2 Transport planning control/planned information distribution system
Each plan made by the Transport Planning System is controlled as a part of the
database of this system (Fig. 6). This system develops the daily train timetable
based on the basic plan and the daily change plan, and it distributes the
information to the train operation control system. It also receives the actual train
running results from the train operation control system to be incorporated in the
actual operation results.
In addition, this system distributes various plans to each station and crew
offices to notify them of the basic and daily change plan, and it also makes
various forms such as for business at the station and for driver and conductors
duties. In this way, this system aids in the accurate and effective performance of
duties.
2.3 Train operation control system (programmed route control/centralized
controller of speed limit for work-site/CTC)
This system implements daily train operation of all lines based on the train
timetables received from the Transport Planning Control/Planned Information
Distribution System. Programmed Route Control determines train positions
based on the information of line occupation, train number and switches and
signals received from the on-site interlocking devices and automatically
controlled signals based on train timetables. In the case of train delays etc., the
dispatcher changes the timetable to recover, and the system adjusts accordingly.
Figure 6:
Figure 7:
Transport
system.
Timetable
monitor.
planning
control/planned
display
information
125
distribution
Figure 8: Line occupation/route

control monitor.
The following terminals are provided to dispatchers; the timetable display

monitor; the line occupation/route control monitor that displays line occupation
and controls the signals including signal indication (Fig. 7). (Fig. 8) In addition,
the large-sized operation indicator panel is provided to indicate the conditions of
all lines.
With the Centralized Controller of speed limit for work-site, slow speed
signals can be controlled by the dispatcher in the case that trains need to reduce
speed due to climatic conditions, such as excessive precipitation, strong wind,
and earthquakes, and other necessities so as to ensure safe operation (Fig. 9).
Two lines of transmission paths, regular and detour, are provided to the
Centralized Traffic Control (CTC) that connects the site and the dispatchers
office in order to be able to continue train operation should one of the
transmission paths be out of order (Fig. 10).
Figure 9:
Speed limiting system. Figure 10:
Figure 11:
Centralized train control.
Command information distribution system.
2.4 Command information distribution system

Working with the operation control system, it sends the timetable change of the
day to each station and crew office in real time so as to ensure immediate
response to that change of the day. It sends out information from the dispatchers
office (Fig. 11).
2.5 Passenger information system
For passenger information at each station, the train timetable is transmitted from
the dispatchers office to each station to control the train information display
board and the automatic announcement system. The information includes the
train operation information in advance based on the train timetable and the line
occupancy, in addition to the above-mentioned train information indicator and
automatic announcement that are provided at an appropriate timing such as when
a train is approaching, arriving, or departing. Not only the train information, but
also the business and accident information can be inputted in text and displayed
on the board (Fig. 12).
Figure 12:
127
Passenger information board at station.
3 Function of connection control

3.1 Referring to the conventional line timetable when reviewing the
Shinkansen timetable revision
The transport Planning Control system can be connected to the system that
makes the timetables for the conventional lines so as to review the Shinkansen
timetable while the conventional line timetable under review is displayed (Fig.
13). In the opposite way, the Shinkansen timetable can be displayed when
reviewing the conventional line timetable. In this way, this system assists mutual
linkage and adjustment.
3.2 Conventional line connection control function is added to the
Shinkansen programmed route control
With the Programmed Route Control, the other layover trains can be registered
in the timetable in advance, and if a registered train is delayed and cannot make
the connection, an inquiry is outputted asking whether the connection is to be
executed or not, and the dispatcher decides whether the train is to depart or not.
In addition, with the Programmed Route Control for the conventional lines, the
layover Shinkansen trains can be registered in advance to be used for judging the
control (Fig. 14).
3.3 Shinkansen: line occupancy information of the conventional line is
displayed on the line occupancy/programmed route control monitor
To be able to determine the operating conditions of the conventional line train
that is to be connected at the same platform, the line occupancy information of
the conventional line trains can be displayed on the line occupancy
display/Programmed Route Control monitor at Shin-Yatsushiro Station (Fig. 15).
This is the same as with the large-sized operation indicator board.
The Shinkansen timetable

can be reviewed while the
conventional line timetable
is displayed.
Figure 13:
Timetable display for both Shinkansen and conventional lines.
Information of the conventional line

layover trains is registered.
Figure 14:
Connection control from the conventional line to the Shinkansen

line.
3.4 Displaying conventional line timetable (planned/actual) on the

Shinkansen timetable display monitor
In addition to the Shinkansen timetable and results, the conventional line
timetable and results (for the sections between Hakata and Yatsushiro, Sendai
and Kumanojo, and Kami-Ijuin and Kagoshima of Kagoshima main line) are
displayed on the timetable display monitor, and the Shinkansen timetable can be
changed while checking the current operation conditions and the future prospect
of the conventional lines (Fig. 16). On the conventional line timetable display
monitor, the Shinkansen timetable and results are displayed, enabling train
timetable management in coordination with the Shinkansen.
129
In addition to Shinkansen, the

line occupancy information of
the conventional line is
displayed.
Figure 15:
Line occupation display for both the Shinkansen and conventional

lines.
The conventional line timetable

of the day is displayed.
Figure 16:
Timetable display for both the Shinkansen and conventional lines.
3.5 Sharing operation information between the Shinkansen and

conventional lines
The Shinkansens line occupancy and delay conditions were added to the
traditional operation information distribution system that had been established
for the conventional lines so as to enable switching those information displays on
the monitor. This allowed the personnel to understand the Shinkansen operation
conditions with the terminal installed at each conventional line station. In
addition, at each Shinkansen station, both Shinkansen and conventional line
operation conditions can be checked (Fig. 17).
Both
Shinkansen
and
conventional line operation

conditions are displayed.
Figure 17:
Sharing operation
conventional lines.
information
between
Shinkansen
and
Holding connection information

from
Shinkansen
to
the
conventional line.
Figure 18:
Passenger information
information.
system
includes
connection
train
3.6 The passenger information display system including information of the

conventional line connecting trains
Data of stops and terminal stations of the conventional line trains to be connected
from the Shinkansen trains is added to the timetable distributed to the passenger
information display system at each station. Doing so, the terminal station for the
conventional line train is noted as a destination, and the information of the
stations where the train stops is noted, including the conventional line. In the
case that the train is delayed and passengers cannot transfer, the connection
guidance can be cancelled by the dispatcher (Fig. 18).
131
4 Conclusion
With this system, we have provided stable transportation for about 7 years by
improving customer services, such as guiding connection of the conventional
line Relay Tsubame limited express and providing timely and appropriate
information when operation disruption occur, and also sharing information
smoothly between dispatchers of the Shinkansen and the conventional line.
Currently, preparation for the entire line operation of Kyushu Shinkansen
(Kagoshima Route) including the route between Hakata and Shin-Yatsushiro is
proceeding with a spring 2011 operational start target. We are currently working
on system development for operation commencement.
References
[1] Yamasaki. K., Kyushu Shinkansen Operation Management System
(Japanese). Journal of Japan Railway Engineers Association, pp 3641,
2005.
133
Train scheduling of Shinkansen and

relationship to reliable train operation
S. Sone & Y. Zhongping
Abstract
This paper explains why security is important, especially in Asia, as well as
safety, and how we established reliable transportation in the Japanese
Shinkansen, mainly in relation to train scheduling. The authors also describe
several ideas actually taken by Shinkansen in order to realise reliable operation
even in the case of possible disturbances. Out of many ideas, some examples of
which are shown here, selective adoption according to the purpose of the railway
or line is strongly recommended, together with given conditions taken into
account.
Keywords: disturbance, punctuality, reliable operation, spare time, train
scheduling.
1 Introduction
Features of east-Asian high-speed railways are very dense passenger flow
together with frequent train operation with a big capacity. In order to realise
reliable transportation in this circumstance, safe train operation in a narrow
sense, which is guaranteed mainly by signalling system, is not enough; secure
passenger flow must also be guaranteed even when some traffic disturbances
take place. This is the reason why the authors present this paper, which mainly
deals with security rather than safety, for the special invited session of "Traffic
Control and Safety of High-speed Railways in Asia".
Just after the inauguration of Tokaido Shinkansen in 1964, we had many
disruptions to train operation due to rain and snowfall, breakdown of the power
feeding system, deterioration of track conditions due to excess axleload, etc. In a
narrow sense of safety, the Japanese Shinkansen carried more than nine billion
passengers without any casualty by train accident, which is by far the safest
doi:10.2495/CR100131

railway in the world. The total time spent on Shinkansen trains by all nine billion
passengers exceeds 15 billion hours, which corresponds to the total lifetime of 25
thousand people. From these figures, it is not surprising that not a few people
died in Shinkansen trains, from disease or even by murder, even if we exclude
suicides. Trains and other accidents of the Shinkansen did happen many times,
including the overrun of an empty train to the dangerous area of Tokaido
Shinkansen's main line, the fall of the bridges of Sanyo Shinkansen by an
earthquake, which took place just before the starting time of train operation of
the day and derailment of a running train of the Joetsu Shinkansen at high-speed
by another earthquake, etc, which means that there having been no casualties so
far can be thought of as due to luck.
This paper deals with how we have established reliable train operation with
the very heavily trafficked Japanese Shinkansen, common to east-Asian
countries, in relation to train scheduling.
2 Special features of the Shinkansen in relation to train

scheduling
2.1 Frequent train operation with relatively few intermediate stations
Passenger dedicated lines tend to have fewer intermediate stations in order to run
trains faster than on conventional lines and the number of trains on the lines
tends to be greater in order to provide better services; this means that in the case
of disruption of train traffic, it is difficult or impossible to stop each train at a
track facing platform.
2.2 Uni-directional signalling system with few crossover routes
Unlike many other high-speed railways in the world, the track layout and
signalling system of the Japanese Shinkansen was modelled on the then modern
double-track urban/suburban railways; uni-directional signalling, many passing
loops and few crossover routes between down and up tracks.
2.3 Existence of trains of different average speeds due to different number
of intermediate stops
Compared with commuter trains, whose acceleration and deceleration rate is
high, station stopping time is short and maximum speed is low, the additional
time of high-speed trains per each additional stop at intermediate station is much
longer; typically four minutes in the Japanese Shinkansen against one minute for
commuter trains.
In order to allocate fast and slow trains on a highly trafficked line, many
passing loops are required in the Japanese Shinkansen. Indeed almost all
intermediate stations have two platforms each facing one or two side lines off the
main passing line. The exceptions to this on the Tokaido and Sanyo Shinkansen
are only two, Atami and Shin-Kobe, at the latter of which all trains stop so that
no difference of average speed takes place here.
135
2.4 Through operation to lines with different characteristics

Different characteristics include the quality and quantity of traffic demand, and
very many differences of reconstructed existing lines to accept through trains
from Shinkansen: The so-called Yamagata Shinkansen and Akita Shinkansen
were once narrow gauged local lines. Now the track gauge is widened to
international standard, 1435mm, but the loading gauge, electric system,
AC20kV, maximum speed of 130km/h, and existence of level crossings with
road traffic, etc, are still in the conventional lines standard.
3 Problems of train operation during traffic disturbance

3.1 Minimum train headway by signalling system
In normal conditions, train groups scheduled with a train headway longer (by
Tspare) than the theoretical minimum (Tmin) can be realised stably and if a train
is delayed (by Td), each following train can follow by the headway of Tmin, this
means the initial delay can be absorbed up to Td/Tspare-th train. However, in the
case of some disturbance, such as a temporary speed restriction at a place, the
following train can pass the same place by headway of Tmin+Tr. If Tr is bigger
than Tspare (this is not a rare case), it is often observed that the initial delay
diverges and all the following trains must run at the headway of Tmin+Tr, which
is longer than the scheduled headway. It is not so easy to find the longest Tr
beforehand from the designed data of the signalling system and traction
performance.
3.2 Uni-directional signalling system
Contrary to European practice, the Japanese double track section is equipped
with uni-directional signalling only, with relatively few crossover routes between
down and up tracks. This is a big source of problems in rescuing trains in case of
a big traffic disturbance. The Tokaido Shinkansen prepared two high-power
high-performance diesel locomotives for rescuing purposes, but they have never
found the route to arrive at the required spot.
3.3 More trains running at a time than the total number of tracks at
intermediate stations
In a wide area disturbance for an estimated long time, we want to stop all trains
at a platform so that any passengers can get out of the train to the street, but the
total number of platforms in the Tokaido Shinkansen is much smaller than the
total number of trains running at a time in peak hours.
3.4 Not enough tracks at the most important terminal station
Shinkansens Tokyo terminal has 10 tracks in all; six for the Tokaido Shinkansen
(trains run through to Sanyo Shinkansen) and four for the Tohoku Shinkansen

(trains run through to Joetsu, Nagano, the so-called Yamagata and Akita
Shinkansen). The maximum number of revenue trains per hour per direction,
excluding out-of-service trains, is 14 for Tokaido and also 14 for Tohoku.
3.5 Sub-terminal station and required function of it in case of traffic
disturbance
Tohoku Shinkansens Ueno station, which is next to Tokyo terminal, has four
tracks all of which face to platform, and at first Tokyo terminal had only two
tracks. At that time Ueno was used as a sub-terminal station effectively, some
trains originate from and terminate to Ueno, and some other trains run empty
between Tokyo and Ueno for arrangement to reuse as a passenger train.
The Tokaido Shinkansen has added Shinagawa sub-terminal with four tracks
all facing platforms, and three additional sidings for use of draw out and storage
tracks, but flexible usage in case of traffic disturbance can hardly be done by
thoughtless design of the line profile; it is impossible to run between additional
sidings and the Tokyo terminal.
3.6 Cancellation of trains is difficult due to seat reallocation and keeping
impartiality among passengers
Most seats of all trains are pre-booked to passengers in Japanese practice with
relatively few non-reserved seats. In this situation, even when the average
loading factor is 50%, no trains can easily be cancelled because of the difficulty
in reallocation of pre-booked seats fairly. If cancellation of trains is inevitable by
a big disruption, all pre-booked seats are cancelled and used on a first-come,
first-served basis with compensation of refund of express surcharge.
4 Train scheduling to keep in mind reliable train operation

4.1 Not to use connected fast and slow trains
The scheduling pattern of connected fast and slow trains is very popular and
reasonable for commuter railways in which a slow train arrives at a transfer
station followed by arrival of the fast train at an adjacent track facing the same
platform and after transfer of passengers the fast train departs first then the slow
train follows. Typical timing of this procedure is; one minute after arrival of the
slow train the fast train arrives and its dwelling time is also typically one minute
or a little shorter, the slow train can depart about one minute after the fast trains
departure. This means the dwelling time of the slow train is about three minutes.
If the same sequence is applied to a pair of high-speed trains, the following
intervals of both arrival and departure are about three minutes each and the
dwelling time of the slow train is about eight minutes, because the fast train stops
for about two minutes. Instead of connecting fast and slow trains, simple
passing requires much shorter additional dwelling time for a slow train, which is
typically 2.5 minutes, arrival to passing, plus one minute, passing to departure,
minus 1.5 minutes, plus necessary dwelling time.
137
From the passengers point of view, a well-organised train schedule is

convenient as a connected pattern.
4.2 Reducing level crossing interference at the terminal station and
intermediate important stations
There are six tracks in the Tokyo terminal of the Tokaido Shinkansen. The track
layout is the simplest one, as shown in Fig. 1. In this layout, out of 30
combinations of a pair of incoming and outgoing trains, only nine pairs have no
level crossing interference and the remaining 21 pairs have interference with
each other, as shown in Table 1, according to the timing. If we add the routes as
shown in Fig. 2, the number of interference free pairs can be increased from nine
to 15, as shown in Table 2. (The track number is from bottom to top 14 through
19.)
In Tokyo, there is not enough space to realise Fig. 3, but train scheduling is
made so as to avoid interference; arrival and departure time is restricted to
prefixed times: 0 min 0 sec., 3 min. 20 sec., 6 min. 40 sec., 10 min. 0 sec., etc.
The duration of 3 min. 20 sec. corresponds to the minimum train headway,
including the necessary time margin. The Tokyo station of the Tohoku
Shinkansen has similar prefixed timing of 4 minute intervals.
This is a very easy way to avoid interference and is effective if trains run
exactly enough and even if trains are much delayed, this pattern can be applied,
although it is not the best way.
Figure 1:
Table 1:
Existing layout.
Interference
of Fig. 1.
Table 2:
Figure 2:
Improved layout.
Interference
of Fig. 2.
is an interference
free route while x
route interferes with
each other

Much better practice can be observed at private railway commuter lines, such
as the Odakyu Electric Railway's Shinjuku terminal: 5 track terminal of two
levels in which interference takes place very seldom.
4.3 Various ideas to prevent disturbance from divergence
At the Fukushima station of the Tohoku Shinkansen, only one track out of four is
used for thorough operation to and from the so-called Yamagata Shinkansen.
The seven car Yamagata Shinkansen trains leave Tokyo coupled with the eight
car Tohoku Shinkansen train for Sendai and in reverse the Yamagata Shinkansen
train couples with the Tohoku Shinkansen train from Sendai on the same track.
Even in case of disturbance, coupling and decoupling cannot be made at the
same time. The required time to couple/decouple trains is much longer than
normal station dwelling time, so it is convenient to be passed by the fast train,
Hayate, during this stopping time. This requirement of train scheduling is the
biggest restriction of the whole Tohoku Shinkansen train scheduling.
4.4 Train crossing at the intended partial double-track section on the Akita
Shinkansen
Between Omagari and Akita, 51.7km, of the so-called Akita Shinkansen was
once a double track section of narrow gauge Ouu line. This section was
converted to two single line tracks in parallel, one narrow gauge and the other
standard gauge. However, out of this section, a 12.4km section between Jinguuji
and Mineyoshigawa is laid of one standard gauge track in parallel with a dual
gauge track so that standard gauge trains can pass each other while running. This
particular section was chosen from the train schedule of the Akita Shinkansen
where trains cross each other, plus a margin for the possible delay of one train.
4.5 Enough spare time allocated on the Tokaido Shinkansen in highly
trafficked hours
The fastest Nozomi trains using the newest Series N700 trainset can run between
Tokyo and Shin-Osaka in 2 hours 25 minutes with reasonable spare time.
Actually, three trains are scheduled to run in this time in early morning and late
at night, but during most hours of the day the Nozomi trains, exclusively the
N700 trainset, run in an additional 8 to 12 minutes, which is partly necessary due
to mixed traffic with slower trains and partly due to giving a recovery margin in
case of train delay.
Whether an additional 8 to 12 minutes on top of the basic 145 minutes is
justifiable or not may be a big question.
5 Conclusion
The authors do not think all of these practice are necessary or inevitable because
there are many other countermeasures to keep punctuality or to avoid large
disturbances, as seen in private railways lines. For instance, the average required
139
time of 155 minutes between Tokyo and Shin-Osaka, 10 minutes longer than the
basic time, seems too long if the competitive situation with airlines is taken into
account.
The Akita Shinkansens partial double track section of standard gauge line is
very effectively used at the moment, when trains run regularly at 60 minute
intervals. This means it is difficult to add trains flexibly without substantially
longer travelling time.
Fukushimas case of coupling (of up trains) and decoupling (of down trains)
on only one track requires too much restriction to the whole train schedule of
Tohoku Shinkansen. Under this track layout, trains from Sendai must cross down
the main line twice to couple with the Akita Shinkansen train; this is too
restrictive to train operation in the case of disturbance. Another measure to cope
with this situation, such as to provide a new route from the Yamagata
Shinkansen to the scarcely used track 11 of the Fukushima station, where up
trains can couple, should be taken even if the new route crosses down the main
line.
In east-Asian countries, frequent train operation is required mainly to realise
the large capacity, while in European countries, this is required mainly to realise
better connections between trains. From this difference, frequent train operation
in Asia should accompany reliable train operation, especially in peak demand
hours.
Necessary techniques for this may be different line by line or time by time:
The authors recommend selective application by each high-speed railway section
according to the purpose of the line and time, rather than to take the proven best
practice from a line of different purpose.
References
[1] Timetable of Shinkansen: issued every month in Japan (in Japanese) by
several publishers; bi-monthly by Thomas Cook Publishing UK as Overseas
Timetable.
[2] Track layout of railways: officially undisclosed by railways; but few private
enthusiasts published so far including Tokaido Lines, by Ryozo Kawashima
from Kodansha Publishing Co. (in Japanese) and Quail Map Series, by John
Yonge from Quail Map Co. Exeter, UK.
[3] Detailed list of rolling stock for each line or railway; edited by JRR, issued
semi-annually for Japan Railways Group and annually for Japanese Private
Railways Group by Kotsu-shimbunsha. (in Japanese)
[4] Tracks of each station including normal operation practice: http://ja.
wikipedia.org/wiki/[station name in kanji such as ]
141
Rescue operations on dedicated high speed

railway lines
R. Takagi
Kogakuin University, Japan
Abstract
When disruptions of service take place on dedicated high speed railway lines, it
is not uncommon that situations arise in which special rescue operations would
be necessary. This paper outlines the following; 1) how such situations take
place, or how efforts are being made to avoid them; 2) how rescue operations can
be done; and 3) possible research and development on how the situations can be
reduced using new technologies.
Keywords: rescheduling, rescue operations, high speed railways, substitute train
protection, on-board energy storage.
1 Introduction
When disruptions of service take place on dedicated high speed railway lines,
trains may have to be halted at places where passengers on board the trains
cannot evacuate. For example, it has been reported on the Asahi Shimbun [1]
that, on 29 January 2010, five trains with approximately 3,100 passengers on
board had been stranded for nearly four hours on the Tkaid Shinkansen in
Japan after a power outage caused by the breakage of an auxiliary messenger
wire of the compound overhead line equipment. Earlier, it has been reported on
the BBC News Website [2] that five Eurostar trains got stuck inside the Channel
Tunnel when exceptional weather conditions caused failures of electrical systems
on board trains, with nearly 2,000 passengers having to be rescued in a series of
special operations.
In this paper, the following will be outlined: 1) how such situations take
place, or how efforts are being made to avoid them; 2) how rescue operations are
currently carried out and can be done; and 3) possible research and development
on how the situations can be reduced using new technologies.
doi:10.2495/CR100141
2 The need for rescue operations

There may be situations in which high speed trains stop at places other than
stations or emergency evacuation points along a dedicated high speed railway
line when a disruption to services take place. If this situation is expected to
continue for an unacceptably long time, rescue operations must take place to let
these passengers out of the trains.
Once the disruption takes place, and the information on the nature and the
extent of the incident that caused the disruption is available, traffic control is
done to avoid such out-of-station halts. However, it is difficult to avoid such
situations before the information is available, especially when the average
distance between stations and/or evacuation points is long and the frequency of
the trains is high.
3 How rescue operations are being done

If a train to be rescued can be moved, but something is blocking its way, the first
thing to be done is to open a path for the train so that it can be moved to a nearest
station or an evacuation point. It will include moving the train in the direction
different from the one it was originally travelling towards. This, however, may
need bi-directional signalling, which is uncommon for the Japanese high speed
railway system, Shinkansen, and is not effective for high speed railways like
Shinkansen where train frequency is very high. If the distance for which the train
must do the reverse-running is short, the train may actually do so in the rescue
operation.
Station S
Train A
Train running
direction:
Platform P
Platform Q
Train C
Figure 1:
Train B
An example rescue operation at a station (1).
Station S
Train A
Train running
direction:
Platform P
Platform Q
Train C
Figure 2:
Train B
An example rescue operation at a station (2).
143
If the train cannot be moved by itself, but can be pulled to the nearest station
or rescue point if another train or a rescue locomotive is attached to it, this option
will be tried.
Finally, if the train cannot be moved for various reasons, but another road in a
double-track railway is open, a rescue train is prepared and sent to the site where
the train is halted. The passengers on board the unmovable train will be
transferred to the rescue train at the site and transported to the nearest station or
evacuation point.
Sometimes it may be necessary to put more than one train on a platform
which normally serves only one. An example is shown in Figures 1 and 2. In
Figure 1, there are three trains A, B and C, out of which Train C is not on any of
the platforms of Station S. By moving Train B slightly forward, a part of Train C
can share Platform Q with Train B, and the passengers on Train C can safely
alight using the passenger doors towards the front of it.
4 Discussions on how to improve rescue operations, or how to

avoid this happening on a massive scale
4.1 Information available to the line controllers
If a disruptive event takes place in a railway line which may lead to the
requirement for any rescue operations as discussed above, it is always important
that the line controllers have information as much and as accurate as possible on
the nature and the extent of the event.
Especially important is the accurate estimate as to how long it will take to
remove the cause of the blockage, which will have an impact on the optimal
overall re-scheduling strategy. The rescue operation itself may take time, and it
may be better to just wait until the cause of the disruption is removed if the
estimated time until the cause is removed is short enough.
Unfortunately, currently this estimate is very inaccurate, which causes the
decision to start the rescue operation to be very late. The development of
technologies to improve the precision of the estimate, including construction of a
good incident database and good information acquisition at the control room, is
strongly expected.
4.2 Substitute train protection
Generally speaking, a high speed railway line is equipped with a train protection
system throughout its length, which is in full use during normal operations.
However, during rescue operations, substitute train protection systems are
frequently used, with special arrangements and restrictions being imposed.
For example, for safety reasons the following rules are imposed when a
substitute train protection is being used on a Japanese Shinkansen line, as
explained in [3]: 1) every train must have a driver and a guard (or two drivers) on
the leading drivers cab; 2) train speed is limited to 110 km/h; 3) every train must
stop before entering a station; and 4) every train must stop at all stations.

A substitute train protection is basically a fully manual process, which is
prone to human errors. Okada [4] introduced the intention of JR East to develop
a new substitute train protection system using the digital train radio, which is
expected to be less prone to errors.
4.3 Energy storage onboard trains
Energy storage systems are expected to reduce energy consumption of electric
railways, especially DC railways. The application of energy storage systems to
high speed railway systems will not, however, contribute to any considerable
energy-savings; this is because high speed railways are generally AC-fed.
Nevertheless, it is expected that the application of energy storage on-board
high speed railcars will contribute to the improvement in the rescue operations,
mainly because this may make it possible to move trains regardless of the
availability of electric power through overhead contact equipment.
Disruption of power supply of a railway line will result in major disruption of
rail services on the line, because the loss of power means loss of the ability to
move for the trains in a certain area. If some amount of energy is stored onboard, the ability to move will not be lost entirely even when the failure of power
supply takes place; this will mean it is much easier to plan and carry out rescue
operations under such circumstances.
Careful design of the railcars, however, must be made if this idea is to be
implemented. The addition of on-board energy storage will result in increased
weight, and therefore increased energy consumption and wear and tear of the
tracks. This must be compared to the advantage gained by the addition.
5 Conclusion
Rescue operations are the necessary step in the train re-scheduling when a major
disruption of service takes place. As discussed in Section 4, the development of
good system to give precision estimate of the time to the removal of the blocking
condition is very important. In addition, there are some new technologies that
may contribute to the improved rescue operations, especially on-board energy
storage.
The rescue operation, however, is only necessary when the major disruption
actually happens. In this respect, the improvement of the reliability of services,
by improving the reliability of individual components that make up the whole
railway system, is most important.
References
[1] Asahi Shimbun, 30 January 2010 (in Japanese).
[2] BBC News Website, 19 December 2009.
[3] Shinkansen Signalling Installations (in Japanese), Revised Ed., Railway
Electrical Engineers Association of Japan (2002).
145
[4] Okada, K.: Development and Implementation of Digital ATC Systems (in
Japanese), JR-East Technical Review, 5, pp. (2003). http://www.jreast.co.jp
/development/tech/pdf_5/27-30.pdf (accessed 1 May 2010).
147
Track measurement by Kyushu Shinkansen

cars in commercial service
H. Moritaka1 & T. Matsumoto2
1
Omuta Track Maintenance Depot, Kyushu Railway Company, Japan

Track Maintenance Division, Track & Facilities Department,
Abstract
The Kyushu Railway Company (JR [Japan Railway] Kyushu) has introduced, for
the first time in Shinkansen trains in Japan, a device that can measure all track
irregularity using cars in commercial service. With that, special measurement
cars were no longer needed, and frequent monitoring of the status of tracks
became possible.
The track irregularity measurement device employs an inertial measurement
method, whereby track irregularity can be measured at a single cross-section. It
is mounted with a special attachment base at the center of the bogie frame on
rear bogies of the lead cars at both ends of the train. Measurement operations are
done by remote control from PCs at the wayside.
Devices that can measure track irregularity, body vibration acceleration, and
axle box vibration acceleration were mounted to Shinkansen cars in commercial
service introduced in August 2009, and use of the devices commenced. Those cars
have run 458,299 km as of the end of April 2010, and track measurement was
made without problems in the 27,412 km for which measurements were taken.
Keywords: Kyushu Shinkansen, track measurement by Kyushu Shinkansen cars
in commercial service, the inertial versine method.
1 Introduction
The Kyushu Railway Company (JR [Japan Railway] Kyushu) has been
proceeding since FY 2005 with the technical development of measurement
functions for track irregularity, vibration acceleration, and axle box vibration
acceleration to add to Shinkansen cars in commercial service. As a result, the
doi:10.2495/CR100151

company has completed the mounting of track measurement devices to new
Shinkansen rolling stock (U7 trainsets) introduced this fiscal year, and good
track measurement has been achieved. This paper will give an overview of
general track measurement by Kyushu Shinkansen cars in commercial service.
2 Composition of the track measurement device for the

Kyushu Shinkansen
Figure 1 shows an image of the track measurement device mounted to a
Shinkansen car in commercial service. The track measurement device covered
here is composed of five major devices: track irregularity detector, vibration
acceleration detector, axle box vibration acceleration detector, position detector,
and control PC. The track measurement device is mounted on the lead cars (car
Nos. 1 and 6).
Technical development of the individual devices was conducted while
gaining the consensus of the Rolling Stock Division from the standpoints of
high-accuracy measurement, no disruption to bogie running performance, and no
reduction to passenger cabin space [1] In this section, we will cover the functions
of the individual devices.
2.1 Track irregularity detector
The track irregularity detectorthe core component of the general track
measurement system createdutilizes the inertial versine method contrived by
the Railway Technical Research Institute in which high-accuracy measurement
of track can be expected without the need for large-scale modifications to rolling
stock (bogies and body) [2]. The inertial versine method applies the inertial
measurement method that utilizes the phenomenon whereby rolling stock
vibrates due to track irregularity, and the results especially are output as versine
irregularity and allow simultaneous measurement of gauge and cross level. In
that way, the inertial versine method that can measure the five basic items of
track irregularity on a single cross section allows the track irregularity detector to
be mounted without a base of the body and multiple bogies as with previous
measurement methods (versine method and asymmetrical chord offset method).
Control PC
Vibration
Axle box
Figure 1:
Position
Track irregularity
Image of mounting to Shinkansen rolling stock.
149
It can thus be said to be a measurement method fitting all-motor-car Kyushu

Shinkansen cars in commercial service.
Figure 2 shows the specific mounting method for the track irregularity
detector. The structure has a special attachment base at the center of the bogie
frame, and the detector is rigidly coupled to that. This detector has a double box
construction with a steel outer box and sensors (displacement gauge, gyro,
accelerometer) on a high-precision aluminum base protected from vibration in
the inner box. Bogie strength and running stability were taken into consideration
as much as possible in design. The track irregularity detector is mounted on the
rear bogies of the lead cars taking into consideration axle load balance,
avoidance of danger in impact with obstructions, and workability in the pit line
at the depot.
2.2 Vibration acceleration detector
The vibration acceleration detector is mounted under the floor near the center of
the lead bogie. It detects vertical and horizontal vibration acceleration of the
body.
Measurement unit
W2000mm H225mm D490mm
Figure 2:
Measurement unit dimensions.
Axle box detector
Figure 3:
Axle box vibration acceleration detector.
Position detector
Figure 4:
Position detector.
2.3 Axle box vibration acceleration detector

Axle box vibration acceleration detector is mounted to the bottom of the axle
boxes of both wheels on the front axle of the lead bogie (Fig. 3). It detects
vertical and horizontal vibration acceleration of the axle.
2.4 Position detector
The position detector is mounted under the body at the rear axle of the lead
bogie. That device detects beacons installed every 500 m to detect location
information. That information along with 0.25 m sampling pulses makes
appropriate alignment of measurement data.
Figure 5:
151
Control PC.
X (left No.1)
X (left No.2)
X (left No.3)
X (right No.1)
X (right No.2)
X (right No.3)
Y (left No.1)
Y (left No.2)
Y (left No.3)
Y (right No.1)
Y (right No.2)
Y (right No.3)
Gross level No.1
Gross level No.2
Gross level No.3
Gauge No.1
Gauge No.2
Gauge No.3
Speed No.1
Speed No.2
Speed No.3
100m
Slab track R4,000 TCL505 C200
* X: 10m chord longitudinal level irregularity
Y: 10m chord alignment
Figure 6:
Example of track measurement wave forms for Shinkansen cars in

commercial service.

2.5 Control PC
The control PC is mounted in the equipment room between the drivers cab and
passenger cabin. That unit is made up components such as the measurement
control part, acceleration control part, power control part, and data recorder.
Compactness was pursued thoroughly so it could reside along with other rolling
stock control devices, making effective use of empty space so it could be
mounted in the equipment room without reducing passenger cabin space.
Furthermore, wayside notebook PCs are linked with the onboard control PC
by a network to form a system where settings for initial conditions and
measurement start/stop can be made by remote control. With that function,
measurement personnel do not need to be on the train, and car scheduling for
measurement is not needed. The system also compensates the weak point of
inertial measurementlow-speed range measurementby simultaneous
measurement between cars Nos. 1 & 6.
3 Wave form of track measurement by Shinkansen cars in

commercial operation
Figure 6 shows an example of the track irregularity wave form acquired in
general track measurement by Kyushu Shinkansen U7 trainsets. The features for
this section are as follows.
[Features, etc.]
Directly fastened Type 8 frame-shaped slab
Open section
Near 4,000 m radius ETC
200 mm cant
12 downhill grade
The track measurement wave forms for three passes shown in Figure 6 were
acquired from the track irregularity measurement device on car No. 1. The three
wave forms match extremely well, and track conditions such as amount of
versine in the curve and appropriate amount of cant are appropriately captured.
We can thus see that the device has very high measurement accuracy.
4 Conclusion
Highly accurate monitoring of track conditions became possible by achieving
general track measurement with Shinkansen cars in commercial service, and we
can expect further improvement in safety. Initial costs and running costs can also
be reduced, and we can expect large expenditure reduction effects. JR Kyushu
plans to add the track measurement function to U9 trainsets to be introduced next
fiscal year to build an even more complete monitoring system.
153
References
[1] Moritaka, H., Matsumoto, T. & Yazawa, E., Technical development for
general track measurement by Kyushu Shinkansen Cars (Japanese). Journal
of the Japan Railway Civil Engineering Association, pp. 921-923, 2009.
[2] Moritaka, H., Yazawa, E. & Tsubokawa, Y., Performance evaluation of
inertial versine track irregularity detector and investigation of detecting
method in low speed range (Japanese). Proc. Of the 46th Academic Lecture
Meeting of Japan Society of Civil Engineers: Fukuoka, Japan, pp. 73-74,
2008.
155
Development of a high-speed overhead

contact line measurement device for the
Kyushu Shinkansen
N. Kinoshita1, Y. Himeno2 & R. Igata2
1
Strategy Management Department, Kyushu Railway Company, Japan

Electric Power Division, Electrical Engineering Department,
Abstract
This report addresses the development of a measurement device for more
efficiency in the dynamic inspection of overhead lines, which is one type of
equipment inspection for the Kyushu Shinkansen.
With Shinkansen lines in the past, overhead lines were measured with special
electric and inspection cars using measurement pantographs and lasers. A testing
timetable had to be put together during the regular commercial service time. In
light of that, the Kyushu Railway Company (JR [Japan Railway] Kyushu) took
the following points into consideration, and developed a device for measurement
where imaging equipment is mounted to Shinkansen trains in commercial
operation to analyze the dynamic state of overhead lines by image analysis.
1) Enabling increased efficiency in maintenance by measuring on the normal
timetable during commercial service.
2) Reducing costs by eliminating the need for a special measuring car.
3) Simplifying the components that make up the measurement device.
With that measurement device, train location information and speed
information can be acquired from ATC (Automatic Train Control) to associate
those with test results at the points measured for better data management.
This measurement device is used periodically, and the data acquired is
utilized for maintenance and management of the overhead line equipment.
Keywords: Shinkansen, overhead contact line measurement, image processing,
stereo measuring, pattern recognition of shape.
doi:10.2495/CR100161
Figure 1:
Kyushu Shinkansen Kagoshima route map.
1 Introduction
With the partial opening of the Kyushu Shinkansen Kagoshima route in March
2004 (between Shin-Yatsushiro and Kagoshima-Chuo Stations: Fig. 1), trains in
commercial service were equipped with imaging devices and other equipment. A
high-speed overhead contact line measurement device (hereinafter the
measurement device) incorporating those was developed to diagnose the
dynamic state of contact wires and pantographs.
For Shinkansen lines in the past, overhead contact lines were measured with
measurement equipment using measurement pantographs and lasers on special
electric and track inspection cars. The Kyushu Railway Company (JR [Japan
Railway] Kyushu), however, decided to mount the measurement device on
Shinkansen cars in commercial service in consideration of the following to
measure Kyushu Shinkansen overhead contact lines.
- Costs can be reduced by eliminating the need for special measurement cars.
- Equipment composing the measurement device can be simplified.
- Maintenance can be made more efficient with the ability to measure during
commercial operation.
The measurement device images and records with cameras train line facilities
around contact wires and pantographs during commercial service, and it finds the
157
required measurement values by image processing. To determine the location of

measurement points, speed and distance information from ATC are recorded in
parallel with processing to save image data, and the results of image processing
are output associated with the location of measurement points. The following
development policies were followed to build the system in development of the
measurement device.
(1) Development of a measurement device that does not interfere with
commercial service
(2) Acquisition of highly accurate measurement data by putting a compact
measurement device on trains
(3) Introduction of imaging equipment compatible with acquiring high-speed
measurement data
(4) Establishment of a system composition that allows for easy function
upgrading
(5) And easy-to-handle system composition
(6) A system composition using general-purpose equipment
2 Measurement items
Measurement items for the measurement device are the following dynamic items
pursuant to measurement items with conventional electric and track inspection
cars (Fig. 2).
(1) Contact wire height
(2) Contact wire deviation
(3) Detection of obstructions around pantograph
(4) Shape monitoring of pantograph head and horn
(5) Contact wire hard spot detection
(6) Power collection status monitoring (video playback confirmation item)
Measurement of the static item of contact wire residual diameter is not done
with the measurement device. That is measured by a wear measuring instrument
on the separate maintenance car.
(4) Pantograph head/horn
shape monitoring
(2) Contact wire deviation
(1) Contact wire height

(5) Detection of contact wire hard
spot
Figure 2:
(3) Detection of obstacles around

pantograph
Measurement items.
3 Conventional method for overhead contact line measuring

Conventionally, the method to measure the state of overhead contact lines has
been to measure manually or use a special car.
When measuring manually, an operator uses various measurement
equipments to measure the overhead line from the wayside or from an overhead
contact line work car. That method allows accurate measurement of static aspects
of overhead contact lines such as residual diameter of contact wires. However,
measurement is at points, so efficiency is poor, and dynamic aspects such as
contact wire height, deviation, and hard spots cannot be measured.
Measuring using a special car allows for measurement of static aspects of
overhead contact lines by running a special measuring car with measurement
devices on it. While efficiency of measurement is higher than that with manual
measurement, operation scheduling must be done in a planned manner. Thus, it
is difficult to be flexible in terms of route and time for measurement. Measuring
with a special measuring car is done by irradiating with lasers, using a special
measurement pantograph, or by image processing.
When measuring by irradiating with lasers, laser light scans the overhead
contact line, and the reflected light is captured to measure the state of the
overhead contact line. While highly accurate measuring can be done, equipment
such as a mirror control device and high-frequency power source are required in
addition to the laser emitter. Thus, a broad space on the roof of the special car is
needed for installation.
When measuring with a measurement pantograph, a pantograph that does not
collect power is installed on the roof of the car in addition to the regular power
collection pantograph, and that is used to take measurements. Consideration does
not need to be made for insulation with the measurement pantograph body, so
devices such as acceleration sensors and micro switches can be directly installed
on the measurement pantograph.
With measurement using image processing, a CCD camera installed on the
roof of the train records the area around the pantograph, and those images are
processed to measure the overhead contact line. Contact wires other than those
being measured, messenger wires, feeders, and other lines are visible in the
images. So, light from a slit light is projected perpendicular to the overhead
contact line to differentiate which line segment of the wires in the images is the
contact wire to be measured, and an image where one point on the contact wire is
reflected is processed for measurement.
4 Composition of the system for the measurement device

The measurement device is composed of onboard devices including the camera
for imaging and wayside devices for data analysis (Fig. 3).
Onboard devices include cameras on the roof of Shinkansen cars, projectors,
and onboard PCs. Data imaged while the train is running and speed/distance
information acquired from ATC devices are stored on the PC. Cameras are
installed on car No. 5, on which a pantograph is also installed (Fig. 4).
Car No.2 end
Onboard
Car No.1 end

New
ATC
ATC
Car No.1
New ATC
Pant2
Pant2
Pant1
Pant1
Car No.2
Car No.3
Car No.4
Car No.5
Car No.6
Onboard devices
Wayside devices
PC
CCD cameras 2
Line sensor
Maintenance base
Tape
Figure 3:
System composition.
Line sensor
CCD camera 1
Figure 4:
CCD camera 2
Onboard cameras.
159

In past overhead line measuring methods (by emitting with a laser or using a
measurement pantograph), there were restrictions on space for installing
equipment on the roof or in the cabin. So, many issues had to be overcome in
applying those methods to rolling stock in commercial service. Moreover, the
measuring method by image processing where lighting is modified uses special
images recorded by illuminating with a slit light, so images cannot be diverted
for use in other measurement items such as pantograph shape monitoring or
obstacle detection.
To sum up the situation, it would be best to be able to measure multiple items
from the images from one camera. The measurement device thus used two CCD
camera and one line sensor camera. A projector is installed on the roof of car No.
4 to ensure brightness for the pantograph of car No. 5 and its surroundings. The
onboard PC is installed in the equipment room on car No. 6. Video signals from
the cameras are converted into optical signals and transmitted to the equipment
room by optical cable, and are supplied to the onboard PC. The onboard PC
records video data on a hard disk along with speed and distance information
acquired from ATC devices.
Major specs of the imaging equipment are as follows.
a. CCD cameras
Pixel count:
648 (H)492 (V)(max)
Frame rate: 60Hz
Sensor sensitivity: 0.23 Lux, Max gain, 50% Video
b. Line sensor camera
Pixel count:
4,096
Scan rate: 4.73 kHz (max)
c. Camera units
Embedded on car so as not to be a source of noise when train is running
Made to be as compact as possible
d. Projectors
Ensures brightness to allow camera imaging
4 HID lamps (2 lamps2 units)
Wayside devices download image data acquired by the onboard devices,
analyze those images, conduct measurement processing, and output data
associated with speed and distance information acquired from ATC devices. As
the amount of data exchanged between the onboard and wayside devices is
enormous, LTO large-capacity media is employed.
5 Principles of overhead contact line measurement

Two cameras are used for position measurement of overhead contact lines. Those
cameras are located on the right and left sides around the pantograph on the roof
of the car, and the baselines of those two cameras are made parallel to the
pantograph head. The benefits of two cameras over one are as follows.
161
Just the contact wire in contact with the pantograph can be geometrically
differentiated from images where contact wires, messenger wires, and other
items show up in various ways.
Images taken by the two cameras on the right and left sides almost never have
contact wires and messenger wires show up overlapped due to their erection
structure. That way, the contact wires are not imaged thicker than they actually
are, and the center position of the contact wire can be correctly measured.
Next, we will explain the contact wire position measuring process (Fig. 5, 6).
First, the left and right cameras acquire images of the same pantograph and the
surrounding area, and the pantograph in the images from the left and right
cameras is detected by pattern matching. Next, multiple line segments of wires in
the image perpendicular to the detected pantograph are selected as candidates for
the contact wire to be measured, and groups of line segments of wires among
those that cross at the same point as the pantograph are found by stereo
corresponding point searching. That is determined to be the contact wire to be
measured. From the coordinates of the left and right images of the point where
the contact wire and pantograph cross, the three-dimensional position (XYZ) of
the contact point is calculated by triangulation. Through those processes, the
contact wire that is contacting the pantograph is detected from multiple contact
wires and messenger wires in images, and the position of that contact point can
be measured.
The principle of so-called stereo measuring is used. Stereo measuring is the
same as a human visually senses the distance to an object. For example, cameras
A and B are set apart at distance L as in Fig. 7. In that case, the angle of view
recorded by both cameras is a known value. When the object is recorded by
camera A, it will be recorded at a position where the image is split into A1:A2.
The principle is that the respective formulas for the straight lines connecting
camera A and B with the object are solved, and the crossing point coordinates of
those two straight line formulas is the position of the object (Fig. 7).
Figure 5:
Measurement procedure.
Figure 6:
Figure 7:
Detecting contact wire to be measured.
Principles of stereo measuring.
163
6 Image processing
Next, we will cover specific image processing for individual measurement items.
6.1 Contact wire height
With the measurement device, a line sensor camera having resolution power
about ten times that of CCD cameras are used to acquire highly accurate
measurement data. Specifically, a perpendicular slit image of the pantograph
head area is recorded at 1,000 lines per second to generate a spatiotemporal
image, and the change in pantograph height is calculated by the top of the
pantograph being extracted through image processing and output as the contact
wire height.
Fig. 8 is an example of a spatiotemporal image from a line sensor camera.
The horizontal axis is time, and the vertical matches physical up-and-down
movement. The thick line extending horizontally is the trajectory of the
pantograph head, and the vertically flowing line is wayside structures
momentarily passed. In image processing, the top of the pantograph head is
extracted and the height is calculated.
6.2 Contact wire deviation
Images of the area around the pantograph recorded from two directions by two
CCD cameras installed on the car roof are used to find contact wire deviation.
The contact wire and the pantograph contacting that are extracted from the left
and right images by image processing, and the three-dimensional position of the
contact point is calculated through the principles of the triangulation method
based on the coordinate values from the left and right images of the contact
point. The distance from the center of the pantograph to the contact point is then
output as contact wire deviation.
UP
Pantograph(trajectory)
Down(body)
Time axis
Pantograph
height
Figure 8:
Model of line sensor image manipulation.

6.3 Detection of obstacles around the pantograph
Images recorded by two CCD cameras are analyzed to detect obstacles around
the pantograph. When objects other than preset structures (pantograph, overhead
contact lines, support fixtures, etc.) in a range set beforehand are discovered,
those are detected as obstacles. The position of obstacles and the section and
distance information of the point where obstacles are detected are output.
The definition of obstacles around the pantograph is as follows.
Obstacles are all objects not contacting the contact wire that are suspected to
obstruct the pantograph.
Overhead contact line support fixtures, etc. in contact with the contact wire are
not detected as obstacles even if they are around the pantograph.
6.4 Pantograph head/horn shape monitoring
Pantograph head and horn shape are pattern-recognized, and the presence of
shape irregularities is determined by comparison processing with the acquired
image. The position where shape irregularity occurs (kilometerage) is also found.
Places with pattern discordance can be reconfirmed through images by indicating
the kilometerage, etc. A binary search function that plays back recorded images
in sequence and narrows down the location where shape irregularity occurs is
provided as a tool to visually inspect pantograph shape.
6.5 Contact wire hard spot detection
Continuous data of pantograph height calculated from spatiotemporal images by
the line sensor camera shown in Fig. 8 is in itself the trajectory of pantograph
behavior, so the second order differential of that is calculated, and acceleration
acting on the pantograph found. Dividing that acceleration with the gravitational
acceleration, and the hard spot found. If that result is in excess of a certain value,
the point of the contact wire is judged to be a hard spot.
6.6 Power collection status monitoring (item confirmed by image playback)
Inspection is performed visually with this function by playing back images. If
irregularities with the power collection status are discovered, images and
distance/speed information are associated at that point in time and recorded.
7 Use of measurement data

Results of measurement processing are arranged by section and distance
information, and are output as lists of figures and as graphs (Fig. 9). The
horizontal axis of the graph display is kilometerage, and measurement data and
points measured can be easily compared. Similarly, if any irregularities are
detected, places where they occur can be easily identified. Furthermore, the
measurement device allows image data to be cued from the output data of
Figure 9:
165
Log form output example.
measurement results. That way, still images of the places where problems occur
and video of before and after the occurrence can be instantly played back to
allow visual confirmation of the state of the overhead contact line at the time
irregularities occur.
8 Measurement results
The measurement device was installed on Shinkansen cars in commercial
service, and measurement processing was done from images repeatedly acquired
under conditions with differing running time and running speed in the section
between Shin-Yatsushiro and Kagoshima-Chuo. Fig. 10 and Fig. 11 are some of
the measurement processing results for that. The top of the two graphs in each
figure is the measurement results for pantograph height. Its vertical axis is
pantograph height, and its horizontal axis is operating distance with Hakata
Station as the starting point. The bottom graph is the measurement results for
contact wire deviation. Its vertical axis is deviation from center of pantograph to
contact point of the contact wire, and its horizontal axis is operating distance
with Hakata Station as the starting point as in the top graph.

Fig. 10 is graphs when running in a straight section. The top graph is contact
wire height (height from rails to pantograph), varying between 5,000 and 5,100
mm height. Height is higher at overhead contact line supporting points and lower
between the supporting points, demonstrating the change in height with a simple
catenary system. The bottom graph is contact wire deviation, showing the
zigzagging of overhead contact lines in straight sections where the contact wires
slides left and right about 200 mm. The point plotted like a protruding hair to
the left of the center of the graph is where two contact wires in the image are
detected. That location is a section where contact wires switch with main wire
and side-main wire installed in 300 mm intervals, and those intervals and
locations are accurately measured.
Fig. 11 is graphs when running in a curved section in a tunnel, and the section
between the arrows applies to the curved area. The top graph is contact wire
height, and while wiggling change in height cannot be seen compared to the
straight section, it shows the amount of sag for contact wire between supporting
points is less than in the straight section. The bottom graph is contact wire
deviation, showing that the contact wire is skewed to one side at the outside of
curve.
Figure 10:
Contact wire height and deviation measurement results example

(straight section).
Figure 11:
Contact wire height and deviation measurement results example

(curved section).
167
9 Conclusion
JR Kyushu has developed and put into operation a device that measures the
dynamic state of overhead contact lines by acquiring images of around the
pantograph while the train is running using cameras installed on Kyushu
Shinkansen cars in commercial service. That has brought about improvements in
measuring accuracy and reduction in labor required for measuring work.
Addition of a contact line residual diameter measuring function is also
planned with the opening of the completed Kyushu Shinkansen. Verification
tests are being conducted for that at the present time, and further reduction in
labor required for measuring work is expected with its introduction.
References
[1] Nakahata, Y. & Kinoshita, N., Measurement by utilizing commercial train
(Japanese). Railway and Electrical Engineering, Japan Railway Electrical
Engineering Association, pp. 65-68, 2004.
[2] Kinoshita, N., Development of overhead contact line measurement device
by imaging (Japanese). Journal of Japan Railway Engineers Association,
pp. 57, 2004.
169
The analysis of train reliability for

the Taiwan High Speed Rail
J.-C. Jong1, T.-H. Lin1, C.-K. Lee2 & H.-L. Hu3
1
Civil & Hydraulic Engineering Research Center,

Sinotech Engineering Consultants, Inc, Taiwan
2
Department of Marketing and Logistics, Southern Taiwan University,
Taiwan
3
Bureau of High Speed Rail,
Ministry of Transportation and Communications, Taiwan
Abstract
This study briefly reviews the development of the Taiwan High Speed Rail and
analyzes its service reliability in terms of punctuality and average delay per train.
The concept of risk management is also introduced in this paper to analyze the
frequency and the severity of train delays caused by different kinds of accidents.
According to the result of the analysis, signal and interlocking failures are the
main reasons leading to train delays. Earthquakes and typhoons are also major
threats to the system, even though the system tends toward stable. Based on the
experiences of the Taiwan High Speed Rail, shortening the maintenance cycle
can efficiently alleviate the problem of train delay caused by signal failures.
Keywords: High Speed Rail, train delay, risk management.
1 Introduction
On 1 October 1964, the worlds first high-speed train commenced service on the
Tokaido Shinkansen line between Tokyo and Osaka at a speed of 210 km/h. This
date marks the start of the era of High Speed Rail (HSR). Despite the success of
Shinkansen, the spread of HSR around the world was relatively slow. Seventeen
years later, France launched a HSR service with a maximum speed of 270 km/h
between Paris and Lyon in 1981. Another seven years later, the worlds third
HSR was introduced in Italy. Afterwards, German and Spain also joined the club
of HSR in 1991 and 1992, respectively [4].
doi:10.2495/CR100171

In the late 20th century and the beginning of the 21st century, the
development of HSR increased rapidly because of economic, environmental and
external cost concerns, especially in the Far East [8]. In 2004, the Korea Railroad
(Korail) opened its KTX between Seoul and Busan, using TGV technology [13].
Three years later, the Taiwan High Speed Rail (THSR), the first HSR outside
Japan to adopt Shinkansen technology, was inaugurated to provide a high speed
passenger service between Taipei and Kaohsiung at a maximal speed of 300
km/h. In 2008 and 2009, the Beijing-Tianjin HSR and the Wuhan-Guangzhou
HSR were introduced in China. At present, the HSR has become a prevailing
transportation mode and several projects are currently under development in
different countries, including the High-Speed Intercity Passenger Rail (HSIPR)
in the USA [3].
As it spreads around the world, HSR has been recognized as an energysaving, environment-friendly, and efficient mode of transportation [8]. People
expect not only high-speed travel, but also safe and reliable service. After three
years of operation, the THSR has carried more than 80 million passengers.
Incidents leading to injuries and fatalities have never occurred to date. However,
train delays are created sometimes. This study collected operation data from the
Bureau of High Speed Rail (BOHSR), the supervisor and regulator of the THSR,
to analyze the train reliability of the THSR. The study also introduced the
concept of the risk management to analyze the frequency and the severity of train
delays caused by different kinds of accidents. Through the proposed method,
problems disturbing the normal operation of the THSR could be identified. The
proposed methodology could be applied to other HSR or conventional railways
for identifying, analyzing, and evaluating the risks of train delays.
2 The Taiwan HSR project

In the 1980s, Taiwans economy was booming, especially in the western region.
The growth of the economy led to increasing demands for intercity
transportation. According to the investigation report in 1990 [5], the amount of
trips between Taipei (the major city in the North of Taiwan) and Kaohsiung (the
major city in the South of Taiwan) would increase by 84% until 2011. The huge
growth attracted much attention from the government to think about how to
alleviate the congestion problem.
To overcome the capacity insufficiency problem and to achieve the goal of
the one-day living area policy in Taiwan, a HSR system was finally selected
from many alternatives. The THSR project was initially planned to be built by
the public sector. Due to the increased public fiscal burdens, parliament
withdrew the budget allocated to the THSR project and decided to have the
project built by the private sector with a Build-Operate-Transfer (BOT) model
[14]. This kind of infrastructure privatization model is spreading in many
developing and developed countries under tight budgetary constraints [6]. With a
construction value of $18 billion, the THSR project was undoubtedly one of the
most expensive concession transportation projects in the world at that time and
perhaps even today.
171
In September 1997, the Taiwan High Speed Rail Consortium was selected to
be the best applicant for the BOT project. The Taiwan High Speed Rail
Corporation (THSRC) was then incorporated in May 1998 as the concessionaire
to build and operate the HSR service. The THSRC was licensed by the
government to finance, construct, and operate the system for a period of 35 years
and a concession for station area development for a period of 50 years [14]. The
construction of the THSR started in 1999 and ended in 2006. The rail network
links Taipei and Kaohsiung at a total length of 345 kilometers. Currently, eight
stations are in operation, including Taipei, Banciao, Taoyuan, Hsinchu,
Taichung, Chiayi, Tainan, and Zuoying (a district in Kaohsuing), as shown in
Figure 1.
The THSRC imported 700T trains, a type of the Shinkansen rolling stock
based on the 700 series, from Japan. It was the first time that the Shinkansen
exported its system to a foreign country. The 700T train set has a distributed
traction system formatted by 12 cars including nine power cars and three trailers.
The passenger capacity of the 700T train is 989 seats [11]. The designed
maximum speed of the 700T train is 315 km/h, but its commercial maximum
speed is 300 km/h. The acceleration rate is 2.0 km/h/s and the deceleration rate is
about 2.7 km/h/s.
The whole network of the THSR is designed as double tracks. The maximum
gradient is 35 and the minimum radius is 6,250 meters. The operation control
center (OCC) is located at Taoyuan station. One maintenance base is situated
near Hsinchu, and two depots are located in the center and south of Taiwan. The
main workshop is located at Yenchao between Tainan and Kaohsiung. Normally,
double-track operations are used, but the signaling system also provides the
flexibility of single-line, bi-directional operations. In addition, the digital
automatic train control (D-ATC) system is installed to ensure safety.
Figure 1:
The route and stations of the THSR.
3 Train services and ridership

Table 1 lists the stopping patterns and their associated journey time of the THSR.
The stopping patterns combine non-stop, express, and local trains. At the
beginning, the THSRC provided train services with many different kinds of
stopping patterns. However, at present, almost all trains follow pattern B or E
and very few adopt patterns F or G. Currently, pattern B is the fastest service
between Taipei and Zuoying with a travel time of 96 minutes.
When the THSRC started commercial operations, only 38 train services were
provided daily. Afterwards, more and more drivers completed training and the
system tended toward stable. The THSRC constantly increased the number of
daily services from 38 to 142 to achieve the request of the BOT contract until
December 2008. After that, the THSRC reduced train frequency due to the
economic depression. The trend of the number of daily services from January
2007 to March 2010 is displayed in Figure 2.
Table 1:
The stopping patterns and the associated journey time of the

THSR.
Pattern
Taipei
Banciao Taoyuan Hsinchu Taichung Chiayi
Tainan Zuoying
Travel
Time
(min)
81
96
108
108
120
57
60
5000
4500
4000
3500
3000
2500
2000
1500
1000
500
Figure 2:
Mar-2010
Jan-2010
Feb-2010
Oct-2009
The trend of the number of daily train services.
Dec-2009
Sep-2009
Nov-2009
Jul-2009
Aug-2009
Jun-2009
Apr-2009
May-2009
Mar-2009
Jan-2009
Feb-2009
Oct-2008
Dec-2008
Nov-2008
Sep-2008
Jul-2008
Jun-2008
Aug-2008
Apr-2008
May-2008
Jan-2008
Feb-2008
Mar-2008
Dec-2007
Oct-2007
Nov-2007
Jul-2007
Sep-2007
Aug-2007
Jun-2007
Apr-2007
Mar-2007
May-2007
Jan-2007
0
Feb-2007
The Number
of Train
Services
The Number
of Train
173
3500
3000
2500
2000
1500
1000
500
0
Jan-2007
Feb-2007
Mar-2007
Apr-2007
May-2007
Jun-2007
Jul-2007
Aug-2007
Sep-2007
Oct-2007
Nov-2007
Dec-2007
Jan-2008
Feb-2008
Mar-2008
Apr-2008
May-2008
Jun-2008
Jul-2008
Aug-2008
Sep-2008
Oct-2008
Nov-2008
Dec-2008
Jan-2009
Feb-2009
Mar-2009
Apr-2009
May-2009
Jun-2009
Jul-2009
Aug-2009
Sep-2009
Oct-2009
Nov-2009
Dec-2009
Jan-2010
Feb-2010
Mar-2010
The Number of Passengers

The Number(thousands)
of Passenger(thousand)
Since the fares of other modes in the Western corridor of Taiwan are cheaper
than the THSR, except airlines, several marketing strategies were implemented
to increase the seat utilization rate and the revenue of the THSRC. In addition to
the half price promotion during the first two weeks at the beginning of
commercial operations, the strategy of non-reserved seats has also been
adopted since November 2007. The concept of non-reserved seats is that
passengers need not book before riding; they can purchase tickets immediately
after arriving stations, and then take any train without designated seats. The
promotion provided more convenience for business travelers, and the price of
non-reserved seats had a 20% discount during the first three months. The
THSRC initially provided three cars of non-reserved seats per train, and this
increased by one more in January 2008 to mitigate the crowded condition. After
the three month period, the discount for non-reserved seats was adjusted several
times until settling on a final value of 15%. Additionally, the use of these tickets
is now only permitted on weekdays, excluding Fridays and the days before
holidays.
Another promotion that allowed 20% discounts on all types of tickets on
weekdays was implemented from April to November 2008. During the period,
the airlines between Taipei and Taichung, Taipei and Chiayi, Taipei and Tainan
were cancelled. Only Taipei-Kaohsiung airlines survived and there remained
three flights per week. Since November 2008, the THSRC has pushed a new
program called Two-Color Promotion. It was the first time that the THSR
introduced the concept of revenue management. In this program, each train
service was denoted by a color, either blue or orange. The blue indicates a 15%
discount and the orange means a 35% discount. The THSRC has promoted this
program to attract on-peak passengers to take off-peak trains.
Figures 3 and 4 depict the number of passengers and the seat utilization rate
of the THSRC from January 2007 to March 2010. Generally speaking, the
monthly ridership is approximately 2,500 ~ 3,000 thousand passengers and the
seat utilization rate was approximately 40% ~ 50% last year. The influence of
each promotion can also be observed roughly in these two figures.
Figure 3:
The number of passengers.
80.00%
70.00%
60.00%
50.00%
40.00%
30.00%
20.00%
10.00%
0.00%
Jan-2007
Feb-2007
Mar-2007
Apr-2007
May-2007
Jun-2007
Jul-2007
Aug-2007
Sep-2007
Oct-2007
Nov-2007
Dec-2007
Jan-2008
Feb-2008
Mar-2008
Apr-2008
May-2008
Jun-2008
Jul-2008
Aug-2008
Sep-2008
Oct-2008
Nov-2008
Dec-2008
Jan-2009
Feb-2009
Mar-2009
Apr-2009
May-2009
Jun-2009
Jul-2009
Aug-2009
Sep-2009
Oct-2009
Nov-2009
Dec-2009
Jan-2010
Feb-2010
Mar-2010
Seat Utilization Percentage

Seat
Rate
90.00%
Figure 4:
The seat utilization rate.
Punctuality within 5 mins
Punctuality within 10 mins
100.00%
99.50%
99.00%
98.50%
98.00%
97.50%
97.00%
96.50%
Jan-07
Feb-07
Mar-07
Apr-07
May-07
Jun-07
Jul-07
Aug-07
Sep-07
Oct-07
Nov-07
Dec-07
Jan-08
Feb-08
Mar-08
Apr-08
May-08
Jun-08
Jul-08
Aug-08
Sep-08
Oct-08
Nov-08
Dec-08
Jan-09
Feb-09
Mar-09
Apr-09
May-09
Jun-09
Jul-09
Aug-09
Sep-09
Oct-09
Nov-09
Dec-09
Jan-10
Feb-10
Mar-10
96.00%
Figure 5:
Monthly punctualities within 5 and 10 minutes.
4 The analysis of punctuality and train delays

Although the THSR has provided services for more than 80 million passengers
since January 2007, no incident leading to injuries and fatalities has ever
occurred. However, a few incidents causing train delays have indeed happened
during the past three years. This section tries to analyze the punctuality and the
train delays of the THSR. The concept of the risk management is also employed
to analyze the frequency and the severity of train delays caused by different
kinds of accidents.
4.1 Trend of train punctuality
Figure 5 shows the train punctualities of the THSRC within 5 and 10 minutes
during the past three years. Since the THSRC did not report punctuality within 5
minutes to BOHSR in 2007, this data was not drawn. The figure indicates that
monthly punctualities are almost higher than 98%. In July 2008 and August
175
2009, signal failures made punctuality drop below 98%. In March 2010, an
earthquake of magnitude 6.4 resulted in a minor train derailment. This
earthquake caused damage to the train and running rails, but all passengers were
safe. However, more than 20 trains were cancelled or adjusted to run with new
stopping patterns after the earthquake. The earthquake led to a steep decline in
punctuality to a value of 96.61%, the lowest one since the THSRCs commercial
operations.
4.2 Trend of average delay
The delays reported to BOHSR were presented by a frequency distribution with
unequal delay interval, i.e., less than 5 minutes, between 5 and 10 minutes,
between 10 and 30 minutes, between 30 and 60 minutes, and more than 60
minutes. The average train delay is approximated by the following equation:
5
fM
i
(1)
i 1
Figure 6:
Average delay per train.
Mar-10
Jan-10
Feb-10
Dec-09
Oct-09
Nov-09
Sep-09
Jul-09
Aug-09
Jun-09
Apr-09
May-09
Mar-09
Jan-09
Feb-09
Dec-08
Oct-08
Nov-08
Sep-08
Jul-08
Aug-08
Jun-08
Apr-08
May-08
Mar-08
Jan-08
1
0.9
0.8
0.7
0.6
0.5
0.4
0.3
0.2
0.1
0
Feb-08
Average Delay
per
Train
(min)
Average
Delay
per Train
where: X = average train delay (minutes)

f i = the frequency of the ith class
M i = the median of the ith class (minutes); M 1 0 and M 5 60
n = total train services
The above equation implies that trains with delays less than 5 minutes are
considered to be punctual and that delays over 60 minutes are reset to 60 minutes
for simplification. Besides, the medians of the other classes are used to represent
the delay time for all trains in the classes. The approximation is not precise, but
is a reasonable estimate of average delay. Figure 6 displays the average delay per
train during the periods from January 2008 to March 2010. The results during
2007 are not shown in the figure since the number of delay less than 5 minutes is
not recorded. The figure shows that the average delay per train ranges between 0
and 0.83, demonstrating that the service of THSRC is very reliable.

4.3 Delays caused by accidents
Since BOHSR only requested THSRC to report specific accidents such as
collisions, derailments, rolling stock failures, and the accidents causing train
delays over thirty minutes, the data collected for this study were limited. Figure 7
presents the number of reported accidents per month from January 2007 to
March 2010. The annual moving average (AMA) number of accidents
normalized by 10 million train-kilometers is also marked in the figure. There has
been a decreasing trend in the AMA over the past three years. In 2007, rolling
stocks, tracks, and signal failures were the main reasons leading to train delays.
As the operation of THSR gradually reaches to a stable condition, natural
disasters such as earthquakes and typhoons become the major threats to train
reliability nowadays. In addition, signal and interlocking failures are still
potential hazards to reliability. The evidence from March 2009 showed that more
than 3,000 minutes of train delays were resulted from only one signal failure.
Figure 8 uses another indicator, the total train delays caused by accidents, to
represent the trend of reliability. It is easy to notice the contrast between Figure 7
and Figure 8. These two figures indicate that the frequency of accidents
decreases, but the number of total train delays increases. That is because the
number of train services has increased continuously in the last three years. Any
accident might easily affect other trains and eventually cause train delays.
4.4 The analysis of train delay risks
The concept of risk has been widely applied to different disciplines. In railway
industries, risk can be used to evaluate the threats to the success of a railway
project, or the safety of a railway system. However, the applications of risk
concept to train delays are seldom found in the literature. In this study, we tried
to apply the concept of risk to evaluate the threats to train punctuality.
According to the Operational Rules and Regulations of Railroads stipulated by
the Ministry of Transportation and Communications [10], railway accidents are
classified into 17 categories: (1) train or rolling stock collision, (2) train or
1.5
2.5
1.25
1.5
0.75
0.5
0.5
0.25
Figure 7:
Trend of the number of accidents reported.
AMA Number
of Accident per
AMA Number
of Accidents
per 10
10 Million Train Kilometers
Million
Train-Kilometers
AMA Number
Jan-07
Feb-07
Mar-07
Apr-07
May-07
Jun-07
Jul-07
Aug-07
Sep-07
Oct-07
Nov-07
Dec-07
Jan-08
Feb-08
Mar-08
Apr-08
May-08
Jun-08
Jul-08
Aug-08
Sep-08
Oct-08
Nov-08
Dec-08
Jan-09
Feb-09
Mar-09
Apr-09
May-09
Jun-09
Jul-09
Aug-09
Sep-09
Oct-09
Nov-09
Dec-09
Jan-10
Feb-10
Mar-10
The Number
of Accident per
The Number
of Accidents
perMonth
Month
Monthly Number
3

AMA Number
3500
770
3000
660
2500
550
2000
440
1500
330
1000
220
500
110
0
Jan-07
Feb-07
Mar-07
Apr-07
May-07
Jun-07
Jul-07
Aug-07
Sep-07
Oct-07
Nov-07
Dec-07
Jan-08
Feb-08
Mar-08
Apr-08
May-08
Jun-08
Jul-08
Aug-08
Sep-08
Oct-08
Nov-08
Dec-08
Jan-09
Feb-09
Mar-09
Apr-09
May-09
Jun-09
Jul-09
Aug-09
Sep-09
Oct-09
Nov-09
Dec-09
Jan-10
Feb-10
Mar-10
AMA Train Delays per

10 Million Train Kilometers
Total Train Delays per Monthh
Monthly Number
177
Figure 8:
Trend of the total train delays caused by accidents.
rolling stock turnover, (3) train or rolling stock fire, (4) train or rolling stock
derailment, (5) train or rolling stock separation, (6) train running into wrong
track, (7) rolling stock runaway, (8) bumper stop collision, (9) false blocking,
(10) rolling stock failure, (11) track or civil structure failure, (12) overhead
catenary system (OCS) failure, (13) signal and interlocking system failure, (14)
train forced to stop, (15) train stops outside home signal, (16) train delay, (17)
fatality or injury. Note that the meanings of some accidents are not as clear as
their titles. For examples, the accident of train forced to stop means that there
are some obstacles on the line to obstruct train movement. Train delay represents
accidents that are not included in categories (1) to (15) but lead to train delay.
Likewise, fatality or injury denotes any other accidents that result in fatalities or
injuries.
The frequency and the severity of an accident can be calculated by the
following equations:
Fk N k TK
Sk D Nk
(2)
(3)
where: Fk = the frequency of the kth type of accident

N k = total number of the kth type of accident per train-kilometer
TK = total number of train-kilometers
S k = the severity of the kth type of accident (minutes per accident)
D = total amount of train delays (minutes)
Figure 9 shows the delay risk matrix of accidents. Since only eight kinds of
accidents ever happened in the past, the matrix is only marked by eight symbols.
It is obvious that the frequency of signal and interlocking failure is higher than
the others. The severity of other accidents leading to train delay is also high.
The reason is that earthquakes have occurred 5 times since 2007, causing almost
4,500 minutes of train delays. The severities of train or rolling stock
derailment and train or rolling stock collision are relatively low since most of

them happened in depots and did not disturb train operation except the
derailment caused by an earthquake on March 2010.
Figure 10 shows the risk profile of train delays during the periods from
January 2007 to March 2010, where the risk of an accident is calculated by
multiplying the frequency with the severity of the accident. The figure
demonstrates that signal and interlocking failure is undoubtedly the most
serious threat to the reliability of THSR. Other accidents leading to train delay
are also an important risk item, but their causes are diverse and complex. The top
two accident types in the risk profile account for almost 80% of all train delays.
900
800
Severity(min)
700
600
500
400
300
200
100
0
0
A
C
E
G
0.05
0.1
0.15
0.2
0.25
0.3
Frequency(per 10 Million Train Kilometers)
Other accidents leading to train delay

Rolling stock failure
Train forced to stop
OCS failure
Figure 9:
B
D
F
H
Signal and interlocking system failure

Train or rolling stock derailment
Track or civil structure failure
Train or rolling stock collision
Delay risk matrix caused by accidents.
Train Delay Risk of Accident (min/10 Million Train Kilometers)

0
20 40 60 80 100 120 140 160 180 200
Signal and interlocking system failure
167.422
Other accidents leading to train delay
127.603
Rolling stock failure
24.292
Track or civil structure failure
16.337
Train forced to stop
15.242
OCS failure
Train or rolling stock derailment
Train or rolling stock collision
Figure 10:
12.265
2.691
0.000
Risk profile of train delays.
Table 2:
179
Comparison of reliability among different HSR systems in Asia.
Punctuality (within 5 min) Average delay per train

Shinkansen
98.3% (2005)1
0.6 min/train (2009)3
2
KTX
94.1% (2008)
THSR
99.25% (2009)
0.216 min/train (2009)
1: The punctuality of Shinkansen was collected from Lee [7].
2: The punctuality of KTX was obtained from Lim [9].
3: The average delay per train for Shinkansen was collected from the data book
of Central Japan Railway Company [1].
5 The comparisons
Table 2 lists the reliabilities of different HSR systems in Asia. It shows that
THSR has the best performance in terms of both punctuality and average delay
per train. However, it should be noted that the comparisons are not completely
fair. That is because both train service frequency and operating distance affect
service reliability. For examples, the service frequency (13 trains per hour) of the
Tokaido Shinkansen from Tokyo to Shin-Osaka in the peak hour is much higher
than that (five trains per hour) of THSR. The operating distance of KTX from
Seoul to Busan is 412 km, which is longer than the distance from Taipei to
Kaoshiung of THSR (345 km). Even though the external conditions are too
different to judge which system is better, THSR is undoubtedly a reliable system.
6 Concluding remarks
This study collected the punctuality and train delay data of THSR and applied
risk concept to analyze the service reliability of the system. The result of the
analysis shows that signal and interlocking failures are the main causes leading
to train delays in THSR. Although the technologies of THSR were imported
from Shinkansen, one of the most reliable systems in the world, the investigation
reports of BOHSR pointed out that the reasons causing signal failures are various
and undetermined. Even though the facts of failures are still unknown, THSRC
has found that shortening maintenance cycle can efficiently mitigate the
problems. Through the maintenance strategy, the punctuality has indeed
increased after three signal failures in August 2009 until the earthquake
happened in March 2010. We believe that the train delays caused by signal
failures have been controlled by THSR, and the coming challenge will be how to
ensure the safety and reliability while earthquakes and typhoons happen.
The proposed methodology to analyze and evaluate delay risks is very useful
for operators to improve service reliability. From the resulting risk profile,
operators could easily identify the most critical threats to service reliability and
concentrate their efforts in mitigating the risks. However, that would require
more detailed studies on mitigation measures for reducing the frequency or the
severity of a threat to train reliability.
References
[1] Central Japan Railway Company, Data Book 2009, Central Japan Railway
Company, 2009.
[2] Department of Statistics, Monthly Statistics of Transportation and
Communications Republic of China, Ministry of Transportation and
Communications, 2010.
[3] Federal Railroad Administration (FRA), High-Speed Intercity Passenger
Rail (HSIPR) Program; Notice, FRA, 2009.
[4] Givoni, M. Development and Impact of the Modern High-speed Train: A
Review, Transport Reviews, Vol. 26, No. 5, pp. 593-611, 2006.
[5] Institute of Transportation (IOT), The Feasibility Study of High Speed Rail
on the Western Corridor of Taiwan, Ministry of Transportation and
Communications, 1990.
[6] Kwak, Y. H., Analyzing Asian Infrastructure Development Privatization
Market, Journal of Construction Engineering and Management, Vol. 128,
No. 2, pp. 110- 116, 2002.
[7] Lee, Y. S. Achievements of KTX Project for the Past Year and
Improvement Measures, Presented in the 5th Congress & Exhibition on
High Speed Rail, 2005
[8] Lee, Y. S., A Study of the development and issues concerning High Speed
Rail (HSR) Working Paper, Transport Studies Unit - University of
Oxford, 2007.
[9] Lim, B. O., Innovations in Rolling Stock Maintenance Facilities, UIC 6th
World Congress on High Speed Railway, 2008.
[10] Ministry of Transportation and Communications (MOTC), Operational
Rules and Regulations of Railroads, MOTC, 2008.
[11] Shima, T. Taiwan High Speed Rail, Japan Railway & Transport Review,
No. 48, pp. 40-46, 2007.
[12] Taiwan High Speed Rail Corporation, ROD Incident and Accident
Reporting and Investigation Procedure, Taiwan High Speed Rail, 2006.
[13] Takagi, R. High-Speed Railways : The Last 10 Years, Takagi, Japan
Railways and Transport Review, No. 40, pp. 4-7, 2005.
[14] The official web site of Taiwan High Speed Rail Corporation,
http://www.thsrc.com.tw/en/about/ab_comp.asp.
Section 3
Communications
183
Development of a railway signaling device

based on mixed digital and analog signals using
digital signal processors
R. Ishikawa1 , D. Koshino2, H. Mochizuki2, S. Takahashi2 ,
H. Nakamura2 , S. Nishida1 & M. Sano1
1
Kyosan Electric Mfg. Co., Ltd., Japan
2
College of Science and Technology, Nihon University, Japan
Abstract
In Japan, automatic train control (ATC) systems, one type of railway signaling system, transmit train control information by using analog signals based on amplitude
modulation (AM) in the audio frequency band. To realize highly functional train
control by increasing the data transmission speed, there have been many studies on
digital ATC that transmits train control information by using digital signals based
on phase shift keying (PSK), and these systems are employed in some railway
lines. In practice, however, it is difficult to install digital ATC because it is impossible to ensure another transmission band for digital ATC signals due to the existing track circuit configuration and interoperability conditions, and there are many
railway lines in which analog ATC is still employed. To overcome this restriction,
we proposed a novel railway signaling system using mixed digital and analog signals. We employed quadrature PSK (QPSK) for digital signals and developed a
transmission device using digital signal processors. We evaluated the transmission
characteristics by conducting a basic experiment.
Keywords: railway signaling, amplitude modulation, phase shift keying, digital
signal processor.
1 Introduction
In Japan, automatic train control (ATC) systems ensure railway safety by transmitting train control data via the rails based on amplitude modulation (AM) in the
audio frequency band. There is currently a great deal of research on digital ATC,
doi:10.2495/CR100181

which transmits train control information based on digital modulation schemes,
such as phase shift keying (PSK) [1]. Since digital ATC can realize highly functional train control by increasing the data transmission speed, many railway engineers are attempting to install digital ATC. In our previous work, we proposed
a high-speed data transmission system employing code-division multiple access
(CDMA) and quadrature amplitude modulation (QAM) for digital ATC [2].
In practice, however, there are some problems in installing digital ATC. In railway signaling via rails, the audio frequency band is usually employed for data
transmission, and the carrier frequency depends on the track circuit configuration and interoperability conditions. Therefore, since it is difficult to ensure a new
channel for digital ATC signals in a railway line in which analog ATC is employed,
all equipment must be replaced simultaneously when attempting to install digital
ATC.
To overcome this restriction, we investigated a novel data transmission scheme
for railway signaling. Since a digital modulation signal such as PSK has no amplitude component, we considered that conventional analog ATC can employ it as
an AM carrier. Based on this idea, we previously proposed a data transmission
scheme based on mixed digital and analog signals, which we call digitalanalog
ATC.
In the present study, we attempted to develop a transceiver for digitalanalog
ATC using digital signal processors (DSPs). In the transmitter, we implemented
an AM modulator that uses a quadrature PSK (QPSK) signal as an AM carrier.
In the receiver, on the other hand, we implemented some functions such as automatic gain control (AGC) and a Costas loop, which is one carrier synchronization
method, for QPSK demodulation. In addition, we conducted a basic experiment to
verify these transceiver functions. We also conducted an experiment using a setup
including conventional equipment and evaluated the spectral distribution of the
AM demodulated signal and the QPSK constellation characteristics.
2 Overview of digitalanalog ATC

2.1 Definition of digitalanalog signal
Figure 1 shows the scheme for generating a so-called digitalanalog signal. First,
it is necessary to be able to receive the train control signal with conventional ATC
equipment. Therefore, the scheme shown in Figure 1 is based on an AM transmitter. It is possible to demodulate an AM signal even if a PSK signal that has no
amplitude component is employed as the AM carrier. Based on this idea, we developed the digitalanalog signal as a novel signal generation scheme that applies a
PSK -based modulation signal to an AM-carrier of an AM-based transceiver.
2.2 Composition of digitalanalog ATC
Figure 2 shows a block diagram of the digitalanalog ATC. In this figure, a digital
analog signal generator installed as field equipment is connected with the rail
185
Train control signal

transmitted by AM
AM
Signal
generator
Digital-analog
signal
PSK
modulator
Digital data
generator
Train control data transmitted by PSK
Figure 1: Generation of digitalanalog signal.
Amplifier
BPF
Demodulator
(digital or analog signal)
Train speed
decision logic
Transformer
Receiver
adaptor
Real train
speed measurement
Receiver coil
Comparison of
train speed
Braking output
TG
Transformer
Audio
amplifier
Rail
Digital-analog
signal generator
Figure 2: Block diagram of digitalanalog ATC.
serving as the transmission medium. On the train, the received signal is demodulated after passing through an amplifier and a band pass filter (BPF). Since the
received signal includes digital and analog signals, either a digital signal demodulator or an analog signal demodulator is installed. The instructed train speed is
determined from the demodulated signal and is compared with the actual train
speed measured by a tachogenerator (TG). If the actual train speed is faster than
this instructed train speed, it is reduced by applying the brake.

2.3 Characteristics of digitalanalog ATC
When installing digital ATC, one problem is that all equipment must be replaced
simultaneously. With our proposed digitalanalog ATC, on the other hand, it is
possible to transmit mixed digital and analog signals using the same carrier frequency. Therefore, this scheme has the following benefits:
It is possible to replace existing equipment with digital ATC equipment
gradually.
It is easy to conduct verification experiments for installing digital ATC.
It is possible to verify the validity of digital ATC signals by comparing them
with analog ATC signals.
However, the AM power spectrum is distributed to other frequency bands by
employing a digitally modulated signal as the carrier. Therefore, digitalanalog
ATC requires higher signal power to ensure an adequate signal-to-noise ratio (S/N).
3 Design of transmission device using digital signal processors

3.1 Overview of transmission device development
We attempted to develop a transmission device based on the ideas described in
the previous section. Since the transmission band is in the audio frequency band,
we used digital signal processors (DSPs), which have many applications in audio
signal processing. Since one goal of our research is to replace analog ATC with
digital ATC smoothly, in our experiments we used a conventional analog ATC
receiver, and we developed a digitalanalog transmitter and a digital ATC receiver.
3.2 Design of digitalanalog transmitter
As mentioned above, since a PSK-based signal is employed as the AM carrier
for the digitalanalog signal, we designed the digital-analog transmitter to include
both AM and PSK modulators. In addition, we adopted quadrature PSK (QPSK)
to increase the digital data transmission speed. In QPSK, two orthogonal carrier
signals are used to transmit digital data. One is given by cos 2fc t, and the other
is given by sin 2fc t. The two carrier signals remain orthogonal in one period:
Tc
0
cos 2fc t sin 2fc tdt = 0
(1)
where Tc is the period of the carrier signals, which is equal to 1/fc . By using
cos 2fc t and sin2fct, the QPSK signal is given by:
1
1
s(t) = dI (t) cos(2fc t) + dQ (t) sin(2fc t).
2
2
(2)
The channel in which cos 2fc t is used as a carrier signal is generally called the inphase channel, or I channel, and the channel in which sin2fct is used as a carrier
187
Q
1
-1
-1
Figure 3: Symbol placement in QPSK.
signal is generally called the quadrature-phase channel, or Q channel. The data in

the I and Q channels are dI (t) and dQ (t), respectively[3]. Figure 3 shows the symbol placement in QPSK. In this figure, QPSK transmits two bits simultaneously by
assigning one bit, 1 or -1, to the I channel and Q channel, respectively.
3.3 Design of a digital ATC receiver
As mentioned above, since the digitalanalog signal includes an AM signal, we
need to implement a function to cancel an amplitude component in a digital ATC
receiver. To normalize the amplitude component, we applied automatic gain control (AGC) in a digital ATC receiver developed using a DSP. Specifically, we developed software to implement a function for squared detection, which is an AM
detection method.
We used a Costas loop as the carrier synchronization method and implemented
it in the digital ATC receiver. A Costas loop is based on a phase locked loop (PLL),
as shown in Figure 4. Since QPSK has four symbols at intervals of /2, as shown
in Figure 3, the symbol element is cancelled by multiplying the phase by four
at the Costas loop. The Costas loop detects an output signal that is proportional to
the phase difference between the received signal and a voltage controlled oscillator
(VCO) signal and ensures carrier synchronization by adjusting the phase difference
to zero.

cos
LPF
Received
signal
cos 2
sin 4
sin 2
Loop
Filter
VCO
/2
cos 2
LPF
sin
sin 2
Figure 4: Block diagram of Costas loop.
4 Evaluation of digitalanalog ATC transceiver

4.1 Specifications
The specifications of a digital-analog ATC transceiver developed based on the
design in the previous section are shown in Table 1. Although we set the carrier
frequency to 3,150 Hz in this study, other frequencies may be used in practice, for
example, 5,250 Hz. Similarly, we used 35 Hz as the analog signal frequency, but
other frequencies may be used in practice, such as 28 Hz, 64 Hz, etc. The digital
analog ATC transceiver that we developed can freely set these values, as well as
the digital transmission speed, by changing the DSP parameters.
4.2 Verification of basic functions in digitalanalog ATC transceiver
In order to verify the basic functions, such as AGC and carrier synchronization,
we conducted a basic experiment in which a transmitter was connected directly
to a receiver based on the specifications shown in Table 1. Figure 5 shows the
Table 1: Specifications of digitalanalog ATC transceiver.

Parameter
Carrier frequency
Value
3,150 Hz
Analog modulation method
AM
Digital modulation method
QPSK
Analog signal frequency
35 Hz
Digital transmission speed
400 bps
Sampling frequency of DSPs
48 kHz
Amplitude[V]
189
Time[s]
Amplitude[V]
(a) Received signal.
Time[s]
(b) Received signal after applying AGC function.

Figure 5: Waveforms at the digital ATC receiver.
waveforms at the digital ATC receiver. In this figure, we verified that the amplitude component of the digitalanalog signal was cancelled by applying the AGC
function. Figure 6 shows the constellation characteristics after QPSK demodulation. The effectiveness of the AGC function was also verified from this figure
because the amplitude of the demodulated signal was approximately constant. In
addition, the phase of the demodulated signal was also approximately constant,
showing that the VCO output at the receiver could be synchronized with the carrier of the received signal. We verified that the function of the Costas loop could
be implemented in software on the DSP.
4.3 Experiment using actual railway signaling devices
To verify the characteristics of a conventional analog ATC receiver when presented
with the digitalanalog signal, we conducted an experiment using actual railway
signaling devices, as shown in Figure 7. After the digitalanalog signal generated by the digitalanalog ATC transmitter passed through a bandpass filter (BPF),
which is typically employed as the receiver unit on actual trains, it was split and
supplied to a conventional analog ATC receiver and the digital ATC receiver that
we developed. Figure 8 shows the signal after passing through the BPF, which
had narrow band characteristics, and Figure 9 shows the spectral distribution for
the AM demodulated signal. In these figures, since the QPSK signal was influenced by the BPF characteristics, the power spectrum increases to cover a wide
bandwidth, not just 35 Hz, which is the analog signal frequency shown in Table 1.
Figure 6: Constellation characteristics after QPSK demodulation.
Analog ATC
receiver
Signal
generator
BPF
AM
Digital ATC
receiver
(DSP)
QPSK
modulator
Digital-analog
transmitter
(DSP)
Figure 7: Experimental setup, including actual railway signaling devices.
However, since the power at 35 Hz was much larger than that at other frequencies, it was adequate for detecting the train control signal. We verified that the
correct signal corresponding to 35 Hz could be detected with the setup shown in
Figure 7.
5 Future deployment of highly functional ATC system

As mentioned above, adoption of a digitalanalog signal can realize a highly functional ATC system that is free of restrictions due to the track circuit configuration and interoperability conditions. We noted that the PSK signal has no amplitude component, and we employed it in analog ATC using AM. Therefore, once
191
0.08
0.06
Amplitude [V]
0.04
0.02
0
-0.02
-0.04
-0.06
-0.08
0
0.01
0.02
0.03
0.04
0.05
0.06
0.07
0.08
Time [s]
Figure 8: Mixed-signal waveform, including AM signal and digital signal.
Level [dB]
-10
-20
-30
-40
-50
10
20
30
40
50
60
70
80
90
100
Frequency [Hz]
Figure 9: Spectral distribution of AM demodulation.
existing equipment is completely replaced with digital ATC, we will be able to use
the amplitude component for a digital ATC system in order to increase the transmission speed. At present, we are developing a transceiver using QAM for a digital
ATC system. Since QAM can realize high-capacity data transmission compared
with PSK by making use of the amplitude component, digitalanalog ATC has the
potential to realize more highly functional systems by updating the transceiver that
we developed.
6 Conclusion
In this study, we proposed a transmission system that mixes digital and analog signals in the same frequency band, called digitalanalog ATC, as a highly functional ATC system that is free of the restrictions caused by the track circuit configuration and interoperability conditions.
We designed a digitalanalog ATC transceiver including some functions, such
as AGC and a Costas loop, developed using DSPs. From the result of a simple
experiment, we verified the basic functions of the digitalanalog ATC transceiver.
In addition, in a setup including actual railway signaling devices, when a digital
analog signal was given to a conventional analog ATC receiver, the correct signal
corresponding to the AM signal frequency could be detected.
In future research, we plan to evaluate the proposed system quantitatively by
studying the S/N ratio characteristics. We will also investigate a detailed procedure
for implementing an actual ATC system.
References
[1] S. Irie and T. Hasegawa: A study on the Railway Signalling System using
Spread Spectrum Communication , IEICE Technical Report, Vol. 93, No. 89,
pp. 4348 (1993).
[2] H. Mochizuki, S. Takahashi, H. Nakamura, S. Nishida and R. Ishikawa:
Development of a High-speed Rail Transmission System Using Digital Signal Processors for Railway Signalling, Eleventh International Conference on
Computer System Design and Operation in the Railway and Other Transit Systems, pp. 295304 (2008).
[3] H. Harada and R. Prasad: Simulation and Software Radio for Mobile Communications, Artech House, pp. 9091 (2002).
193
A multi scalable model based on

a connexity graph representation
L. Gely, G. Dessagne, P. Pesneau & F. Vanderbeck
SNCF, Innovation and Research Department,
University of Bordeaux I, France
Abstract
Train operations will be greatly enhanced with the development of new decision support systems. However, when considering problems such as online rescheduling of trains, experience shows a pitfall in the communication between
the different elements that compose them, namely simulation software (in charge
of projection, conflict detection, validation) and optimization tools (in charge
of scheduling and decision making). The main problem is the inadequacy of
the infrastructures monolithic description and the inability to manage together
different description levels.
Simulation uses a very precise description, while the optimization of a mathematical problem usually does not. Indeed, an exhaustive description of the whole
network is usually counter-productive in optimization problems; the description
must be accurate, but should rely on a less precise representation. Unfortunately,
the usual model representing the railway system does not guarantee compatibility
between two different description levels; a representation usually corresponds to a
given (unique) description level, designed in most cases with a specific application
in mind, such as platforming. Moreover, further modifications that could improve
performances or precision are usually impossible.
We propose, therefore, a model with a new description of the infrastructure that
permits one to scroll between different description levels. These operations can
be automated via dynamic aggregation and disaggregation methods. They allow
one to manage heterogeneous descriptions and cooperation between various tools
using different description levels.
This model is based on the connexity graph representation of the infrastructure
resources. We will present how to generate corresponding mathematical models
based on resource occupancy and will show how the aggregation of resources
doi:10.2495/CR100191

leads to the aggregation of properties (e.g. capacity) that can be translated into
mathematical constraints in the optimization problem.
Keywords: modeling, optimization, railway operations, traffic management,
infrastructure representation.
1 Introduction
This paper defines an innovative way to represent infrastructure and a methodology
allowing the use of different description levels. This is a theoretical prerequisite to
any system, which will help experts to address the very heterogenous problems
encountered within the re-scheduling operations.
2 Classic representation
2.1 Origins of the classic representation
Railway studies arose during the 1970s. Planning problems have been treated since
the 1990s and rescheduling is a rather recent topic of interest. The most important
developments in the last decade are summarized in the surveys in [14]. One can
have a look at [5] for earlier studies.
However, although many mathematical models and techniques are presented,
modeling issues are scarcely debated. With the exception of some formal exercises,
such as [6] and an interesting discussion on implicit choice of description and
its consequences in [1], the importance of infrastructure representation has been
barely mentioned before [7]. Indeed, most studies naturally re-use the same kind of
representation designed for industrial purposes, where the adequacy of description
strictly corresponds to (only) one application.
2.2 Examples
The range of representations goes from an exhaustive one, as in figure 1, to
more synthetic representations, where only the main railway nodes and main lines
remain, as is the case in figure 2.
2.3 A formal definition for the classic representation
Considering the most elementary description level, the infrastructure of the railway
network consists of basic track sections (e.g. block or routes sections). These
sections join at special points (switchings, joints, stations , etc). The real railway
network is usually represented in the same way via an undirected graph (since
directions are given by itinerary definitions and signaling; parts of the infrastructure are not dedicated to one-way usage).
195
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Figure 1: Lyon St Exupery TGV Station.
Figure 2: Railway network around Paris.
Thus, a classic representation on the field corresponds to the graph:

Gclassic = (S, P ), with S = {arcs} = {Track Sections}
and P = {nodes} = {Special Points}
(1)
If the intention of the description is to be exhaustive, as shown in figure 1,

arcs correspond to block sections and nodes represent limits between adjacent
blocks. In the case of figure 2, on the other hand, arcs correspond to complete

lines (and might include some (minor) stations), whereas nodes represent stations
or junctions.
2.4 Microscopic versus macroscopic
2.4.1 Why are there different description levels?
Railway infrastructure descriptions may require different levels of details, each one
corresponding to different objectives, cf. [8]. The following set of online problems
(more detailed in [9]) illustrate studies of different size and requiring different
precision:
1. fluidification of a complex junction with speed fine-tuning around a limited
local area.
2. re-scheduling with intermediate precision of the representation, but modeling interactions between surrounding areas.
3. re-routing of trains along new itineraries (succeeding a major breakdown, for
example) within a macroscopic description of vast areas (typically involving
different lines).
The bigger the area to consider (i.e. spatial distribution and time window of the
incident consequences), the less precision in the description (although more time is
usually available for computation). Indeed, in practice, if bottleneck areas require
precise description, an exhaustive description of the whole network with maximum
precision may be counter productive, especially with online applications, since
calculations are usually exponential in terms of the number of elements (and
mathematical variables).
On the other hand, when experts build a timetable off-line, solutions are mostly
a guideline; only a moderate level of precision is required. However in operations,
the solution must be immediately applicable then precise enough to ensure real
feasibility. Consequently, the online rescheduling problem usually requires a more
precise description, for the same area.
In other words, there is always some kind of trade-off between accuracy, size and
available time. This trade-off is hard to balance with a one-size-fit-all description.
2.4.2 Definitions of macroscopic and microscopic representations
A microscopic description is a representation where all the elements correspond to
the most basic resources; only one train can be affected on each one of them, e.g.
a block section.
A macroscopic description contains elements that can be aggregations of basic
elements. Resources do not necessarily have the capacity of one train. For instance,
a resource can represent, as an example, a set of (connected) platforms, block
sections, or even a whole complex station.
Remarks:
a description is not necessarily homogeneous: several parts can be described
at macroscopic level, others with more precision, i.e. with more disaggregated resources. Usually, lines correspond to the first one, while junctions,
stations and other bottleneck areas correspond to the latter, e.g. [10, 11].
197
the macroscopic description covers every level above the elementary microscopic one. Thus, every resource aggregation in a macroscopic description
can be disaggregated or aggregated again into other aggregated resources.
2.5 How to choose a good description level?
2.5.1 Academic point of view
Given a specific re-scheduling problem, with a given (type of) incident and a given
size of area to cover, one is able to choose an adequate description level. Hence,
most algorithms use a dedicated (unique) description; some studies consider a
representation of infrastructure based on the most detailed (microscopic) level:
block sections level on a small area cf. [12]. However, studies consider more often
more simplistic (macroscopic) descriptions [13, 14] on a larger scale; usually a
main line joining two main stations with some stops (smaller stations) in between.
Once again we refer to [1] for a comparative study on the size (and the precision
level) used in the main recent studies.
In practice, the railway infrastructure description is done by human experts once
and for all (nowadays such description takes days for every new study) and hence
is unique. However, one cannot assume that some rules of thumb, even combined
with expertise, could determine an average adequate description level that fits
all incidents and covers the wide range of problems, such as those previously
presented (i.e. from fluidification to re-routing problems). In conclusion, it is
hardly suitable in practice and a generalization would be particulary uncertain.
2.5.2 Operational point of view
As previously explained, post-optimization validation (via simulation) requires
the most precise description level. Consequently, the whole process uses at least
two description levels, namely one for a (microscopic) simulation tool and one
for a (more macroscopic) simulation tool. Needless to say, specifying (off-line) a
microscopic description is unavoidable; however, we should not expect experts to
provide other (every new macroscopic) descriptions all over again from scratch.
Anyway, one must ensure that cooperation between at least two models would be
possible.
Moreover, nowadays when real incidents occur, the impact of consequences can
be hardly predictable. That is why forecasting tools are needed in the near future to
help analyze, a priori, an acceptable trade-off between, on the one hand, precision
and size of the description, and, on the other hand, calculation time. However, until
the very end of the process, any choice will remain uncertain. We claim that any
predefined fixed description level is very restrictive for optimization purposes and
will probably be inefficient in many cases.
Consequently, an automatic or semi-automatic scalable representation would be
of great interest if one can rely on an available microscopic description. Moreover,
if we assume we can scroll easily from one level to another, why not use it
dynamically in the search process itself? Finding a good trade-off would become
part of the process.

We can easily imagine that switching to any level of aggregation, starting from
the elementary microscopic description to very macroscopic ones, would be more
suitable to deal with unpredictable incidents (and their impacts, i.e. the area to
consider and the needed level of precision). This would also be easier to adapt
facing the specific topology of infrastructure. To conclude, it would be more
flexible and easier to generalize to an industrial tool.
2.5.3 Other modeling and mathematical issues
Some signaling systems do not use fixed blocks, but moving blocks where trains
must respect permanent headways (e.g. ERTMS 3 signaling system). Here, an
elementary resource based model is inappropriate. Accordingly, in the most
general case of study, any description should be able to manage a mix between
basic resources with the capacity of only one train and more aggregated resources.
Using different kinds of representations could help one to tackle some complexity issues with the mathematical problems in a counter-intuitive way, e.g. in an area
with a complex network of switchings (such as the pre-entrance of main stations),
a microscopic description (i.e involving resources with the capacity of one train)
may lead to a more compact formulation (with regard to the number of constraints)
than managing the whole set of incompatibilities between itineraries. In the
first case we can aggregate occupancy (blocking) constraints (one constraint per
resource), but in the second case we must deal with every couple of incompatible
routes.
2.6 Limits of the classic representation
We will now describe why the classic representation does not conveniently fit the
above requirements.
The classic representation allows elements of different nature to share the same
kind of representation. In consequence, coherence may be broken, and aggregation
or disaggregation operations may be difficult in practice. This will be illustrated in
the following example.
In graph A, there are nodes of different nature; the gray nodes represent stations
(hence infrastructure resources, such as the aggregation of platforms and ways),
whereas the clear node represents only a special point (a virtual landmark that
does not stand for a physical resource): the junction between three main lines, as
illustrated in graph B.
Finally, graph C shows an additional representation where the same network is
divided into two parts: one is composed by the high-speed line between Bruxelles
and Nimes (dark color), the second is composed by the classic line between
Nimes and Perpignan (clear color). The arc representing the high-speed line would
correspond to an aggregation of all the nodes (i.e. a spacial point and the stations)
plus the arcs (lines) that constitute the high-speed line.
All three representations would make sense from an operational point of view,
with three different purposes in mind. However, if they correspond to different
macroscopic description of the same network, one cannot define a common rule
199
Figure 3: Illustration: TGV 9835 itinerary.
that would permit one to aggregate or disaggregate resources and then switch from
one representation to another conveniently.
In practice, as we expect to implement aggregation methods, we must ensure
that the following coherence rule is respected: all elements of the same nature
should share the same kind of representation (regardless of the description level).
While classic representation is valid with a microscopic description (e.g. the
exhaustive description of Lyon Saint-Exupery station, cf. 1), it cannot describe
some aggregated resources and respect the coherence rule. Hence, if arcs represent
sections of ways and nodes represent remarkable points, how can a station be
represented in a macroscopic description? On the one hand, since a station may be
connected with more than two resources (unlike arcs), one would need to represent
it as a node. On the other hand it is of a different nature to a remarkable point;
macroscopic resources (like a station) are aggregations composed of resources
that are ways or route sections (platforms, etc . . . ). They are not remarkable points
(virtual landmarks); minimal duration constraints must be applied on every train
crossing this resource (as for any physical resource).
In conclusion, if we want a model that respects the coherence rule (hence
allowing easy implementation of an object-oriented model), the resources route
section and station must share the same kind of representation, since they are of the
same nature. As an aggregation of resources (such as a station) can be connected to
many other resources, the most natural choice is to represent every infrastructure
resource used by trains (such as ways, platform, station, . . . ) with a node.
3 A new model representing the infrastructure

3.1 Definition for a new representation
Every graph representation of the infrastructure consists of the two following
elements:
1. nodes represent infrastructure resources,
2. arcs represent connections between resources.
Thus, the railway network representation with this new model is a connexity
graph:
Gconnexity = (R, C) ,with R = {nodes} = {Infrastructure Resources} (2)
and C = {arcs} = {Connexity Relationship}
Such a formalism allows one to adapt infrastructure representation to any
description level if we use an appropriate methodology.
For example, the following illustration shows four representations of a small
network surrounding a junction (involving height track sections). We present,
from left to right: the microscopic classic representation, its new representation,
an example of aggregation (the closest four resources around the junction) and
finally an equivalent of this aggregation if we had used the classic representation.
Figure 4: New representation as a connexity graph.
Remarks:
1. If we compare the central node in both classic representation: in the disaggregated version it represents a landmark, while in the aggregated version it
has become an infrastructure resource (aggregation of four sections),
2. Every arc in the classic representation becomes a node in the new representation,
3. For every relationship of a connexity (arc), one can define a unique measure
point (frontier) between two resources, as we will see later.
201
3.2 Methodology and rules of aggregations

The next question is how to treat aggregations and consequently disaggregations?
Some basic rules must be pre-defined in accord with experts, once and for all.
They must define how properties of aggregated resources, and hence, mathematical
constraints, will evolve in an aggregation of resources, i.e. define the aggregation
functions to implement.
These rules must be in relation with the properties and operational constraints
one wants to model and what is considered to be relevant in regard of the addressed
problem.
We will illustrate this methodology with two obvious examples of aggregations
where one wants to address a capacity problem, hence one considers mainly maximum flow and maximum storage capacity properties (plus a sequence property).
Of course, other aggregations of properties should be eventually defined following
the same kind of methodology.
3.2.1 Serial aggregations, itineraries
aggregation of infrastructure resources: serial aggregation is very close to
the concept of itineraries; this is the aggregation of an ordered list of
infrastructure resources (with a maximum flow property and a static capacity
property).
e.g. in figure 5, where: ra =
r2.i =< r2.1 , r2.2 , r2.3 >
i
aggregation of measure points: measure points (i.e. arcs, noted frontiers)

connecting the aggregated resource to the adjacent resources are the same
as before aggregation.
e.g. F r(r1 , ra ) = F r(r1 , r2.1 ) and F r(ra , r3 ) = F r(r2.3 , r3 ).
Properties:
1. F low(ra ) = min F low(r2.i )
i
2. Capacity(ra ) =
Capacity(r2.i )
i
3. re-ordering is not allowed: the sequence of entrance remains strictly

the same for the clearance (with the next trains).
Figure 5: Serial aggregation.


3.2.2 Parallel aggregation
1. aggregation of infrastructure resources: the best example consists of the
aggregation of parallels ways that compose a line (with a maximum flow
property) or a storage (with a static
capacity property).
r2.1
e.g. in figure 6 : ra =
r2.i =
r2.2
i
r2.3
2. aggregation of measure points: point of measure (arcs) should be melted.
e.g. F r(r1 , ra ) =
3. properties:
F r(r1 , r2.i ) and F r(ra , r3 ) =

i
F r(r2.i , r3 ).
i
(a) F low(ra ) =
F low(r2.i )
i
(b) Capacity(ra ) =
Capacity(r2.i )
i
(c) re-ordering is allowed: the sequence of entrance is not necessarily the

same as for the clearance.
Figure 6: Parallel aggregation.
3.3 Conventions regarding schedules

Finally, we must define how to connect explicitly schedules with the previous
representation.
3.3.1 Convention
Each arc in Gconnexity represents a unique point of measure. At this point
we evaluate when the head of any train crosses the frontier between two
resources (i.e. any effective entrance in a new resource). In order to construct a
timetable, one horary (one variable) must be associated with the pass of every
circulation on any measure point. This allows every move of every circulation to
be described and a timetable to be associated with any graph Gconnexity .
Needless to say, every aggregation of resources yields directly to a mathematical
model with fewer variables. This permits one to determine a trade-off between
203
precision (the more disaggregated, the more precise), size and calculations (the
more aggregated, the faster the computation).
3.3.2 Measure of entrance and resource occupancy
The length of trains must not be neglected. One measures the date when the head of
a train crosses the measure point; according to the length and the speed of the train,
the whole train may completely leave the resource a long time after this measure
(especially in the case of freight trains).
A circulation occupies a resource until liberation (or clearance), which happens
a certain amount of time after its effective exit of the resource. In the same way, the
resource occupies a certain amount of time called reservation before the effective
entrance. The headway between circulations is then the sum of these amounts of
time plus a buffer time (see blocking time theory, in [7], for example).
3.4 About the choice of a mathematical model
Once a multi scalable representation, as detailed here, is available, any mathematical model reviewed in [1] can be applied (adapted) on. The alternatives depend on
what kind of operational problem is treated, and the types of operational constraint
to consider are those that are more convenient and efficient, but in the end it should
not depend on the representation nor the convention proposed.
On the other hand, different operational problems can be addressed (each with
a different level of representation and a different mathematical model), as soon as
a microscopic description based on this multi scalable representation is available.
4 Conclusion
We have defined a methodology and a representation that permits one to scroll
from microscopic to any aggregated modelization. We have shown basic examples
of aggregation rules that make automated aggregation possible. Finally, we have
defined a convention for schedule that allows one to address the model of
timetabling problem (and rescheduling problem).
Another aim of this paper was to explain why a complex software system will
be needed to help online operations efficiently. We are convinced that a multi-level
capable model will play a key role and is the first theoretical prerequisite towards
their development.
Another prerequisite is a microscopic digital description of railway infrastructures; this would mark the entrance of railway operations in the digital age. Models
of description and numerical databases are now under development in Europe, e.g.
RailML [15] or Eifel (the SNCF dataset that will be compliant with the present
concepts). However, compatibility issues could arise. Consequently, we encourage
anyone to consider this new representation, which should enhance compatibility
(at least with descriptions that are not of the same level).
Finally, as developed through an object-oriented mind, this model can be applied
to any traffic management problem (involving resource allocation), and is probably

also applicable to a more general set of industrial problems outranging the scope
of the railway industry, exclusively treated in this paper.
References
[1] Tornquist, J., Computer-based decision support for railway traffic scheduling
and dispatching: A review of models and algorithms. 5th Workshop on Algorithmic Methods and Models for Optimization of Railways, eds. L.G. Kroon
& R.H. Mohring, Internationales Begegnungs- und Forschungszentrum fuer
Informatik (IBFI), Schloss Dagstuhl, Germany, 2006.
[2] Caprara, A., Kroon, L., Monaci, M., Peeters, M. & Toth, P., Passenger
Railway Optimization, Elsevier, volume Transportation, 2006.
[3] Cordeau, J.F., Toth, P. & Vigo, D., A survey of optimization models for train
routing and scheduling. Transportation Science, 32(4), pp. 380404, 1998.
[4] Bussieck, M.R., Winter, T. & Zimmermann, U.T., Discrete optimization in
public rail transport. Mathematical Programming, 79(1-3), pp. 415444,
1997.
[5] Assad, A.A., Models for rail transportation. Transportation Research Part A:
General, 14(3), pp. 205220, 1980.
[6] Bjrener, D., The Domain Book: A Compilation of Reports and Papers on
Domain Models, Technical University of Denmark, chapter Railways, pp.
157185, 2007.
[7] Hansen, I. & Pachl, J., Railway Timetable and Traffic. Analysis, Modelling,
Simulation. Eurailpress, 2008.
[8] Lindner, T. & Zimmermann, U., Mathematics-Key Technology for the Future:
Joint Projects Between Universities and Industry, Springer: Berlin, chapter
Train Schedule Optimization in Public Rail Transport, pp. 703716, 2003.
[9] Gely, L., Real time train rescheduling at sncf. Robust planning and
Rescheduling in Railways, 2007.
[10] Burkolter, D., Herrmann, T. & Caimi, G., Generating dense railway schedules. Advanced OR and AI Methods in Transportation, Publishing House
of Poznan University of Technology, 10th EWGT Meeting and 16th MiniEURO Conference, pp. 290297, 2005.
[11] Caimi, G., Burkolter, D., Herrmann, T., Chudak, F. & Laumanns, M., Design
of a new railway scheduling model for dense services. ISROR, 2007.
[12] Brannlund, U., Lindberg, P.O., Nou, A. & Nilsson, J.E., Railway timetabling
using lagrangian relaxation. Transportation Science, 32(4), pp. 358369,
1998.
[13] Carprara, A., Fischetti, M. & Toth, P., Modeling and solving the train
timetabling problem. Operations Research, 50, pp. 851861, 2002.
[14] Carprara, A., Monaci, M., Toth, P. & Guida, P.L., A lagrangian heuristic
algorithm for a real-world train timetabling problem. Discrete Appl Math,
154(5), pp. 738753, 2006.
[15] RailML.org, http://www.railml.org/.
205
Universal communication infrastructure

for locomotives
U. Lieske
Head of System Integration, PC-Soft GmbH, Germany
Abstract
As international freight transport becomes increasingly essential for the
competitiveness of the European economy, operators must further address the
challenges of efficiency and quality of their vehicle fleets in the years ahead.
Here, modern information and communication technologies offer major
opportunities for the future. The German PC-Soft GmbH is a specialized
company on the market that provides operators with a mobile solution that is
situated directly on the vehicle. With 20 years of history and an experienced
team of railway consultants and maintenance specialists, PC-Soft develops and
implements customer-oriented solutions that support the computer-aided asset
management of vehicle fleets.
Keywords: asset management, maintenance, teleservice, locomotives.
1 Introduction
Manufacturers, operators and service providers know the requirements for high
availability of their vehicles with optimum use of resources. Above all, the
frequently great distances between service centre and vehicle, the difficult
situation regarding availability of resources (spare parts, operating and auxiliary
equipment, specialists) require efficient monitoring of the running operation and
fast and targeted remedying of faults. To cater even more flexibly to increased
teleservice requirements, PC-Soft has developed a unique communication
solution, named zedasmobile [1]. System data and status information relevant to
the effective organisation of servicing and maintenance strategies are recorded
immediately on the vehicle, processed and electronically made available to
service personnel. The central aim is to ensure system availability and
optimisation of maintenance strategies based on real operating data and status
doi:10.2495/CR100201

information from dispersed systems. The mobile status capture has been
developed as an industrial solution that fully meets the demands of tough
operating conditions. It can be used without any retroactive effect on process
control on any type of vehicle. The possibility of decentralised recording of
operating and status data for all components, as well as location-independent
provision of information, has been taken into account when developing the
system.
In the immediate vicinity of the object to be maintained, the system performs
the following tasks:
Capturing and processing of operating data
Gaining of status information
Automatic status monitoring and alarming
Reconciliation of plant data with the service centre
Temporary monitoring and analysis of critical plants
Remote diagnosis of systems by external specialists
GPS-aided position capturing and recording
Driving/operational reporting
Warranty monitoring of plants
Calculable and profitable full service contracts
2 Starting position
Mobile systems operating over a wide geographical spread, such as locomotives,
need online communication links to various back-end systems. The
communications technology linking these systems must therefore be open and of
universal applicability for different tasks and the technical communication
solutions strategically planned and adopted for the long term. Conformity with
Figure 1:
Functionality of mobile plant management with zedasmobile.
207
established technical standards is taken for granted. For the purposes of actual
use, the communications technology link is a system infrastructure task and not
part of the solution. Exceptions to the above are safety-related applications (e.g.
ETCS), most of which require special communication solutions on account of
the particular demands on transmission reliability and availability.
It makes particular sense to separate the communications infrastructure from
the concrete application as various demands are made on the technical solution,
the ideal situation being that the application is developed with a bias towards
solutions, new and innovative processes are integrated quickly, and allowance is
made for upgrading but also for replacing the entire application at a later date
without involving great complexity or cost. The communications solution itself
needs to have universality and longevity, and the availability of spare parts must
be guaranteed over a long period. Extensive work needs to be done on the
technical system, e.g. for the installation of power supply and cabling for
antennas, therefore it is normally very costly to replace the communications
system. Indeed, most information technology applications host several
applications in one technical system, e.g. for logging of operational data, remote
diagnosis or scheduling, and operate via a shared physical infrastructure.
3 Solution
Hence the need, given this backdrop, for a universally applicable
communications solution like zedasmobile which is compatible with
international standards (e.g. GSM, UMTS, WLAN). Users engaged in varied
tasks for different organisations can communicate with several others.
zedasmobile consists of two components:
- an on-board computer [2] fit for industrial applications and railway use (see
Figure 2)
- a secure, i.e. encrypted, mobile communication link [3] via WLAN, UMTS or
GSM (see Figure 3).
Figure 2:
Diagram of compact, industrial-strength onboard computer.
Figure 3:
Diagram of compact, industrial-strength onboard communication

unit.
Various communication modules can be added to the on-board computer,

adding flexibility and enabling data to be exchanged via various field bus
systems (e.g. MVB, CAN) or via serial interfaces. Direct analogue or digital I/O
signal interfaces are also possible. The on-board computer is fitted with a GPS
receiver which enables the locomotive to be located and acts as a time standard
for all applications. The computer is powerful enough for on-board signal
storage and pre-processing, leaving only alarm messages needing to be
transmitted to the control centre. Not only does this speed up communications
but it also helps to lower the cost of communications.
If you have an Ethernet port it is possible for additional on-board computers
or control units to be connected directly to the communication box if required.
Data can also be exchanged with mobile terminal equipment in close range via
WLAN. To all intents and purposes, the locomotive or technical installation is
then practically a satellite station in communication with the company network,
with security guaranteed by the use of modern encryption methods like Virtual
Private Network or Wi-Fi Protected Access (see Figure 4).
4 Conclusion
The communications solution discussed above constitutes a universal
infrastructure development for locomotives and other mobile technical systems.
A sophisticated infrastructure means enhanced efficiency and reduced costs of
communication. The solution boasts flexibility, long-term viability and security
of collaboration for users in different organisations for e.g. diagnosis and
servicing of technical systems. From a maintenance point of view, resulting
operations free of breakdowns and owing to status- and load-oriented
maintenance and modern teleservice ensure planned system performance and
savings on cost-intensive call-outs and manual inspections.
Figure 4:
209
Example application - universal communications infrastructure for

a locomotive.
References
[1] PC-Soft, www.pcsoft.de
[2] EMTrust, www.emtrust.de
[3] FMN, www.fmn.de
Section 4
Computer techniques
213
Research on a novel train positioning method

with a single image
B. Guo1, T. Tang2 & Z. Yu1
1
School of Mechanical and Electronic Control Engineering,

2
Abstract
Comprehensive train monitoring is an important infrastructure detecting facility
that ensures normal operation of the high-speed railway. An accurate position is
the basis of precise detection. A research on the autonomous train location
method is of great theoretical and practical significance for the positioning of
comprehensive monitoring train and enhancing the infrastructure detecting level
of the existing line. Comprehensive train monitoring synchronizes all diagnosis
parameters by sharing time and position. However, it cannot correct the
odometers accumulative error with the track circuits insulator in high-speed
railways. This paper presents a novel position correction method with a single
image. It analyses the three dimensional (3D) camera projection model and its
disadvantage. A simplification from the 3D to the one dimensional (1D) model is
proposed. The actual distance between the landmark and the camera optical
center is calculated with image coordinates of the landmark acquired by the
camera fixed on top of the train. Then, the actual position of the train can be
calculated with the pre-stored landmark position and the calculated distance.
Both academic and experimental errors indicate that the position correction
method with a single image can satisfy the train positioning requirement.
Keywords: train position, single image, projection model, one dimension
simplification, landmark.
doi:10.2495/CR100211
1 Introduction
Odometry is a familiar method for vehicle location. However, there is a
limitation of accumulative error for odometry. The track circuits isolator is a
traditional and effective way to correct accumulative error in railways. The track
inspection car always locates at the tail-end of train. Hence, it cannot use the
track circuits isolator to correct the accumulative error of the odometer.
Otherwise, the track inspection car needs to survey all railway lines, including
lines without a track circuit (such as the Qing-Zang line, which is based on
GSM-R). It is impossible for these lines to add devices to correct the odometer
accumulative error at the target point only for the track inspection car that is
running. So a novel correction position method at the target point with
recognition of an existing landmark in an image is proposed in this paper.
Estimating the 3D pose and position of an object with an image is a key
process and a kernel problem in machine vision applications. The advantages of
wide range, the lack of intervention needed and high precision make image
measurement applicable in many fields. Object positioning with images includes
the process of 2D image projection and 3D reconstruction. Firstly, a 2D image of
a 3D object in a real world coordinate is produced by the camera. Then, the 2D
images can be analyzed and processed for 3D reconstruction and geometric
measurement. The interior and exterior camera parameters are a precondition for
calculating an object world coordinate in the 3D reconstruction process (Zheng
[1]). These parameters are obtained by the calibration process of the camera.
However, there is hard calculation load for the interior and exterior parameters
[2, 3].
Sun and Wang [4] point out that position with a single image is the simplest
and most convenient way for object position. It is not necessary to look for
corresponding conjugate image points in binocular image pairs and it also not
necessary to carry out a transformation between different coordinates. Ogawa et
al. [5] proposed a self-positioning system using a digital mark pattern and a CCD
camera. The horizontal distance from the mark pattern is measured using the
ratio between the length and width of the mark pattern image. Lee et al. [6]
proposed an algorithm to recognize and track the road lane by interpreting a 2D
image to a 3D image by angle and position of the CCD camera. Fang et al. [7]
proposed an algorithm for vision location on the condition of uncalibrated
camera fixation and coplanarity. It gives the 3D calculation model, using the
property of projective geometry.
For train position, we are only concerned about the longitudinal distance
ahead of the train. We propose a 1D simple calculation model based on the 3D
calculation model with camera fixation and coplanarity. It greatly reduces the
computation load and gives the error analysis. In this paper, we firstly gives the
3D position model with a single image, then the 1D simplification and its error
model is introduced. Finally, an experiment result on the railway field is used to
validate this method.
215
H
D
A
B
O
Figure 1:
F
F
X
B
3D positioning model of the camera.
2 Train positioning method with a single image

2.1 3D position model with a single image
In perspective projection, the straight line connecting the optical center and the
image points is used to establish that the corresponding object point is not the
one and only. The depth information cannot indicate in image. However, when a
fixed camera takes pictures of objects on a plane, the plane provides a constraint
in the direction of height. For train position, the objects on the ground can be
deemed as coplanar to a certain extent. Under this condition, the points on the
ground and on the image are corresponding one by one. Under the constraint of a
fixed camera and coplanar image (to a certain extent), the position of an object
can be achieved via the camera image so long as the relation between objects and
images is determined.
Figure 1 shows the 3D positioning model of camera, in which H is the height
from the projection center S to the ground, is the angle between the optical axis
and the vertical direction, ABCD is the cameras field of vision on the ground
and ABCD is a virtual reference plane vertical to optical axis. The optical axis
intersects with the ground level and virtual reference plane at points O and O
respectively and X is the position of a landmark point on the ground. The virtual
reference plane is not in geometric proportion to the ground plane. However, due
to its being vertical to the optical axis, the virtual reference plane is in geometric
proportion zoom to the image. So
E ' X ' E ' F ' E '' X '' E '' F ''
:
:
O ' X ' O ' F ' O '' X '' O '' F ''
(1)
where EOXF are points on the image corresponding to points EOXF on the
ground plane respectively. According to the collinear equation and invariable
cross ratio of central projection, we get eqn (2):

EX EF E ' X ' E ' F '
:
:
OX OF O ' X ' O ' F '
(2)
According to eqn (1) and (2), we can get

EX EF E '' X '' E '' F ''
:
:
OX OF O '' X '' O '' F ''
(3)
Eqn (3) shows the proportional relation between points EOXF on the ground
and points EOXF in the image. In eqn (3), so long as the position of the
pixels of landmark feature in the image is determined, the actual position of this
landmark on ground will be worked out. Furthermore, the train position will be
calculated.
However, while calculating with eqn (3), EF and EF must be known. They
are intersection points of the extending lines of OX and OX with plane
boundary respectively, which can be calculated by the equation group of two
intersection lines. However, for each landmark point X and X, EF and EF
must be calculated once, which results in a heavy calculation load and long
calculation time. This is not of advantage to real-time calculation.
2.2 1D simplification of the 3D model
When we position a train with an image, only the longitudinal position in the
direction of train running is concerned. If the 3D model can be simplified into a
1D model, the calculation load and complexity will be reduced.
Figure 2 is the schematic diagram of 1D longitudinal positioning with a single
image. In this diagram, the camera is fixed rigidly on the frontage top of the
locomotive. Within a short distance in front of the locomotive, the position of the
camera relative to the ground is determinate when ignoring the track gradient and
outer rail super-elevation on the curve, where H is the height from the projection
center S to the ground, is the angle between the optical axis and the vertical
direction, the vertical field angle of camera is and P is the vertical projection
of the projection center S on the track plane. In the direction of train running, the
nearest point in the field of vision corresponds to point E on the ground and the
furthermost point in the field of vision corresponds to point F on the ground. In
this figure:
| PE | L1 H tan( / 2)
| PF | L2 H tan( / 2)
(4)
Therefore, the longitudinal field range of the camera is as follows:

L L2 L1 H [tan( / 2) tan( / 2)]
(5)
The distance from landmark X to point P is

| PX || PE | | EX | L1 | EX |
(6)
where |EX| means the distance from the target point to the nearest point in field
of vision, which can be worked out according to the pixels coordinate of the
landmark in the image.
217
In figure 2, is the angle between the projection ray of landmark X and the
optical axis; X is the projection of landmark X on the virtual reference plane; EF
is the projection of the virtual reference plane on the longitudinal 1D section.
The distance on line EF is in direct proportion to the distance of the
corresponding point in the image. Therefore, the distance on the virtual reference
plane can be represented as the pixels distance in the image. Assuming OX is y,
the direction of OF is positive and the direction of OE is negative. Assuming
| EF ' |
W / 2 , then
| SO ' | d , | PE | L1 , | PF | L2 , | O ' E || O ' F ' |
2
d
W /2
W
tan( / 2) 2 tan( / 2)
(7)
In triangle SOX,
arctan
y
2 y tan( / 2)
arctan
d
W
(8)
Therefore, the distance of landmark X to the projection point of camera P is as

follows
| PX | H tan( )
(9)
The real position of landmark X can be calculated with eqns (8) and (9).
2.3 Error analysis for the 1D simplification model
In eqn (9), the factors affecting error include: H, and . The assumed height
variation is H . The variation of and is integrated as angle variation .
Therefore, the error formula is as shown in eqns (10) and (11).
P
L1
Figure 2:
L2
X
L
1D positioning model with a single image.

L ( H H ) tan( ) H tan( )
a11 H tan( ) H tan( ) H tan( )
a11
H tan( ) H tan 2 ( ) tan( ) H tan( ) H tan( )

(10)
1 tan( ) tan( )
a11 H tan( )
1 tan 2 ( )
tan( ) tan( )
H
1 tan( ) tan( )
1 tan( ) tan( )
Ignoring the infinitesimal of the second order in eqn (10), then

L
H tan( ) H tan 2 ( ) tan( ) H tan( )

1 tan( ) tan( )
(11)
In error equation eqn (11), there are two factors affecting the error: height and
angle. The height variation mainly depends on two aspects: firstly, height
variation would be caused by super-elevation of the outer rail while the train is
passing a curve. In the Chinese railway, the maximal super-elevation on a singleline track is 125mm, and 150mm for a double-line track. The maximal superelevation only appears on small curvature curves. Secondly, high variability
would be caused by the swaying of the car body, but this value is less than that
caused by super-elevation. Since the camera is fixed on the central line of the car
body, considering the two factors comprehensively, it is assumed that the
maximal height variation is 75mm.
As for angle variation, due to the camera being fixed rigidly with the car
body, it will move together with the car body. So the affection on angle by
gradient and car body vibration can be ignored theoretically. The variation of
angle between the landmark projection line and the optical axis is introduced
by the quantization error of pixels. Assuming that the pixels quantization error is
1, the maximal angle error caused by boundary pixels is 0.025 degree. Therefore,
for angle variation, only the variation caused by boundary pixels is considered.
Putting height and angle variation into eqn (11), the boundary error is
0.249m, which is the maximal theoretical error.
3 Experiment results
In order to verify the validity of the above-mentioned 1D simplified calculation
model, MV-752 high-speed camera with 752582 black and white pixels was
adopted for the experiment, which has the maximal frame frequency of 350
frames per second. During the experiment, the height from the camera to the
ground is H=2.81m, the visual field angle is 14.3 and the angle between the
optical axis and the vertical direction is 77.8 , as a result, L1 8.00m and
L2 31.80m .
Figure 3 shows the picture taken during the test on the railway experiment, in
which the white line on the right rail acts as a landmark point. The distance from
the real point corresponding to the lower image boundary to the camera is 8m.
219
The distance from the first landmark to the corresponding lower image boundary
point is 0.56m. There are in total 24 landmark points with 1m interval in the field
of vision.
Table 1 shows the experiment result and the error of landmark points. The
maximal error is -0.15m, which is within the range of error model analysis. The
precision can meet the train positioning requirement.
4 Conclusion
This paper introduces a 1D simplification method for the 3D position model with
a single image. The 1D calculation formula and its error equation are also
deduced. Both the theoretical calculation and the experiment result on the
railway show that this method has very high precision, and can meet the
precision requirement of train position spot correction.
Figure 3:
Table 1:
No.
1
2
3
4
5
6
7
8
9
10
11
12
Picture with landmark on tracks.
Measurement result and error of the 1D projection position model.
actual
row measurement
value
No. value(m)
(m)
534
0.557
0.56
461
1.553
1.56
403
2.513
2.56
354
3.479
3.56
312
4.45
4.56
274
5.474
5.56
242
6.470
6.56
214
7.464
7.56
189
8.470
8.56
167
9.465
9.56
147
10.474
10.56
130
11.428
11.56
error(m) No.
-0.003
-0.007
-0.047
-0.081
-0.11
-0.085
-0.09
-0.096
-0.090
-0.095
-0.084
-0.132
13
14
15
16
17
18
19
20
21
22
23
24
actual
row measurement
value
No.
value(m)
(m)
113
12.481
12.56
98
13.506
13.56
85
14.479
14.56
73
15.456
15.56
62
16.427
16.56
51
17.480
17.56
42
18.410
18.56
33
19.408
19.56
24
20.483
20.56
16
21.510
21.56
9
22.470
22.56
2
23.494
23.56
error(m)
-0.079
-0.054
-0.081
-0.104
-0.133
-0.080
-0.150
-0.152
-0.077
-0.050
-0.090
-0.066
Acknowledgements
This work was supported by the National 863 Program of China (No.
0912JJ0104-ZH00-H-HZ-002-20100105) and the Science & Technology
Program of Beijing Municipality (No. D07050601770705).
References
[1] Zheng, N., Computer Vision and Pattern Recognition. National defence
industry Press: Beijing, pp. 14-20, 1998.
[2] Li B., Wang X., Xu, X., Wang, J., A linear three-step approach for camera
calibration. Journal of Image and Graphics, 11(7), pp. 928-932, 2006.
[3] He, J., Zhang, G., Yang, X., Approach for calibration of lens distortion
based on cross ratio invariability. Chinese Journal of Scientific Instrument,
25(5), pp. 597-599, 2005.
[4] Sun, F., Wang, W., Pose determination from a single image of a single
parallelogram. Acta Automatica Sinica, 32(5), pp. 746-752, 2006.
[5] Ogawa, Y., Lee, J., Mori, S., The positioning system using the digital mark
pattern the method of measurement of a horizontal distance. System, Man,
and Cybernetics, IEEE SMC99 Conference Proceedings: Tokyo, pp. 731741, 1999.
[6] Lee, J., Choi, S., Lee, Y., Lee, K., A study on recognition of road lane and
movement of vehicle using vision system. Proc. of the 40th SICE Annual
conference: Nagova, pp.38-41, 2001.
[7] Fang, Sh., Cao, Y., Xu, X., A new vision algorithm for uncalibrated camera.
Chinese Journal of Scientific Instrument, 26(8), pp. 845-848, 2005.
221
Software redundancy design for

a Human-Machine Interface in railway vehicles
G. Zheng1 & J. Chen1,2
1
2
Institute of Software, Chinese Academy of Sciences, China

Graduate University of Chinese Academy of Sciences, China
Abstract
The Human-Machine Interface (HMI), which displays the real-time status of
electrical systems, interacts with the driver or operator, and collects and reports
system fault information, is an important device in railway vehicles. The HMI is
a critical component of the control and diagnosis system in the railway vehicle,
thus the reliability of the HMI software affects the reliability and safety of the
whole railway vehicle. Therefore, it is necessary to design the HMI software
with high reliability for railway vehicles so as to ensure the reliability, stability
and safety of the railway vehicle operation. This paper analyzes the HMI
software function requirements, which include information display, the humanmachine interaction, and communication. A kind of redundancy mechanism is
proposed, which employs two structural redundancy methods: N-version
programming and recovery blocks. The HMI software is divided into the
information display module, the human-machine interaction module and the
communication module, and each module is made up of some components.
Based on the analysis of the reliability requirement, complexity, and the
implementation cost for each component in the HMI software modules, the
corresponding redundancy design mechanism is proposed, which consider the
tradeoff between the reliability and the cost. In order to evaluate the reliability of
the designed redundancy mechanism, a scenario-based reliability analysis
method is used to calculate the reliability of the HMI software, which constructs
five scenarios and employs the component dependency graph to compute the
reliability. The reliability of the HMI software after redundancy design is
compared with that before the redundancy design.
Keywords: human-machine interface, reliability, software fault tolerance,
redundancy design, reliability analysis.
doi:10.2495/CR100221
1 Introduction
A Human-Machine Interface (HMI) in the driver cab is an important device for a
railway driver to interact with the railway vehicle, and also an integral part of the
vehicle control system. During the vehicle operation, the driver can monitor the
state of the vehicle in real time and send control messages to ensure safety. As a
whole, the HMI executes operation states information display, human-machine
interaction and communication with other electrical devices in the vehicle. In
order to ensure the safety and stability of the railway vehicle operation, it is
necessary to design highly reliable software in the human-machine interface for
railway vehicles.
At present, there are mainly the following methods for the software
reliability: error avoidance, error detection and correction, and fault tolerance.
Error avoidance employs the standardization design and coding process to
reduce software errors. Error detection [1] discovers software errors by setting
checkpoints in the software program, moreover, some techniques are used to
isolate and correct the errors [2]. Note that it is very difficult to completely
ensure software does not have any errors. Fault tolerance [3] is currently a valid
technique to improve the reliability of the computer software, which can detect
faults automatically and execute the corresponding fault tolerance program. The
structural redundancy technique is used commonly in software fault tolerance,
which generally includes N-version programming (NVP) and the recovery block
technique (RCB) [4]. In the N-version programming technique, N software
versions (N>1) are developed independently and work simultaneously after
being installed in the same environment, where N versions accept the same
input, and the final output is selected from the N outputs by a majority voting
algorithm. In the recovery block technique, several recovery blocks are
developed for the same software function, where each recovery block accepts the
same input and gives an output, and the output is the input of the acceptance test
unit. If the output passes the test, the software continues to run, else the software
environment is restored, and then the other recovery blocks repeat the above
process until a valid result is accepted or there are no other recovery blocks.
Considering the functions and the safety requirements of the HMI, several
different redundancy mechanisms are employed to improve the software
reliability. When developing the HMI software, it is necessary to select different
redundancy mechanisms, e.g., N-version programming or recovery block
technique, for different function components in terms of the software complexity
and cost to implement structural redundancy. After completing the software
redundancy design, the reliability of the software is evaluated. In this paper, a
scenario-based analysis technique [5] is employed to evaluate the reliability
result of a component-based application in the HMI software.
The rest of the paper is organized as follows. The components function of the
HMI software is introduced in section 2, and the redundancy design is presented
in section 3; next, the reliability evaluation of the HMI software is given based
on a scenario and, finally, the conclusion is drawn in section 5.
223
2 Functions of HMI software in railway vehicles

The HMI is connected to the electrical systems over the vehicle communication
bus, as shown in the Fig. 1. The HMI monitors the operation status of the
vehicle, displays the fault diagnosis results and receives the driver inputs and
gives the associate responses. The HMI software functions are given as follows.
(1) Information display: displays the status of electrical systems, faults
diagnosis results and fault recovery information;
(2) Human-machine interaction: gives responses to the operation of the driver
on the HMI screen to transit the interfaces, input data, and send control
instructions;
Figure 1:
Connection between the HMI and other electrical systems.
Figure 2:
Figure 3:
Structure of HMI the software.
Sub-functions of the HMI software.

(3) Communication: communicates with control units in the vehicle,
input/output devices and other electrical equipments to transmit message
data and state data over the vehicle bus.
The structure of the HMI software is shown in the Fig. 2 in terms of the HMI
function. Each function is divided into some sub-functions so as to implement
the redundancy design, please see Fig. 3.
The sub-functions of the information display are presented as follows:
(1) Basic display: displays interface name, line, date, time, vehicle number
and other simple information.
(2) Status display: displays status information of the corresponding electrical
system according to the requirement of the driver.
(3) Fault display: displays fault information when an electrical system error
happens.
The sub-functions of the human-machine interaction are presented as follows:
(1) Interface transition: implements the corresponding interface transition
when the driver presses the transition key.
(2) Electrical system control: calls the communication module to send control
commands when the driver presses the control key.
(3) Data input: responds to input information from the driver, such as vehicle
number, driver number, system time.
The sub-functions of the communication are presented as follows:
(1) Status receive: receives real-time status information of all electrical
systems.
(2) Fault information receive: receives the fault information and then transfers
it to the appropriate processing.
(3) Command transmit: sends control commands to the appropriate electrical
system.
3 Software redundancy design for a human-machine interface

3.1 Analysis on the compromise between costs and reliability
The HMI software is divided into three modules corresponding to the functions,
where each module is made up of some components. The structure of a
component is more compact than the one of a module and contains some similar
features, which can employ the same redundancy design technique. Therefore,
the redundancy design of the HMI software is based on the structure of the
components.
In terms of the functions of the human-machine interface software in railway
vehicles, two structural redundancy methods, N-version programming and
recovery blocks, are employed to improve the reliability. When designing the
software redundancy, the reliability requirements, the complexity of the various
function components and implementation methods for structural redundancy are
considered.
225
(1) Reliability requirements

High reliability is demanded on some components that have a direct effect on
the safe and stable operation of the train, and some assistant function
components demand relatively low reliability. According to the standard
EN50126 [6], the whole HMI software has a reliability requirement.
(2) Complexity of components
A simple structure component can achieve a high reliability before the
redundancy, so there is no need to implement redundancy design on it.
Meanwhile a complex component requires redundancy design to improve its
reliability. The complexity of a component is considered to determine the need
for redundancy design.
(3) Implementation costs
N-version programming requires N teams to complete the same function
component, at the same time; recovery block technique requires several blocks
with the same function, which leads to more development cost. N-version
programming makes a selection among several outputs. Numerical value may
facilitate carries on the selection, while some display functions are unable to
make selection. An acceptance test unit in recovery block technique is used to
test result. The result of a number of function components cannot be used for
testing, so that these components cannot use the recovery block technique.
Because some acceptance units are difficult to write, a compromise should carry
on between the reliability and the cost.
3.2 Software redundancy design
The software redundancy design for three modules, i.e., information display,
human-machine interaction and communication, is presented as follows.
(1) Information Display
The information display module includes three components: basic display,
status display, and fault display.
Because of the simple structure, basic display component can easily obtain
high reliability. The operation of the vehicle will not be influenced even if the
basic information is displayed inaccurately, so high reliability is not demanded
on this component. This component does not need redundancy design.
Figure 4:
Redundancy design structure of the status display component.

Status display component receives the electrical system status, processes and
displays the status information on the screen. Since this component has many
kinds of status to process, and each kind of status has a variety of forms, this
component is highly complex. Whether the status of electrical systems is good or
not affects the operation of the railway vehicle, the HMI can reflect the operation
status of electrical systems in real time; therefore, the recovery block technique
is employed in this component. Fig. 4 shows the redundancy design structure:
According to the process showed in fig. 4, before entering the recovery bock,
current electrical status should be stored by memory unit. For the first time, the
primary recovery block is chosen to figure out a numerical result. If the
acceptance test unit accepts the result, the result is displayed and the following
process is executed. If the acceptance test unit does not accept the result, the
component returns the access point of recovery blocks and chooses another
recovery block. If the results do not pass the acceptance test, this component
throws an exception and executes the exception treatment, which means the
component has broken down.
The fault display component has a high reliability requirement as it shows the
operation status of the electrical systems. This information reminds the driver to
response to a fault. Before the new fault is diagnosed, the component can query
the diagnosed faults. The 3-version programming (3VP) is employed to improve
the reliability of the component. Three versions receive the same error number as
their own inputs and figure out the display result. The final result is obtained
based on the majority voting algorithm [7], which is chosen among the results of
three versions. Fig. 5 shows the redundancy structure with three versions.
(2) Human-Machine Interaction
The human-machine interaction module consists of three components:
interface transition, electrical systems control, and data input.
The information cannot be displayed if the interface transition component
breaks down, which could result in the entire vehicle out of control. Therefore,
the interface transition component is required with high reliability. However, the
number of the interfaces, which interfaces in the HMI device can switch to, is
limit, thus the component should be designed with low complexity so that the
reliability requirements can be satisfied easily. The cost to multiple recovery
blocks is low because the structure of the interface transition component is not
complex. The algorithm of acceptance test unit is described as follows: 1) read
Figure 5:
Redundancy structure of the fault information display component.
227
the name of the interface which is switched to; 2) judge whether the name is the
same as the one the pressed soft key corresponds to; 3) If two names are not the
same, the program return to the access point and choose another recovery block.
Note that the algorithm is easy to implement.
It is so important for the driver to control the electrical systems via the HMI
screen, which is relative with the reliability and stability of the vehicle operation,
and even the comfortable level of the passenger. Therefore, the reliability
requirement for the electrical system control component is so high. Meanwhile,
the complexity of this component is high because there are so many electrical
systems to control. This component employs 3-version programming to improve
the reliability of this component. The process is the same as the one of the fault
display component. When the driver presses the soft key to control the electrical
system, three versions receive the same input, and each version sends a control
instruction to the electrical system. The selection unit in the component receives
these three control instruction, decides which instruction is sent.
If the data input component fails, the input, e.g., the vehicle number, is not
consistent with the last saved results, but the inconsistence has little effect on the
vehicle operation, thus, the reliability requirement of this component is low.
Meanwhile, the complexity of the component is not high because the data, which
the driver can enter, is so limited. Therefore, it is not necessary to implement
redundancy design.
(3) Communication
The information display module consists of three components: status receive,
fault information receive, command transmit.
Status receive component is very similar to fault information receive
component. They both receive important information which directly reflects the
Table 1:
Function
Module
Information
Display
Redundancy design of the HMI function components.

Component
Reliability
Requirement
Complexity
cost of
redundancy
design
Redundancy
design
Basic Display
low
low
--
--
high
high
high
RCB
high
medium
high
medium
medium
RCB
high
high
high
3VP
Data Input
low
medium
--
--
Status Receive
high
high
medium
RCB
high
high
medium
3VP
high
medium
medium
RCB
Status Display
Fault Display
HumanMachine
Interaction
Communication
Interface
Transition
Electrical System
Control
Fault Information
Receive
Command
Transmit
medium
3VP

operation status of the vehicle .Because of the large number of electrical systems
and devices, they both have much information to deal with. Thus, the reliability
requirements and complexity of these two components are high. 3-version
programming is employed in these two components to avoid data loss and ensure
accuracy of the information.
The failure of the command transmit component can cause that electrical
systems are out of control, which is so dangerous. This component has medium
complexity because the process of information transmission is not complex. A
recovery block technique is employed to ensure that control command is
transmitted normally.
Table 1 shows the components redundancy design on the HMI software.
4 Software reliability analysis

The effect of redundancy design is measured by means of assessment of HMI
software reliability. The reliability is estimated using Scenario-Based Reliability
Analysis (SBRA) [5], which is specific for component-based software whose
analysis is strictly based on execution scenarios. In this paper, the reliability of
HMI software after redundancy design is compared with the one before
redundancy design.
SBRA consists of three steps:
(1) Usage of scenarios to analyze the dynamic behaviour of HMI software,
construct a sequence diagram to each scenario.
(2) Calculate some parameters using the sequence diagrams, construct a
component dependency graph (CDG) using these parameters.
(3) After constructing the CDG model, use an algorithm [5] to analyze the
reliability of HMI software.
Figure 6:
Scenarios of the HMI software.
Table 2:
229
Parameters of each scenario.
Scenario Name
Probability of a Scenario ( PS k )
Average Execution Time of a

Scenario ( ECi )
Status display
0.85
Fault display
0.03
Switch
0.05
11
Input
0.02
Control
0.05
4.1 Construction of scenarios

There are two types of input can stimulate HMI. One is the data receiving from
the other system: electrical system status and fault information; the other is the
driver input: interface switching input, data input, and electrical system control
command. Based on these inputs, five scenarios can be constructed to describe
the interactions between components. Fig. 6 shows the five scenarios.
4.2 Component dependency graph construction
Let Sk be an element of the application scenarios set S , k 1,..., S , where |S| is
the number of the set S. The probability of the kth scenarios PSk is calculated
based on the implementation of HMI software, the probabilities of execution of
the 5 scenarios are listed in the following table.
Let RCi be reliability of the ith component in the HMI software, i=1,,9. RCi
is calculated based on the one of a single version/ recovery block. Suppose that
the reliability of each version is r, the reliability of a component that has
implemented 3-version programming is calculated by eqn (1).
RCi r 3 3* r 2 * (1 r )
(1)
Suppose that the reliability of each recovery block is rb, the reliability of
acceptance test unit is ra , the reliability RCj of a component implementing
recovery block technique is calculated by eqn (2):
RC j rb * ra (1 rb ) * rb * ra
(2)
where j=1,,9.
The reliability result of each component is shown in table 3.
Let RTij be a reliability estimate of a transition from component Ci to
component Cj. In order to simplify the analysis, supposes the reliability of the
interface is 1. Let ECi be the average execution time of the ith component,
i=1,,9,
|S |
ECi PSk Time(Ci )

k 1
(3)

where PS k is the execution probability of the kth scenario, k 1,..., S , Time(Ci )
is the execution time of component Ci . The average execution time is shown in
table 3.
Table 3:
Parameters of each component.

the average
execution time of
Component
Reliability before
redundancy design
Component
Reliability after
redundancy design
Basic Display
0.95
0.95
0.52
Status Display
0.9
0.98
0.85
Fault Display
0.92
0.982
0.03
Interface Transition
0.92
0.984
0.05
Electrical
Control
0.9
0.972
0.05
Data Input
0.92
0.92
0.02
Status Receive
0.9
0.972
1.7
Fault
Receive
0.9
0.972
0.06
0.92
0.984
0.1
Component Name
System
Information
Command Transmit
Figure 7:
CDG of HMI software.
each component
ECi
231
Let AEappl be the average execution time of the HMI software,

|S |
AEappl PS k Time( Sk )
(4)
k 1
where Time( Sk ) is the average execution time of scenario S k .

Based on eqn (4), the average execution time of the HMI software is 3.38.
The transition probability between components RTij is obtained based on the
analysis of each scenario. The component dependency graph of the HMI
software is shown in Fig. 7.
4.3 Reliability analysis
Based on the scenario-based reliability analysis algorithm [5], the construction
process of reliability is shown in Fig. 8.
The reliability of the HMI software after redundancy design is 0.95035352.
Follow the above steps, the reliability of HMI software before redundancy
design is 0.81572.
Figure 8:
Construction progress of HMI software reliability.
5 Conclusion
The redundancy design on the various function components in the HMI software
is proposed in this paper based on the N-version programming and recovery
block techniques, and the HMI software reliability is analyzed by employing the
SBRA method. The result shows that the kind of redundancy design can improve
software reliability effectively. Note that only the N-version programming and
the recovery block techniques are considered in this paper, the other fault
tolerance techniques, such as the N self-checking programming and retry block,
will be introduced in order to access higher reliability and reduce the cost in the
future work.
References
[1] Cobb, P.R., Lennon, C.J. & Long, K.J., System and method for software
error early detection and data capture, US Patent: 5119377, June, 2, 1992.
[2] Moon, T.K., Error Correction Coding: Mathematical Methods and
Algorithms, John Wiley & Sons, New Jersey, 2005.
[3] Lyu, M.R., Handbook of software reliability engineering, McGraw-Hill,
Inc., NJ, USA, 1996.
[4] Pham, H., System Software Reliability, Springer-Verlag New York, 2006.
[5] Yacoub, S., Cukic, B. & Ammar, H., A Scenario-Based Analysis for
Component-Based Software, IEEE Trans. Reliability, vol.53, no.4, pp. 465480, 2004.
[6] CENELEC EN50126, Railway Applications: The specification and
demonstration of Reliability, Availability, Maintainability and Safety
(RAMS), 1999.
[7] Goseva-Popstojanova, K. & Grnarov, A., N-Version Programming with
Majority Voting Decision: Dependability Modeling and Evaluation,
Microprocessing and Microprogramming, Vol.38, No.1-5, pp.811-818,
1993.
233
Study on the method of traction motor load

simulation on railway vehicles
F. Lu, S. Li, L. Xu & Z. Yang
School of Electrical Engineering, Beijing Jiaotong University, China
Abstract
Based on the physical model of the motor-wheelset system, the expression of the
load torque of traction motor is drawn out. According to the two parts the
damping torque of the load torque and inertia loads the control method of DC
load motor electromagnetic torque is proposed separately. Following the
principle that the acceleration time should be the same as the actual time, it
indicates how to reduce the traction performance curve to fit the power of the
load simulation system in the laboratory. Consulting with the actual parameters
of CRH2 EMUs, it simulates and authenticates the system control following the
method above. Having controlled the damping load torque on 3.5kW hardware
platform, the results show the agreement of performance of simulated vehicles
and the actual performance curve. This indicates that the method can accurately
and exactly simulate the traction motor load.
Keywords: load simulation, traction motor, damping load, inertial load, torque
control.
1 Introduction
Traction motor load simulation is a method used to obtain the experimental data
in the laboratory without experiments on the actual vehicle, by which we can do
analysis and research on a traction motors characteristic and the control method
of the propulsion system. It overcomes the shortcomings of actual-vehicle
experiments, such as the high cost, low feasibility, difficulty in changing the
condition outside the vehicle and the long cycle of a complete test. By imitating
the different kinds of load of the traction motor in different conditions, the key
physical quantities change can be observed in the corresponding conditions,
even under the affection of some certain disturbance. These are important
doi:10.2495/CR100231

parameters to research on the vehicle characteristic and control method of the
propulsion system.
The traction motor load simulation technology is indispensably used in many
subjects referring to the propulsion system, such as deciding the power of
machines and converters, giving out the method of traction motor torque control,
slip, slide and re-adhesion control, inhibiting the fluctuation of the power grid
voltage, and research on the affection of harmonic current in the DC circuit.
2 Quality of the load torque

Huang [1] put forward the theory of the load simulation system. The load torque
of the traction motor can be divided into two parts: the damping load torque and
the inertia load torque. By checking the results, the conclusion in his thesis is
verified and improved in this paper. Part of the deducing course is shown as
follows (the force analysis in Fig. 1 and the variable definition in table 1).
By considering the force condition about the whole vehicle,
N m Ft f M
dv
dt
(1)
Translation force equation of single power shaft:
Ft f m m
dv
dt
Table 1:
The symbols used in the theory analysis.
Symbols
Unit
Nm
Ft , Fmw , Fwm
f , fm
TLf , TLd
Nm
M,m
kg
R, rg1 , rg2
Jm , Jw
kgm2
v, vw , vs
m/s
m , w
rad/s
ig ,Gear ,
Instructions
The number of traction motors
Traction force per power shaft, force

between active and passive gears
Total resistance of vehicle and that divided
onto each power shaft
Damping load torque, inertia load torque
Total weight of the train and that divided
onto each power shaft
Radiuses of wheel, active gear, and passive
gear
Inertial-mass of the active mechanism and
that of the passive mechanism
Forward velocity, linear velocity of the
wheelset and the sliding velocity
Mechanical angular velocity of the traction
motor and the wheelset
Gear ratio, gear efficiency and creep ratio
(2)
Fmw
Active Gear
235
Wheelset
Tm
vw v vs
rg1
m , m
rg2
ma
Motor Shaft
v, a
fm
Wg
Passive Gear
Fw m
Ft
Force analysis of the wheelset.
Figure 1:
Rotation force equation of a power wheelset:

Fmw rg2 Ft R J w
dw
dt
(3)
Coming down to the creep ratio between wheel and rail,

vw v vs v(1 ) w R
(4)
To the traction motor, the torque equation is established:

Tm TL J m
dm
dt
(5)
Considering about the affection of gear efficiency (traction condition),

TL Fwm rg1 Fmw rg1 / Gear
(6)
Combine the equations (1)-(6), and refer to the power transmission

characteristic of the gear:
w m / ig
ig rg2 / rg1
(7)
TL TLf TLd
(8)
It is put forward that

In the equation,
R
f
Gear N m ig
(9)
J
d
MR 2
w 2 ]( m )
2
Gear (1 ) N m ig Gear ig dt
(10)
TLf
TLd [

The two expressions separately stand for the damping part and the inertia part
of the load torque of traction motor. Eqn. (8) is the expression of the load torque.
J is used to express the equivalent rotating inertial-mass besides that of the
traction motor in the system:
J
J
MR 2
w
Gear (1 ) N m ig2 Gear ig2
(11)
3 Torque control of the traction motor

Like the actual condition during the starting course of the train, the traction
torque which is generated by the traction motor is firstly added onto the load
simulation system, and it directly gives an effect to the load motor. By obtaining
the torque and speed information of the traction motor, the load machine
immediately gives out the load torque, which should correctly and rapidly
imitate the actual load of the traction motor. So, before the control method of the
load machine torque is put forward, it should be sure that the control method of
the traction motor torque has been proposed at first.
The traction motor characteristic curve of the actual vehicle is given by Zhang
[2] and shown in Fig. 2. This paper will take the CRH2 (China Railway Highspeed) EMUs as an example to discuss how to reduce the actual traction
characteristic curve equivalently so that the curve can be used on the experiment
platform with reduced power.
Figure 2:
The traction performance curve of CRH2.
237
According to the actual condition and the experimental condition, the torque
equations of traction motors are separately established:
d
Tm (v) TLf (v) ( J J m ) m
dt
Tm (v) TLf (v) ( J ad J ms )
dm
dt
(12)
(13)
In the equation, Jms means the inherent rotating inertia-mass of the experiment
platform and Jad shows the inertia-mass which should be added on to the system
with some inertia mechanical equipments such as flywheel referred in studies [3
5], or with the inertia load torque generated by the load machine. Jad is called the
additional rotating inertia-mass.
Traction torque can be expressed in the following form:
m nv, v vb
Tm (v)
p / v, v vb
(14)
m nv, v vb
Tm (v)
p / v, v vb
(15)
Setting v = kvv, Tm(v) = kTTm(v), kv is called the velocity zoom ratio, and kT
is called the torque zoom ratio. Replace the corresponding symbols in eqn. (14)
with them.
vb
m nk v v , v k
v
Tm (k v v ) kTTm (v )
v
( p / k ) / v, v b
v
kv
(16)
vb
m nkv
k k v, v k
T
T
v
Tm (v)
p
k
k
v
/
(
)
v T
, v b
v
kv
(17)
So,
nk
v
m
p
, n v , p
, vb b .
kT
kv
kT
k v kT
The damping load torque can be expressed in the following form:
It can be inferred that m
TLf (v) a bv cv 2
(18)
TLf (v ) a bv cv 2
(19)
Solving it with the same zoom ratio, a
k
k2
a
, b v b , c v c .
kT
kT
kT

Consulting the equations (12) and (13),
Tm (v) TLf (v)
( J J m )kv dm
d
(
) ( J ad J ms ) m
kT
dt
dt
(20)
Consequently,
J ad
kv
( J J m ) J ms
kT
(21)
Jad is just the additional rotating inertia-mass, which should be added onto the
experiment platform.
Fig. 3 shows the original traction characteristic curve and the reduced one
with the parameters kv = 3.46, kT = 100. On this condition, the relationship
between the actual acceleration and the reduced acceleration is
a (v)
1
a (v )
kv
(22)
For application, the value of the velocity zoom ratio and the torque zoom ratio
is decided by the rated electromagnetic torque and the rated speed of the traction
motor. The reduced traction torque curve will be made the given torque for the
traction motor, and the reduced damping torque curve will be made the given
torque for the load motor.
4 Torque control of the load motor

This paper only makes a research on the condition of using a DC motor as the
load machine. It tells how to control the torque of DC motor to add the load for
the traction motor. It is easier to control the torque of DC machine than that of
induction machine, so the way to control DC load motor can provide a reference
for controlling AC load motor.
Figure 3:
Traction curve before and after being reduced.
Ia
I a*
K1
1 1s U a
1s
1
Ra sLa
Ia
CT
TLd
Tm (n)
1
F K n J ms s
239
1
Ce
CT
*
Ld
Figure 4:
H ( s)
Closed loop control system of DC generator.
It may be easily inferred from eqn. (8) that the electromagnetic torque of the
load machine opposes that of the traction motor. In addition, it is composed by
the damping load torque and the inertia load torque. It is relatively easy to
control the DC load machine following the damping load curve, for which in this
paper it is selectively discussed how to drive a DC machine imitating the inertia
load accurately.
In fact, the inertia load torque should not surely be imitated by the
electromagnetic torque of a load motor. As what has been referred above, inertial
mechanic equipments just like flywheels may apply such an inertial torque as
well. Not only that, it could greatly simplify the system control. However,
according to eqn. (21), the additional rotating inertia-mass is usually great. The
volume and weight of the equipment might be unacceptable for a laboratory
platform if all the inertia torque is generated by a flywheel. At the same time, the
inertia-mass of flywheels is unchangeable if the simulation conditions are
changed. So, such a disadvantage may limit the function of the load simulation
platform, and will degrade the flexibility of the experiments based on it.
Consequently, it is very important to make a research on the technology of
electrical inertia-load simulation.
Fig. 4 shows the block diagram of a closed loop control system of DC
generator in the complex frequency domain. In the dash dotted square, it is the
model of the DC machine. The signal Tm(n) is not only the output torque of the
traction motor, but also the load torque of the DC load motor. According to the
superposition principle, the forward channel of the inertia controller is analyzed
specially.
The H(s) is assumed as
H ( s ) K n J ad
s
1 Hs
(23)
In it, Kn (2/60) is the conversion coefficient from the rotor speed to the
mechanical angular velocity. In the following sections, it will be put forward that
how to choose a suitable value for the time const H according to the system
output response.
In spite of the viscous damping coefficient F, the time constant of rotor of the
DC generator is made as e = La / Ra. Then let 1 = e. When the value of K1 is

large enough, the transfer function of the system can be inferred with the
Masons gain equation:
(1 H s )(1 e s )
n
1
Tm
K n ( J ms J ad ) s
K n ( J ms J ad ) s
J ms
J ms
H e s 2 (
H e )s 1
J ms J ad
( J ms J ad )
1Hs
.
J
1 H ms s
J ms J ad
(24)
Change eqn. (24) into the form shown in Fig. 5 n* is the expected value of the
rotor speed, and n is the actual speed response. It is obvious that in case of H = 0,
the two values of rotor speed will be totally the same. By debugging the output
response, the best value of the inertial time constant will surely be found out.
Affected by such a value, the response time of the derivative control should be
short enough and the high frequency noise must be as weak as possible. The best
value of H mainly depends on the inertia-mass of the imitated load, and is also
affected by the parameters of the PI regulator and the response time of the
control method, and so on.
5 Simulation and experiment

The structure of the load simulation system is designed as Fig. 6. The system is
composed by a traction motor (induction motor) anda load motor (DC motor),
Tm ( n)
Figure 5:
1
K n ( J ms J ad ) s
n*
1 Hs
J ms H
1
s
( J ms J ad )
Transfer function of the inertia controller.
Flywheel
Figure 6:
Structure of the load simulation system.
Table 2:
Parameters of the actual and experimental motors.
Items
CRH2-200 motor
AC motor
DC generator
Rated power(kW)
300
2.2
3.5
Rated voltage(V)
2000
380
230
Rated current(A)
106
15.2
Rated speed(r/min)
4140
1420
1450
Rs
0.144
3.2
275
Lls
0.0014
0.0166
Separate excitation
Parameters
of the
equav
circuit
241
Rr
0.146
2.2
3.96
Llr
0.0013
0.0166
0.012
Rm
527.7
5.19
Ce = 0.165
Lm
0.0328
0.361
CT = 1.58
s
and s
*
f
Calculator
1
CT
Figure 7:
Simulation model of the load imitation system.
the shafts of which are joined together in order to act the traction torque and its
opponent. Parameters of the traction motors on CRH2 EMUs and motors in the
laboratory are listed in table 2.
5.1 Simulation of the load imitation system
Based on the theory of load torque control method above, a model of the low
power load imitation system of CRH2 traction motor is established with
MATLAB/ SIMULINK. The control system is drawn in Fig. 7.
Consulting the experimental equation of the basic resistance of vehicle on flat
and straight railway, fb = 8.63+0.07295v+0.00112v2(N/t), the total resistance of
the vehicle can be calculated out. Substitute the parameters of CRH2 in equations

(8)-(10), referring to the rated torque and rated speed of the experimental traction
motor shown in table 2. The relationship between the rotor speed of the traction
motor and the vehicle velocity is like:
nm
1000ig (1 )
60(2R)
(25)
Let 250km/h (corresponding actual motor speed: 4912.5r/min), the highest

speed of the vehicle correspond the rated rotor speed (1420r/min) of the
experimental motor. The rotor speed zoom ratio should be set 3.46. Because of
the proportional relation between the rotor speed and the vehicle velocity, set kv
= 3.46 and kT = 100. The reduced traction curve is shown in Fig. 3. Set Jad =
17.37 kgm2 according to eqn. (21), and set k1 = 100, and 1 = e = 0.06s. Valuate
the inertial filter time constant H = 0.1. Simulate the starting course of the
experimental traction motor following the reduced curve in Fig. 2 and the result
is expressed in Fig. 8.
Obviously, it takes 375 seconds for the traction motor to reach the speed of
1420r/min (corresponding v: 250km/h and v: 72.24km/h) at full speed in Fig.
8(a). The acceleration time is generally the same as the actual time. Fig. 8(b)
shows the simulative acceleration is about 1/3.46 of the actual acceleration,
which is in agreement with eqn. (22) and Fig. 3. Based on all above, the
conclusion is that the method to control the torques of traction motor and load
motor is reasonable, effective and accurate.
5.2 Experiment of the load simulation system
On the hardware platform, the induction motor is controlled following the

method shown in Fig. 7. The DC load motor is separately excited, and its torque
is controlled by changing the armature current with constant magnetic flux so
that the electromotive force constant and the electromagnetic torque constant will
never be changeful, by which the torque of the motor is much more easily
inferred. The circuit structure is shown in Fig. 9.
(a)
Figure 8:
(b)
Simulation result of the load imitation system, (a) traction and load
torque with rotor speed, (b) simulative acceleration of vehicle.
Figure 9:
Circuit structure of the hardware experiment platform.
(a)
Figure 10:
243
(b)
Result of the damping load torque control experiment, (a) speed

and torque current of the traction motor, (b) speed and armature
current of the load motor.
As continuous running with a speed over the rated value may destroy the
structure of the machines, lowering the level of the traction curve or simulating
the ramp resistance will be helpful to let the highest speed be lower than the
rated speed of motors. The level 8 traction curve is used in this paper as the
given traction torque. The balance speed will just be the rated speed in spite of
the inherent mechanical resistance of the coupling system. The speed and current
waveforms of the damping load experiment are shown in Fig. 10.
In Fig. 10(a), the stator phase current changes from about 5.6A (1A/100mV)
when starting to lower than 2.8A when the torques are balanced. During this
course, the actual torque current IT perfectly follows the given IT*. So, the
output torque of the traction motor can be judged following the reduced traction
curve of level 8. The final speed is 1023r/min (1500r/min corresponds 3.3V), and
the corresponding traction torque is about 4.9Nm. The armature current totally
follows the given current in Fig. 10(b), and its value is about 1.52A when the
speed is changeless. Consulting the torque constant in table 2, the corresponding
torque of the DC load motor is about 2.4Nm. It seems still 2.5Nm lost in the
inherent mechanical resistance of the system if the change of motor parameters
and the error position of the observed flux linkage are ignored. The results tell

that the control effect of the damping load torque is the same as what is
expected.
6 Conclusion
Traction motor load simulation system with double motors and double torque
controllers has no closed loop control for the speed, and the speed signal is just
one of the input variable which participates in the system control. At the same
time, the speed control is one of the most important aims. By dynamic control of
the traction torque as well as the load torque, the speed is decided indirectly
reflecting the status of the actual vehicle.
Although the inertia load is simulated well in the simulation system, limited
by the working time of the DSP program codes, the discrete sample time, the
highest frequency of the MOSFET and the sample precision of the rotor speed,
the hardware platform cannot absolutely satisfy the demands of the control
methods. As above, the method of controlling the inertia load has to be
improved. Whats more, the paper has given out the additional inertia-mass by
eqn. (21), which could be a reference to decide the weights and radiuses of the
inertial equipments (such as flywheels). The method of the inertia load torque
control by Digital Signal Processor will be discussed in another paper.
Acknowledgements
This paper and its related research are supported by Technology Research and
Development Plan of MOR (2009J006-M): Research on the method of DC
voltage pulsation suppression in high-speed train propulsion system. We express
our sincere appreciation for the substantial support.
References
[1] Huang, Y.P., A study on load simulation of traction motor of railway
vehicle, M.S. thesis, Beijing Jiaotong University, Beijing, China, June 2009.
(in Chinese)
[2] Zhang, S.G., CRH2 Electricity Multiple Units (China high-speed railway
technology: CRH series), China Railway Publishing House: Beijing, 2008.
(in Chinese)
[3] Li, Z.S. & Dong C., Actuality on mechanical loads emulation basin on
electric powered technology abroad. Machinery, 34(5), pp. 1-3, 2007. (in
Chinese)
[4] Padilla, A.J., Asher, M.G. & Sumner, M., Control of an AC Dynamometer
for Dynamic Emulation of Mechanical Loads with Stiff and Flexible Shafts.
IEEE Transactions on Industrial Electronics, 53(4), pp. 1250-1260, 2006.
[5] Rodic M, Jezernik K & Trlep M., Control Design in Mechatronic Systems
Using Dynamic Emulation of Mechanical Loads. Proc. of IEEE ISIE 2005,
pp. 1635-1640, 2005.
245
Formalizing train control language:

automating analysis of train stations
A. Svendsen1,2, B. Mller-Pedersen2, . Haugen1,
J. Endresen3 & E. Carlson3
1
SINTEF, Norway
University of Oslo, Norway
3
ABB, Norway
2
Abstract
The Train Control Language (TCL) is a domain-specific language that allows
automation of the production of interlocking source code. From a graphical
editor a model of a train station is created. This model can then be transformed to
other representations, e.g. an interlocking table and functional blocks, keeping
the representations internally consistent. Formal methods are mathematical
techniques for precisely expressing a system, contributing to the reliability and
robustness of the system through analysis. Traditionally, applying formal
methods involves a high cost. This paper presents a formalization of TCL,
including its behavior expressed in the constraint solving language Alloy. We
show how analysis of station models can be performed automatically. Analysis,
such as simulation of a station, searching for dangerous train movements and
deadlocks, is used to illustrate the approach.
Keywords: interlocking, domain specific language (DSL), model analysis, alloy,
Train Control Language (TCL).
1 Introduction
An interlocking system prevents dangerous train movement on a train station by
giving a clear signal to a train only if the requested route is safe. The
interlocking system ensures that the route is safe by reading the status of the
elements in the route (e.g. tracks, switches, signals) to see if they comply with
the logic of the interlocking system. This logic is depicted by an interlocking
table, and realized by the interlocking source code, in the form of functional
doi:10.2495/CR100241

blocks of code that are executed (interpreted) by the PLCs (Programmable Logic
Controllers) in their control of the station.
Since the interlocking system is a safety system of the highest classification,
several rounds of formal review and testing are needed. The functional
specification is formally reviewed, before the functional blocks are produced and
also formally reviewed in several steps. In addition, systematic testing of the
station products is performed to ensure that they are correct. Both the review and
testing processes are time-consuming and have a high cost.
The Train Control Language (TCL) [1, 2] is a domain-specific language
(DSL) for modeling train stations. TCL automates the production of functional
specification and interlocking source code. From a graphical editor, where train
stations can be modeled, model transformations generate other representations of
the stations, e.g. interlocking tables, functional specifications and functional
blocks of interlocking source code.
In this paper we present an extension to our original TCL to automate
analysis of train station models. The contribution is the formalization of the TCL
language and models, and the analysis performed on these models. Even though
the current review and testing processes cannot be eliminated, allowing for
automatic analysis on model level may allow reduction of costs in these
activities.
The outline of the paper is as follows: Section 2 describes the background for
this work, the current development techniques, including the review and testing
activities. Section 3 introduces TCL and how it automates the production of
interlocking source code. Section 4 briefly introduces the constraint-solving
language Alloy that will be used for formalizing TCL in Section 5. Section 6
illustrates how the formal Alloy models can be used for automatic analysis of the
TCL models. Finally, Section 7 concludes the paper and look at some topics for
future work.
2 Background
From an input requirement specification, consisting of an interlocking table, a
structured drawing of the station and a generic Computer Based Interlocking
(CBI), incorporating national rules, a functional specification is produced. The
functional specification is a mapping of the interlocking table into a set of logical
equations. The functional specification is further developed into a design
specification, which is close to the interlocking source code. The functional
specification and design specification are formally reviewed following the Fagan
inspection method [3]. This method includes a set of rules, guidelines and
checklists for use in ABB RailLock. Both the production and review of the
functional specification and design specification are performed manually, and are
thus of high cost.
Following the functional specification and the design specification two teams
develop the interlocking source code using different libraries and developing
methods. This reduces the chance for common code errors. A formal review of
the produced interlocking source code, checking it against the functional
247
specification and design specification, is then performed using the Fagan

inspection method once more. An independent party then validates the source
code against all safety requirements using a formal mathematical method that is
accepted as adequate by the Norwegian Railway Authority.
Following the review of the interlocking source code, the source code is
deployed and several steps of systematic testing are performed. This includes
testing the response of the elements in the station, to ensure that they give the
correct responses, and simulating train movement systematically, to verify that
the system behaves as expected. The behavior of the interlocking system is
described by the dynamic semantics of this system, and we model a set of
dynamic semantic rules for the interlocking system in Section 5.
3 Train control language

Since the development of interlocking source code is a time-consuming process
requiring a large amount of resources, the Train Control Language has been
developed to automate this task. This was shown by [1, 2], and in this section we
show a summary of this work.
TCL is a domain-specific language for modeling stations in the train domain.
TCL is defined by a metamodel (see Figure 1), which defines the concepts in the
language and how they are connected.
The topmost concept is Station, which represents the station, containing the
other concepts. A TrainRoute is the route a train must acquire to be allowed to
move into or out of the station. A TrainRoute consists of several TrackCircuits,
which are a collection of Tracks, where a train can be detected. A Track can
Figure 1:
TCL metamodel excerpt.

either be a LineSegment or a Switch, and these are connected by Endpoints. An
Endpoint can either divide TrackCircuits (TCEndpoint) or be within a
TrackCircuit to connect LineSegments and Switches (MiddleEndpoint). A
TrainRoute starts at a TCEndpoint with a connected Signal and ends at another
TCEndpoint with a connected Signal in the same direction.
Based on the metamodel, Eclipse Modeling Framework (EMF) [4] and
Graphical Modeling Framework (GMF) [5] have been used to develop editors, in
particular a graphical editor for modeling the structure of a train station (see
Figure 2). The figure also illustrates the concrete syntax of TCL by showing a
station with two tracks. A station is created by choosing an element on the
toolbar (to the right), dragging it into the canvas (middle) and connecting it to the
other elements. Attributes for the elements are then set according to its property
(property view at the bottom). When the station model is complete according to
the input specification, other representations can be generated automatically by
pressing a button (on top).
TCL includes three kinds of model transformations, generating one of the
three following representations: Interlocking table, functional specification and
interlocking source code (functional blocks). The interlocking table is used to
compare with the provided interlocking table to visually verify the correctness of
the station in an early phase. The functional specification is also used for
Figure 2:
TCL graphical editor.
249
verification purposes. The interlocking source code has to be formally verified

and tested before it can be used for controlling the station.
Notice that for TCL to be put into full production, a formal verification of the
language and code generators is needed, to formally confirm that it complies
with the same safety standards as the current development process.
We will, however, see how analysis can be performed on the TCL models
automatically by translating the models into models of the constrain-solving
language Alloy. Since the train domain has to follow high safety standards, this
will not eliminate the time-consuming process of reviewing and testing the
station products. However, by performing analysis on model level early in the
development phase, both design and implementation errors can be discovered
early and thus reducing cost.
4 Alloy
Formal verification and validation involves expressing a system (e.g. a train
station) precisely through mathematical terms and proving the correctness of the
system. Formal methods have traditionally provided accurate analysis of systems
at a high cost. Extensive knowledge of mathematical techniques, with their
complex notations and theorem proving raises the threshold for performing
analysis.
Alloy is a lightweight declarative constraint-solving language for relational
calculus [6]. Through the Alloy Analyzer automatic and incremental analysis can
be performed without the need for proving theorems or handling complex
mathematical notation. Unlike traditional theorem proving, the Alloy Analyzer
only offers analysis within a given scope, which is the number of instantiated
elements of each type. The small scope hypothesis ensures that such analysis is
sufficient, since if a solution exists, it will be within a scope of small size [7].
An Alloy model typically consists of signatures (types), fields (references to
signatures), facts (global constraints), predicates (parameterized constraints) and
assertions (claims). A type hierarchy is modeled by letting a signature extend
another signature. A fact consists of constraints that must always hold. A
predicate consists of constraints that must hold if the predicate is processed, and
can therefore be used to represent operations. An assertion consists of
constraints that is claimed to hold. As an example, Figure 3 shows a signature of
a train route corresponding to train route in the TCL metamodel (Figure 1).
Figure 3:
Signature of a train route in Alloy.

In the search for a solution, the Alloy Analyzer populates the signatures with
elements up to the given scope where all the facts are satisfied. Two kinds of
analysis can be performed: Finding a model instance satisfying a predicate or
finding a model, which represents a counterexample to an assertion. If an
analysis does not find a solution or counterexample, there may not be any
solution or counterexample within the selected scope, or the constraints
(facts/predicates) may over-constrain the model. Thus, the constraints can be
adjusted and the Alloy model can be built stepwise based on the feedback from
the Alloy Analyzer.
The Alloy Analyzer requires the maximum number of each type of element
(scope) to be specified, and it guarantees that if a solution or counterexample
exists within the scope, the analysis will find it. This process does not require
any test cases, since it checks a property for all possible solutions within the
scope. The space of cases examined by the analysis is usually huge (billions of
cases) [6].
5 Formalizing TCL
For the formalization of TCL we follow the approach by Kelsen and Ma [8].
They illustrate how to use Alloy to formalize modeling languages and compare it
to traditional formalization techniques. As they point out, the Alloy approach
offers a uniform notation and automatic analyzability using the Alloy Analyzer.
We choose to formalize TCL in Alloy by three separate models; a static
model, a dynamic model and an instance model (see Figure 4). Semantic rules on
language level can then be separated from the rules on instance level, such that
several instances can use the same static rules. Besides that, we get a clear
separation between static and dynamic semantics, making them easier to
maintain.
The static model holds the static semantics for the TCL language, including
the concepts and how they relate (from the metamodel) in addition to language
constraints. Figure 3 shows how the concept train route is modeled in Alloy by
using a signature. This signature relate to other signatures through its fields (e.g.
to track circuit and endpoints). Additional constraints restrict the number of valid
TCL models instantiated by the Alloy Analyzer.
Figure 4:
Alloy specification divided into three models.
251
The Alloy Analyzer populates the signatures with elements when it searches
for solutions or counterexamples. Thus an arbitrarily TCL model is instantiated
when using the static model. However, since we want to analyze a particular
TCL model created by the TCL editor, the number of valid model instances in
Alloy must be further constrained to be only this one. We therefore import and
extend the static semantics of the static model using an instance model, which
specifies one particular station. The instance model therefore specifies the
number of model elements in the TCL model and how they are connected (e.g.
the exact number of train routes and how they are connected to other elements).
The result of these constraints is that Alloy only instantiates one valid model for
the analysis, which is the TCL model subject to analysis.
To be able to perform proper analysis on a TCL model, the behavior of the
station needs to be formally specified as well. This specification is modeled in
the dynamic model using a state machine. The dynamic model constrains the
behavior of the concepts of the static model, and the Alloy Analyzer satisfies
these constraints when it uses the instance model to instantiate an instance.
Therefore, the dynamic model imports the instance model and uses the concepts
of the static model.
The dynamic semantics of TCL involves train movement. Intuitively, trains
can move simultaneously on a station as long as they follow the basic rules of the
interlocking table (table defining safe train movement). More specifically, a train
has to request a train route before it can move into or out of the station. Given
that no other conflicting routes are already taken and all track circuits in the route
are free, the route can be given to the train. The allocation of the train route
involves setting switches to the right position and signals to the correct status
before the train gets a clear signal. The train moves from track circuit to track
circuit within the route until it reaches its destination. The track circuits are
occupied and freed during the movement.
The state machine defined in Alloy, to describe the behavior of a station,
contains a set of states and trains in addition to the instance of the TCL model.
The states define the conditions of the station (e.g. position of trains) and the
transitions between them define the operation to be performed. There are three
operations (represented as predicates): Insert a new train on either side of the
station, allocate a route to a train, and moving a train. Through these three
operations we can simulate the train movement on the TCL model modeled by
the TCL editor.
The development of the Alloy models is illustrated in Figure 5. The static and
dynamic models are defining the TCL language and are thus only produced once.
The static model is generated from the TCL metamodel, while the dynamic
model is produced manually. The instance model is different for each TCL
model, and is therefore generated once for each TCL model. However, the
instance model is generated automatically from the TCL model modeled in the
TCL editor using a MOFScript transformation [9].
As a comparison, Jackson presents an Alloy case study on railway safety [10].
In this example constraints are specified such that only safe train movement is
allowed. This is very similar to our Alloy approach. However, our approach

performs analysis on real train stations, which are typically more complex than
the example presented in [10].
6 Performing analysis of TCL models

From the Alloy formalization of TCL we can perform analysis on the TCL
models. The Alloy Analyzer can, as mentioned in Section 4, perform two kinds
of analyses: searching for a solution that satisfies a predicate or searching for a
counterexample that falsifies an assertion. In our analysis we will use both of
these to prove certain properties.
To perform analysis on a TCL model, the TCL model is exported and
transformed to an Alloy instance model (as described in Section 5) and the Alloy
Analyzer is invoked with this model as input. This process has been integrated
into the TCL editor giving a user-friendly interface for performing the analysis
on TCL models. Figure 6 illustrates the integration with the TCL editor, and how
TCL to Alloy
Language level
Model level
MOFscript
transformation
Written by hand
MOFScript
transformation
Static
Dynamic
Instance
Transformed once
Figure 5:
Figure 6:
Transformed once
for each station
model
Development of the Alloy models.
Integration with the TCL editor.
253
to perform the analysis. By right clicking on the station canvas, the illustrated
menu is given where one of the menu items can be selected. Only a few options
for analysis are included in this interface for now. However, we plan to add more
options in the future, including a possibility to specify arbitrarily predicates and
assertions.
Our analysis is mainly concerned with the behavior of the station (dynamic
semantics) in some particular situations. The Alloy Analyzer gives a solution or
counterexample by giving a trace through the state machine specified by the
dynamic semantics. By following this trace, we can observe how the condition of
the station changes, and thus see the train movement through the station.
Constraints for the conditions in the first and last state in the trace can be
specified (e.g. both the first and last state includes no trains in the station).
Intuitively, we specify the conditions for the first state and for the last state in
the trace and how many trains are moving through the station. These parameters,
in addition to whether we run a predicate or check an assertion, decide what kind
of analysis we are performing.
As an example, imagine that we have a start condition with a train on track 1
(see Figure 7). Typical test-cases will be to test whether any train routes
involving track 1 (train route 1 and 2 in Figure 7) can be given to other trains
while the train is located on track 1. This property can be checked through
specifying an assertion in Alloy (see Figure 8). This assertion claims that no
model can be instantiated where the following constraints are true: The first state
in the trace includes a train on track 1, the last state in the trace still constrains
the train to be on track 1, and the last state in the trace also includes an allocated
route (to another train) involving track 1. The Alloy Analyzer is invoked to find
a possible trace through the state machine where such behavior is allowed (a
counterexample). Fortunately, for our two-track station, Alloy does not find any
counterexample that falsifies our assertion, proving that no train routes involving
track 1 can be allocated when a train is located there.
Other analyses include the search for the number of active trains the station
can include simultaneously without leading to a deadlock. A predicate can be
used to search for a solution for a certain number of simultaneous trains. If no
solution is found, the specified number of simultaneous trains will lead to a
deadlock. For our two-track station, the maximum number of simultaneous trains
turns out to be three (solution illustrated in Figure 9). This figure illustrates the
Figure 7:
Two-track station with a train on track 1.

assert checkRouteAllocation {
//assert that no model with the following constraints exist
no t,t2:Train, tc:tc_01, tr:TrainRoute{
tc in tr.trackCircuits
//constraints for first state in trace
t->tc in first.trainOnTrack
tc in first.occupiedTrack
no first.trainOnRoute
no first.allocatedRoute
//constraints for last state in trace
t->tc in last.trainOnTrack
tc in last.occupiedTrack
t2->tc in last.trainOnTrack
t2->tr in last.trainOnRoute
tr in last.allocatedRoute
}
}
Figure 8:
Figure 9:
Assertion on train route allocation involving track circuit 01.
Maximum number of trains on the station simultaneously.
condition of the station in the state (in the trace) where it included three trains
simultaneously. Notice that this figure has been created based on the trace
information given by the Alloy Analyzer, and is not created by Alloy itself.
Arbitrarily analysis can thus be performed automatically by specifying the
condition of the first and last states in the trace, the number of trains to be
involved and what kind of assertion/predicate to check/process. We have seen
two examples of analysis that can be performed on a TCL model. However, we
see that these two examples do not differ from other test cases on stations. Thus,
a big amount of the testing of stations can be similarly checked by analyzing the
TCL models, with considerable less amount of effort.
7 Conclusion and future work

This paper presented a formalization of TCL, both static and dynamic semantics,
in Alloy such that automatic analysis can be performed on TCL models. We
looked at how the process of performing this analysis has been simplified by
255
integration with the TCL editor. Furthermore, two examples of analysis were
presented to illustrate the approach.
As pointed out, this approach may not replace the traditional validation,
verification and testing processes. However, it adds extra value by allowing
automatic analysis in the early development process, which can be performed
both in the designing phase and in the development phase. By simulating train
movement traces on different station architectures (models), errors can be
discovered and corrected early, making a considerable potential for reducing cost
and time-to-market.
Furthermore, since this approach analyzes TCL models, it will shift the
necessity of validation and verification from the code level to the model
transformations. However, validation and verification of the model
transformations only needs to be performed once. This approach thus has a huge
potential of optimizing the development and testing of interlocking source code.
As future work we plan to extend the analysis we perform on TCL models.
Since the analysis is performed automatically, we can easily extend it to include
other test cases and properties that were earlier checked manually. Furthermore,
we are currently working on verifying the interlocking source code generated by
the TCL code generators. With verified code generators, parts of the verification
and testing process can be performed automatically on model level.
Acknowledgements
The work presented here has been developed within the MoSiS project ITEA 2
ip06035 part of the Eureka framework.
References
[1] Endresen, J., et al. Train control language - teaching computers
interlocking. in Computers in Railways XI (COMPRAIL 2008). 2008.
Toledo, Spain: WIT Press.
[2] Svendsen, A., et al. The Future of Train Signaling. in Model Driven
Engineering Languages and Systems (MoDELS 2008). 2008. Tolouse,
France: Springer.
[3] Fagan, M.E., Design and Code Inspections to Reduce Errors in Program
Development. IBM Systems Journal, 1976. 15(3): p. 182-211.
[4] EMF, Eclipse Modeling Framework (EMF): http://www.eclipse.org/
modeling/emf/.
[5] GMF, Eclipse Graphical Modeling Framework (GMF): http://www.eclipse.
org/modeling/gmf/.
[6] Jackson, D., Software Abstractions: Logic, Language, and Analysis. 2006:
The MIT Press.
[7] Andoni, A., et al., Evaluating the Small Scope Hypothesis. 2003, MIT
CSAIL.
[8] Kelsen, P. and Q. Ma, A Lightweight Approach for Defining the Formal
Semantics of a Modeling Language, in Proceedings of the 11th

international conference on Model Driven Engineering Languages and
Systems. 2008, Springer-Verlag: Toulouse, France.
[9] Oldevik, J., MOFScript Eclipse Plug-In: Metamodel-Based Code
Generation, in Eclipse Technology Workshop (EtX) at ECOOP 2006. 2006:
Nantes.
[10] Jackson, D., Micromodels of Software, in Models, Algebras and Logic of
Engineering Software, M. Broy and M. Pizka, Editors. 2003, IOS Press. p.
351-384.
257
Design and operation assessment of

railway stations using passenger simulation
D. Li1 & B. Han2
1
2
State Key Laboratory of Rail Control and Safety, China

Abstract
To assess the design of infrastructure and operation efficiency of railway
stations, passenger simulation models are useful tools. This paper presents a
microscopic passenger simulation model for railways. The simulation process is
described as event planning, route choice and behaviour decision. Complex
passenger behaviours are modelled, as well as simple motions. The model is
calibrated using field data collected from Beijing railway station. Software called
SRAIL is developed to validate the model. By using input passenger
characteristics, station facilities, train timetables, traffic flow rules and
simulation parameters, some useful indicators can be obtained. The indicators
can reflect facility usage, delay, congestion, safety and coordination of the
station. The total level of service is also evaluated. The first passenger dedicated
railway station of the China Beijing South Railway station is studied as an
example. The result shows that the model can assess the station design and
operation efficiently.
Keywords: railway station, design and operation assessment, microscopic
passenger simulation, event planning, route choice, behaviour decision.
1 Introduction
The largest scale passenger dedicated railways are being constructed in China.
Meanwhile, lots of new railway stations are being built. Most of these stations
are passenger dedicated, modern designed, large scale, multi-floor structures and
have a multi-modal traffic service. However, engineers are often faced with
several problems: how to improve the efficiency of railway stations; how to
avoid station travel time increasing time for the entire trip; how to keep large
doi:10.2495/CR100251

crowd passenger flows safe in the case of limited resources. Railway operators
also hope to improve the level of service by using new technologies in new
stations. They want to reduce the risk of operation accompanied by the lack of
experience.
It is hard work to solve these problems through traditional methods, because
there are many factors influencing station efficiency, such as passenger flows,
passenger behaviour, layout of facilities and operation strategy. Moreover, the
passenger crowd system is nonlinear; passenger flows on different facilities
affect each other. Thanks to the development of simulation technology, by using
passenger simulation, it is possible to forecast the potential problem of station
facilities, operation schedule and emergency plan.
The paper is outlined as follows. In section 2, the literature is reviewed. In
section 3, a passenger simulation model and its calibration is described. In
section 4, the simulation tool SRAIL, based on the proposed model, is
introduced. Section 5 is a case study of Beijing South Railway Station, which is
the first passenger dedicated railway station in China. Finally, conclusions are
provided.
2 Literature review
Traditionally, station assessment is done by mathematic method. The station is
thought of as a cluster of facilities. By calculating the smallest capacity, the
bottleneck is identified. However, the basic problem of capacity calculation is
still not solved. Such method lasted for a long time, until the use of simulation in
engineering. In particular, in the 1970s when Henderson [1] published the
statistics of crowd fluids, many pedestrian simulation models were developed.
The advantage of simulation is that the research object is modelled as an
integrated system from passenger facility to operation strategy.
Although there are only a few researchers studying passenger simulation in
railways, pedestrian simulation is widely studied, since it is a common
technology. Many specialists from physics, civil engineering and social science
have made great contributions in this field. Different methods were used to study
pedestrian flows, such as computational physics, hydromechanics, cellular
dynamics, artificial intelligence and society. However, much attention has been
Table 1:
Year
1985
1993
1994
1994
1995
2000
2000
2003
2009
Researcher
Gipps [3]
Okazaki [4]
Lovas [5]
Rothman [6]
Helbing [7]
Hoogendoorn [8]
Blue [9]
Kirchner [10]
Izquierdo [11]
Researches review.
Model
Benefit cost
Gravity
Queue network
Lattice gas
Social force
Gas kinetic
CA
Floor Field
PSO
Year
1990
1998
1999
2000
2003
2004
2007
Researcher
Maw [12]
Gordge [13]
Schelhorn [14]
Still [15]
Steps [16]
Hoogendoorn [17]
Li [18]
Tools
PedRoute
Station
STREETS
LEGION
STEPS
Nomad
SRAIL
259
paid to theories until recently, when physicist Helbings [2] book Managing
Complexity: Insights, Concepts, Applications was published. Although the
mechanism of pedestrian behaviour is not very clear, useful models and tools
were developed. Typical researches are classified as theories and applications,
which are listed in table 1.
Most of the above tools are used on egress, which has a simple flow. The
most widely used tool is Legion, which is based on crowd dynamics. However, it
is not especially designed for railway traffic. Many scenarios of railway station
operation could not be effectively simulated. Nomad is the first tool specifically
for railway. A systematic indicator set is proposed for assessing the railway
station, as this is important to facility configuration. Despite a microscopic
model, the simulation of complex systems, such as stations, need more detailed
work. These include an activity model, route choice model, behaviour model,
integrated model and so on.
3 Modelling and calibration

3.1 Model hierarchy
To assess the railway station design and operation, it should be very flexible on
both infrastructure modelling and simulation dynamics. The model is divided
into macroscopic, mesoscopic and microscopic levels (see fig. 1). At each level,
models are set up for station facility, passenger and operation strategy. The
advantage of this structure is any changes of station design or operation strategy
are related to passenger behaviour, so the assessment of station facility design
and operation efficiency can be more easily achieved.
(1) Station model. The station is defined as a graph G(N, E) at macroscopic
level. A node indicates functional blocks such as the railroad, bus, taxi, metro
and park system. These nodes are the places where passengers appear or
disappear. A link is the connection between these systems. At mesoscopic
level, facilities relationship is described as a logic network. Facilities, such as
escalators, staircases, concourses and platforms, are modelled as units with
different properties so that the passenger can identify them. This level is also
designed to deal with the connection between different floors. At microscopic
level, each facility system is described as a grid with dynamic cell size. The
movable passenger can occupy the cell, and have real time interaction with
facilities through it.
Figure 1:
Model hierarchy.

(2) Passenger model. The passenger is modelled as entities with three
property groups. The first is basic properties, including physical properties
(gender, age, body size, vision range, and walk-ability) and psychological
properties (psychological distance, temper). The second is social properties, such
as familiarity with environment, educational background, partners, attractiveness
and trip experiences. The third is traffic properties, such as trip aim, origin,
destination, desired speed, acceleration, position, ticket, and luggage size.
The passengers process model in the railway station is classified into three
steps, thus it can seamlessly interact with the station model. The three steps are
event planning, route choice and decision-making. The event planning is as
follows: when a passenger enters the station, he should clearly know what his
aim is, then make an activity plan of what he would do in the station before
leaving. The activity plan is highly related to the traffic aim and time need. To
depart, passengers who have a long time before they leave might make a rich
activity plan. In contrast, passengers who have little time or just arrive at the
station would only do the necessary activities. The route choice is a process
when the event is relatively determined. Passengers should try to find a
reasonable target to achieve their aim. However, on most occasions, there is
more than one target. Passengers should select a target that would maximize their
utilities. The last step is decision making: the passenger should decide how he
gets the target and which behaviour is reasonable. The decision is made
according to the state of the passenger and the station. In this step, passenger
behaviour modelling is also very important. Passenger behaviour is designed to
have add-ons. It means users can develop their own behaviour models. Although
different passengers would have different behaviours, they have some behaviour
in common. In a railway station, behaviours are modelled, such as buying a
ticket, waiting to board, queuing, checking in, looking at the information screen,
alighting and boarding. These complex models are made up of simpler models,
such as walking, obstacle avoidance, waiting, wandering, seeking and path
following.
Actually, such a process is not always from top to bottom. Passengers might
change their activities or decisions temporarily according to the situation they are
confronted with. For example, passengers with a lot of spare time would adjust
their activity, even their walking speed. Passengers who feel bored may wander
here and there. Passengers who feel tension may try to get ahead of others in
queues. In order to model the various activities, a dynamic activity network is
established. The network is the description of all necessary activities. Passengers
can either follow the network or separate from the network temporarily, as long
as they do not deviate from the target. In fact, there are a lot of factors that may
influence a passengers planning and decision making process. Some are even
not very clear. In this model, the user can define exactly which rule the passenger
should obey at each level.
(3) Operation model. This manages the operation strategy of the station. By
providing a user interface, many operation methods could be implemented from
passenger flow line management to timetable adjustment. The result would affect
the facility state of the station and behaviour of each passenger. It decides
261
questions such as when the ticket gate opens, how long it takes to get a ticket and
where should the train stop. For example, one can adjust the stop time of a train
from the interface, or adjust the direction of the automatic fare gates. At service
systems, it also controls the reasonable queue to make the simulation more
realistic. Connections are also set up from the event and passengers model by the
operation model. For example, a train arrival event, passenger generation event
and facility state switch event may trigger at the same time.
3.2 Four steps model calibration and validation
It is important to perform a passenger simulation calibration before using the
model, although it is more difficult to use than the general pedestrian simulation
model. The model should not only reflect the basic passenger behaviours under
different conditions, but also obey the fundamental diagrams of pedestrian flow.
Moreover, the activity of the passenger and his time consumed in the station
should be kept consistent with real operation. We present a four step calibration
method to ensure the availability of the model.
(1) Fundamental diagram test. Passenger flow should obey traffic flow
characteristics at macroscopic level, although individual behaviour might be
completely different. Special experiments, such as passenger movement on loop
facilities (a certain width corridor with unlimited length), are designed. After
some warm up time, the passenger movement is simulated under a different
crowd level. The density, flow and speed data is recorded. The relationship is
compared with an empirical study of prior researchers, as shown in fig. 2.
It is found that the capacity flow is about 110p/min/m when space is 0.5m2/p.
This is very close to the fundamental diagram of the HCM. The capacity value is
also equal to the practical measurement in Beijing.
(2) Self organization test. One of the most famous characteristics of passenger
flow is self organization phenomenon. Unlike other traffic modes, when the flow
approaches the capacity or on other occasions, some special phenomena, such as
lane formation, bubbles, bottleneck oscillations and moving stripes, can appear;
this is not deliberately designed. Taking the bubbles and bottleneck oscillations
as examples, the proposed model is tested. The bottleneck is set to a 0.5m narrow
120
100
flow(p/min/m)
80
60
40
20
0
0
3
space(m/p 2)
HCM
Figure 2:
Blue V J
the Model
Space flow relationship of the model.
Figure 3:
Bottleneck oscillations and bubbles.
door. When the bi-directional passenger flows pass the bottleneck during a large
crowd scenario, instead of deadlock, passengers from one side pass the door first
and after a while the opposite side, until the bottleneck has cleared. The result is
shown in fig. 3.
This phenomenon is widely found in prior researchers studies. In the test, the
highest frequency found is about 45 seconds, which reduces multi-nominally
with an increase of the door width. It is also found that even in very high
densities, some spaces would not be effectively used. These spaces were called
bubbles. This is consistent with the real world.
(3) Field data test. It is generally accepted that peoples traffic behaviour is
different under different areas, environment and cultures. It is also found that
passengers use of different facilities is very different. So it is necessary to
validate the model using field data test.
Firstly, a data collector and analysis tool is developed for the validation. The
video data is first collected from the CCTV in the station. Then each passengers
coordinates at different times are extracted from the video. The data relationship
curves, for example for evacuation versus time and distance versus flow, are
analyzed and compared with the simulation result in the same scenario.
Secondly, a special purpose survey is carried out, such as for time consuming
investigation. Each surveyor would select a passenger randomly, and try to
follow him. The surveyor would record the time of each activity and each target
position. For example, at the entrance, ticket vendor, waiting room or gate. Other
data, such as station structure, timetable and parameters, are also obtained from
the station operation agency.
The simulation scenario is carefully imported in to the model and, after a 24h
simulation, the simulation data for time consumption is collected and analyzed.
By comparing the result with the field data statistics, the model is validated or
revised.
(4) Empirical formula test. Railway operators have summarized much useful
knowledge about passenger flow, facility use and operation method. For
example, the unidirectional flow is more effective than mixed flow, long distance
corridors can ease passenger flow congestion and sometimes a set of obstacles
might be useful to improve the safety of the flow. Besides, some empirical
formulas were also given, such as the station egress time confirmation. Although
these formulas are not absolutely correct, they reflect the effects of some factors
relatively. The results with different input parameters should be consistent with
some existing knowledge.
The model is tested with special experiments. For example, the escalator
width is changed in different scenarios, while keeping other parameters the same.
263
The empirical knowledge told us that the level of service is lower when the
width is narrower, and passengers would rather gather at escalators than select
the staircase. Some field data can also be collected to make the knowledge
quantitative.
4 The SRAIL system

SRAIL is a passenger simulation system for railway stations, developed using
the proposed model. The system is made up of a station editor module, data
collector module, passenger flow generation module, passenger activity design
module, passenger behaviour simulator, station service simulator, data replay
module, 3D simulator, simulation data analyzer and auto-report system.
4.1 Input
The input of the system depends on how complicated the simulation scenario is.
Basically, it includes the station facilities profile, passenger flow generation
profile, activity profile and system parameters.
The station editor module provides a tool to edit station facilities, such as the
entrance, exit, concourse, escalators, staircase, gate and platform. The user
should also define the position and parameters of the station service.
The passenger flow generation system provides three types of model.
Passengers could be generated by probability distribution, by train timetable or
by OD-matrix. This is dependent upon how accurately the operators know the
rule of passenger arrival flow.
The passenger activity profile gives the user the opportunity to change
operation strategies. For example, in most of the railway stations in China,
passengers should wait for the train before checking their ticket; this is called
wait first then check. However, new passenger dedicated railway stations
reserved the check first then wait method. This can be edited conveniently by
the activity module.
4.2 Simulator
The passenger behaviour simulator is the core simulator of the passengers
motion. According to the model, passengers behaviours are determined. The
station service simulator is also very important, because it controls the
changeable facilities or services of the station. In the railway station, there might
be a lot of service systems with queues or without queues. The station service
simulator controls and updates the queue systems. In some stations, a ticket
gates open time is related to the train departure time, thus the simulator provides
the connection between them. It can also maintain user defined service systems,
such as a security check.
4.3 Output
The system provides a lot of useful indicators as output. Basically, it can be
divided into three categories: quantity indicators, time indicators and integrated
Figure 4:
Assessment indicator system of SRAIL.
indicators. Quantity indicators include density, flow, speed and queue length.
Time indicators include time consumed at each trip step and the aggregate time
of level of service at a specific region. Integrated indicators include level of
service, comfort and station bottleneck position. These indicators can reflect
facility usage, delay, congestion, safety and coordination. In order to assess the
station more fully, a complete indicator system has been designed, which is
shown in fig. 4.
Not all of these indicators are required in a simulation. This depends on what
problem is faced and what problem causes most concern.
5 Case study
5.1 Object station
Beijing is a city with nearly 300 million inhabitants. There are six passenger
train stations. As the first passenger dedicated railway station, Beijing south
railway station connects Beijing and Tianjin city, which are the two most
important cities in the north of China. The station opened before the 2008
Olympic Games. It has five floors with two metro line (M4&M14) floors, one
transfer floor, one platform floor with 24 tracks and one high level waiting floor
with more than 20 waiting areas. After it became operational, the time taken to
travel between Beijing and Tianjin decreased from 2 hours to 29min and now
takes 30 minutes. Every day, more than 162 trains depart from the station. It is
one of the busiest railway stations in China. Nearly all of the high speed trains
from Beijing depart from this station. After the M4 came into operation in
October 2009, the passenger volume of the station was more than 55,000 per
direction per day. An overview of the station is shown in fig. 5.
5.2 Simulation experiment
Before the M4 was opened, the operators of the railway station needed an
assessment of the capacity of passenger facilities. The utilization of the
underground transfer hall should be evaluated after the line is opened. The
highest passenger load of the station should be determined to decide the use of
emergency plan.
To solve the problem, simulation experiments are designed. The key point is
the underground transfer hall, so this floor should be paid much attention.
Figure 5:
Table 2:
Scheme
1
2
3
Train
number
70
100
150
265
Overview of Beijing south railway station.

Simulation schemes parameters.
Peak hour train

number
mornin
Evening
g
10
8
20
12
30
22
M4
entran
ce
M4
exit
SNE
SNE
SNE
EW
EW
W
Passenger arrive ratio

M4
Bus
Taxi
Flow
cross
point
0.55
0.66
0.50
0.34
0.24
0.34
0.16
0.10
0.16
6
5
5
S: South; N: North; E: East; W: West
According to the current usage of the hall, the hall is divided into four zones:
departure hall 1, departure hall 2, metro-rail transfer areas and others. In
addition, in order to evaluate the highest passenger load, low, middle and high
passenger volume schemes was designed. Three simulation schemes were
designed according to different train numbers, passenger flow scale and
operation method, as shown in table 2.
Other parameters are investigated and input into the model. The peak hours
are selected (7:00-9:00 in the morning and 17:00-19:00 in the evening). It is
assumed that all train occupancy is 100%. According to the survey, passengers
arrive at the station from 0 to 100 minute before train departure for long distance
travel, because there are only a few trains per day. For short distance travel,
passengers arrive at random. About 30% of passengers buy tickets before they
arrive at the station. Station staff and people only at the station to greet people or
buy tickets are not considered in this simulation. The delay of the train is
randomly distributed, while all the trains should depart or arrive between 6:00
and 23:00. According to actual data, only platforms 2, 3 and 4 with six tracks
could be used. On the second floor, two box offices (with a total of 28 service
windows) are available. The desired speed of the passenger obeys the Gauss
distribution G (1.5, 0.25). The passenger arrival probability of a train obeys the

exponent distribution and the time spent when buying a ticket obeys the uniform
distribution with N (30, 10) second. The simulation clock is set to 0.5 second.
The ticket gate is only available 15 minutes before the train departs, and only
correct ticket holders could pass the ticket gate. The ticket gate pass time is about
2s per passenger. The simulation starts at 4:30 and ends at 23:59. The simulation
is shown in fig. 6.
5.3 Result
After simulation, the Instantaneous Maximum Passenger Number (IMPN) of the
entire station and of each the concerned zones, Maximum Density (MD) and
occupation time of Level of Service-A (LOSAT), is as recorded in table 3 and
figs. 7 and 8.
From the simulation result, it is found that the three schemes have the same
peak time segment with train views. The time when the maximum passenger
number appears, as well as the passenger volume in the station, is different. In
scheme 1, the morning peak time is at about 8 a.m. with two peaks; the
maximum passenger number is 3011 at 5:11 p.m. In scheme 2, the morning peak
comes earlier at 7 a.m. with three peaks. The maximum passenger number
Figure 6:
The instance density of the transfer hall.
Table 3:
Station
Departure
hall
The statistics indicators.
IMPN
Crowd Point
IMPN
Departure hall 2
Departure hall 1
MD
Departure hall 2
(p/m2)
Departure hall 1
Transfer Areas
LOSAT
Departure hall 2
Departure hall 1
Scheme 1
3011
2
788
660
1
1.4
0.025
78.99%
84.88%
Scheme 2
3964
4
1248
1042
1.6
2
0.058
52.26%
73.44%
Scheme 3
5134
3
1324
1064
1.7
2.4
0.06
62.08%
79.42%
267
6000
5000
4000
3000
Scheme1
Scheme2
2000
Scheme3
1000
0
Figure 7:
Figure 8:
Instantaneous maximum passenger number.
Level of service time occupation distribution.
appears at 6:06 p.m. with 3964 passengers. The morning peak time lasts longer
than the evening peak time. In scheme 3, the morning peak is about 6-7 a.m. and
the maximum passenger number is 5134 at 6:14 p.m. The evening peak is stable
in the three schemes at about 5:00 p.m. This result can be explained, as many
long distance trains depart at night and arrive early; these cause the high
density in the morning.
At departure halls, the instantaneous passenger number is also recorded. It is
found that passenger volume rises very fast but reduces stage by stage. This
might be because passengers who would go in many directions will share the
same departing hall. Most of the passengers would like to gather in the
underground departure hall 1. Passenger volume in departure hall 1 accounts for
65.8% of the total passengers in the underground. An interesting phenomenon is
that the peak time of departure hall 1 is just the low volume time of departure
hall 2. This is because of the uneven use of the departure halls. Departure hall 2
serves more tracks than departure hall 1. At the last scheme, the maximum
density of departure hall 1 and departure hall 2 is 2p/m2 and 1.6p/m2; this is
about 30 times the average density of the entire floor. One reason for this is that
passengers take a rest and have to spend almost the longest time in the departure

hall, another is the facility layout of this floor. This density is very close to the
capacity of the facility, which means the station would be almost in saturation
state under this level.
It is found that the crowd point in the three schemes is 2, 4 and 3,
respectively. Although the passenger volume is the highest in scheme 3, the
crowd point is not the most serious. This is because a special passenger flow line
operation method is used in the last scheme. The mixed directional flow is
changed into unidirectional flow by changing the escalator run direction.
Comparing the level of service occupation time of the facility, it is found that
the level of service is not reduced very sharply with the increasing of the
passenger volume. Even though the maximum density appears in departure
hall 1, the level of service at departure hall 2 is worse than departure hall1 from
the view of the whole day operation. This means the use of departure hall 2 is
more balanced at this time.
6 Conclusion
A passenger simulation model and its implementation in China are described in
this paper. A four steps model calibration and validation is presented for similar
simulation applications. An indicator system is proposed to assess the station. A
simulation tool, SRAIL, is developed based on the proposed model. SRAIL
provides a user friendly interface and contains a lot of useful modules. The tool
has been already used on station design tests, station egress capacity evaluations,
passenger flow line improvements and station operation optimizations in many
projects in China. An integrated simulation of station passenger flow and station
yard operation is being studied and will be used in the future.
Acknowledgements
This work has been financed by the National Natural Science Foundation of
China (NFSC), project ID: 60674012; National Key Technology R&D Program
(2009BAG12A10); Beijing Jiaotong University Research Fund, Project ID:
2007RC039. We would like to thank the related committee.
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Life, eds. M.A. Bedau, J.S. McCaskill, N.H. Packard &S. Rasmussen, MIT
Press: Cambridge, pp. 437445, 2000.
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Conflicts in the Floor Field Cellular Automaton Model for Pedestrian
Dynamics. Proc. of the 2nd int. conf. on Pedestrians and Evacuation
Dynamics. Eds. Edwin R. Galea E.R. U.K., pp. 5162, 2003.
[11] Izquierdo, J. & Montalvo, I., Forecasting pedestrian evacuation times by
using swarm intelligence. Physica A. 7(388), pp.12131220, 2009.
[12] Maw, J. & Dix, M., Appraisals of station congestion relief schemes on
London Underground, Proceedings of PTRC Seminar, England, 335,
pp.167178, 1990.
[13] Gordge, R. M. & Veldsman, A., Planning for pedestrians: Friendly, safe
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(eds.), Urban Transport Policy, Balkema, Rotterdam, Netherlands, 481
487, 1998.
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agent based pedestrian model, Proc. of Computers in Urban Planning and
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Movements User Manual. Unpublished Work, 2003.
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271
Modeling of an interoperability test bench for

the on-board system of a train control system
based on Colored Petri Nets
L. Yuan1, T. Tang1, K. Li2 & Y. Liu2
1

2
School of Electrical and Information Engineering,
Abstract
The interoperability of train control systems is an essential feature for high-speed
railways. It must be proven that the on-board system of the train control system
has the ability to allow the safe and uninterrupted movement of each line, which
accomplishes the specified performance. A third-party interoperability test bench
should be built for the customer to test the interoperability of the on-board
systems, which are manufactured by different appliers. In this paper, a formal
model was applied on the design and the verification of the test bench. The
design errors can be detected using this formal model, thus the correctness of
the test bench functionality was ensured. A structured Colored Petri Nets model
was proposed to describe the test bench in the aspects of system, modules and
processes. The model includes three sub-models: test bench, interface and onboard system. Colored Petri Nets was used for system modeling and
CPN-TOOLS was used to support the simulation and the formal analysis. The
hierarchical modeling method not only reduces the complexity, but also
enhances the reliability and reusability. On the basis of these models, the
architecture, the information flow and the algorithms of the test bench can be
verified during the system design and development. The simulation results
showed that the design errors can be found and some algorithms can be verified
and corrected in the modeling and simulation process.
Keywords: test bench, CPN, formal method, train control system.
doi:10.2495/CR100261
1 Introduction
Train control systems based on communications are advanced signaling systems,
which are an important part of high-speed railways, as they ensure the safety and
the efficiency of the high-speed railway. Communication-based signaling
systems control the train operation through radio communication, such as ETCS
level 2 and the CBTC system. The high-speed trains, which are equipped with
the on-board system, must be able to run on many lines of the high-speed railway
network in the future in order to enhance the operational and deployment
flexibility of the transportation network, for example, European Corridors and
the DPL (Dedicated Passengers Line) of China. This requires the train control
system to have the interoperability features. It must be proven that the on-board
equipment has the ability to allow the safe and uninterrupted movement of highspeed trains, which accomplish the specified performance. There are some
differences in the technical detail between each manufacturer, because of the
different understandings of the specification, for example, the sequence of the
message between the train and trackside. Therefore, an interoperability test is
necessary to validate whether the on-board system can run on other lines, and
this is used in tests in the reference laboratory.
Interoperability testing in the laboratory is different from testing by
manufacturers. Interoperability tests are not based on manufacturers design
documents, but the specifications issued by the administration. The laboratory
provides a test bench, which can be connected with the real equipment to run all
test sequences, and therefore provide a standard environment to verify whether
the on-board equipment meets the specifications. To verify the consistency
between the functions of the equipment and the specifications, the
interoperability test does not concern the internal implementation details of
the equipment, but the external characteristics of the device. Therefore, the
interoperability test is a third-party test, and it is also a test that mainly serves
the users. The interoperability test bench should not only ensure the accuracy
of the test, but also should prove the accuracy of itself for the authority of the
laboratory. In addition, the test bench itself should be open, that is, the principle
of the test bench is understandable. All of these are the requirements for the
design and verification of the test bench.
Figure 1:
The interfaces between the test bench and the SUT.
273
Petri Nets is a formal, graphical modeling method. Petri Nets advantages are
its visual graphical modeling and its preciseness of theoretical analysis. So, it is
widely used in various fields, especially in describing the complex systems or the
logical relationship between processed activities, such as concurrency,
competition, synchronization, etc. However, the Petri Nets models of a largescale system will be too complex to analyze, and the correctness of Petri Nets
models are based on the experience of the designer. The hierarchical model is a
common way to solve the problem of the state space explosion of the Petri Nets.
By hiding the internal structure of the subnet, the designer can focus on the
higher abstraction level design and the subnets can be designed concurrently and
reused easily, and the resulting model has a good hierarchy (Jensen [1]).
In this paper, a structured Colored Petri Nets model was used to describe the
test bench and to decompose and refine it in the aspects of system, modules and
processes. The model started from the system context level and described the
interfaces and interactions between the test bench and the SUT. Then, the
modules in the test bench are further refined in the second level, to show the
state transition of the internal modules. In the third level, the module working
processes are refined respectively. Colored Petri Nets was used for system
modeling and CPN-TOOLS was used to support the simulation and the formal
analysis. On the basis of these models, the architecture, the information flow and
the algorithms of the test bench can be verified during the system design and
development. The simulation results showed that the design errors can be found
and some algorithms can be verified and corrected in the modeling and
simulation. The models that describe the test bench can not only be used to prove
the correctness of the test bench, but also be used to show the principle of the test
bench to the people participating in the test (David et al. [2]).
2 Functional model of the interoperability test bench

2.1 The structure of the interoperability test bench and the basic principles
of modeling
The interoperability of high-speed railways includes many aspects, e.g., vehicles,
electrical system and operations. The interoperability in China focuses on
whether the trains, which are equipped with different on-board equipment
supplied by different manufacturers, can run continuously and safely on the line,
which is equipped with trackside equipment from other suppliers, and meet the
functional specifications and required performances of the system. Thus, the
interoperability test concerns the ability to exchange information and to use the
information that has been exchanged between trains and trackside. The
interoperability test is focused on the external behavior of the on-board system.
In addition, the interoperability test should not require manufacturers to complete
some additional interfaces for the test. Therefore, all tests should be completed in
the available interfaces of the SUT. In addition, the interoperability test should
not require manufacturers to provide internal design documents. The test should
validate the equipment only through its input and output behavior. Therefore, the
interoperability test should be a black-box test and a data-driven test.

MONITOR
TEST
SEQUENCES
Interface 1
SCENARIO
CONTROLLER
Interface 2.1
Interface 2.2
BALISE ELEGRAM
GENERATION SIMU.
MESSAGE
GENERATION SIMU.
TRACK CIRCUIT
GENERATION SIMU.
Interface 3.1
Interface 3.2
Interface 3.3
Interface 4.1
EUROBALISE
SIGNAL
GENERATOR
Interface 4.2
Interface 2.3
Interface 4.3
Interface 2.4
SPEED SENSOR
SIMULATOR
Interface 3.4
Interface 4.4
Interface 2.5
TIU
SIMU.
Interface 3.5
Interface 4.5
Interface 2.6
DMI
PROMPTOR
Interface 3.6
Interface 4.6
EURORADIO
COM.
SIMULATOR
TRACK CIRCUIT
GENERATOR
ODO
ADAPTOR
TIU
SIMULATOR
DRIVER
Interface 5.1
Interface 5.2
Interface 5.3
Interface 5.4
Interface 5.5
Interface 5.6
BALISE
EURORADIO
TCR
ODO
TIU
DMI
SYSTEM UNDER TEST (ONBOARD)
Figure 2:
Structure of the test bench.
According to the on-board equipment specifications of the train control

system, the structure of the interoperability test bench includes a test sequence
database, a Scenario Controller module (SC), online executive modules and
interface modules. During the execution of the test, the test bench will send test
data to the SUT in real-time, according to test sequences data, thus creating an
external running environment for the on-board system, so that the tested devices
functions can be executed. The test sequences stored in the database are formed
by concatenation of the set of test cases according to the test specification. The
Scenario Controller is the main module of test execution, which is responsible
for reading all the test data from the test sequence database, configuring other
online executive modules, controlling the start and the end of the test, and
monitoring the entire testing process. The online executive modules
responsibility is to generate messages according to the configuring data by SC,
determining the proper time and occasion for sending messages to the on-board
equipment. The Speed Sensor Simulator (SSS) simulates the dynamics behavior
of the train and calculates the speed and the position of the train in real time. It
provides not only speed information to the on-board equipment, but also position
information of the train to other modules of the test bench. The interface
modules are used to connect the test bench and the SUT, as the equipment to be
tested may come from different suppliers; therefore, it needs to adapt the
interfaces between the test bench and the real SUT, to ensure the communication
between the test bench and the SUT.
Considering the functional decomposition of the test bench and the
improvement of the maintainability and reusability, the test bench is divided into
several functional modules, which can run on different computers. As the test
bench uses the data-driven approach, all the modules work together to drive the
on-board system in real-time through the test sequence data, so it is essential for
there to be synchronization between the modules internal states. To ensure
functional correctness of the test bench, a formal method is used to model and
275
analyze the test bench at the beginning of the design. In the analysis process of
using Petri Nets for modeling, a hierarchical modeling approach is used, that is,
the modeling process was divided into three levels: system level, module level
and process level. This is not only to decompose the complex model, and
simplify the problem, but also to model with Petri Nets throughout the whole
process of the test benchs development. As the development of the software and
hardware of the test bench is in accordance with the preliminary design, detailed
design, module interface design, sub-module design, coding and debugging,
modeling should be hierarchical to meet the phase of the development of the test
bench. The hierarchy of the modules is:
(1) System level. This level includes all the components of the test bench. The
components are taken as transitions and the information exchanged between
modules are taken as places. The relationship and the information flow between
the components are considered in this level.
(2) Module level. The transitions in the system level were refined in this
level. The states and the transition of the states are considered in the modules.
The internal states of the component are taken as places, and the events that
triggered the state transitions are taken as transitions.
(3) Process level. The transitions in the module level were refined further
here. The modules of this level are similar to the program function design of the
components of the test bench.
Considering the networks hierarchy, the lower level network is actually the
refinement of the higher level Petri Nets model. That is, if the total Petri Nets is
N = (P, T, F) and the set Y is a transitions boundary set, N[Y] = (P[Y], T[Y],
F[Y]) is a higher level module and the subnet, which just contains the elements
of the set Y, is the lower level sub-model. In this way, the internal behavior of
the subsystem has been further described in lower level models (Girault and
Valk [3]). During the process of the development of the test bench, the module
of the system level was designed to check whether the system design and the
interface definition are correct. In addition, the structure and the functional
partitioning of a component were focused in the module level modeling and the
implementation of the functions of the component was focused in the process
level modeling. By refining the transitions of a Petri Nets, we can gradually get
the hierarchical Petri Nets model of the interoperability test bench to show the
internal logic of reasoning and operation mechanism within the bench. Using the
top-down modeling method, we can reduce the complexity of a system; make the
model intuitive and easy to control and so on.
The sub-net model of a hierarchical Petri Nets model is actually the
operational analysis of each subsystem, and the necessary parts of the whole
Petri Nets model. To ensure the properties of the total Petri Nets model of the
system, such as activity, boundedness and consistency, each sub-Petri Net model
must satisfy the following conditions:
(1) If the places are removed, the structure of the network should be noncircular.
(2) Subnet models should be marking graphs.

2.2 System level models
Using the top-down hierarchical approach to develop the interoperability test
bench, we should discompose the organizational structure and identify the
important sub-modules and then describe the entire structure of the sub-modules,
as well as the relationships of the sub-modules model, and finally refine the submodels according to the requirements of the system.
In this level, we focused on modeling the interface between the various
component modules of the test bench. With modeling, we defined the interface
relationships and the data flow between the test bench and the SUT at different
stages. The test bench module is divided into four sections: scenario controller,
executive modules, interface modules and the SUT. The information exchanged
between modules is also divided into the offline data and the online data. The
offline data mainly refers to the configuration data of the test bench before the
test. The online data mainly refers to the dynamic data of the modules in the
process of the test. By modeling the system level, we can make a clear
understanding of each module relationship in the configuration stage before the
start of the test, and of the interaction relationship of each module in the process
of testing.
As shown in Figure 3, the transitions in the shadow corresponded to the
application logic of each module and the places in the shadow corresponded to
the information exchange between the modules. In the model of this level, the
messages, which were received from and sent to the external modules, are
merged into a place; this means that we do not have to be concerned with
specific information and can just focus on the source, the destination and the
type of the data (i.e. offline or online).
Figure 3:
The system level model of the test bench.
277
The right part is the simulator of the on-board equipment. This simulator is a
part of the test bench when we debug the test bench and the test sequences. So
the test bench for the modeling process should be considered as the SUT
behavior.
2.3 Module level models
Modeling in this level, the functions of each component were refined. The
external interface of this component is refined to a message or information of
train location. According to the state division of the test bench, there are initial
state, waiting state, ready state, operational state and implementing state in the
component, the name of which is MGS (MESSAGE GENERATION
SIMULATOR), as shown in Figure 4. Each state corresponded to a place. The
state transition was triggered by the Scenario Controller. The operation of the
state corresponded to a transition. In this model, the transition will be refined in
the next level to describe the detail functions. Figure 4 shows an example of the
module of MGS.
2.4 Process level models
In the modeling of this level, the function of each module is refined in further
detail. This model refines the upper network in order to refine the inner function
of the component. The nets of this level do not consider the external interface,
because the external interface level has been considered in the previous level
model and the function, which is external interface communication, is ensured by
the previous level model. The example of the model shown in Figure 5 is for the
execution of the test sequence.
Figure 4:
The model of the module level (MGS).
Figure 5:
An example of the model of the process level.
3 State reduction and model analysis of the test bench

State space analysis is also known as Occurrence Graphs (OG) or Reach ability
Graphs/Trees (RG/RT). State space analysis researches the accessibility of Petri
Nets models to construct a directed reachability graph. The reachability graph
included each state node, which is the reachability state place, and each arc that
binds each element. State space analysis of the Colored Petri Net can be done
through constructing the reachability graph of the reduced nets. In addition, for
modeling with the hierarchical Petri Nets Model, we can analyze the reachability
in the form of a reachability graph.
The correctness of the test bench design can be verified by researching the
reachability of the model states. The reachability graph was constructed through
the research of the transition path from any initial state and the research of all
possible replacements. We can also construct state space by a fully automated
tool, such as CPN TOOLS. The state space can explain many analysis and
verification issues related to the system behavior. The state space analysis can
validate whether the system owns the expected properties through the node, path
and subnet forms. For example, there had been a design error in the early stage
of the test bench design, which was a lack of an essential state, and the error was
found through the deadlock of the state. Once the problem was identified, a new
state was added into the model of the test bench design and the deadlock was
eliminated, so the test bench design was improved.
The major restriction for the state space analysis is the dimension of the state
space. The increase of Petri Nets model (such as the increasing of transitions)
may lead to the exponential growth of the state space. To complete the model
analysis, we should consider the reduction method to simplify the net model.
First, the reduction rules were defined. Then, the places and the transition of the
model were merged and eliminated through applying the rules to the Petri Nets
model to simplify it. Reasonable reduction rules should be made so that the
279
resulting model is still in keeping with the properties of the original model. The
reduction rules included are as follows: merging continuous places and
continuous transition, eliminating equivalent places and equivalent transition,
eliminating self-circular places and self-circular transition, etc.
The model reduction is essentially a transform process to apply repeatedly the
set of the reduction rules. Repeated application of reduction rules can maintain
the feature we considered, until the system becomes irreducible. Reducing the
model can mask some details that are irrelevant to the designer. The initial model
of the test bench was reduced through applying these rules and this made it
possible for the analysis to be performed using CPN-TOOLS.
After describing the test bench using formal model, the model checking must
be done to verify the model. Assuming the model has a finite state space, model
checking confirmed that the system will not execute against the state rules
through detecting all the possible routes of the system state space. The system
state of a reliable test bench should be unique at any time; therefore, the
correctness and completeness of the state transition must be validated. For the
test bench, the boundedness of the model and the equality of each state transition
were mainly considered. The boundedness of the model shows that the resource
of places was limited to avoid the system exception. In the reduced model, there
is no specific description about the trigger conditions of the transition, because
the model should describe abstractly the state transition of the test bench.
Actually, each transition was bound with certain conditions and the sequence and
the frequency of the transitions will affect the whole system. This will be shown
in the status report as the fairness of the occurrence of the transitions.
The experience of the implementation of the test bench has shown that the
model-based design and analysis method supported effectively the development
of the test bench. The bug of the design was found in the early stage and the
efficiency of the development was achieved.
Figure 6:
The application for monitoring the execution of the test sequence.
4 Conclusion
The interoperability test bench is used to test the on-board equipment, which is
from different manufacturers, and to validate whether the system meets the
specifications. In this paper, a structured CPN model was proposed to describe
and analyze the test bench during the development of the test bench. The model
showed the behaviors of the test bench in the aspect of system, module and
process. The model was simulated and verified with CPN-TOOLS to check the
accessibility of the states and analyze the deterministic of the state transition;
therefore, the correctness of the different designing stages was validated.
Modeling provides the basis for the development and debugging of the test
bench, and ultimately promoted the realization of the test bench. It also showed
that this formal method can be used effectively for interactive system design.
The models can be used for the system quality assurance and the system
certification.
Acknowledgements
We wish to acknowledge the support of the National High-Technology Research
and Development Program ("863" Program) of China No. 2009AA11Z221,
National Science & Technology Pillar Program of China No. 2009BAG12A08.
References
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[4] Ma M., Chen G. Stochastic Petri-Net of auto-test system and performance
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Section 5
Planning
283
How regular is a regular-interval timetable?

From theory to application
P. Tzieropoulos, D. Emery & D. Tron
Group EPFL-LITEP - Intermodality and Transport Planning cole,
Polytechnique Fdrale de Lausanne, Switzerland
Abstract
Initially, choice of regular-interval timetable was mostly addressing operational
concerns, aiming to increase the network throughput and to smooth the day-today tasks of the personnel. Separation between infrastructure management and
train operations, induced by the European Union since the early 90s, and the
future opening of the rail services to competition, pushes more and more
infrastructure managers to operate their network with regular-interval timetable.
Thus, the interest of measuring the degree of regularity.
The paper defines the different steps needed for going from conventional
operations to fully coordinated regular-interval timetable (the so-called clockface timetable). It starts by defining the basic notions, and shows some
fundamental properties of regular-based timetables. Then, based on the
definitions, a methodology is developed to measure and assess the regularity of a
timetable, for a line and over a full-scale network. This is because, in practice,
implementation of a perfectly regular timetable is not possible and, perhaps,
neither desirable. Constraints related to demand or to resources lead to cancel
train paths during off-peak periods or to provide extra stops or longer dwell
times (and thus slowing down travel time) during peak hours, for instance.
More specifically, the paper presents a methodology for determining the
interval used to evaluate and compare reference and actual timetables, per train
class and by corridors. Tolerances in measuring are dealt with. The developed
methodology has been used to develop assessment software, which has been
used in a real life application.
Keywords: regular-interval timetable, coordinated cycling timetable.
doi:10.2495/CR100271
1 Introduction
A regular-interval timetable provides identical train paths for each service,
scheduled at regular time intervals. A coordinated, or so-called clock-faced
timetable [3], is based on the same principle and adds to it scheduled and
guaranteed connections in selected main stations.
Nowadays, several European countries operate their train services on the basis
of a regular-interval timetable. Those who do not yet, are gradually coming to
this type of operation, too. Initially, the choice of regular-interval timetable was
mostly addressing operational concerns. Systematic operations help both
increasing the network throughput, and smoothing the day-to-day tasks of the
personnel. Separation between infrastructure management and train operations,
induced by the European Union since the early 90s, and the ongoing opening of
the rail services to competition, pushes more and more infrastructure managers
to operate their network on regular-interval timetable.
Even based on a regular-interval principle, a timetable almost never strictly
adheres to this principle. Early morning and late night services usually diverge
from the standard train path design. Reinforcement train paths are often
necessary during peak periods. Cost concerns may lead train operators to
alleviate off-peak service by cancelling some train paths. Finally, especially in
suburban and regional services, political pressures may also generate some
diversions from the standard train path service by imposing extra stops.
Transgressions of the regular-interval pattern may negate (and often do) the
main expected advantages from the regularity. To actually assess the cost of
those transgressions, one needs to go for a detailed analysis and comparison of
the actual timetable against a perfectly orthodox one. This is a cumbersome
process that, to the knowledge of these authors, has never been conducted. In
order to help planners and transport authorities to proceed with an initial fast
assessment of the regularity of a timetable, an evaluation methodology has been
developed and implemented as a software package [5]. The developed software
has been applied to the French Rhne-Alpes Region, which in 2008 rescheduled
its regional services on a regular-interval basis [6].
To design the methodology and to develop the software, it was first necessary
to specify precisely the notions of structure, regularity and connectivity. This
was done by referring back to the theory of regular-interval timetabling, and by
developing specific notions as needed in the process. The paper sets the
theoretical framework of regular-interval timetables, shows the fundamental
properties of the latter, presents the options taken for measuring the regularity,
and highlights the advantages and drawbacks of the methodology.
2 Definitions
Urban services have been operated with constant headings almost since their
beginning. Often, this has also been the case of shuttle services. Dutch railways
have been probably the first to apply this principle at the scale of the national
network services in the late 1940s. It was called rigid timetable, by then. Some
285
European networks came to the same principle during the last quarter of the 20th
century. They opted for it in order to both achieve productivity gains by
systematising their operations, and to offer full time coverage of the services,
much alike the car which is available for a journey at any time of the day. By
sending the message to the customers that train services are also available at any
time during the day, railways aim to enhance their competitive stance.
Some basic definitions are needed here to set the scenery. The first is the one
of service, kind of product mould for the operator. In this context, a service is
composed by [6]:
a directional path in the network (defined by its origin, destination, and route),
a stopping pattern (defining the intermediate stops and their duration),
a commercial identity, which may be related with
o
o
o
o
travel time objectives,

choice of rolling stock assigned to this particular mission,
fare policy,
package of extra services, etc.
Usually, any given service has its dual one, the return path.
A structured timetable is the one that keeps the service typology under
control [6]:
with a finite (and not too large) number of services, to ensure that the transport
supply remains readable for customers and operators as well;
with fairly distinct services, that are easily identifiable; supplying a range of
products that are easy to identify makes consumer choices simple (and helps
improving the marketing, too);
with each particular train assigned to a given service (by avoiding planning
outlier trains, that are hard to recognize by both customers and operators and
which degrade the readability of the whole transport supply).
With a structured timetable, customers still need consulting the timetable,
though they can easily identify local, fast, high-speed trains, etc.
A regular-interval timetable is a structured one and, what is more, with
successive identical services planned at fixed time intervals [6]; services are
periodical, and the time interval is the period. Theoretically, periodicity may not
be the same for various services although, to fully benefit from the systematic
properties, periods are usually unique or integer multiples of a basic time
interval. Theoretically too, the time interval may be of any value and, for
independently optimised shuttle services, it reflects the round trip time on the
route, or depending on supply level requirements a multiplier or an integer
fraction of it (Figure 1). However, for a network with interconnected lines, there
is a strong impetus to opt for a unique time interval, often set to a round value,
e.g. 60 minutes. In this case, customers only need to remember the departure
minute of their usual service: if it is 12, for instance, for a fast train leaving town
A for town B, they know this same service is available at 7:12, 8:12, 9:12, and so
on.
A coordinated regular timetable (or clock-faced timetable) is a regularinterval timetable that fulfils three additional constraints [6]:

Let be:
l: line length
[km]
f: time interval between
[h]
services
[h]
r: turnover time for a unit
cu: the unit capacity of a vehicle/
vessel/train-set
[pass]
K: carrying flow (line
[pass/h]
capacity)
Then:
cu
K
(1)
(NB: Substitute passengers by

tons for freight operations)
Figure 1:
Basic structure of a regular-interval timetable for a shuttle line

(space - time diagram) (Source: [7]).
a common axis of symmetry for all the lines in the network,

balanced transport supply in opposite directions, with identical travel times,
scheduled and guaranteed transfers in selected major stations.
3 Fundamental properties
There are mainly two readings of Equation (1):
either K is the actual flow to be carried, and f is the maximum interval between
two successive services, derived from the equation;
or f is the minimum headway, and K is the line theoretical capacity.
Now, let define:
vc as the commercial speed of the service on the line (including turnround
time in terminuses)
n
as the size of the rolling stock (number of units in operation)
The rolling stock necessary to provide the service can be computed by means
of Equation (2), and the turnover time for a unit by means of Equation (3):
r
2l
n
(2)
(3)
r
f
vc
By combining the three equations above, we get the fundamental relationship
for a shuttle service operated with regular interval as (Equation (4)):
K
(4)
n2
l
vc cu
This equation links the size of the rolling stock, to the unitary capacity of a
vehicle/vessel/train-set, the length of the line, the commercial speed, and the
transport supply level.
Irregular timetable
3 train sets
Figure 2:
5 train paths
per direction
287
Regular-interval
2 train sets
Structuring reduces the need for resources.
Structuring the timetable generates productivity gains, especially when no

additional constraints degrade the optimisation (Figure 2). However, setting the
interval to any given value (i.e. not linked to the turnover time) may be
detrimental to productivity gains at least partly.
In the case of multiple services running on the same line, each service follows
the same regular-interval logic, and the various services are stacked one upon
another, provided that the infrastructure allows for such a superposition. In this
case, an extra constraint comes into play: regular intervals should be identical for
all services or, at least, modulo between regular intervals should be null (i.e.
longer intervals should be a round multiple of the shorter ones, such as for
instance 30/60/120 minutes). This further reduces the optimisation potential.
Nevertheless, real-life experience shows that switching to regular- (hourly-)
interval operation usually led to eventual gains, sometimes substantial, in
resources productivity.
One of the most interesting properties of regular-interval timetables stems
from their periodicity: any particular event is repeating with a period equal to the
interval. Therefore, if ever trains meet at any moment in a station, this meeting
will occur repeatedly, every hour if the interval is set to 60 minutes. Setting such
a meeting in a central node of the network is straightforward: one has just to plan
this unique meeting once, by scheduling nearly simultaneous arrivals of all trains
in the node, letting enough time for passengers exchanges, then letting the trains
go. The timetable for each line joining the meeting station is wedged in time by
means of the arrival/departure times of trains in the central node. If trains
running in opposite direction cross at the central node at a given time, and
provided that running times are identical for both directions (which is fairly the
case in modern networks), crossing of trains will occur at half-the-period time
intervals along the line and through time (Figure 3). This symmetry propriety can
be used to extend the meeting of trains in any station that is distant from the
central station to an integer multiple of half the period. If running times make it
possible to apply the principle to a triangle of 3 lines, what happens to the central
node is exactly repeated to the 2 other nodes of the triangle (Figure 4).

Interval n+1
Interval n
Interval n+2
Main
Station
Figure 3:
The symmetry propriety.
Central
Station
Central
Station
55 min
55 min
55 min
55 min
Station B
60+55 min
60+55 min
Station A
Figure 4:
Station B
Station A
Coordinated 3-nodes network, with link travel times being an

integer multiple of the 60-minutes period.
Thanks to coordination, railway services offer besides the time coverage

provided by the regular operation spatial coverage. Railway services become
available to join any place at any time.
4 Building elements of a regular-interval timetable
Perrache
Legend:
every hour
every 2 hours
Figure 5:
Part-Dieu
Givors
Saint tienne
Firminy
The first step is to define the fundamental structure of the future transport supply
as a more or less abstract set of services, the service backbone (Figure 5).
The services backbone (Source: [6]).
08 34 52 22
55 17 05 35
289
00 30 00 00 56 26 46 16 08 12 42 04 38
51 21 57 57 01 31 09 39 54 43 13 47 26
08 38 42 12 16
28 47 08 38 55 34 51 55 24 55 46 50 20 42 12
20 08 49 19 02 25 55 59 24 01 11 07 37 12 43
51 16 15 45 41
35 10 40 24
24 48 18 33
19
29
17
03
33
11
21
52
00
25
41
11
19
37
38
42
15
46
33
03
58
28
15
45
38
21
51
07
04 34 21 51
54 24 06 36
Lyon-Perrache
39
18
37
44
11
56
26
00
30
52
04
06
52
37
07
44
43 51
Firminy
12 05
19
49
12
49
19
34
04
07
22
52
15
04
23
53
08
38
34
49
19
48
21
51
06
09
05
35
50
20
36
41
St-Etienne-Chateaucreux
Figure 6:
Givors-Ville
Reticular diagram (Source: [6]).
Designing the basic timetable framework is the second step. This is generally
done for a 2-hour time slice and becomes the fundamental raw material used to
build the final timetable. Often, the best way to represent the basic framework is
a reticular diagram (Figure 6) that shows the network topology. Each line
represents a train path able to be repeated every hour, or every two hours.
Next steps involve building the 24-hour timetable for a working day, by
repeating the basic framework throughout the day, setting up the early morning
and late night services. The whole process is repeated for Sundays and holidays.
5 Assessment methodology and indicators

Two main indicators have been developed to capture structural differences
among timetables [8]:
a structure index, reflecting how well the different services comply with the
service backbone;
a regularity index, reflecting how well the final timetable complies with the
periodicity defined in the basic framework.
In analysing operational timetables, we may find [8]:
A) Regular train paths belonging to a service, planned at regular time intervals
a) either produced by strictly replicating the train path of the reticular diagram
b) or being loose copies of the initial service, i.e. exhibiting slight
differences either in travel times or in servicing intermediate stations;
B) Gaps in regularity, i.e. missing train paths that should exist according to the
periodicity of the service;
C) Train paths belonging to a service, but planned at irregular time intervals

a) strictly complying (travel times and stopping patterns) with the definition
b) loosely replicating the initial service;
D) Outliers, i.e. train paths that cannot be traced back to a given service
a) within the normal operational range
b) at the fringe of the operational range, (first and last trains).
Strict compliance with the service backbone or with the regularity
(periodicity) is self-explained. To assess loose compliance or not compliance at
all, one needs to define tolerance rules. Here is an example of tolerance ranges
[8]:
[0 min; + 4 min] interval for the departure time at the origin of the service
[-4 min; +2 min] interval for the arrival time at the end station of the service
no more than 1 extra or less stop in intermediate stations.
In the developed software, users cannot change those rules but are free to set
the tolerance thresholds to those that fit best their scope [5].
The assessment methodology is quite sequential. It involves 6 steps [8].
5.1 Set up a reference reticular diagram
This will be the reference frame; assessment of compliance will be done by
comparing the actual timetable against this reference. The reticular diagram
includes implicitly full information on the service backbone, which makes it
possible to compute both indexes: structure and regularity. For a given timetable,
the underlying reticular diagram may be known or not. In the latter case, some
preliminary analysis is needed to reverse-engineer the basic framework out of an
existing timetable, which may involve some arbitrary decisions.
5.2 Set up the tolerance thresholds
That may be as simple as accepting the default values. Alternately, as already
mentioned, users may set their own tolerance thresholds (Figure 7).
Figure 7:
Setting the tolerance thresholds (Source: [5]).
291
5.3 Define the O/D relations that will be used in computing the indexes
This step actually comes to modelling the network as a set of lines. This
operation is largely arbitrary and reflects the users view of the network.
Subjectivity, here, is unavoidable. Notwithstanding, experience shows, however,
that analysts with fair knowledge of the network come up with pretty close, often
identical solutions. Knowledge of the service backbone can help as some
diametric lines in the reticular diagram may result from operational concerns and
does not necessarily reflect functional objectives. Moreover, users may assign a
weight on each line, to take into account volume of demand, or the strategic role
of a given line.
5.4 Define the operational range for each O/D relation
A thumb rule may be that the operational range starts with the first departure of a
train path that belongs to a regular-interval planned service, and ends with the
last arrival at destination of a train path belonging also to a regular-interval
planned service. Implementation for such a rule may be automated, provided that
assignment of a train path to a given service is also automated. Alternately, and
depending on the design of operations, the operational range may also be based
on a fixed number of train paths, or be a fixed time interval, let us say from 6
a.m. to 8 p.m. Ideally, operational range should not be shorter than 13 hours.
5.5 Assign and label; identify the missing train paths
For each O/D relation and within its operational range, the software assigns to a
service every train path and labels it; it also identifies missing train paths within
a service as well as outliers. As already seen, there are 4 labels for train paths [8]:
- A, train paths belonging to a service planned at regular time intervals
- B, missing paths that would exist if a service was planned at regular intervals
- C, paths that can be assigned to a service, but not planned at regular intervals
- D, outliers that cannot be traced back to a service.
Based on this qualification of train paths, we can define:
- a regularity index as being the ratio
- a structure index as being the ratio
- and, possibly, a reinforcement rate with the ratio
RI
SI
A
A B
AC
AC D
RR
C
A
Depending on the tolerance thresholds, measured regularity and structure may

be strict (with 0 tolerance) or loose (with some tolerance allowed).

5.6 Synthesize and display the results for the whole network
Both regularity and structure indexes are computed for a line and for a service
(Figure 8). In what it is proposed, there is already a first aggregation: indexes are
computed for the full set of services on a given O/D relation.
Structure Index
Regularity Index
Number of missing
train paths
Total number of train

paths if all regular-interval
paths are provided
Actual number of train

paths planned at regular
interval
Figure 8:
D
A
+
C
Number of outliers
Total number of actual

train paths
Number of train paths

assignable to the structure
(service backbone)
Reading key for the regularity and structure indexes.
The issue of further aggregating the results to build up a unique index for the
whole network is still left open. The development team felt that such an
additional aggregation will result in unacceptable information loss and that it is
actually purposeless. Transport policy makers are sufficiently aware and capable
of analysing results on a per line basis; providing a unique performance indicator
offers no significant gains in making an overall assessment of the situation.
6 Limits and drawbacks

Perfectly regular interval timetables obtain 100% on both indexes (Figure 9).
By cancelling 2 off-peak train paths (at 10 a.m. and 3 p.m.), the regularity
index drops to 86%, but the timetable structure index remains still at 100%.
Station D
Station N
Station M
Station L
Station K
Station O
06
07
08
09
RI
Figure 9:
10
11
14
100 %
14
12
13
14
SI
15
16
17
18
19
20
14
100 %
14
The perfectly complying example (Source: [6]).
293
Station D
Station N
Station M
Station L
Station K
Station O
06
07
08
09
RI
Figure 10:
10
11
12
86 %
14
12
13
14
SI
15
16
17
18
19
20
16
100 %
16
Adding 4 train paths for extra peak services (Source: [6]).
Adding peak-period extra trains (at 6:30, 7:30, 16:30 and 17:30) gives no change
in any of those 2 indexes. The reinforcement rate, however, jumps from 0% to
33% (Figure 10).
Now, if those 4 extra trains provide additional stops to stations K and N, they
do not comply with the structure anymore and the structure index drops to the
75% level. This is one of the limits of the methodology. Actually, the 4 extra
train paths are identical and can be assigned to a new service; counting them as
outliers falsely reduces the structure index. By counting them as a second
service, the regularity index drops indeed to 57% (12+4 planned trains for a
possible total of 14+14 train paths), while the structure index remains at 100%.
This issue is related to the arbitrary identification of the services. Preventing
it in this particular case is easy enough: one needs only to be systematic in
service identification while reverse-engineering the service backbone. The
software package does precisely this. However, in most complex cases and with
the tolerance thresholds set to non-zero values, the issue is harder to settle, and
users decisions here are critical.
Station D
Station N
Station M
Station L
Station K
Station O
06
07
08
This
is incorrect!!
09 10 11 12 13 14 15
RI
Figure 11:
12
86 %
14
SI
16
17
18
19
20
12
75 %
16
Falsely taking into account the 4 extra trains (Source: [6]).
7 Conclusions
Seamless presence of the rail services is a core objective for a regular-interval
timetable. Users should trust the system and be sure that a service is available, all
day long, without having to read and decode timetables. Breaches in regularity
reduce the systems trustworthiness: customers would need again to consult the
timetable before using the services. This raises the need to assess the regularity
of actual timetables.
Real life constraints however result in a more-or-less distorted application of
the principle and actual timetables often display some irregularities. It is
important for the transport authority to assess how well the initial objective of
regularity has been achieved in its actual implementation as an operational
timetable. Here lies the interest of providing a general methodology to fast and
efficiently measure the regularity.
The developed methodology has been eventually implemented in an
operational tool [5]. Policy makers can use it to assess the degree of completion
of their objectives and, also, to compare alternative timetables. However, the tool
reflects the limits of the methodology, which force the user to accept a couple of
subjective hypotheses in order to run it. Subjectivity being a part of policy
making, having to assume it should not be a major impediment.
References
[1] Daniel mery (2009), Mesure du cadencement, Note technique N 2,
Retour dexprience sur la mise en service du cadencement 2008 en RhneAlpes, EPFL-LITEP, Lausanne (restricted diffusion)
[2] Mohideen Noordeen (1996), Stability analysis of cyclic timetables for a
highly interconnected rail network, PhD Thesis N 1435, EPFL, Lausanne
[3] Werner Stohler (2003), Why is an integrated clockface-driven railway
system more efficient than a divided competition-oriented railway system?
SMA und Partner AG, Zrich
[4] Werner Stohler (1993), La planification de la gestion et de lexploitation
ferroviaire, in Rail International, Paris, 10/1993; pp. 64-70
[5] David Tron, Panos Tzieropoulos (2009), How regular is a regular-interval
timetable? An operational tool to assess regularity, Swiss Transport
Research Conference STRC 09, Monte Verit, Ascona
[6] Panos Tzieropoulos, Daniel mery (2009), De la thorie la pratique, in
Prconisations, Retour dexprience sur la mise en service du cadencement
2008 en Rhne-Alpes, EPFL-LITEP, Lausanne (restricted diffusion)
[7] Panos Tzieropoulos, Daniel mery, Jean-Daniel Buri (2009), Regularinterval timetables; Theoretical foundations and policy implications,
presented in the 12th World Conference on Transportation Research, Lisbon
[8] Panos Tzieropoulos et al (2008), Qualit du cadencement, in Diagnostic,
Retour dexprience sur la mise en service du cadencement 2008 en RhneAlpes, EPFL-LITEP, Lausanne (restricted diffusion)
295
Port Hinterland traffic:

modern planning IT methods
A. Radtke
IVE mbH - Ingenieurgesellschaft fr Verkehrs - und Eisenbahnwesen
mbH, Germany
Abstract
This paper will present the latest requirements and methods of a sophisticated
and integrated timetable and infrastructure planning tool. The related
methodology, taking into accounts both passenger and freight services, will also
be discussed. The paper will handle the planning and analysis of timetables,
rolling stock, signalling and infrastructure, through the integration of operational
simulation into the planning process. This will include:
Timetable construction,
Possession planning (timetable for construction sites),
Capacity calculation (UIC 406),
Railway operation simulation,
Vehicle dynamic calculation/energy consumption,
Infrastructure asset management and infrastructure planning and
IT-Integration capability.
The port of Hamburg is one of the most important ports in Europe and is an
important hub for international trading. The growth rate of the goods volume was
increasing yearly until the year 2008. At that stage, the prognostic volume of the
handling of goods will be doubled in some years. The railway is responsible for a
high proportion of the transportation to and from the Hamburg port and other
ports in Lower Saxony. Therefore, the number of daily trains running to and
from the port will increase. However, the current railway infrastructure of the
metropolis region of Hamburg and other regions in Lower Saxony, especially the
track southwards, are already being used very intensively. The prognostic
increase for the number of trains running in the network is expected to reach the
capacity of the existing infrastructure.
doi:10.2495/CR100281

Keywords: timetable
integration.
construction,
railway
planning
methodology,
IT
1 Introduction
For Germany, it is of great importance to have a fully developed traffic
infrastructure. It is not only an important aspect for the economical development
of the country, but for the people with their need for mobility as well. Having, in
particular, ecological factors in mind, it is impossible to follow the ongoing
demand for newly build infrastructure. Therefore, the focus lies on a goaloriented transport policy that stresses the maintenance and optimization of the
already existing traffic systems instead of prioritizing new developments.
The growth in the amount of traffic in the ports of Northern Germany,
however, shows that the sole optimization of already existing railway
infrastructure will not be enough to meet the traffic demands in the future.
Over the previous years, the German economy observed a constantly growing
export volume, and the imports increased even more. Germanys external trade
profited from the enlargement of the European Union over the last few years
with numerous eastern European countries joining. The growth of the global
economy and the German gross domestic product strengthened the external
trade. These developments require increasing capacities of (railway)
transporting.
Further development of the Northern German railway network was planned in
a time when the long-distance passenger transport used to determine the
direction of development. The realisation of the railway lines Cologne
Frankfurt and Nuremberg Ingolstadt was already finished.
Targets and basic parameters of the investigations
In Northern Germany, these developments increased the meaning of the big ports
(Hamburg, Bremen, Bremerhaven and Wilhelmshaven). These ports play an
important role when it comes to handling continental and intercontinental freight
traffic. Handling capacities and storage areas especially for the booming
container handling are enlarged to meet the needs of the increasing demand.
It is not only the accessibility from the seaside; the hinterland-connection plays
an important role as well when it comes to handling the growing transport
volume and economical developments in the future. Here, the rail freight traffic
can be seen as the key factor.
A trains efficiency is mostly determined by the route. The axle load is
important as well since it has a direct effect on the efficiency and the profitability
of the freightage. A high line capacity is reached when all trains on one track
travel at approximately the same speed. However, the efficiency of the track
decreases with the growing differences of the maximum speed of trains. To
counteract this development, a timely or regional separation of the individual
297
types of trains can be used. Using a timely separation, fast trains operate during
the day and slow trains at night. An optional regional separation differentiates
between tracks for fast and slow trains.
Due to the fact that the railway infrastructure is rather durable, principles for
the use have to be determined before the development of the original
infrastructure. Civil engineering construction works like bridges, tunnels and the
permanent way may have a life expectancy of more than hundred years. The rail
track itself can be accounted with a life expectancy of up to 60 years. The
specific characteristics of the line routing and the Control and Rail Automation
Technology (needed for the safe and economical management) are
comparatively expensive in the field of railway infrastructure. Planning
dependability is needed when it comes to reasonable operation of railway
infrastructure under the aspect of efficiency and sustainability. Traffic concepts
have to be planned permanently and in the long run need to guarantee an
efficient utilization of the railway construction. Above all, the permanent
existence of infrastructure in a quality that is suitable and meets the technical
requirements is to be guaranteed. Each year, investments have to be made to
compensate for the wear and depletion that occurred during that year in order to
guarantee the constant quality and availability of the track system.
Knowledge of the expected investments in the railway network enables
companies working in the field of railway construction to predict and last their
capacities according to the demands. It has to be differentiated between new
construction, extension and renewal. The peculiarities of railway construction
sites occur due to the wheel-rail system and especially when extending and
renewing tracks. A long planning supply and a quick construction site operation
are ideal to keep the railway operation and therefore are the core function of the
railway company running as smooth as possible.
Investigation area
The various studies for the hub of Hamburg and other ports in Lover Saxony
include the development of a different infrastructure and operational concepts for
several time periods and a capacity analysis. The investigation area is described
in Figure 1. The area is limited in the North by the border to Denmark, in the
East by the stations Puttgarden, Schwerin, Ludwigslust and Magdeburg, in the
South by the stations Osnabrck, Minden, Hannover and Braunschweig, and in
the West by the stations Emden and Rheine [1].
The area contains railway infrastructure of the German Railway (DB Netz
AG), of the Hamburg Port Authority (HPA), the East-Hannover Railway (OHE)
and the Elbe-Weser Railway and Transportation Company Ltd. (EVB).
These studies examine the railway network and focus on the port-hinterlandtraffic. The investigation area covers the federal states of Lower Saxony,
Hamburg and Bremen as well as parts of Schleswig Holstein, Saxony-Anhalt and
North Rhine-Westphalia. Figure 2 shows exemplarily the railway tracks in the
port of Hamburg.
Figure 1:
Investigation area (Puttgarden, Schwerin, Ludwigslust, Magdeburg,

Osnabrck, Minden, Hannover, Braunschweig, Emden and
Rheine).
Figure 2:
Hamburg Port Authority (source: Google Earth).
299
Within the investigation area, a detailed analysis of the sub-networks, tracks

and nodes was always combined with the consideration of requirements for the
hinterland-traffic.
Investigation railway line networks:
Hamburg Hannover
Node Hamburg
Node Bremen
Oldenburg Wilhelmshaven
Extension Hamburg S-Bahn Network
Regio S-Bahn Network Lower Saxony/Bremen
In addition, models were used to represent how railway connections to the
following ports could be made, taking existing and future traffic flows into
account.
Investigation area ports:
Hamburg
Bremerhaven and Bremen
Wilhelmshaven
JadeWeserPort
Emden
Leer
Papenburg
Oldenburg
Brake
Nordenham
Cuxhaven
Stade
Afterwards, various single measures were by means with timetable
construction and railway simulation separated and within the network connection
analyzed. These were followed by a number of different questions. Models were
used to test for example track extensions, the improvement of signalling
equipment and changes of line routing.
Development measures (examples only):
Stelle Luneburg
Y-Trasse
Langwedel Uelzen
Oldenburg Wilhelmshaven
Uelzen Stendal
Oebisfelde Stendal Berlin
Improved signalling equipment Stelle Celle
Multiple-track line extension Stelle Uelzen Celle
Line routing parallel to the Autobahn/Highway until Hamburg

Use of secondary line in the area of Hamburg Celle (see figure 1,
OHE)
All analyses were conducted with the proven timetable construction and
railway simulation tool, RailSys version 7/8.
The software tool
4.1 The software system RailSys

RailSys is a comprehensive timetable construction and simulation package for
various planning purposes. The system is used by various railway undertakings
and a number of consultancy companies and universities around the world.
RailSys is focussed on timetable construction and optimisation of timetables
(capacity and performance), rolling stock utilisation, engineering design, and
infrastructure management. The following sections highlight the main features
only [2].
4.1.1 Software history RailSys
The RailSys core system was developed by the Institute of Transport, Railway
Construction and Operation (IVE) at the University of Hannover, Germany. The
development of the first model started on mainframe computers using Fortran 77
in the eighties. This developed into a PC based model in 1996/1997, which was
based on a new design and concept and was written in C++ to make use of
modern technology in a well structured new approach (Simu++). Object
oriented, re-useable programming concepts were applied. At the moment (May
2010) RailSys version 8 is used at selected customers (RailSys Classic and
RailSys Enterprise). Version 8 includes a database and multi user functionality.
Several web-based services are also available such as RailSys Map and RailSys
CRM (Customer Relationship Management) [3].
Figure 3 shows the main components of RailSys Classic and Enterprise:
RailSys Enterprise consists of the components shown above and two
additional web-based modules. The component RailSys Map is used to visualize
operational data (infrastructure and timetable data); the CRM-module can be
used for third party requests concerning train paths.
The TOC request train slots and other information from the RIU. In the past,
this process in general was a time consuming manual task using telephone, pen
and paper or simple spreadsheets. The web based RailSys-CRM (Customer
Relation Management) solution offers far more possibilities to support this
process taking into account the increased time pressure for the planning tasks.
TOC and RIU can save time of unnecessary (multiple) data entry and, therefore
avoid mistakes. Furthermore, streaming less flow of data enables the RUI to
perform the time table construction on the basis of the original requests and
follows up changes in a much better quality to construct a non discriminating
timetable. Using this technology, the RIU can provide all necessary information

RailSys Classic/Enterprise
301
Planning
Timetable
Management
Infrastructure
Data
Management
(Timetable
Construction)
Possession
planning
Evaluation
Management
(Operation of track
possessions)
Simulation
Management
RailSys database
Rolling stock
circulation
planning
RailSys interfaces
Multi User RailSys Enterprise for Timetable Construction, Simulation and Infrastructure planning
Figure 3:
RailSys system (overview).
to rail regulation authorities to prove the non discriminating timetable

construction according to the agreed timetable construction rules (see Figure 4).
4.2 Workflow
The exact microscopic modelling of the railway infrastructure with the RailSys
System creates a database, which contains all tracks and all signalling systems
information for the research area (see Figure 5). The infrastructure data is
available in the RailSys data format (HPA), and had to be transformed by an
interface (DB Netz AG) or integrated into the RailSys system manually (OHE
and EVB).
The timetable data on the infrastructure of the DB Netz AG was transformed
from the timetable construction system RUT-K (DB Netz AG) into the RailSys
data format. The timetable data on the infrastructure of the OHE and EVB was
integrated in the RailSys system manually. The result is a base timetable which
considers all passenger and freight train runs with information about arrival
times, departure and dwell times at all stations in the research area.
The next step was the determination of existing and prospective bottlenecks
for the metropolis region Hamburg and the hinterland (see chapter 3). Following
this is the development of conflict solutions by operational or infrastructural
measures. Furthermore, possible deviations and alternative routes were
considered.
Figure 4:
RailSys: consistent flow of data.
Various concepts will be developed for a step by step realisation of measures

or a combination of measures which solve these bottlenecks. In the focus stands
the realisation of short term measures with effects until 2015. However, long
term measures until 2025 will be considered as well. The long term planning is
important on the one hand to start with the planning in time to guarantee a
realisation of these measures (realisation period in German is normally more
than 10 years) and on the other hand to evaluate the sustainability of the short
term measures.
The projects were partly dealt with in the multi user mode provided by
RailSys Enterprise, so several persons could carry out the complex planning
tasks at the same time.
Figure 6 shows an example of constructional operation partial planning,
including some track blockings due to constructions.
Figure 5:
Figure 6:
303
Railway network in RailSys of North Germany.
Example of constructional operation partial planning.
5 Results and implementation

The manifold results of these studies carried out with the use of modern IT
technologies using the example of port-hinterland traffics can be summarized as
follows:
Detailed modelling of all infrastructure variants in networks and their

effects
Timetable construction and simulation for all train runs in networks

Infrastructure modelling and timetable construction supported by multi
user technology
Comparison of the possible conflict free number of train runs with the
prognostic number of train runs for the time horizon 2011, 2013, 2015 and
2025 and the daily distribution
Determination and analysis of bottlenecks and suggestion to solve these
conflicts by operational or infrastructural measures
Formulation of recommendations for the development of a future based
and suitable infrastructure
According to the listed conditions and thoughts, the study introduces

following results:
The realised analysis of the current traffic densities and the expected
increase in demand result in the outcome that the proposed Y-Trasse and
the three-track extension on the route Hamburg Hannover in the section
Stelle Lneburg do not lead to the required increase in freight
transportation capacity.
To achieve a further increase in freight transportation capacity using the

Y-Trasse, the extension of the section Lauenbrck Buchholz from three
to four tracks and in the region Isernhagen a connection to the track Celle
Lehrte is necessary
Development measures serving as an alternative in enabling a capacity

increase are introduced in this study.
To improve the hinterland-connectivity of the ports of Bremerhaven and

Bremen the Bundesverkehrswegeplanung plans various measures. All
bottlenecks in the railway network cannot be eliminated but the planned
measures can help improving the capacity of the track hinterlandconnectivity.
As a short-term measure for capacity increase in the relation Hamburg

Hannover an improvement of the signalling equipment could be used.
Additionally, preparatory work could be done to redirect some trains on
existing secondary lines.
The three track extension between Stelle and Lneburg will lead to
another capacity increase in the medium term.
It has to be decided now if the Y-Trasse should be realized in 2015 with

the extensions shown in this study or if the requirements of the freight
transportation should be followed, and therefore an alternative new
constructed track meeting the needs of freight transportation should be
realized between Hannover and Hamburg.
The node Bremen has to be looked at much closer concerning the freight
transportation coming from the ports in Lower Saxony and Bremen.
According to todays information, extension measures are necessary.
If the installation of a new S-Bahn-network in the region Bremen is

decided, where no track infrastructure is planned yet, then the situation
will be intensified.
305
References
[1] Gterverkehr in Niedersachsen, Bauindustrie Niedersachsen/Bremen 2007,
IVE
[2] Radtke, A. Timetable management and operational simulation:
methodology and perspectives, presentation of COMPRAIL 2006, Prag,
Czech Republic, (2006), proceedings page 579 589
[3] Timetable Construction and Simulation Tool RailSys Enterprise and
RailSys Map and CRM: www.rmcon.de
307
Generating optimal signal positions

E. A. G. Weits & D. van de Weijenberg
Movares Nederland B.V., The Netherlands
Abstract
In The Netherlands railway traffic is growing. As the growth has to be largely
accommodated on existing tracks, short headways are increasingly important.
Headways are mainly determined by signal positions. Since signal positions are
subject to many diverse constraints, finding a good signal positioning scheme by
hand is a time-consuming task and it is nearly impossible to prove optimality.
Therefore, an algorithm that generates an optimal signal positioning scheme,
taking care of all constraints, has been designed and implemented in a computer
program for infrastructure planners. The algorithm calculates the sequence of
signal positions that minimises the weighted sum of headways for a set of trains,
each pair of trains with a common track yielding possibly two headways. The
first step of the algorithm consists of a tree search leading to an enumeration of
groups of similar signal sequences. Secondly, a linear programming problem is
applied to all groups in order to find the best solution within each group. A
validation study showed that the signal positioning scheme produced by the
algorithm slightly outperforms the results found manually, as long as the
computer program is restrained to the same number of signals as used in the
manual solution. In a number of cases, the computer program suggested better
solutions using a larger number of signals. The results of the validation study
have led to adoption of the computer program for use in projects. At the same
time further research to improve the computational speed has started.
Keywords: railway capacity, signalling scheme, signal positions, headways.
1 Introduction
The Dutch railway network is heavily utilised and the number of passengers is
growing by between 3 and 5 percent a year. Therefore, the intention is to
increase the frequency of departures from 4 to 6 times per hour, for intercity
doi:10.2495/CR100291

trains as well as for local trains. In this situation it is important to shorten
headways as much as possible.
The key to short headways is the introduction of short blocks, blocks that are
(much) shorter than the typical braking distance of a train. The ERTMS
(European Railway Traffic Management System) will provide an opportunity for
short blocks. However, also traditional signalling systems offer opportunities. A
drawback is, besides increased costs, the difficulty in designing a signal
positioning scheme that minimises the headways.
In this article we consider a railway line section of arbitrary length that
consists of multiple, parallel tracks. For this line section, we aim to find a signal
positioning scheme (a list of signal positions) so that headways are minimised.
See Figure 1 for an overview of a typical line).
Signal positions are heavily constrained by national signalling conventions
(including national safety rules). These national signalling conventions differ
from country to country. Therefore, little international literature has been
published on the subject of finding optimal signal positions.
Notable exceptions are some papers published in China, of which [1] comes
close to the research that is reported in this paper. There are, however, some
relevant differences, concerning the problem statement as well as concerning the
solution method. (The present problem statement explicitly includes the
implications of diverging points and the possibility of allocating a braking
distance to two successive blocks. See section 2.1.)
General information on headways can be found in [2]. In this book Hanson
and Pachl describe how headways can be calculated and how headways are
related to the capacity of line sections.
The Dutch signalling conventions are summed up in several documents,
written by ProRail, the Dutch infrastructure manager of the railway network
[46]. These documents contain information about how the signalling system
works. More historical and legal information about the Dutch signalling system
can be found in [3, 7].
Figure 1:
Line section with speed profiles per track and overall speed profile.
309
The next section, section 2, gives a detailed description of the problem,

including the relevant Dutch details. Section 3 describes how the problem is
solved. After that, section 4 gives the results of this research. Section 5 presents
the conclusions.
2 Problem description
2.1 Scope and main characteristics of the Dutch signalling rules
The geographical scope is restricted to a railway line section of arbitrary length
that consists of multiple, parallel tracks. See Figure 1 for a scheme of a typical
line section: The line section, as well as the signal positions, is considered in one
direction only. The signals of all parallel tracks have to be placed at the same
position, which means that signal fronts are assumed. The line section starts at
some fixed departure signal (front) and ends at some fixed arrival signal. The
number of signals that are placed between the departure and arrival signal is not
fixed. Furthermore, it is possible that trains enter or leave the line section along
the way.
In The Netherlands signals can show three aspects: red, yellow and green.
Figure 2 illustrates this. When the main block is occupied by a train, the signal at
the beginning of the occupied block, the entrance signal, shows a red aspect.
This means that other trains should stop before this signal. However, because the
braking distance of trains is rather large, it is not sufficient to just show this red
signal. Therefore, the previous signal (the 1st approach signal) shows a yellow
aspect. Whenever a train passes a yellow signal, it should start braking and make
sure it stops before it passes the red signal. A block that is long enough for all
trains to be able to brake from the maximum speed to 0 km/h within the block is
called a long block.
However, sometimes the distance between the yellow and red signal is not
enough to brake from the maximum speed to 0 km/h. Such a block is called a
short block. If this is the case, another signal, the 2nd approach signal, also
shows a yellow aspect. This last signal also shows a number that corresponds to
a target speed. It is assumed, according to Dutch practice, that each train brakes
within one or two blocks. This means that minimum block lengths for long
blocks are also valid for two (possibly short) successive blocks.
Figure 2:
Aspects and blocks (colour online only).
Figure 3:
A detail of a headway diagram.
Signal positions are subject to constraints. There are several kinds of

constraints. The first type is called a negative constraint, which is defined by an
interval that is not allowed to contain a signal. The second type, a positive
constraint, consists of an interval in which a signal must be placed. In addition,
the third type of constraint relates to the distance between tot successive signals
(i.e. the minimum block lengths as already discussed above).
The first two types of constraints apply uniformly to all parallel tracks.
However, the last type of constraint may be different from track to track,
depending on the speed profile (the maximum allowed speed) of the track. The
maximum speed at which a train is allowed to enter a block, determines the
distance to the next signal or the distance to the signal after the next signal. It is
assumed that a speed profile (the maximum allowed speed) per track is given.
The speed profile of the line section is then defined as the maximum of the speed
profiles per track.
The headways can be computed locally (i.e. at a certain block of the line
section) as well as globally (taking the maximum over all shared blocks of the
line section). In this article the headways are calculated globally, since these
headways reflect the need for an optimal positioning of signals along the entire
line section. Figure 3 shows the elements that play a role in the calculation of
headways. Refer to Hanson and Pachl [2] for an explanation of the terminology.
2.2 Search space and objective function
First of all let us denote by P the set feasible sequences of signal positions. The
set P is determined by all constraints mentioned in the previous subsection.
Next, for each pair of trains, the shared sections are determined. The number
of these shared sections can be 0, 1 or more and each section consists of a
number of successive blocks. For each shared section, two headways ( H ) are
computed. The first headway corresponds to the situation that one train follows
the other, and the other headway corresponds to the situation with the other train
in front. The objective function is now the weighted sum of headways.
min Wt1 ,ts H t1 ,ts

pP
311
(1)
t1 ,t 2
In eqn (1) t1 , t2 denotes the situation that train t2 is following t1 , having a

certain section in common. The weights are denoted by the symbol W .
Note that this objective function only considers headways and not running
times which sometimes play a role too. However, since in general short
headways imply short running times, the running times are not included in the
objective function.
2.3 Headway calculation
For the trains t1 and t2 , having a certain section in common let H b ,t1 ,t2 be the
headway for the succession t2 after t1 at block b . To calculate the minimum
headway the approach point of train t2 is important, which is defined as the first
point where t2 has to run with a speed that is lower than normal because of train
t1 . The minimum headway can now be calculated as follows. It is assumed for
the time being that all blocks except block b cause no problems. A few seconds
(due to a release process) after the rear of train t1 has left block b, train t2 must
be before its approach point of block b to make sure that it does not have to run
slower than normal because of train t1 . Therefore, two running times are
calculated. The first running time is the running time of t1 from its approach
point of the first shared block until the exit signal of block b ( eb ,1 ). The second
running time is the running time of t2 from its approach point of the first shared
block until his approach point of block b ( ab,2 ). The difference between these
two running times is the minimum headway at block b . Taking the maximum
over all blocks gives the global minimum headway for the train sequence ( t1 ,
t2 ):
H t1 ,t s max H b ,t1 ,t2 max(eb ,1 ab , 2 )

b
(2)
Sometimes the routes of the trains split in block b . If this is the case a virtual
exit signal has to be placed at this point where the routes split, to make sure the
headways are valid.
3 Approach to solving the problem

The approach consists of two parts:
1. An enumeration of discrete paths, each path representing a group of similar
signal sequences.

2. A LP procedure for finding the best solution within each group.
The following sections describe the two parts.
3.1 Part 1: the construction of disjoint groups of signal sequences
In the first step disjoint groups of signal sequences are constructed that share the
following properties:
The number of signals (number of blocks) is constant.
For each signal a single interval of positions is given.
In each signal interval the speed profile does not change, so that shifting the
signal within the interval does not influence the speed at which a train may
enter a block.
In each signal interval the gradient does not change, so that the minimum
gradient (downwards counts as negative) does not change as a signal is
shifted within the interval.
For all blocks enough information is given to be able to determine the
approach points for all trains. The relevant information says whether a block
is a long block or a short one. If a block is a short block, then, in some cases,
it is determined whether the block's length allows for braking to stand still
from 130, 80, 60 or 40 km/h.
The last property will now be explained in more detail.
From Figures 2 and 3 we learn that the location of the approach point depends
on whether the 1st approach block is a short or long block. If the 1st approach
block is a long block, the approach point is at sight distance of the 1st approach
signal.
If the 1st approach block is a short block, the 2nd approach signal also shows a
yellow aspect as long as the main block is occupied. Therefore, in many cases
the approach point is at sight distance of the 2nd approach signal. However, the
yellow aspect in the 2nd approach signal is accompanied by a number indicating a
target speed (4, 6, 8 or 13 for 40, 60, 80 and 130 km/h, respectively). It may be
the case that a train enters the 2nd approach block without an intention of
surpassing the target speed. Then the approach point shifts to the location where
for the first time the target speed truly restricts the speed of the train. There are
two situations in which a train is not immediately restricted. The train may enter
the 2nd approach block with low speed (e.g. just after leaving from a station) or it
may enter the block while braking according to plan. In these cases it is relevant
what the target speed is. Since the target speed is directly determined by the
length and gradient of the 1st approach block, it is therefore necessary to
determine what the 'speed of the block' is (i.e. does the block's length allow for
braking to stand still from 130, 80, 60 or 40 km/h).
3.2 Part 2: finding the best solution within each group
In the second step the objective function is linearised. Starting from an initial
signal sequence (IS) a better one (S) is computed applying an LP algorithm. If
necessary, the LP algorithm is iteratively applied, until no improvement is
obtained. The following paragraphs describe this process.
313
In the first step disjoint groups of signal sequences have been constructed.
Within such a group, every signal is placed in a corresponding interval (BI,EI)
which leads to an initial positioning of signals (IS). As a result of the first step,
the relation between the shifting of the signals and the minimum headway is
continuous. The initial positions of the signals lead to some set of initial
minimum headways (IH) at each block, which can be calculated as explained in
section 2.3. The minimum headways of a block b can be lowered in two ways:
1. Shifting the exit signal of block b to the left.
2. Shifting the approach point of block b to the right.
The exit signal (Se) of a block can easily be shifted (unless a virtual exit signal
is placed, which means the exit signal cannot be shifted). However, the approach
point of a block can only be shifted if this approach points corresponds to a
signal (Sa), which is not always the case.
When it is assumed that every train drives with a constant speed within the
specified intervals, the influence of shifting a signal to the minimum headway
depends on two factors:
1. The speed of the trains at the shifted signals.
2. The size of the shifts.
If S e corresponds to the distance over which the exit signal is moved to the
right, the increase of the minimum headway is as follows:
S e
Vt1 ,Se
(3)
If S a corresponds to the distance over which the approach signal is moved

to the right, the increase of the minimum headway is as follows:
S a
Vt 2 , S a
(4)
When we take the above equations together, the objective function can be
linearised as follows. If the approach point of block b corresponds to a signal, we
find
H b ,t1t 2 IH b ,t1 ,t 2
S e (b) S a (b)
Vt1 , Se ( b ) Vt 2 , S a (b)
(5)
and if the approach point of block b does not correspond to a signal:
H b ,t1t 2 IH b ,t1 ,t 2
S e (b)
Vt1 , S e ( b )
(6)

3.3 The LP-problem
Combining sections 2.2 and 2.3, the objective function reads as follows:
min Wt1 ,ts max H b,t1 ,ts

pP
t1 ,t 2
(7)
To convert the above min-max problem to an LP-problem which is easily

solvable, some adjustments have to be made. These adjustments with the
explanations are described in Winston [8]. The objective function then becomes
min Wt1 ,ts Z t1 ,ts

pP
(8)
t1 ,t 2
In introducing the variables Z, the following constraints are added:
Z t1 ,t2 H b,t1 ,ts
(9)
3.4 Implementation
The solution method explained in the previous subsections was implemented in a
computer programme called DeSign. The programming language is Java. For the
LP subproblems the MILP solver lpsolve 5.5 is used (to be found on
http://lpsolve.sourceforge.net/).
4 Results
The programme was applied to 7 signal positioning problems for which a good
(i.e. reviewed and accepted) manual solution was available. For each application
one reference signal design for one direction was selected. Figure 4 and 5 show
one of the applications. The application shows a four track line section the
SAAL line that connects Schiphol and the province of Flevoland (passing the
station Amsterdam Zuid). The line section has a length of 5.3 km.
The results obtained were evaluated w.r.t. two criteria. The first criterion is
the validity of the results. The second criterion deals with the practical usability
of the computer programme.
4.1 Validity
Two questions are posed. First, are the solutions in the eyes of the experts
plausible? This question in fact concerns the validation of the model assumptions
rather than the model itself. The main issue was that perhaps relevant objectives
might not have been included in the objective function. The experts considered
all model solutions with the same number of signals as the manual solution. It
turned out that all solutions generated by DeSign but one were accepted by the
expert as good, plausible solutions. The solution for Arnhem oostzijde suffered
Figure 4:
Dwangpunten
FIS
DeSign
Figure 5:
315
Track lay out, maximum speeds indicated by colours (colour

online only).
0
5
9.
8
5
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.
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7
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7
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6
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46
0. 9.
54
55
6
7
1.
5
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4
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3
5
5
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3
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8
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8
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.6
4
5
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.5
4
5
5
5
.7
3
5
5
5
7.
3
5
Constraints (dwangpunten) negative constraints in red and the

positive one in green manual solution (in project of type FIS) and
solution of DeSign for SAAL (colour online only).
from the fact that in this case the model assumption that each train can brake to
stand still in maximally two blocks, prevents a good solution.
The second question was: are the solutions generated by the programme
optimal relative to the objective function? The second question could not be
answered due to the lack of optimal reference solutions. Instead it was evaluated
to what extent the model outperformed the manual solutions. The comparison
between the model solution and the manual solution was split into two aspects.
The first aspect was the reduction of headways the model solutions showed for
the same number of signals as the manual solution. The second aspect was the
further reduction of headways the model solutions showed when the number of
signals increased. Table 1 shows the results.

Table 1:
Average reduction per headway.
5.2
Reduction
for same
number
of signals
(s)
0
Reduction
for same
number
of signals
(%)
0
Further
reduction
for max.
number of
signals (s)
7
Further
reduction
for max.
number of
signals (%)
5.5
3.5
3.9
3.5
11
9.5
5.9
12
11.5
8.5
5.3
2.5
5.1
5.5
3.4
7.6
Application
(including
direction)
Length of
line
section
(km)
Wormerveer
(dir. Zaandam)
Arnhem
oostzijde (arr.)
Den Bosch
zuidzijde (dep.)
Den Dolder
(dir. Utrecht)
SAAL
(eastwards)
Schiphol (arr.
from Leiden)
Schiphol (dep.
to Amsterdam)
Utrecht
zuidzijde (arr.)
4.2 Practical usability

Apart from interface issues, the main issue was the computation time. In all but
one application in Table 1, the computation time was limited to about 1 minute
on an ordinary PC. The computation time for Utrecht zuidzijde already increased to
several hours. Extension of the Utrecht example to a line section of 15 km led to
computation time of one day or more for even the lower numbers of signals. As
the programme is meant to be part of a design process, the conclusion was that
the present maximum length of the line section is 7 to 8 km.
5 Discussion of the results and future work

An algorithm that generates optimal signalling positions for a given line section
has been constructed and implemented. The main conclusion of the research is
that the computer program DeSign based on the algorithm yields valid results. In
one example DeSign did not yield valid results, because the assumptions
underlying the model were too restrictive.
The computer program DeSign yielded small but significant improvements.
The more important contribution, however, seems to be that with the computer
program infrastructure planners can prove optimality of their designs (relative to
an accepted set of assumptions and constraints. In particular, they can easily
show to what extent increasing the number of signals above the present number
317
is useful. Moreover, the can much more easily than before devote time to
sensitivity analysis, varying the constraints.
The main present drawback concerns the computation times. Future work will
be directed at reducing the computation times by introducing a branch and bound
feature in part one of the algorithm.
References
[1] Baohau, M., Jianfeng, L., Yong, D., Haidong, L & Kin, H.T., Signalling
layout for fixed-block railway lines with real-coded genetic algorithms,
Transactions Hong Kong Institution of Engineers, 13(1), pp. 35-40, 2006.
[2] Hanson, I.A. & Pachl, J., Railway, Timetable and Traffic: Analysis Modelling - Simulation, Eurailpress, Hamburg, 2008.
[3] Middelraad, P., Voorgeschiedenis, Ontstaan en Evolutie van het NSLichtseinstelsel, NS Railinfrabeheer, Utrecht, 2000.
[4] ProRail, Algemene voorschriften 131: Het lichtseinstelsel 1955, 6e editie,
Utrecht, 2006.
[5] ProRail, Algemene voorschriften 132: Remafstanden bij de seingeving, 1e
editie, Utrecht, 2005.
[6] ProRail, Algemene voorschriften 133.1: Plaatsing en Toepassing van
Seinen, 2e editie, Utrecht, 2006.
[7] Regeling Spoorverkeer, Bijlage 4 (Seinenboek), 4 juni 2007
[8] Winston, W.L., Operations research: Applications and algorithms,
Thomson-Brooks/Cole, Belmont, 2004.
319
A method for the improvement need definition

of large, single-track rail network analysis
and infrastructure using
Rail Traffic System Analysis
T. Kosonen
Head of Railway Project Planning Unit,
Finnish Transport Agency, Finland
Abstract
A major change in Finnish rail freight transport flows caused a need to have a
thorough capacity analysis of the network and a need to estimate how
infrastructure should be improved to match the future traffic situation. For this
purpose a new method was developed. Its main goals were to have an approach
that combines different levels of traffic planning, is suitable for single track
lines, takes into account the commercial aspects of the traffic and takes into
account the network related dependencies. A large study was successfully done
with the method and it showed that it could match its goals. Therefore, it was
taken into regular use and it is integrated into the long term planning process of
the Finnish rail network.
Keywords: capacity, calculation, cost/benefit, single track, planning, network.
1 Introduction
The total length of the rail network in Finland is about 5 900 km, of which about
90% is single track. Almost all of the track sections are mixed traffic, only a few
sections are dedicated to passenger or freight traffic only. The annual amount of
passenger trips is about 67 Mio and the total amount of annual freight is about
45 Mio tonnes. About 25% of all freight traffic is Russian-related.
Recent changes in Finnish forest sector strategies and wood export customs
decisions made by the Russian government had created a need for significant
change in the Finnish freight transport system. Major traffic flows had to be
doi:10.2495/CR100301

turned around. Traditionally, the wood needed in eastern Finlands large paper
mills has been imported from Russia. Now it has to be transported from western
and northern Finland. This caused major changes to the use of the network.
To evaluate the impacts of this change and to define the improvements
needed for it, a large transport study was started by Finnish Rail Administration
in 2008 [1]. The method used in this study was developed during this project and
it is called Rail Traffic System Analysis. Background work for method
development was done in earlier studies that took place in 20052007 and
handled similar kinds of issues on a smaller scale [2, 3].
2 Concept of Rail Traffic System Analysis

Traditional capacity analysis methods (for example UIC 406) are usually based
on the idea of theoretical capacity and its utilization [4]. Usually, analysis based
on the calculation of the percentage of theoretical capacity and how much is still
available for additional traffic is currently used. This can be done by
compression of timetables or other similar methods.
These methods are very simplified and handle only one line section at a time.
Adjacent sections are handled separately and optimized independently. This is
why these methods are not able to handle network level studies in an accurate
way. These methods also do not take into account the commercial aspects that
are always present in railway traffic. Every train has to have certain commercial
interest or else it makes no sense to operate the train at all.
System analysis is a method that answers the question of capacity and its
availability, but at the same time is able to handle network level studies and
commercial aspects.
It consists of four or five different steps as follows:
Step 1: Traffic flow estimation
Step 2: Train amount calculation
Step 3: Timetable definition and planning
Step 4: Traffic quality analysis
Step 5: (Cost/benefit analysis)
3 Macro level studies

System analysis starts from a high level in step 1. At this stage general economic
forecasts, land use plans and railway transport customers interviews are used to
form different scenarios of future traffic flows. This can be done both for
passengers and for freight. The result of this step is traffic flow estimations for
passengers and different goods types in the observation area.
In step 2 traffic flow estimates are transformed into daily traffic amounts.
This is done for freight by dividing tonnage flows with average train weights and
operation days per year. In passenger traffic, the same thing is done for dividing
passenger flows by average carrying capacity for different train types. Seasonal
peaks are taken into account so that the maximum traffic needs on the network
can be illustrated. The result of step 2 is daily future train amounts in the
observed track network in different scenarios.
321
KOLARI
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RAAHE
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Tavarajunat 2006
Ennuste 2015
Ennuste 2030
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Tonnage flow estimate
Figure 1:
Train amount forecast
From goods flow to train amounts.
4 Detailed planning and analysis

Step 3 consists of the definition of commercial boundary conditions for future
trains and is based on future timetable planning for the observed network.
Commercial boundary conditions are typically time slots in which the train has
to leave its origin and/or in which it has to arrive at its destination station. In
Finland this step is done in co-operation with operators or transport customers in
freight traffic. In passenger traffic, usually the regular interval timetable is used
so a separate boundary condition definition is not usually done.
Traffic planning is done in a capacity allocation priority order that is
presented in the network statement. In Finland the order is the following:
Synergic passenger traffic entity
Express passenger trains
Transport for processing industry
Local and other passenger traffic
Other regular freight traffic
Freight traffic not requiring strict transport times
Other traffic
In practise this leads to the situation where the passenger traffic regular
interval timetable is planned independently, first and freight trains are added on
top of it. If available capacity does not allow train timetable planning according
to the defined commercial boundary conditions, this is marked down as a serious
KO LARI
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Ennuste 2015
Ennuste 2030
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KONTIOMKI
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YLIVIESKA
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IISALMI
SEINJOKI
Future timetable definition and

planning
Train amount forecast
Figure 2:
From train amounts to train paths.
signal of insufficient capacity. Traffic planning is done with simply usable

planning software (usually Swiss Viriato). The result of step 3 is planned
timetables for estimated future traffic in different scenarios.
The future traffic quality on different scenarios is analyzed in step 4. This is
done by collecting a large amount of train run describing data from the
timetables planned in the earlier step. For this process a macro that produces
these figures automatically from the timetable database is used.
The key figures observed are the following:
Absolute train running time on a defined section
Average running times of all the trains on a defined section
Deviation of train running times on a defined section
Average speed of a train on a defined section
Average speed of all the trains on a defined section
Deviation of train average speed times on a defined section
Absolute non-commercial stop time of a train on a defined section
Average stop times of all trains on a defined section
Total non-commercial stop times of all the trains on a section (daily,
weekly and yearly)
The data from different sections is compared with each other in order to
locate the problematic areas of the network. If a large network is observed,
usually a map illustration of the figures is necessary to be able to form an
accurate picture of the traffic quality. This can be done with GIS systems.
The situation of capacity usage on a single line section can be observed, for
example, from the deviation of the running times of a train group. If there is a lot
of free capacities, all the trains with similar properties get approximately similar
train paths, have almost the same running time and the deviation is small.
323
If there are certain problems with capacity, the deviations in the running time
are larger as the trains that are planned first get the smoothest train paths and the
rest have to manage with the worse paths that are left. The bigger the deviation
is, the worse the capacity situation is.
The problem is the situation where the capacity is in full use. In that case no
additional trains can be added to the timetable. It means that their running
behaviour figures will not be taken into account, as they do not exist. These
situations must be handled separately.
If the traffic quality is too low on certain parts of the network, it is possible at
this stage to observe the impacts of different infrastructure improvement actions
to the traffic system. This can be done by changing the infrastructure properties
and repeating steps 3 and 4 again. This iterative process can be repeated until an
adequate level is reached. The result of step 4 is a representation of the capacity
and traffic quality situation in different future traffic scenarios. An additional
result can also be a list of required infrastructure improvement actions to reach a
tolerable traffic quality level in the future.
During steps 3 and 4 the relations between different infrastructure
improvements can be pointed out. Usually some improvements are beneficial
only if some other improvements are done first. It is very important to notice
these relations on a network level so that the infrastructure upgrade actions can
be prioritized.
5 Economical aspects
Step 5 is used if there is a need for cost/benefit analysis of the infrastructure
improvement actions. The main figures produced in step 4 are usable for
calculating operating costs for different traffic models. In Finland we have used
an operating cost model that was originally created by Swedish Banverket [5].
Running time min

Running time avg
Running time max
Running time [h:min]
Large deviations of running

time show that capacity is
limited or totally in use
Track sections
Figure 3:
Example of running time deviations.
Change in the total yearly non-commercial stop

times (h) 20082015 without improvements
Figure 4:
Example of a non-commercial stop time change on a network

level.
It is based on the basic parameters, such as train composition and travel time
of a train. It has preset values for the cost of the rolling stock, personnel,
emission values, etc. With this, the operation cost for a certain timetable
structure can be calculated and different alternatives can be compared with each
other. A macro that calculates operation cost figures straight from the timetable
database is currently under development.
With the operation cost difference in the studied alternatives and the
infrastructure improvement cost needed to achieve it, the cost/benefit ratio can be
calculated.
6 Conclusion
The Rail Traffic System Analysis method has proven to be a usable and most
credible tool for capacity analysis in the Finnish network. Its best features are the
possibility to take commercial aspects of the rail traffic into account and the
325
possibility to provide illustrative and reliable results of railway capacity in such a

complex environment as a single track network.
It combines different approaches of rail traffic planning together, starting
from macro level studies with traffic flows and ending in detailed planning of
single train operations. This makes it possible to have a thorough understanding
of the real needs of the rail system in the future and how they can be achieved.
The following results have been produced for the Finnish network:
Future traffic amounts on the network
Future capacity bottlenecks of the network
Comparison of the effectiveness of different future traffic models and
routing alternatives
Infrastructure improvement needs of the network
Prioritization of infrastructure improvement action
Cost/benefit ratio for infrastructure improvement actions
With this method the complex case of major freight traffic flow change on the
Finnish network could be handled and a three phase program for rail
infrastructure upgrade to years 20102025 formed. It has been decided that this
method will be used regularly in the future to check the relevance of the upgrade
program and to adjust it in the direction that is most beneficial.
References
[1] Iikkanen, P., Kosonen, T., Mukula, M., Kiuru, T., A 16/2009 Etel-Suomen
rataverkon tavaraliikenteen kehittminen, Finnish Rail Administration,
Traffic system unit, Helsinki 2009 (in Finnish).
[2] Iikkanen, P., Kosonen, T., Rautio, J., A 4/2005 Kaakkois-Suomen rataverkon
tavaraliikenteen kehittminen, Finnish Rail Administration, Traffic system
unit, Helsinki 2005 (in Finnish).
[3] Iikkanen, P., Kosonen, T., Rautio, J., Mhnen, N., A 5/2007 PohjoisSuomen rataverkon tavaraliikenteen kehittminen, Finnish Rail
Administration, Traffic system unit, Helsinki 2007 (in Finnish).
[4] UIC leaflet 406, Capacity, UIC International Union of Railways, France
2004.
[5] Banverket guidance for calculation Appliance for socio-economic
calculations in the railway sector, BVH 706, Sweden 2007 (in Swedish).
327
Automatic location-finding of train crew using

GSM technology
F. Makkinga1 & B. Sturm2
1
2
Innovation Rail division, Movares, The Netherlands

NS, The Netherlands
Abstract
Passenger carrier NSR (Dutch Railways Passengers) on a daily basis deploys
approximately 1000 drivers and 1300 guards to run approximately 5000 trains.
Normally speaking, the current deployment is in line with the crew schedule as
laid down in the transport management system. This schedule is generally
immediately (manually) updated to suit the situation. In the event of major
disruptions, however, problems may occur as a result of which the disruption
management organisation loses sight of the current personnel deployment. As a
consequence, a situation can arise whereby the crew schedule no longer reliably
reflects the current situation. This can lead to errors in the crew rescheduling and
possibly to the cancellation of trains because crew have not been organised on
time. For NSR this was an undesirable situation and the reason to launch the
investigation into how this bottleneck could be solved. A research and
development project was undertaken by NSR and Movares with the aim of
developing a method for the automated detection of train crew on trains and the
registration of deviations in respect of the crew schedule. During this project, a
system was developed that on the basis of GSM technology in combination
with the monitoring of trains via the infrastructure automatically detects which
train crew members are located in which train. In the spring of 2009, a very
successful test was implemented using the system.
Keywords: planning, crew scheduling, location determination.
1 Introduction
Dutch Railways, Passengers division (NSR) is far and away the largest passenger
carrier in The Netherlands. Every day, NSR carries approximately one million
doi:10.2495/CR100311

passengers with approximately 5000 trains. NSR serves approximately 280
stations. The Dutch railway network covers a total length of approximately 5000
km, of which more than 2000 km are twin-track and almost 1000 km singletrack.
1.1 Complexity
To successfully manage the complex transport process in The Netherlands, trains
and the accompanying train crew are planned accurately to the nearest minute.
Every train has train crew on board: one driver and one or more guards. Train
crew change trains at the end of the train journey, or en route, at one of the
approximately 30 larger stations. During their shift, train crew are not linked to a
single route, but several times a day switch to trains operating on another route.
Every day, approximately 1000 drivers and 1300 guards are at work in trains.
1.2 Management of the train service
The operational management of the train service is undertaken in collaboration
between the operator (NSR) and the railway controller (ProRail). NSR monitors
the deployment of train crew and wherever necessary makes adjustments
(Makkinga [1]). The operational management is supported by a transport
management system according to which execution of the timetable and the
deployment of rolling stock and train crew can be monitored and as necessary
adjusted. During the peak hours of the day, approximately 300 trains are
operated simultaneously.
Due to the intensity of train traffic (short follow-on times) but also because
train crew are not linked to fixed routes, train traffic and crew deployment are
relatively susceptible to disruptions (Jespersen-Groth et al. [2]). In the event of
major disruptions (intersections or track sections becoming blocked), the result
can be that during the execution dozens or even more than one hundred work
lines for train crew members have to be revised. A work line for a driver or
guard describes on which train he or she is consecutively set to work today,
together with the times and the stations. If a work line has to be revised, the
responsible officer (the so-called crew dispatcher) comes up with the change,
duly notifies the driver or guard in question by telephone, and registers the
change (following acceptance by the driver or guard in question) in the transport
management system.
1.3 Who is where?
For adjusting crew shifts, it goes without saying that it is crucial to know on
which train or at which station a driver or guard is currently located. Normally
speaking, the current deployment is in line with the crew schedule in the
transport management system. This schedule is generally immediately updated if
made necessary by the situation. For example, if current execution deviates from
the schedule as in the event of a delayed train, or if the schedule requires
adjustment, for example because it has been decided to run an extra train. In the
329
event of major disruptions, however, the situation can arise that the crew
schedule no longer reliably reflects the current situation. Train crew may then
possibly be located on a different train or at a different station than shown in the
crew schedule.
One major cause is the often poor telephone connectivity during disruptions,
for both train crew who are required to notify passengers, and for crew
dispatchers, who are hard at work rescheduling crew. This can lead to situations
whereby the train crew themselves take decisions on their own deployment,
without those decisions at that moment being known to the crew dispatcher or
recorded in the crew schedule. It is also possible that in the event of major
disruptions, changes to the timetable and crew deployment are not immediately
fully processed in the schedule. The fact that the crew dispatcher has no clear
picture of the current situation leads to errors in crew rescheduling, and
sometimes even to the cancellation of trains because crew have not been
arranged in time.
1.4 Automatic localisation of train crew
For the operational management of rolling stock deployment, a tracking and
tracing system has been in use for a number of years, which compares the rolling
stock schedule with measurements of actual rolling stock deployment, and as
necessary, updates the schedule on the basis of the findings. This led to the need
for a comparable method of detecting on which train a driver or guard is
currently operational, comparing this information with the crew schedule, and as
necessary, updating that schedule on this basis. Preferably, these processes
should be fully automated.
2 Successful implementation of the innovation project

In the second half of 2008, on behalf of the Transport Control department of
NSR, engineering firm Movares carried out an innovation study. This study
aimed to identify the possibilities of determining which train crew members are
on board which train in real time, fully automatically. The further requirement
was imposed that no equipment was to be built into the train. Besides the already
available PDA and GSM telephone, crew were not allowed to be supplied with
additional equipment. As a result, the space for solutions was considerably
limited. Within these parameters, the most likely solution for determining the
presence of crew members on a train seemed to be matching position reports
from trains with position reports from the GSM telephones of the train crew.
In January 2009, in a collaborative venture between NSR, NS Information
Management & Technology (NS IM&T), Movares, SmartPosition and InTraffic,
a development programme was launched. As client, NSR formulated the
requirements and parameters. Movares submitted its knowledge of the railway
infrastructure, and developed the system concept together with NS IM&T, the
organisation that was also responsible for project management. Software
company SmartPosition supplied its knowledge of GSM technology and, in close
TNL
Train no. & Location
train, time stamp, lat,lon
GNL
GSM & Location
GSM ID,time stamp,Cell ID
LBS
Location
Based
Service
WER
Display &
Registration
Staff ID, time
stamp, train
Database
Staff ID, GSM ID
Figure 1:
Trial system layout.
collaboration with the software company InTraffic, implemented the system. In

five months, the collaborative venture succeeded in developing, testing and
assessing a system in practice, in the innovation project. With the system
developed, it is possible to reliably determine in real time which train crew
members are located in which train.
3 The system
The technical feasibility of the selected suggested solution was tested with the
system layout in figure 1.
3.1 Where is the train?
The train position details required for the trial were obtained from ProRail.
ProRail collects this information with a network of approximately 10,000
measuring points in the railway network. The measuring points are located
approximately 500 metres apart, but there are sections where the separation
between the measuring points is considerably larger (never more than
approximately 15 km). Because ProRail delivers position data in respect of the
railway network, and because LBS (see par. 3.3) has no knowledge of this
railway network, a conversion to geographical coordinates was necessary. This is
provided by the TNL system.
3.2 Where are the train crew?
Drivers and guards are localised according to the position of their GSM. In this
process, use is made of the data from the GSM masts with which the GSM
devices have a connection. To be able to receive this information on the LBS
331
platform, an application was developed known as GSM Number and Location

(GNL). This application on the GSM sends the current cell ID of the GSM mast
to which the crew members GSM device is connected, at a fixed frequency, to
the LBS platform. The frequency with which the messages are sent can be preset.
During the trial, the GSM sent a message to the LBS platform every 90 seconds.
3.3 Location Based Services platform
A central element of the trial layout is the LBS system. This system matches
train position data with GSM position data. On the generic Location Based
Services platform from SmartPosition [3], an algorithm was implemented with
this in mind to specify this matching. Because of the specific know-how required
for this application (e.g. using cell ID data), it was decided to outsource this task,
in this case to SmartPosition. To limit the resultant dependency, an attempt was
made to restrict the complexity of the matching functionality and interfacing.
With that in mind, alongside the cell ID data, LBS is only supplied with
geographical train position data. LBS does not have data about the railway
network, timetable or the crew schedule.
3.4 Confrontation with the crew schedule
An interface between LBS and the transport management system to make it
possible to confront the matching results with the crew schedule is not part of the
trial layout. Instead, a simple display and registration component (WER) was
developed, to make it possible to consult the matching results. A component
was also developed to make it possible to analyse the matching results (see
section 5).
3.5 The matching of GSM and train movements
The localisation of GSMs was restricted to matching with trains or, if that was
not possible, pointing out the movement of the GSM at a speed greater than a
specified (preset) threshold value. The latter requirement is important to be able
to identify the suspected presence in a train, even if it is not possible to specify
precisely in which train. This situation can arise if a second train is travelling in
the same direction or if train position data are missing because there are no
measuring points in the vicinity to detect train passages. Presence anywhere
other than in the trains of NSR is not detected.
The matching algorithm was designed to also identify the breaking of a
previous match (interpretation: GSM no longer in train), and an extended period
of non-confirmation of a previous match (interpretation: train has probably
reached its final destination or is stationary, unplanned).
4 The practical trial

Over a period of four weeks, the system was tested in an area in the centre of The
Netherlands. The trial area is shown in Figure 2.
N
E
W
S
Figure 2:
Table 1:
From
Ermelo
Bussum Zuid
Bilthoven
To
Bilthoven
Lunteren
Apeldoorn
Trial area.
Distance table for the trial area.

Distance (km)
40
44
43
Comment
Northeast-Southwest
Northwest-East
Southwest-Northeast
Amersfoort station is at the centre of the trial area. Table 1 provides an

outline idea of the size of the trial area.
The trial area has no relevance whatsoever for the timetable. It matches a socalled traffic controllers area. In other words, the operation of signals and points
in this area takes place from a single regional office of ProRail. The trial system
was provided only with train position data from this area. For trains passing
through the area, the only information provided was position reports from the
moment of entry into the area until the moment the train left the area.
Given the central location of the area and the fact that train crew are
employed on a range of different routes, a large proportion of the approximately
3300 drivers and 4500 guards employed at NSR regularly pass through this area.
However, the trial only involved drivers and guards operating from Amersfoort,
one of the approximately 30 crew bases. The application (GNL) was only
installed on the GSM responsible for providing GSM position details to LBS,
belonging to the participants in the trial.
The trial system was therefore used within this group of drivers and guards
for determining on which train they were located, at least in as much as they
were on a train at that time travelling through the trial area.
IST
333
SOLL
WER
Display & Registration
Staff ID, time stamp, train
Crew schedule
Staff ID,time stamp,
train, on/off shift
Analysis
Function
TNL
Train no. & Location
train,time stamp,lat,lon
Personnel & GSM data

Staff ID,GSM ID,
GSM-number
Report on the
matching
results
Figure 3:
System analysis.
During the execution of the trial, every identified match between GSM
number and train number was immediately compared with the transport
management system. If a discrepancy was identified, by way of verification,
telephone contact was immediately sought with the train crew member in
question.
5 The findings
The system was tested for a period of four weeks (May/June 2009).
During the first three weeks, the LBS system was adapted on the basis of
errors in the system software and errors in the matches between crew members
and train. In addition, it was noted that given a frequency of transmission of
GSM position reports of once every 90 seconds, the GSM battery could rapidly
become exhausted before the shift (approximately 8.5 hours) ended. The GSM
cannot be recharged during the journey. The guard constantly has the GSM in his
possession, and needs it to carry out his tasks in the train and on the platform.
For that reason, the trial was subsequently restricted to four hours in any day.
Another restriction on use of the GSM device as a source of GSM position data
is that the speech communication via the GSM, a common occurrence during
disruptions to the train service, hinders the transmission of cell ID data.
After three weeks, the system was considered stable and suitable for
implementing extensive testing. In week four, the system was no longer altered,
and between 3 June and 7 June 2009, daily trials were held between 12.00 and
16.00 hours. The transmitted matching results for that week are summarised in

Table 2:
Number of detected participants per day.

Date
Mon 18 May
Tue 19 May
Fri 22 May
Sat 23 May
Sun 24 May
Mon 25 May
Tue 26 May
Wed 27 May
Wed 3 June
Thur 4 June
Fri 5 June
Sat 6 June
Sun 7 June
Average
Total
104
111
112
95
101
120
111
115
112
114
115
104
105
109
this paragraph. Figure 3 shows the structure of the analysis system. For each
match specified by LBS, it was verified whether this matched the crew schedule
as laid down in the transport management system.
5.1 Participation in the trial
In total, 218 drivers and guards operating from Amersfoort participated in the
trial. During the hours in which the trial system was operational, their presence
on trains was detected in the trial area. Table 2 shows the numbers of participants
detected on trains over a number of days.
5.2 The reliability of the matching results
During the implementation of the trial, it was assumed that a match recorded by
LBS between GSM number (and the corresponding employee according to the
administration) and the train number was correct if:
- it matched the crew schedule, or, in the event of a deviation,
- it was confirmed by the driver or guard in question, by verification.
In analysing the matching results, it rapidly emerged that the crew often also
travelled by train off shift. The crew often travelled by train from and to their
crew base, and also on their days off, crew often travelled by train. If the GSM
mobile is then switched on, the system can identify a presence on trains which (it
goes without saying) is not reflected in the crew schedule, and which may also
not be verified. For such situations, the matching results have been corrected.
Table 3 shows the matching results for a number of selected days. The
column with the heading number of employees shows the number of detected
Table 3:
Date
26 May
27 May
3 June
4 June
5 June
6 June
7 June
Total and average
335
Matching results.
Number of
employees
7
35
31
32
36
28
22
191
Result
100%
100%
97%
100%
97%
96%
100%
99%
employees (drivers or guards) in the trains. The column with the heading result
shows the percentage of correctly identified presence of crew members in the
train.
5.3 Timeliness of the matching
The matching of crew with a train is possible as soon as a train leaves a station
located in the trial area (for example Amersfoort) or as soon as a train enters the
trial area.
On the basis of 191 measurements, it was calculated that:
a. a 68% matching occurs within 5.5 minutes of departure/entering the
trial area
b. a 95% matching occurs within 11 minutes of departure/entering the trial
area
c. a 99% matching occurs within 16.5 minutes of departure/entering the
trial area
Because of the limited scale of the data set, for a reliability of 95%, an error
margin of around 14% is included in the specified times.
For the first case, this means that 5.5 minutes, which equates to 330 seconds,
includes an error margin of 47 seconds and for the second case, 11 minutes, an
error margin of 94 seconds.
For correction, the above means that 11 minutes following departure of the
train (or entry into the trial area), 95% of train crew members has been chartered
out, and linked to a train by the trial system.
6 Conclusion
The trial showed that it is possible on the basis of cell ID data and train position
data to detect in real time, with an automated system and with a reliability of
99%, in which train crew members are located.
7 Future work
In a system whereby the GSM registers and transmits the cell-ID every 90
seconds during the entire shift of the train crew, it emerged that the load on the
GSM battery is unacceptably high. This could perhaps be implemented more
intelligently by installing smarter software on the GSM. In addition, speech
communication via the GSM, a common occurrence during disruptions to the
train service, hinders the transmission of cell-ID data. Further investigations are
therefore necessary into possibilities for tackling these problems. One option
would be to obtain cell-ID data from telecom providers. Other possibilities
include the selective registration and transmission of cell-ID data, specifically
only during major disruptions to the train service, by managing the GSM
application by means of an SMS broadcast to the train crew.
Meanwhile NSR has started a project which aims to speed up the
rescheduling of crew after a disruption has occurred. An important part of this
project is the installation of a software module for automatic crew rescheduling.
This module will be based upon operations research algorithms (Potthoff et al.
[4]). Also for the successful use of such a module, it is important that correct
location data of the crew are available. The improvement of those data, including
further necessary investigations, will therefore be part of this project.
References
[1] Makkinga F, Network control for improved performance A new concept
for on-line scheduling and dispatching, Proceedings of Comprail, pp 943
952, 2002
[2] J. Jespersen-Groth, D. Potthoff, J. Clausen, D. Huisman, L. Kroon, G.
Marti and M.N. Nielsen, "Disruption Management in Passenger Railway
Transportation", in: R.K. Ahuja, R.H. Mhring and C.D. Zaroliagis (eds.),
Robust and Online Large-Scale Optimization, Lecture Notes in Computer
Science, 5868, Springer-Verlag, Berlin (2009), pp 399-421.
[3] LBS system of Smartposition, system information available on
http://www.smartposition.nl/site/nl/services/117/lbs-platform
[4] Potthoff, D., Huisman, D., Desaulniers, G. Column generation with dynamic
duty selection for railway crew rescheduling, Econometric Institute Report
EI 2008-28, December 19, 2008
337
Alignment analysis of urban railways based on

passenger travel demand
J. L. E. Andersen & A. Landex
Department of Transport, Technical University of Denmark, Denmark
Abstract
Planning of urban railways like Metro and especially Light Rail Transit often
result in multiple alignment alternatives from where it can be difficult to select
the best one. Travel demand is a good foundation for evaluating a railway
alignment for its ability to attract passengers. Therefore, this article presents a
computerised GIS based methodology that can be used as decision support for
selecting the best alignment. The methodology calculates travel potential within
defined buffers surrounding the alignment. The methodology has three different
approaches depending on the desired level of detail: the simple but straightforward to implement line potential approach that perform corridor analysis, the
detailed catchment area analysis based on stops on the alignment and the refined
service area analysis that uses search distances in street networks. All three
approaches produce trustworthy results and can be applied as decision support in
different stages of the urban railway alignment planning.
Keywords: public transport, urban railways, metro, light rail transit, alignment,
catchment area, service area, travel demand, travel potential, GIS, planning.
1 Introduction
Conventional railways are usually large and rigid with few degrees of freedom in
planning of alignments. This is due to the characteristics of such rail systems:
high average stop distance and stop positioning dominated by strategic
requirements of service (e.g. stop in the big cities the railway passes). However,
smaller flexible urban railways like Metro and especially Light Rail Transit
(LRT) have much lower average stop distance and the stop positioning may not
be evident when consistently running in build-up areas. Therefore, it is often
seen that the screening phase of a new urban railway consists of multiple
doi:10.2495/CR100321

strategic alignment options or alternatives (e.g. see [1]). It may be difficult to
choose the best alignment between multiple high quality alternatives and a
decision support tool is often required. Traffic modelling of each alternative will
usually provide the best decision base. However, traffic modelling is very time
consuming and expensive and is, therefore, usually not introduced until a later
phase of the planning process where the number of alternatives are low or nonexisting. A quick-to-implement decision support for selecting alignment
alternatives that can be used in an earlier planning phase is, therefore, desirable.
Among other important decision elements of the urban railway alignment
planning such as transfers, travel time and construction cost travel demand has
the highest influence. This is because travel demand constitutes the customer
base in the surrounding areas of a railway line. Therefore, a decision support
methodology based on passenger travel demand to aid the selection of the best
alignment between multiple others is relevant. In the following such
methodology with different approaches depending on the level of detail is
presented and evaluated for its applied use in the planning of alignments for
urban railways.
A case example will be introduced to show the applied use of the
methodology. The case example is based on a light rail solution since this type of
urban railway gives rise to most alignment alternatives.
1.1 Introduction to case example
The case example is taken from Copenhagen, Denmark and deals with a light rail
proposal going from the city centre to the main airport running on the northern
part of the island of Amager. The focus area of the case can be seen in figure 1.
INDRE STERBRO
REFSHALEEN
REFSHALEEN
INDRE STERBRO
INDRE NRREBRO
NYHOLM
NYHOLM
INDRE BY
City Centre
INDRE BY
CHRISTIANSHAVN
CHRISTIANSHAVN
SUNDBY NORD
SUNDBY NORD
VESTERBRO
VESTERBRO
KONGENS ENGHAVE
KONGENS ENGHAVE
SUNDBY SYD
VESTAMAGER
KASTRUP
SUNDBY SYD
VESTAMAGER
KASTRUP
TRNBY
TRNBY
Regional trains
TMMERUP
Airport
Metro
TMMERUP
KBENHAVNS LUFTHAVN SYD
Figure 1:
KBENHAVNS LUFTHAVN SYD
Focus area of case example the northern part of the island of

Amager (left side), and the existing high quality public transport in
the focus area (right side).
339
There are already rail connections between the city centre and the main
airport by regional trains and Metro. However, these are relatively fast
connections with few stops whereas a light rail solution is intended to service
more locally on the island of Amager and will not (and cannot) compete for
travellers going all the way between the city centre and the main airport.
2 Passenger travel demand

Travel demand can be used to investigate the need for public transport services
in specific areas. Travel demand for public transport can be an indication of
potential passengers hence the term passenger travel demand. There are many
different factors that affect travel demand. Some are very dominant and have a
regular impact (residences, workplaces, student places etc.) while some are only
dominant in a time specific period thus having an irregular impact (stadiums,
beaches, amusement parks etc.). Furthermore, the passenger travel demand is
dependant on the socio-economic composition of the examined area (car
ownership, income, ages, family types, driver licenses etc.). For instance, the
passenger travel demand is more likely to be utilized in areas with low car
ownership than in areas with high car ownership.
00
75
>
50
-7
00
-6
60
0
50
45
0
-4
00
50
-3
30
0
-1
11
15
0
<
10
Travel Potential per km^2
DTU Transport
Figure 2:
Travel potential within the focus area.

In applied analysis of public transport it can be difficult to include all travel
demand factors. Therefore, a simplified but relatively good and understandable
delimitation such as travel potential can be used. Travel potential includes the
most important and regular impact on travel demand: Population and
workplaces. To get one overall expression of these two factors they can be
weighted together in a mutual relation:
Travel potential = Population + 1.75 Workplaces
(1)
Studies have shown that a workplace gives rise to 75% more traffic than an
inhabitant mainly due to work travel [2] why the workplaces are given a higher
weight in equation (1).
The travel potential for different areas can be visualized and especially travel
potential density is relevant to show on maps as seen in figure 2.
3 Alignment alternatives
Planning urban railways, and especially LRT, can result in multiple alignment
alternatives. Usually the end stops are given but how to get from end to end can
vary and is depending on various conditions. Aside from travel demand it can be
Alternative 2
Alternative 3
Alternative 1
DTU Transport
Figure 3:
Light rail alignment proposals (alternatives) in the focus area.
341
with regard to factors such as connection to other public transport lines (feeder
lines), travel distance/time, construction cost, special location service (hospitals,
stadiums etc.) and especially for LRT availability of space (road width etc.).
Although many alignment alternatives can be opted out in an early phase there
will nearly always be cases where alternatives offhand appear equally good and
this are when decision support is needed to determine the final alignment.
3.1 Case example: Alignment alternatives
In the case example three different alignment alternatives has been chosen for
investigation, cf. figure 3. The placing of the alignment revealed more variations
within each of the three alternatives just as the three alignment alternatives could
be combined in various sequences. All these different variations have been
deselected for this purpose since they produced too many alternatives for the
case example.
3.2 Stop positioning
Methods to select between alignment alternatives without considering stops
exist. But the most accurate analyses are performed on stops since they are the
passengers access and egress to the railway system. Therefore, it can be relevant
DTU Transport
Figure 4:
Stop positioning on the three alignment alternatives in the focus

area.

to appoint stops to the alignment alternatives. Where to position stops is
dominated by the same factors as for the alignment except that it is the number
of stops that affect the travel time. The stop positioning itself can be subject to
generating alternatives since one alignment can have multiple stop patterns
(different positioning but also different number of stops). However, this issue is
not addressed in this paper.
3.3 Case example: stop positioning on alternatives
There are many options how to position stops on the three alignment alternatives.
The positioning has been performed using travel potential maps (see figure 2), by
securing transfers to other public transport lines and by common criteria of
average stop distances (approximately 700 meters). All in all this gives a best
criteria stop positioning on the three alignment alternative as seen in seen in
figure 4.
4 Evaluation of alignment alternatives

In the end, only one final railway alignment can be implemented in the public
transport system so when there are multiple alignment alternatives the best has to
be chosen. To find the best alignment alternative, decision support that includes
travel demand can be useful. It is also important to take possible transfers into
account since they can supply a non-negligible part of the passengers especially
in terminals. Unfortunately, transfers cannot easy be joint into a methodology
with travel demand and the affect of transfers must, therefore, be assessed apart
from the travel demand assessments.
In the travel demand methodology there are different computerised GIS based
approaches depending on the desired level of detail and accuracy of the analysis.
The approaches include buffer analysis and overlay analysis to apply travel
demand data within defined buffers surrounding the railway where the buffer
approach determines the level of detail of the analysis.
Regarding the buffer analysis a distance of 350 meters is used for all buffers
in the case example. 350 meters has been chosen since studies (e.g. [3] and [4])
indicate a willingness to walk to LRT stations at about that distance. However,
other distances could easily have been chosen and implemented too. The three
different approaches are presented in the following.
4.1 Corridor analysis
A simple but straight-forward approach is to investigate corridors of urban
railway alignments. This can be done by the line potential approach. The line
potential approach simply investigates travel potential within a whole corridor of
an alignment. Corridors of the three alternatives can be seen in figure 5.
An overlay analysis gives the travel potential within each corridor and the
results can be listed in a table (see table 1).
Table 1:
Alt 1
Alt 2
Alt 3
343
Corridor analysis travel potential within the corridors of the three

alignment alternatives best alternative highlighted.
Length
[km]
8.00
6.38
6.39
Travel Potential
62,808
76,964
61,269
Travel Potential /
Length
7,851
12,063
9,588
DTU Transport
Figure 5:
Corridors of the three alignment alternatives (within an Euclidean

distance of 350 meters from alignments).
highest travel potential per length and is, therefore, regarded as the alternative
best suited for selection.
Corridor Analysis is not a fully accurate approach since it is only possible to
access a railway line at defined points (stops). However, corridor analysis still
gives a good indication of travel demand for an alignment and it can be
performed before positioning of stops and is, therefore, available as an easy-toimplement decision support tool in an early planning phase with many potential
alternatives.

4.2 Catchment area analysis
A more detailed approach is to include stops and investigate catchment areas of
urban railway alignments through catchment area analysis. Catchment area
analysis can determine travel potential within circular catchment areas of stops
on an alignment. Catchment areas for the three alignment alternatives and their
proposed stops can be seen in figure 6.
An overlay analysis gives the travel potential within catchment areas of each
alternative and the results can be listed in as in table 2.
DTU Transport
Figure 6:
Catchment areas of stops on the three alignment alternatives

(within a Euclidean distance of 350 meters from stops).
Table 2:
Catchment area analysis travel potential within circular catchment

areas of stops on the three alignment alternatives best alternative
highlighted.
Alt 1
Alt 2
Alt 3
Length
[km]
Stops
8.00
6.38
6.39
11
9
9
Avg.stop
Travel
Travel LinePot
Travel
distance
Potential / Potential / utili
Potential
[km]
Length
Stop
sation
0.73
49,865
6,233
4,533
79%
0.71
58,200
9,122
6,467
76%
0.71
45,656
7,145
5,073
75%
345
Travel potential per length and travel potential per stop is most relevant for
comparison between alternatives that are not equally long or have equal number
of stops. As seen in table 2, Alternative 2 has the highest travel potential per
length and per stop hence regarded as the best alternative. However, Alternative
1 has a higher line potential utilisation meaning it better utilises the travel
potential of the corridor.
Since catchment area analysis is conducted on the actual access/egress points
of public transport (the stops) it is a much more precise approach than corridor
analysis thus providing a more accurate decision base. However, it also demands
more work since the stop positioning has to be performed prior to the analysis.
Catchment area analysis is, therefore, suitable for more thorough and realistic
analysis of alignments in a later planning phase where the number of alternatives
are low.
4.3 Service area analysis
A refinement of the catchment areas of stops is service areas. Service areas are
based on searches in street and path networks and are, therefore, more realistic in
terms of actual travel distances for the feeder traffic (for more information about
DTU Transport
Figure 7:
Service areas of stops on the three alignment alternatives (within a

street network search distance of 350 meters from stops).

service areas see [5] and [6]). Service areas of stops on the three alignment
alternatives and their stops can be seen in figure 7.
An overlay analysis gives the travel potential within service areas of each
alternative and the results can be listed in as in table 3.
Table 3:
Service area analysis travel potential within service areas of stops

on the three alignment alternatives best alternative highlighted.
Length
[km]
Alt 1
Alt 2
Alt 3
8.00
6.38
6.39
Avg.stop
Travel Travel
Travel
Stops distance
Potential Potential
Potential
[km]
/ Length / Stop
11
0.73 33,568 4,196 3,052
9
0.71 41,478 6,501 4,609
9
0.71 27,377 4,284 3,042
LinePot CA
Utili
Utili
sation sation
53%
67%
54%
71%
45%
60%
As seen in table 3 Alternative 2 has the highest travel potential per length and
per stop making it the best suitable alternative. It also utilises the travel potential
of the corridor and catchment areas (CA) best.
Since the service area analysis is based on the actual travel distances of the
feeder traffic it is the most detailed and accurate approach. It also requires more
detailed input data, especially the street and path network. For best performance
of the approach (and to make it as realistic as possible) all areas surrounding
stops must be scrutinized for data availability and realism. The service area
approach can be used to conduct more detailed analysis of alignment alternatives
than the catchment area approach but it also requires more preparation of data
and is, therefore, best suited for analysis with high accuracy requirements usually
conducted in a late planning phase. The largest applied benefit of the approach is
its ability to describe the effect of changes in the street and path network
surrounding stops; thereby being suitable for analyses of accessibility to public
transport (see [5]).
4.4 Results and discussion
From the case example it is seen how Alternative 2 turned out to be the best
using all three approaches. This is a strong indication that this alternative is the
best one when investigating travel potential. It also shows a consistency between
the approaches. However, there may be cases where there will be differences
between the results of the approaches and where e.g. the stop positioning of a
poor alternative can utilise the travel potential of the corridor so good that it will
show better results once analysis of stops are taken into account. This never
becomes an issue in the case example since Alternative 2 simply is much better
than the other alternatives.
The evaluation criteria are mostly based on the travel potential per length and
travel potential per stop. A key performance indicator taking both length and
number of stops into account can also be desirable. Such an indicator could be
based on e.g. construction cost or a travel time based operating cost both
implementing a length and a stop depending contribution. A key performance
347
indicator like that can provide a more clear and understandable overview of the
alternatives and ensure that a long twisted alignment with many stops will not be
much better than a shorter straight alignment. This can be illustrated by
comparing the next best alternatives in the case example. Alternative 1 is longer,
has more stops, and as a result this alternative has higher travel potential
compared to alternative 3. However, taking both travel potential per length and
travel potential per stop into account the alternatives seem quite equal. Using a
common key performance indicator may even prove that Alternative 3 is better
than Alternative 1 depending on the weights applied to length and to stops.
The case example shows how the approaches can be used as decision support
tools when examining different alignments with the same terminal stations.
However, the methodology may also be used to examine alignments with
different terminal stations but the more different the alignment alternatives are,
the more careful one must be to achieve comparable results. The methodology
cannot compare different types of service and its effect on passenger
attractiveness, e.g. fast service with few stops (end to end service or shuttle
service) and slower service with more stops (local service). The methodology
should, therefore, only be used to compare alternatives of roughly the same type
of service. Travel time for each alternative and comparison with the existing
service can be included in the evaluation criteria as well, but whether the service
of an alternative is the best suitable for passengers must be evaluated through the
more time consuming traffic modelling. Otherwise the desired service
characteristics of the railway must be decided on before making the alternatives.
5 Conclusions
A quick-to-implement decision support methodology based on travel demand
can be used to select the best alignment of an urban railway between multiple
alignment alternatives. The methodology is based on computerised GIS analysis
and comes in different approaches depending on the level of detail of the
investigations. In an early screening phase the simple corridor analysis can be
used to deselect the less suited alignment alternatives. In a more advanced
planning phase where stops are appointed to the alignment alternatives the
catchment area analysis can be used as a realistic foundation for selecting the
best alignment. An even more detailed approach is to refine the catchment area
analysis using service areas of stops as base for the selection. The detailed level
of the service area approach also makes it relevant for analysis of the
accessibility to each stop but it also demand more detailed input data.
The output of all approaches is travel potential within the defined buffers
surrounding the railway line and it provides an overall sound decision support in
the alignment selection process. However, a factor such as transfer to other
public transport lines must not be ignored since large passenger volumes can be
generated from transfers especially in terminals. But as the main part of the
decision support of alignment alternatives the methodology is essential and can
relatively easy be applied in the planning process of urban railways.
References
[1] Andersen, J.L.E., Landex, A. & Nielsen, O.A., Light rail project in
Copenhagen the Ring 2 corridor, Proc. of the Annual Transport
Conference at Aalborg University, 2006.
[2] Jacobsen, B. & Larsen, F., Catchment area and transport modelling
(Stationsoplands- og trafikmodelberegninger), Proc. of the Annual
Transport Conference at Aalborg University, 1999 (in Danish).
[3] OSullivan, S. & Morral, J., Walking Distances to and from Light-Rail
Transit Stations, Transport Research record, 1538, pp. 19-26, 1996.
[4] Christiansen, H., Laursen, J.G. & Jrgensen, H.E., Feeder geography at bus
stops (Tilbringergeografi ved busstoppesteder), Institute of Planning, DTU,
2000 (in Danish).
[5] Landex, A., Hansen, S. & Andersen, J.L.E., Examination of catchment areas
for public transport, Proc. of the Annual Transport Conference at Aalborg
University, 2006.
[6] Andersen, J.L.E. & Landex, A., Catchment areas for public transport, Proc.
of the Urban Transport Conference at Malta, 2008.
349
Maintenance plan optimization for a train fleet

K. Doganay & M. Bohlin
Swedish Institute of Computer Science, Kista, Sweden
Abstract
Maintenance planning is an important problem for railways, as well as other application domains that employ machinery with expensive replacements and high downtime costs. In a previous paper, we have developed methods for efficiently finding
optimized maintenance schedules for a single unit, and proposed that the maintenance plan should be continuously re-optimized based on the condition of components. However, fleet-level resources, such as the availability of expensive spare
parts, have largely been ignored. In this paper, we extend our previous approach by
proposing a solution for the fleet level maintenance scheduling problem with spare
parts optimization. The new solution is based on a mixed integer linear programming formulation of the problem. We demonstrate the merits of our approach by
optimizing instances of maintenance schedules based on maintenance data from
railway companies operating in Sweden.
Keywords: maintenance planning, condition based maintenance, optimization, mixed
integer programming, railways.
1 Introduction
Maintenance planning is an important issue, especially for application areas where
high cost machinery is used, and when time spent on maintenance disrupts the
operation and causes losses, monetary or otherwise. Industry often fears that introducing condition based maintenance (CBM) will lead to more frequent service
interventions, which could counter the potential value of implementing CBM.
Implementation should therefore be done with care, as the maintenance planning process under CBM needs to be adapted to a much more dynamic situation. We have previously [1] proposed to harvest the full potential value in CBM
for rail vehicle maintenance using a combination of condition monitoring and
online maintenance planning. A side effect of using this dynamic approach, instead
doi:10.2495/CR100331

of following a traditional cyclic maintenance schedule, is that resources at the
maintenance workshop serving a fleet of trains can easily get over-allocated at
certain periods. One example is the number of spare parts that need to be available
at the service location. Cyclic preventive maintenance usually allows manually
building a resource plan that respects the fleet level constraints (e.g. number of
spare parts) as the maintenance schedules are relatively regular and cyclic. However, using continuously updated maintenance due dates (from condition monitoring) and frequently re-optimized maintenance schedules for each train makes it
impractical to manually construct good fleet level maintenance plans. This can lead
to higher resource demands, which is undesirable for expensive spare parts or even
unacceptable for some resources. Hence, although each train may have an optimum
maintenance plan for itself, the total schedule at fleet level becomes unfeasible.
In this paper, we broaden the perspective by considering a fleet of rail vehicles
maintained in a single workshop. Maintenance planning in a long-time perspective
is performed to efficiently use the limited spare parts available; for this purpose,
we have modeled the planning problem using mixed integer programming (MIP).
1.1 Vehicle maintenance
Vehicle maintenance differs from maintenance of stationary equipment in that
vehicles are mobile; their current and future location is dependent on the performed
and planned jobs for the vehicle. For rail vehicles, planned jobs are usually present
in the form of a timetable. Instead of having mobile repair crews visiting the site for
maintenance work, the train regularly visits one or several maintenance workshops
as a part of the normal duty of the train. In addition, the train dispatching central
needs to make sure that the train is indeed sent to the workshop when needed.
Since the freedom to plan maintenance is limited by the assigned timetables,
the execution of maintenance actions is also limited to the time intervals when the
train is actually in a workshop. These intervals may be (and frequently are) different from the predicted time intervals, since trains are dispatched according to
the global train supply and the demand in the network for an operator. In addition, time-consuming setup activities are present in the shunting (movements on a
rail yard) of trains to and from the workshop, and parts of the maintenance equipment might be located at other, specialized workshops in the vicinity of the main
maintenance workshop. Although not considered in this paper, the layout of the
workshop is also important, since there are resource limitations in that a workshop
contains a limited number of tracks for vehicles under maintenance. It is also common that tracks have different setups in the form of stationary equipment, such
as lifts, graves and power lines. The current state of practice in short-term maintenance planning is manual planning with the aid of computerized maintenance
management systems, spreadsheets and possibly project planning tools.
We can predict when each train will be at the maintenance depot from time table
data. While this is necessary for planning the current work day (and probably further, typically 1-2 weeks), having very detailed plans for, e.g., three months later
is neither necessary nor useful. The reason is simply that the uncertainties in a
351
detailed plan are too high in a longer time perspective. For example, one cannot
be certain that a particular train will be dispatched to the depot on a specific date
and time, as this is dependent on a number of factors, including not only the fleet
condition and which vehicles are undergoing maintenance or overhaul, but also
other disturbances such as canceled trips due to infrastructure failure or failure to
allocate on-board personnel. Moreover, unexpected failures often occur in different components of the train, requiring a visit to the depot earlier than predicted.
Although this will invalidate the predicted arrival and departure to the maintenance
workshop for the affected trains, it may also lead to an opportunity to perform other
maintenance at the same time.
The uncertainties outlined above make it less useful to have detailed plans (in
days, hours and minutes) for a planning horizon further than a few weeks. However, this does not mean that planning for more than a few weeks is useless. On the
contrary, there is a direct need to plan for the whole maintenance contract period
(or at least for a significant part of it), as there may arise situations where too many
trains need major maintenance inside the short-term planning horizon, causing a
high maintenance load in one month and a corresponding low load in the next.
Another problem arises with spare parts that are maintained offline. An example is a major engine overhaul. As this activity takes about two weeks, it is not
performed on the train. Instead, the engine is removed from the train and replaced
by a spare engine, so that the train can continue normal operation while the old
engine is overhauled in the maintenance workshop. Once the old engine is maintained, it is frequently considered to be as good as new, and can therefore be put
into another train later on. Given that it takes two weeks to maintain an engine,
the highest number of engine maintenance that occurs in a two week time window during the whole maintenance contract of the whole fleet would equate to the
number of spare engines that needs to be available in the maintenance depot. If the
fleet maintenance planning do not consider such a long term plan, it would not be
able to foresee any conflict caused by too many train units requiring same type of
spare parts, or other resources at the maintenance depot.
Our advocacy of CBM and dynamic planning has been met with both high interest and some skepticism by our industrial partners. The main fear lies in the fact
that, although each train unit may have a better optimized maintenance schedule, a
dynamic and irregular maintenance may lead to infeasible or higher cost schedules
for the maintenance depot that serves the whole fleet. In this paper, we consider
the spare parts problem as an example of such fleet level constraints and costs.
The rest of the paper is organized as follows: section 2 gives an account of related
work. In section 3, we explain the optimization model. The method of evaluation
is explained and results are reported in section 4. Finally, in section 5, we conclude
and discuss future work.
2 Related work
The area of optimal maintenance planning and scheduling has been active since
the 60s, starting with the seminal work by Barlow and Hunter [2]. Plenty of survey

papers of the area also exist; fairly recent reviews are given by Budai-Balke et
al. [3] and Nicolai and Dekker [4]. Furthermore, the state of the art in applications
of maintenance optimization models is discussed by Dekker and Scarf [5]. More
generic mathematical maintenance models are also reviewed by Scarf [6].
In multi-unit maintenance models, the system under consideration consists of
several units with identical or individual characteristics regarding failure, costs,
setup activities, etc. An overview of multi-unit maintenance models is given by
Cho and Parlar [7]. Wildeman et al. [8] discuss maintenance scheduling for a
multi-component system with constant co-allocation cost savings, and where deterioration of components is also taken into account.
Rail vehicle maintenance includes the additional complexity of moving equipment, and research in rail vehicle maintenance therefore often includes the associated routing problems. An exception is present in work by Hani et al. [9, 10]
who focus on the detailed planning of work performed in the train maintenance
facilities only. Cordeau et al. [11] give a survey of models for optimization of train
routing and scheduling. In [1, 12], the problem of routing vehicles to the workshop with minimal maintenance costs is solved with the additional sub-problem of
grouping maintenance activities such that the number of maintenance occasions is
minimized. The problem of determining optimal vehicle routes is NP-hard in general [13], which is why a heuristic method is employed. A related problem has been
studied by Anderegg et al. [14], who propose a heuristic routing approach usable in
a long-term perspective. Packaging of maintenance is not considered. Marti and
Kroon [15, 16] also consider the operational maintenance routing problem without considering maintenance packaging. In [15], a multi-commodity flow model
is proposed to solve the problem. In [16], an integer programming formulation
is presented, and a shortest path heuristic is proposed to solve the problem for a
planning horizon of 13 days.
3 Optimization model
In this section we define the fleet level planning problem using a discrete time
model where each time slot is one week. The problem is formulated as follows.
We are given n identical vehicles u {1, . . . , n}, each containing m maintenance activities (items) i {1, . . . , m} which should be repeated with a period of
Ti weeks. We use p to denote a spare part type, where p {1, . . . , P }, and t to
denote an occasion, where t {1, . . . , H} and H is the schedule length (horizon).
The initial condition (used number of weeks) for vehicle u and item i is denoted
Oui . Each maintenance activity takes i man-hours to perform and requires the
exchange of ip spare parts of type p. Spare parts are repaired offline; repair takes
Rp weeks for spare part type p, and Ap spares of type p are available in total.
The total cost of having one spare part of type p for one week is cp ; note that this
should include purchase and acquisition costs, transportation costs, and costs due
to storage requirements. Maintenance activity i is associated with a fixed cost Ci ,
and at most kt hours of maintenance can be performed in each week t.
In addition, the train needs to be shunted before and after each maintenance
stop. We model this by including a constant setup cost S for the activities involved
353
in shunting the train. The setup cost is deducted each time at least one maintenance
activity, for a single train unit, is performed.
The long-term goal is to plan maintenance for H weeks with minimal cost such
that 1) maintenance periods are respected, 2) the maximum maintenance duration in each week is not exhausted, and 3) there are enough spare parts. We only
consider preventive maintenance, since corrective maintenance costs can, due to
uncertainties on exactly when they happen, best be estimated outside the model.
The number of spare parts needed for corrective maintenance therefore needs to
be estimated using statistics, and is not considered further in this paper. Note that
we only consider maintenance items for which Ti Oi H, which implies that
the item will definitely be performed within the horizon.
In line with the model proposed by Almgren et al. [17], we use a sequence of
binary variables xui1 , xui2 , . . . , xuiH to model maintenance for unit u and item i,
where xuit = 1 indicates that the maintenance item is performed at occasion t. The
binary variable yut is used to indicate whether any maintenance is performed for
vehicle u at occasion t. The variable Up indicates the maximum spare parts needed
for type p. The fleet-level maintenance planning problem can now be formulated
using a mixed integer programming model as follows.
n
u=1 i=1 t=1
Ci xuit +
minimize
Syut + H
u=1 t=1
cp U p
p=1
A
n
C
m
+
u=1 i=1
Ci
Ti
(1)
txuit
t=HTi
t+Ti
xuij 1
u, i, t where t 1..H Ti
(2)
xuij 1
u, i where Ti Oui H
(3)
u, i, t
(4)
ip xuit Up
p, t 1..H Rp
(5)
Up Ap
(6)
(7)
subject to
j=t
Ti Oui
j=1
yut xuit
n
m t+Rp
u=1 i=1 t =t
ui xuit kt
u=1 i=1
Up 0 real,
xuit , yut binary
u, i, t, p

The constraints in the problem express that maintenance needs to be performed
at least once every Ti occasions (2) and at least once within Ti Oui occasions
initially (3), that any maintenance at occasion t for unit u indicates that setup
costs should be deducted (4), that the number of spare parts needed is greater than
the greatest number in service at any single occasion (5) and has a limit (6), and
that the amount of labor performed at any occasion should not exceed a given
limit (7). The objective (1) of the problem is to minimize costs due to performed
maintenance (A), shunting work (B), spare parts (C), and used life at the horizon
(D). Maintenance costs of Ci is deducted each time activity i is performed, while
shunting work costs S on each occasion where at least one activity is performed
on a train. For each spare part p, a supply of Up units needs to be stored; each spare
part costs cp to maintain for one time unit. Finally, a term is needed to discourage
solutions in which maintenance is executed well in advance of its deadline. We
first assume that neither setup costs nor spare parts costs are deducted after the
scheduling horizon; after all, we do not how setup costs and spare parts cost will
materialize after this time point. We can then use a weighted penalty (D) of the
distance di of the last activity of type i from the horizon, which for each unit u and
item i is Ci /Ti per time unit of used life. The weight , which should be between 0
and 1, reflect the degree of belief that maintenance will continue after the planning
horizon.
To compute di we need to find the latest activity performed before the horizon. A direct approach would be to count the number of uninterrupted zero-valued
binary x variables from the end, but this approach is complicated, and furthermore
affects performance negatively. Under the assumptions above, we can do much
better using a different approach.
In an optimal schedule, the last Ti time units for item i will contain exactly
one occurrence of i. That at least one occurrence will occur is trivial from (2).
Now, assume that there are x 2 occurrences of i in the last Ti time units in an
optimal schedule. The cost contribution of i during the last Ti time units is then
Ci x + di Ci /Ti , where di is the used life at the horizon for the last occurrence of
i, plus some amounts of setup costs (B) and costs due to spare parts usage (C).
Removing the last of the occurrences would decrease direct maintenance costs
(A) with Ci , and at the same time increase penalties (D) with Ci /Ti , where
1 Ti 1 is the distance between the last item and its predecessor. The
maximum of the expression can be simplified to Ci (1 1/T ) which is less than
Ci since 1. Setup costs and spare parts costs are not increased by removing
an activity. Furthermore, constraint (2) would still hold, since there are at least one
more occurrence of i before the one being removed, which is within the last Ti
time units. The other constraints (36) would also hold, since the first activity is
still present (3), the number of maintenance occurrences is not increased (4), the
number of spare parts needed is not increased (5, 6) and the amount of work is not
increased (7).
Therefore, the schedule can be improved, and the assumption that the schedule
is optimal is false. By induction, it is clear that for any optimal schedule, there will
355
be at most one activity of type i in the last Ti time units. This together with (2)
gives us that there is always exactly one activity in the last Ti time units for item i.
We can now compute the distance di for the last item of type i to the horizon
using the expression
H
txuit ,
t=HTi
which uses the fact that exactly one xuit will be one for t {(H Ti ), . . . , H}.
4 Evaluation
In order to evaluate the performance of the model explained in section 3 we optimized multiple problem instances using different objective functions, in effect
simulating different maintenance strategies, by using ILOG CPLEX 11.2 with
AMPL as the modeling language. Computations were carried out on an Intel Xeon
2.83GHz processor, with a 10 minutes CPU time limit for each run.
Maintenance schedules from X11 trains operating in southern Sweden are used
as the basis of our scenarios. There are two main scenarios that determine the initial
condition of the fleet; the "regular" and the CBM scenario. For both scenarios we
decide a random fleet age, and assign an age to each train unit around it, with
a standard deviation of six months, again randomly. For the CBM scenario, we
further randomize each components age in the same fashion, by deviating around
the particular trains age. The scenario was chosen to simulate the typical dynamic
maintenance present when implementing condition based maintenance.
For comparison, we created 50 random samples of both scenarios, and optimized using different objective functions, in effect simulating different maintenance strategies. The block maintenance strategy maintains components as late as
possible, and as the maintenance periods of different components are mostly set as
multiples of each other, maintenance activities gets planned in blocks (hence the
name). This translates to an objective function that includes direct maintenance
costs (A) and the used component lifetime (D) in eqn (1). For the second maintenance strategy, the objective function also includes setup costs; (B) in eqn (1).
Even though most maintenance activities have a period that is multiple of each
other, there exists a few activities that are not, albeit occurring few times in a two
year schedule. Such schedules may benefit from optimization, rather than relying
on maintenance activities being combined perfectly in a block replacement strategy. We name this second maintenance strategy as optimized without considering spare parts. The third maintenance strategy is optimization considering spare
parts, which also includes the total spare part need for the fleet, (C) in eqn (1).
There exists six different major spare parts that are maintained off-line in a separate workshop: two types of bogies, two types of wheelsets, the pantograph and the
engine. Each train has two of each types of bogie and wheelsets, four pantographs,
and four engines. We used half the price of each part as the cost of having an extra
spare part at the maintenance shop for the whole maintenance period. After being
removed from a train, maintenance takes three weeks for bogies and two weeks

for other parts, before it can be safely assumed that the maintained parts can be
used in another train. Apart from spare parts, the maintenance schedule consists
of 91 different maintenance items with widely varying periodicity. Only one item
reoccurs each four weeks, 20 items occur each 8 weeks, another 20 items occur
each 24 weeks, and 29 items occur each 72 weeks. Other items have higher periodicity, some as much as 432 weeks, i.e., more than 8 years. In our evaluation, the
schedule horizon H that we optimize for is two years. We avoid a bias for new
fleets by randomly picking a fleet age for each sample, as described above.
4.1 Results
For all instances in the both scenarios (regular and CBM) we optimized using
the previously mentioned three strategies. Table 1 lists the average results of 50
samples. For both scenarios, we used the cost of block maintenance strategy as the
base and report other values as differences in percentage to that.
Due to the computational limits we imposed (10 minutes CPU time), CPLEX
does not find the exact optimum in all cases. For some runs, CPLEX reports an
optimality gap as high as 10%, but such gaps occur only when the objective function includes the spare part costs, (C) in eqn (1). In essence, a few of the samples
for optimized considering spare parts (last row in table 1) could be further optimized by setting a higher time limit. true only for a few of the cases and included
in the results).
Table 1: Optimization results for both scenarios as the average of 50 samples.
Regular
CBM
average cost difference
average cost difference
Block maintenance
Optimized w/o spares
6776241
6706033
0%
1.04%
7439488
7175749
0%
3.55%
Optimized w spares
5960168
12.04%
5854027
21.31%
In the regular scenario, optimization without considering spare part costs leads
to 1.04% better schedules on average. The difference is higher for the CBM scenario (3.55%) because unevenly-aged components in a single train unit gives more
opportunities for optimization than the default block maintenance strategy.
Optimization where spare part costs are also considered leads to the biggest
gains in both the regular and the CBM scenarios, as expected. The total cost
includes spare part costs, so including it in the objective function naturally leads
to better optimized schedules. But how much better such schedules would be in
practice (i.e., 12.04% and 21.31%) is not so obvious. These values depends heavily on the cost of keeping spare parts available. The cost of having an extra spare
part can be extremely low or as high as (or even higher than) the selling price of
357
the part, if the particular spare part gets old even when not in operation due to
oxidation, safety regulations, technology advancement, etc. In our evaluation, we
used half of the selling price of each type of major spare part, as the actual operational costs were not available. The optimization results are naturally affected by
this estimate, so the quoted percentages for the last optimization strategy (optimized with spares in table 1) should not be seen as exact values. Yet, there is
still an important implication of the resulting numbers. In both regular and CBM
scenarios, when spare parts are also considered in the optimization model, we see
that total costs are significantly improved.

In this paper we described a mixed integer programming model for maintenance
schedule optimization. The number of spare parts that needs to be kept in the maintenance depot is also included in the optimization model, as an example of fleet
level costs. Our evaluation demonstrate that for each type of scenario, having spare
part costs (or any fleet level costs) in the optimization objective reduces the total
costs significantly. This way, instead of reducing only the cost of maintaining a
single train unit and possibly creating higher-level conflicts, we can optimize for
the whole fleet of trains and at the same time satisfy fleet level constraints.
Our model regards preventive maintenance scheduling as a deterministic problem. Although we use maintenance stops due corrective maintenance as an opportunity to schedule preventive maintenance activities, we do not explicitly try to
incorporate the possibility of such stops into the schedule from the beginning. In
the future, we would like to move into this direction by using stochastic scheduling techniques. It is however not trivial to collect the required data on component
failure rates, or make reliable estimates, as such data is often quite sensitive and
can be regarded as a trade secret, or even may not exist. We are currently working on collecting and refining relevant data on some key components, such as the
pantograph and the break pads, which can be used as input to further stochastic
planning efforts.
Acknowledgements
This work was supported by VINNOVA under grant P32551-1. We would like to
thank Ulf Smedbo at EuroMaint Rail AB for providing the maintenance schedules
and data used for the evaluation.
References
[1] Bohlin, M., Forsgren, M., Holst, A., Levin, B., Aronsson, M. & Steinert, R., Reducing vehicle maintenance using condition monitoring and
dynamic planning. Proc. 4th IET Intl. Conf. on Railway Condition Monitoring
(RCM08), 2008.
[2] Barlow, R. & Hunter, L., Optimum Preventive Maintenance Policies. Oper
Res, 8(1), pp. 90100, 1960.

[3] Budai-Balke, G., Dekker, R. & Nicolai, R., A Review of Planning Models
for Maintenance and Production. Technical report, Erasmus University Rotterdam, Econometric Institute, 2006. Econometric Institute Report 2006-44.
[4] Nicolai, R. & Dekker, R., Optimal Maintenance of Multi-Component Systems: a Review. Technical report, Erasmus University Rotterdam, Econometric Institute, 2006. Econometric Institute Report 2006-26.
[5] Dekker, R. & Scarf, P., On the Impact of Optimisation Models in Maintenance Decision Making: the State of the Art. Rel Eng and Syst Safety, 60(9),
pp. 111119, 1998.
[6] Scarf, P.A., On the Application of Mathematical Models in Maintenance. Eur
J Oper Res, 99(3), pp. 493506, 1997.
[7] Cho, D.I. & Parlar, M., A survey of maintenance models for multi-unit systems. Eur J Oper Res, 51(1), pp. 123, 1991.
[8] Wildeman, R.E., Dekker, R. & Smit, A.C.J.M., A Dynamic Policy for Grouping Maintenance Activities. Eur J Oper Res, 99(3), pp. 530551, 1997.
[9] Hani, Y., Amodeo, L., Yalaoui, F. & Chen, H., Simulation based optimization
of a train maintenance facility. J of Intel Manuf, 19(3), pp. 293300, 2008.
[10] Hani, Y., Chehade, H., Amodeo, L. & Yalaoui, F., Simulation based optimization of a train maintenance facility model using genetic algorithms. 2006
Intl. Conf. Service Systems and Service Management, volume 1, pp. 513518,
2006.
[11] Cordeau, J., Toth, P. & Vigo, D., A Survey of Optimization Models for Train
Routing and Scheduling. Transp Sci, 32(4), pp. 380404, 1998.
[12] Levin, B., Holst, A., Bohlin, M., Steinert, R. & Aronsson, M., Dynamic maintenance. Proc. 21st Intl. Congress and Exhibition on Condition Monitoring
and Diagnostic Engineering Management, 2008.
[13] Erlebach, T., Gantenbein, M., Hrlimann, D., Neyer, G., Pagourtzis, A.,
Penna, P., Schlude, K., Steinhfel, K., Taylor, D.S. & Widmayer, P., On the
Complexity of Train Assignment Problems. Proc. 12th Intl. Symposium on
Algorithms and Computation, Springer-Verlag: London, UK, pp. 390402,
2001.
[14] Anderegg, L., Eidenbenz, S., Gantenbein, M., Stamm, C., Taylor, D.S.,
Weber, B. & Widmayer, P., Train Routing Algorithms: Concepts, Design
Choices, and Practical. Proceedings of the 5th Workshop on Algorithm Engineering and Experiments, Society for Industrial and Applied Mathematics,
pp. 106118, 2003.
[15] Marti, G. & Kroon, L., Maintenance Routing for Train Units: The Transition
Model. Transp Sci, 39(4), pp. 518525, 2005.
[16] Marti, G. & Kroon, L., Maintenance Routing for Train Units: The Interchange Model. Comput Oper Res, 34(4), pp. 11211140, 2007.
[17] Almgren, T., Andrasson, N., Patriksson, M., Strmberg, A.B. & Wojciechowski, A., The replacement problem: A polyhedral and complexity
analysis. Technical Report Preprint 2009:4, Chalmers University, Gteborg,
2009.
359
SAT.engine: automated planning and

validation tools for modern
train control systems
B. Wenzel1, J. Schuette1 & S. Jurtz2
1
Dresden University of Technology,

Chair of Transportation Systems Engineering, Germany
2
Ingenieurgesellschaft fr Schienenverkehrstechnik mbH, Germany
Abstract
During the worldwide introduction of modern train control system projects, such
as the ETCS (European Train Control System), it turned out that the actual
engineering processes cannot fulfil the increasing requirements of the new
technology. In comparison to conventional train control systems, the amount, as
well as the required quality, of planning data is substantially higher. Hence, the
effort in all life cycle phases increases significantly. Due to the lack of tools, too
many tasks are done in a manual way, which is inherently inefficient and errorprone. Therefore, the Chair of Transportation Systems Engineering at Dresden
University of Technology launched the development of the SAT.engine toolbox
in cooperation with ISV mbH Berlin eight years ago. SAT.engine stands for
satellite engineering and provides an efficient method for a satellite based
track survey and further processing tools, e.g. for capturing relevant track
elements, generating topological plans, producing video simulations for training
purposes or the verification and validation tasks of planning data. Besides the
SAT.engine, engineering tools and experience, especially the recently developed
tools for the automatic validation and verification of trackside data (e.g. ETCS
telegrams), will be presented.
Keywords: ERTMS, ETCS, verification, validation, planning, tool, satellite, track
database, measurement, SAT.engine.
doi:10.2495/CR100341
1 Introduction
In order to ensure an acceptable level of risk and high operational quality with
complex train control systems, such as the ETCS, an updated and accurate
database is essential. Wrongly determined or imprecise distance measures may
remain undiscovered for longer times during the processes of planning,
realization, approvals and operations which may lead to:
substantial time and cost efforts in error search

occasional disturbances during operations
operational degradation or interruptions
in worst cases potential hazardous situations
In many projects, a missing database, which is relied upon for planning and
engineering, represents a problem.
Another challenge is the vast amount of track data, which has to be planned,
implemented and approved correctly. Without the support of tools, there is no
way to check the produced track data and complex telegrams in an efficient way.
Additionally, missing interfaces and decentralized data management often leads
to inconsistencies and loss of data.
Due to the lack of tools and insufficient data quality (cf. figure 1), the actual
engineering methods cannot fulfil the increased requirements of complex train
control systems like ETCS.
Data Quality: ETCS
ETCS requires:
Prevailing Situation:
Increasing accuracy
Increasing complexity
Limited accuracy
Lack of Data
Quality
Increasing amount of
Measure imprecision
Data inconsistency
data
Lack of interfaces
Integration of several
kinds of data
Data Quality: Today
Figure 1:
Lack of data quality for ETCS projects.
361
2 Challenges of modern train control systems

2.1 Increased requirements for the ETCS
The ETCS is planned and engineered often into an existing or to be constructed
track topology with signalling equipments. The ETCS wayside equipments of all
ETCS levels themselves consists of the Individual (Single) Balises
(Transponders) or groups of Balises and in some Level 1 cases additionally of
Euroloops (Inductive Loops).
Previously, signalling engineering had often been performed on the base of
position signs along the kilometre line of the track and in some cases according
to distances with respect to particular positions, e.g. danger points. The ETCS,
however, needs new, qualitatively higher requirements for the wayside
engineering process than could be satisfied by the conventional process.
In the ETCS, the positions and distances refer to the distance that a train
actually drives along the track (i.e. with reference to the track centreline) and not
the kilometre line. The ETCS onboard units utilize a variety of derived data also
for safety relevant functions for which the accuracy of the distances in the plans
and in the realization are crucial.
2.2 Indication of signal equipment positions in signalling plans
The unambiguous position of ETCS elements is often given by reference to the
railway line, its kilometre line and the track. In the case of balise groups, this
position relates to a reference point. Track and signalling plans visualize the
equipment positions. In such a plan, a balise group is indicated by its identifier
and the position with respect to the kilometre reference along the line with a
precision of approximately one meter. This value is normally sufficient for
identification of the position, but not so for the calculation of the distances along
the track centreline.
2.3 Existing databases
Errors in the positions and distances of signalling elements are a known
phenomenon in existing conventional implementations. A multitude of reasons
may account for these deviations, some examples of which may be
Systematic errors as consequences of non-continuities in the kilometre
line (Milestone-Incongruence); a position of an element corresponds to
the local kilometre line without having taken into account a milestone
incongruence (also known as mileage change).
Plans have not been updated after trackworks
Imprecise of modified measurements during equipment installation.
Figure 2 shows an example of the deviation of a signal position (with
reference to the track centreline) and the related value in the signal plan (with
reference to the kilometre line). The systematic deviations may be easily
recognized.
Deviation of planned value and trajectory

on track centerline for signal locations [m]

15
10
5
0
-5
-10
-15
?
-20
Areas with additional systematic errors,

assumed to be caused by chainage
discontinuities, are color-marked
-25
-30
-35
10
15
20
25
30
35
40
45
Distance on track centerline from point of reference [km]
Figure 2:
Typical deviations of signal positions.
The visible (random) deviations result from deviating plan values with respect
to the kilometre line (objective errors) as well as the differences in lengths
originating from the different reference systems (kilometre line next to the track
and track centreline in the middle of the track), which represents an additional
error in an ETCS project. An ETCS project using these plan values runs
significant risks.
2.4 Determination of distances between signalling elements
Usually the kilometre line of a two track railway line is situated between the two
tracks and, in case of a single track line, in the middle of the track. Nonetheless,
there are local deviations from this rule: two track railway lines with numerous
curves would yield for an identical position of a balise group different distance
lengths in parallel tracks. This effect clearly shows that positions on the base of
kilometre lines are not adequate for the calculation of lengths.
In case of existing signalling elements are stored already in a Geographical
Information System (GIS) than the required distances may be determined with
high precision. The ETCS elements, however, will in general be subject to new
engineering and implementation projects and are therefore normally not captured
in a GIS system since they do not yet physically exist. The real exact position
needs to be determined after installation by a new detailed measurement in order
to obtain GIS entries, which translates into additional efforts. Furthermore, the
project owners do in many cases not have up to date GIS data available for the
existing equipments of a particular section or the entire line.
Also during installation of the balises uncertainties may occur, for example a
wrong position of a group of balises due to installation measurement errors. The
often used measurement wheel yields position accuracies of about 1% when
carefully used. The precision will suffer, however, when starting and target point
of such measurements have been determined imprecisely themselves, if
363
measurement needs to be interrupted or if the rail had not been alternated

correctly in curves.
An ETCS project must, however, be based on verified data and installations.
For relevant signalling elements in the track, the references to the respective
track centreline and amongst themselves need to be known. Furthermore, the
distances along the track centreline must be measured correctly. The traditional
method for this is a terrestrial precision measurement which provides very
precise data that can be stored into a GIS. The basic disadvantage for these full
terrestrial measurements and the often required supplementary measurements
during realization is the high effort that needs to be invested, in particular for
long lines and also possible traffic interruptions.
As an alternative to full terrestrial measurements the SAT.engine tool had
been developed.
3 SAT.engine
3.1 The measurement process
SAT.engine consists of a position acquisition system, a synchronized video
stream recording system and an offline SW-engineering environment for further
data processing. The system had been jointly developed by the Dresden
University of Technology and the ISV mbH.
SAT.engine uses the DGPS (GPS with differential correction) complemented
by an Inertial Navigation System. The support positions delivered by DGPS are
optimized by the inertial momentum measurement system (accelerations in six
directions); also, short discontinuities in the DGPS correction are interpolated by
the dynamic measurements without problems. The process yields distance
measurements that satisfy the ETCS requirements.
The utilized correction services depend on the geographical situation of the
line, the topological conditions and the service availability; typically the system
uses services such as OmniSTAR HP/VBS, WAAS/EGNOS or Ascos with
correction data transmission over GSM-R or GSM.
In tunnels of up to 450m in length, the measurement configuration supplies
accurate data; beyond this length additional sensors are required (e.g. odometry).
3.2 Onboard measurement setup
Every rail vehicle with a front end cabin (and window) is well suited for a
measurement setup. The configuration consists of a few units only: Video
cameras are fixed at the screen for extended purposes also at side windows
and loosely cabled; the GPS-antenna needs rapid fixing on top of the vehicle.
The compact inertial sensor device requires physical coupling to any solid
vehicle part and a laptop computer with the SAT.engine online measurement
software coordinates the devices.
Preparation times including calibrations for a measurement does not exceed a
couple of hours (e.g. two to four) and dismantling is quick. Measurement travel

speeds are in the range of 30km/h to 100km/h, which provides for effective
measurements of also larger distances.
The 315 line kilometres of the BB-Westbahn as an example (Danube
Corridor Vienna-Salzburg) had been measured in both directions within two
days. Serving for the intended ETCS Level 1 equipment, the positions and
distances of and between Pre- and Main Signals had been measured, Marshalling
Sign Positions, Switch Tongues, Tunnel Entries as well as platform extremity
positions and other data, all with respect to the respective track centreline.
3.3 Data processing and measurement accuracy
The measured raw data are further processed by means of particular software
tools. The obtained Element Data are visualized and ordered in a Graph Model
with vertices and edges. Each edge and every element situated on an edge is
identified by an unambiguous data structure; contents and representation of the
structures are defined per project. Data are prepared as Element Lists and are
stored in a database and/or used with other project engineering tools; also an
import/export to CAD tools can be activated.
The recorded video data supplies information on the local surroundings in the
course of further engineering and realisation.
Figure 3 shows as an example as snapshot of an Element List. Start and
Terminal Nodes of an Edge are constituted by switch tongues (Pxx) of switches
(WZ).
StationCode
Nr.
Track /
line
23
23
23
23
23
23
23
23
23
23
23
23
23
23
23
1
2
3
4
5
6
7
8
9
10
11
12
13
14
15
L1
L1
1
1
1
1
1
1
1
1
1
1
1
1
1
Edge-ID
23-K1_1
23-K1_1
23-K1_1
23-K1_1
23-K1_1
23-K2_1
23-K2_1
23-K3_1
23-K3_1
23-K3_1
23-K3_1
23-K3_1
23-K3_1
23-K4_1
23-K4_1
Element-ID
Distance to
start of edge
[m]
23-00054IV_1
23-00297OR_1
23-00055HS_1
23-U1_1
23-WZP03_1
23-WZP03_1
23-WZP05_1
23-WZP05_1
23-D3_1
23-00057HS_1
23-00059HS_1
23-U3_1
23-WZP06_1
23-WZP06_1
23-WZP04_1
0,0
1048,8
2046,1
2053,0
2365,0
0,0
20,6
0,0
96,5
103,6
1432,7
1440,1
1539,2
0,0
20,5
Delivered for Information only

GPS Coordinates in WGS 84
UTM-Coordinates in WGS 84
Zone 39R
Longitude []
Latitude []
East value E [m] North value N [m]
4932'08.296"
4931'56.706"
4931'53.217"
4931'53.208"
4931'52.805"
4931'52.805"
4931'52.778"
4931'52.778"
4931'52.656"
4931'52.647"
4931'52.520"
4931'52.566"
4931'53.180"
4931'53.180"
4931'53.311"
2543'19.445"
2542'47.086"
2542'14.901"
2542'14.677"
2542'04.545"
2542'04.545"
2542'03.875"
2542'03.875"
2542'00.741"
2542'00.510"
2541'17.402"
2541'17.166"
2541'13.993"
2541'13.993"
2541'13.337"
353096,9
352762,8
352654,6
352654,3
352639,6
352639,6
352638,6
352638,6
352634,1
352633,8
352615,5
352616,7
352632,8
352632,8
352636,2
2845720,1
2844728,1
2843738,9
2843732,0
2843420,4
2843420,4
2843399,8
2843399,8
2843303,4
2843296,3
2841970,0
2841962,8
2841865,0
2841865,0
2841844,7
= Start of edge (node)

= End of edge (node)
Figure 3:
Extract from an element list (four successive edges).
Figure 4:
SAT.engine TV certificate.
365
SAT.engine does not suffer of accumulating errors, all measurement points

are situated on the WGS 84 ellipsoid with approximately the same errors. Route
lengths differences between any elements on any map are provided with
comparable uncertainties, independent of the length itself. All distances are
supplied with a tolerance of 1m. This value is based on the experiences of
several commercial projects and has been approved by an independent
organisation (see TV certificate, figure 4). Queries over several plans/maps are
possible and will be supported by particular software modules.
The raw position stamped video data is transformed by a special SW tool
(SAT.engine.Viewer) to facilitate further planning works. The Viewer software
permits the project engineer to easily find and scrutinize particular images of the
track at any registered position. The image may then be used for further analysis,
e.g. geometrical software modules support the determination of precise position
of elements within the viewed image relative to the recorded coordinates of the
image itself. The video stream itself may also be driven (as play back) by the
project engineer in real time or any other speed. In addition, the graph model
may be used to invoke images associated with an edge of the model by activating
the same in the tool (Figure 5 Example of the BB Westbahn representation in
the SAT.engine.Viewer).
3.4 Constraints and approximations
In some cases, the accurate positions of some detailed elements may not be
properly determined within the video image and require additional terrestrial
precision measurements. Two cases had been experienced:
Figure 5:
Screenshot of the SAT.engine-viewer.
Figure 6:
Reflective position marker and detector.
1. Signals in tunnels, at side walls, signal bridges or mounted at mounting

extension beams require sometimes additional video photographs in order
to accurately determine the positions within/relative to the video image.
While recording additional images turns out easy in most events,
sometimes an additional terrestrial precision measurement becomes
inevitable. The latter can be avoided by previously installed position
marks, which are automatically detected during the measurement trip (by
reflection, see position marker at figure 6).
2. Measurement in take over or passing tracks requires their accessibility.
Should the side tracks not be accessible at measurement times due to civil
works or operational reasons, then additional terrestrial precision
measurements becomes sometimes more appropriate. The individual
measurements are correlated to the SAT.engine measurements at switch
tongues that serve as connection vertex.
Track transitions do normally not require additional measurements since
synchronization points are normally available in the video stream. Switch
tongues as measurement points facilitate the evaluation and latter detailed
determination of installation points of the balises with SAT.engine.
3.5 Use of SAT.engine in the realisation process
Once the database for an ETCS project had been established and stored, the tool
may further also be utilized efficiently during the engineering and
implementation phases of the project. Since the application possibilities depend
to large extent on the specific project, the subsequent possibilities shall be
understood as examples.
Application during pre-planning and design engineering, e.g. verification
of third databases, determination of distances to existing track elements
etc.)
Application during implementation planning and engineering, e.g.
determination of any combination of elements, implementation of an
ETCS database, etc.)
367
Application during approval, e.g. verification of distances and other

attributes of installed elements, validation of distances between balise
groups (see 4. SAT.engine Validation).
3.5.1 SAT.engine in the pre-planning and design engineering
Here, the recording and processing of ETCS relevant infrastructures with respect
to distances between elements is normally of interest. Examples of elements of
interest in this context may be:
Signals locations
Start of switches or switch tongues respectively, shunting limit signs (if
relevant)
Geographical start and end of platforms
Tunnel entries/exits
Relevant danger points if identified and indicated
Installation positions of route stops.
In general, the to be recorded element list will be prepared by examination of
existing track plans or schematic plans, since the early identification of the
elements that shall be recorded and have to be expected will facilitate the
measurement process. The preparation work leads also to a clear understanding
of what must be recorded and evaluated.
In some projects, also the track topology may be recorded for further use in
the creation of a signalling track plan itself with SAT.engine (see also 3.5.2).
Verified plans of existing equipments, element lists with the track elements
and a track video stream optionally evaluated by SAT.engine.viewer are the
results of this phase.
3.5.2 SAT.engine during implementation planning and engineering
The limits of the phases design engineering and implementation
planning/engineering are not commonly and uniquely defined and shall therefore
be agreed per country and project.
Based on the previous pre-planning and design engineering, the
implementation planning and engineering produces often more detailed plans
and models of the ETCS-track elements and their functional cooperation (e.g.
balises or balise groups). In general, this means that the element lists will be
complemented by the ETCS track elements with increasing levels of detail and
information. Experience shows, that during this process it turns out to be
beneficial and practical to identify, view, mark and measure the planned location
of a new element (e.g. balise) in the track, either completely within SAT.engine
or within SAT.engine and in the field. The concurrent and iterative use of
SAT.engine for verification and identification of actual (real) locations and the
ETCS engineering process yields finally complete and reliable element lists,
verified physical feasibility or the later installation and a full graph model (with
nodes, edges) of all required distances.
4 SAT.engine validation
Once the installation locations had been identified and measured previously with
the tool, the physical installation does not reveal any problems. The question of
whether the balises are already programmed or not before installation depends on
the signalling company.
After installation of the balises (or, respectively, the Euroloop) a repeated
SAT.engine measurement trip for verification represents a very efficient
instrument. If the vehicle, used for measurement, is already equipped with the
balise antenna (the Balise Transmission Module BTM with an accessible
interface), then the SAT.engine verification measurement does not only verify
positions and distances to be coherent and consistent with the plans, but may also
record the telegram data and check balise identities, orientation and sequence of
the balises. The additional features of SAT.engine can be used in particular to
facilitate the officially required approval and validation works of the ETCS track
equipment.
SAT.engine validation allows the import of several kinds of databases:
Topology model and element lists of SAT.engine or external
measurements
Recorded telegram data of SAT.engine measurements
Recorded telegram data of the ETCS Juridical Recording Unit (JRU)
Route and telegram database of the Radio Block Center (RBC)
Telegram data files of balises (from Lineside Electronic Units or balise
groups)
Tables/documents of previous planning/engineering phases
During the offline process all available data are imported into the SAT.engine
database, which not only stores the collected data but also contains common and
project specific engineering rules. In order to support the verification tasks the
rules may refer to the imported planning/engineering data. The user selects the
rules that apply for the project and all the included telegram data are checked
against the defined rules.
Furthermore, it is possible for the user to define individual rules without
additional programming effort. Once the checks are finished, the results are
stored inside the database as well. The implemented history allows full
traceability of all checks done during the approval process and even manages
several versions of data or rules. Additionally, SAT.engine validation
automatically detects inconsistencies between the topology models of
SAT.engine, balise data and RBC database. Thus, for example, linking errors of
the installed balise groups with respect to sequence or distances are revealed.
The automatic generation of (reduced) track topologic plans on the base of
telegram data supports the validation tasks. All tasks may be performed
independently of the ETCS Level.
369
5 Further applications of SAT.engine

5.1 Gradient profiles
SAT.engine determines also altitudes of the positions during measurement. The
gradient profiles of the tracks may be determined accordingly by evaluating
altitude differences between the measurement points. The achieved precision of
1 is sufficient for many ETCS projects since anyway only a very small
fraction of the measurement values is conservatively utilized.
Figure 7 shows a graphical example of the resulting gradients in a realized
project with data in a 25 m grid. The smaller fluctuations of the measured values
may be easily interpolated. As an artefact of the measurement tool, the
fluctuation effects are larger at constant gradients compared to changing
gradients.
5.2 Track topology and track topography
It shall be noted, that in general properly scaled and complete track plans do not
always exist when starting an ETCS project, and if they exist, then they may not
be useable for the signalling planning or its quality turns out inadequate.
In these cases, SAT.engine allows to generate also a signalling track plan by
travelling over the track, evaluating the data and exporting these into a CAD
program. In addition, this application had been already successfully performed in
an actual ETCS-realization project.
6,0
Gradient determined []
4,0
2,0
0,0
-2,0
-4,0
-6,0
-8,0
-10,0
78
79
80
81
82
83
84
Distance travelled from point of reference [km]
Figure 7:
Example for a gradient distribution determined using SAT.engine

(extract).

5.3 Track simulation with SAT.engine
In practice, train captain training must often be started while some track sections
are still being worked on or still finalized. If at least one track may be recorded
previously with SAT.engine then the track video stream can be used as training
simulator including new and (virtually) switched signals. Realistic training
including variations of speeds and speed profiles, track transitions/routes and
signal aspects can be offered by the tool at an early stage.
5.4 Finding back marked installation locations
In practice, some installation reference positions of balise groups are indicated
by optical marks in the field. Between a measurement/marking and the final
installation may, however, pass longer time periods and it has been observed,
that some colour marks may not be recognized anymore reliably due to
environmental conditions (snow, sand etc.). This turns out particularly
problematic if the position is located on a longer track section without any
correlation to other local facilities. Since the element lists contain also the
geographical positions of the elements, these locations may then be easily be
found back locally by GPS personal measurement devices once the process had
been accompanied by SAT.engine.
6 Conclusion
SAT.engine turns out as a powerful tool for the support of ETCS projects already
in its current version. Full performance had been proven in many realization
projects. Additionally the automated verification and validation tools seems to be
Currently the scope of SAT.engine is extended with the objective of providing a
complete seamless and consistent data handing during a complete ETCS project,
from the first preparation works until final realization, validation and approval.
Furthermore the extension of automated and validation tools will be subject to
further research activities. The functionality and practicability of the developed
tools will be evaluated during exhaustive tests and realization projects.
References
[1] Schtte, J., Jurtz, S., Manschewski, H.-W., SAT.engine an innovative
platform to support ETCS-projects. Signal und Draht, 03, pp. 29-36, 2008.
[2] Wenzel, B., Schtte, J., GPS based survey of railway tracks. Proceedings
UIC GALILEO Symposium: Paris, 2007.
[3] ERA, Technical specification for interoperability relating to the controlcommand and signalling subsystem of the trans-European high speed rail
system and modifying Annex A to Decision 2006/679/EC (2006/860/EC).
[4] ERA, Technical specification for interoperability relating to the controlcommand and signalling subsystem of the trans-European conventional rail
system (2006/679/EC).
371
Case studies in planning crew members

J. P. Martins & E. Morgado
SISCOG, Sistemas Cognitivos SA, Portugal
Abstract
CREWS is a software product for planning and managing the work of rail-staff,
which provides solutions to one of the core problems that railway companies face
today effective management of resources.
This paper reports some results of a long-term development work in the
application of both Artificial Intelligence and Operations Research techniques to
the planning and managing of staff (drivers, guards, and station personnel). The
paper presents case studies emerging from the application of CREWS, both to
railway and to subway companies. CREWS has grown to be a strong and mature
product that provides decision-support in the task of planning the daily work of
more than 20,000 staff members across Europe. CREWS-based systems are in
routine use in the Dutch Railways, the Norwegian State Railways, the Finnish
Railways, the Danish State Railways, the Suburban trains of Copenhagen, and the
London Underground.
Keywords: crew scheduling, crew planning.
Railways are going through a golden expansion period. The pressure for
environmentally friendly transportation associated with the growing needs for
mass transport and the possibility of competing with airlines in medium-range
routes are generating a rail expansion that had not been seen for almost a
century. On the other hand, productivity concerns are leading railway companies
to introduce new management styles to improve the results of the business. In
particular, new tools are being searched to improve the use of resources. A railway
company needs to manage three main types of resources: track, rolling stock, and
crew. In this paper, we just address the management of crew.
doi:10.2495/CR100351

The planning and management of crew members is constrained by the timetable,
the rolling stock roster, the labor rules, the number of available workers and their
skills, and a large number of other operational constraints. From a global point of
view, this problem is addressed in a sequence of phases:
1. Long-term planning. Produces a plan of the work without taking into
account the names of workers (but rather the available skills) nor the dates
where the work is being planned (but its frequency). Long-term planning
deals with the regularity involved in the operation. It is done in two
sequential steps:
(a) Duty planning arranges tasks into duties (sequences of tasks to be
done by one person in one day). Constraints in this phase include the
maximum duration of a duty, space continuity between tasks, transfer
times between tasks with different equipment, places and times for
meal breaks, compatibility of route and equipment skills.
(b) Roster planning arranges the duties produced in (a) in sequences of
duties, rest time, and days off. Constraints in this phase include the
maximum week working time, rest time between duties, weekly days
off, and available skills.
2. Staff allocation. Associates crew members to the weeks of the rosters
produced in 1 (b), giving rise to an allocated roster. The instantiation of
the allocated roster for a certain period of days produces a daily plan, a plan
for the work of each staff member for each individual calendar day in the
period.
3. Short-term planning. Deals with predicted irregularity. It amends the daily
plan for certain calendar days, either because some of the tasks have changed
(e.g., a change in the timetable due to track work) or because a person is
not available to work. Short-term planning works with particular days and
with particular persons. The constraints handled in this phase include all
the constraints in Phases 1 and 2, plus constraints associated with particular
persons, such as maximum working hours per year and holidays.
4. Dispatching. Dispatching is performed on the day of operation. It is similar
to short-term planning, but works in real-time. The changes introduced at
this level may be due to delays, breakdowns, or unexpected absences of
crew.
5. Control. Control is done after the work has been completed. It checks the
work that was performed, comparing it with the work that was planned in
Phases 2 and 3, updates personnel records, and feeds the payroll system.
2 Approach
When CREWS started being developed, in the second half of the 1980s, rail-staff
planning had been approached by Operational Research (OR) techniques [2], but
the results obtained with automatic optimization algorithms, based on a blackbox approach, have proven to be unsatisfactory, mainly because when faced with
373
a full size problem, these solutions tend to need computational resources that far
exceed what is available.
Since human planners could build acceptable plans where algorithmic solutions
failed, SISCOG took the challenge of using Artificial Intelligence (AI) techniques
to approach this problem. One of our initial goals was to produce a white-box
system, in the sense that the planner could perceive what was going on, could
interact with the system, proposing alternatives or querying decisions, and could
adapt the behavior of the system to changing circumstances. The resulting system
should play the role of a digital colleague interacting with planners to build plans
in a co-operative way. This approach was much influenced by the early Expert
Systems [5]. Furthermore, SISCOG took the additional challenge of building a
product that contains the basic knowledge for crew planning, remains constant
across companies, and only needs to be extended with the particularities of each
one (domain, labor rules, planning strategies, and objectives).
CREWS uses an architecture that is based on a central server linked to a database
and to modules that can either be located centrally or locally in the depots, together
with internet access. The modules of CREWS (shown in Figure 1) follow very
closely the phases presented in Section 1: there are two modules for the long-term
planning phase, the Duty Scheduler and the Roster Scheduler; one module for the
allocation phase, the Staff Allocator; one module for the short-term planning phase,
the Short-term Scheduler, that is complemented by communication functions that
allow staff to consult their plans via internet and to introduce requests regarding
changes in work; one module for the dispatching phase, the Real-time Dispatcher;
and two modules for the control phase, the Work Recorder and the Web-based Work
recorder (enabling the workers to introduce requests for the correction of the work
that has been done).
Figure 1: Modules of CREWS.


Another module, the Data Manager, acts as the interface with corporate information systems and supports the preparation of input data, handles change in data,
enables simulation of hypothetical data situations, and maintains the consistency
and completeness of data (both before and during the planning process).
The white-box approach used by CREWS, provides mechanisms for supporting manual, semi-automatic and automatic modes of operation in an integrated
way. Each operation mode offers a different level of user-support:
1. In manual mode, the user operates the system, using drag-and-drop, as if
he/she was using pen and paper. The information is displayed in a screen
that contains two windows, the top window shows the work that has yet to be
planned and the bottom window shows the plans that have been constructed
(Figure 2 illustrates this concept with a screen from the Duty Scheduler).
Whenever an operation is performed, the system verifies all constraints
imposed upon the plan and tells the user the constraints that are violated by
the operation. If the user chooses to violate a constraint, the plan is shown
with a violation indication;
2. In semi-automatic mode, the system gives hints about how to construct the
plan, by computing a set of alternatives following an optimizing strategy.
The role of the user is to select the proposal that he/she thinks is best;
Figure 2: Duty Scheduler screen.

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3. In automatic mode, the system generates the plan by itself, resorting to an

optimizer. CREWSs optimizer uses a combination of Artificial Intelligence
and Operational Research techniques;
4. In mixed mode, the user constructs the plan by resorting to an arbitrary
combination of the other modes of operation. It provides a full cooperation
between the user and the system, showing what is going on, providing explanations about the decisions taken by the system, enabling the interaction of
the user on the work being done, and taking the bulk of work from the user,
when he selects to do so.
All modes of operation use the same set of labor rules, which are defined
independently from the system and could be changed by the customer to adapt
the system to a new reality. The labor rules are validated during the construction of
the plans. In order to comply with these rules, the system was capable of creating
new tasks to be combined with the tasks to be planned, such as positioning trips,
meal breaks, sign-on and sign-off tasks.
3 Case studies
3.1 Dutch railways (NS)
NS (Nederlandse Spoorwegen) is the main passenger railway operator in The
Netherlands. Every day, over a million persons travel by train in The Netherlands
over the busiest railway transportation network in the world. NS operates 4,700
trains per day on a network with 1,500 miles, with a rail staff of 5,200 (2,500
drivers and 2,700 guards).
The development of a CREWS-based system started in 1993. Its scope was
limited to planning long-term duties [4]. Although duties are distributed over 29
depots, planning is done centrally. The project development work was quite long,
spanning from 1993 to 1997, due to the fact that (1) CREWS was not mature and
(2) to changes in the systems initial architecture.
The system started live production in 1998. In the version originally deployed,
only the manual mode was being used because the solutions provided by the
optimizer were not satisfactory. Even with just the manual mode, NS started to
obtain benefits from the system: all the tedious work of checking which trains
were covered was handled by the system; all the labor rules were in the system and
were automatically checked whenever duties were constructed or when there was
a change in the timetable; furthermore, since all labor rules were in the system,
detailed knowledge of these rules was not required of planners. Differences in
rules and regulations for drivers and guards started to be seen as insignificant. As a
consequence, planners could perform planning for both personnel groups and the
planning units could be integrated. The initial use of the system originated 10%
decrease in the number of planners.
Although the system was appreciated by planners and the management of NS
appreciated the flexibility in the change of labor rules, the optimizer remained as

a problem because of its very local view of the planning process, producing suboptimal solutions. NS started to look for an external optimizer that could be linked
into the system, ending up with TURNI [1] that was used for a few years.
In the early 2000s, SISCOG launched a new optimizer based on OR. Upon the
presentation of the results that were being achieved by the optimizer, NS decided to
set up 10 scenarios and to benchmark the results achieved by the CREWS-based
optimizer and TURNI. In 8 of the scenarios CREWS-based optimizer produced
gains between 0.5% and 1.5%; 2 scenarios were solved by the CREWS-based
optimizer and not by TURNI. As a result, NS switched back to a full fledged
system based on CREWS.
In 2008, NS and SISCOG joined forces on a research project for a further
improved version of the optimizer. The goal of the new version was to be
able to run the entire planning problem for NS in one single run. This means
simultaneously generating duties for all depots in the country, about 1,100 duties
for a single day, resulting in a much larger planning instance than can be typically
found in the OR literature. At the end of this project, not only the system was able
to perform the duty generation for the entire country, but also achieved gains of
3% over what was used.
In 2009, a benchmark was performed using 1999 data and rules to measure the
overall improvement that the several versions of the optimizers had introduced.
The results of the tests have shown that the new optimizer gives about 6% efficiency improvement with respect to the manually created plan. In the mean time,
the several changes to rules and constraints that have been introduced (and were
not considered in the benchmark) give additional efficiency. It is also important
to say that the generation of duties subject to the new rules and constraints would
have been impossible without the use of an IT optimizer. The number of planners
was reduced by 60% from the initial count in 1999.
3.2 Norwegian state railways (NSB)
Norges Statsbaner, commonly known as NSB, is the largest passenger railway
company in Norway. NSB operates 1,300 trains per day during the week and 770 in
weekends, over a network with 2,540 miles, with a staff of 1,800 (1,000 drivers and
800 guards). Staff is divided into 41 depots for drivers and 38 depots for guards,
spread over the country.
The project for the development of a CREWS-based system, named TPO,
started in 1998. The goal of the system was to have an integrated environment for
producing duties, rosters, staff allocation, short-term changes, and recording and
reporting [3]. NSB produced a detailed set of requirements based on the analysis
of working methods. The job was well done, but as the project progressed, NSB
realized that it was impossible to completely specify the application in advance.
The development was done in several phases, each one addressing one of the
modules of the system.
One of the big difficulties of this project were the labor rules. NSB has a very
large number of quite complex labor rules. Rules had different interpretations for
377
planners across the country, almost each depot in charge of rostering and shortterm planning had a unique interpretation for several of them. One of the jobs in
the project was the clarification and the agreement on the meaning of the labor
rules and their introduction on the system.
Many changes took place in NSB during the period the system was being
implemented. Production was subdivided into business areas for guards. Freight
was split from production and is now handled by a separate company. Numerous
organizational changes affected the way tasks are subdivided among planners. For
these reasons, it was not possible to create a basis for comparative analysis. The
results of the use of the system show that NSB has more effective production of
plans. Planners use less time to produce a complete plan with ready printouts and
all calculations of statistics. Management has been able to check consequences of
new rules while negotiations with the unions were taking place. This had never
been done before. Gained time is primarily used to make better plans and to
create more alternatives for the next and later timetable periods. This also had
never been done before. More reliable and complete statistics have contributed to
improvement of cost control and pricing of services. Hidden costs became visible
and the use of TPO has contributed to a reorganization of the planning process and
a clarification of many issues.
TPO was deployed in several stages. Conductors started long-term production in
2000; drivers, who have a much complicated set of labor rules, had the long-term
planning fully deployed in 2003; short-term planning, together with recording and
reporting, was progressively placed in production from 2003 to 2006. Taking a
new system into production is a long-term investment and the key to successful
implementation is commitment from management. The users do not experience
advantages from day one. There is a threshold to overcome before the advantages
become apparent. Endurance is required in the start up phase.
Since the end of the project, the TPO system has been extended with new
modules of CREWS, the Real-time Dispatcher, Communication Functions, and
the Web-based Work recorder.
3.3 Finnish railways (VR)
VR (VR-Yhtyma Oy) is a state-owned railway in Finland. Since the density of
population in most parts of Finland is low, the majority of railway traffic is
composed of long-distance trains. Commuter services are rare outside Helsinki
area, but there are express train connections between most of the cities. VR
provides both passenger and freight traffic, running more than 1,000 trains a day,
over a rail network with 5,250 miles, with a staff of 2,800 (2,000 drivers and 800
guards).
The project for the development of a CREWS-based system, named VIP (VRs
Integrated Planner) started in 2001. The goal was to develop a long- and shortterm planning system for the drivers of both freight and passenger trains. The
start of the project was not easy. On the one hand, VR had already tried the
development of a similar system with another supplier and the development went

wrong, this generated suspicions towards a new supplier that was located in a
country considered to be in a lower IT-development state than Finland. On the
other hand, VIP was the first system that was developed by SISCOG based on a
long and very precise list of technical and delivery-time requirements, involving
quite a large team from the customer side. Any delay of a delivery or of an
acceptance phase was considered by VR as a big problem. VR placed quite a
stress on project management based on monthly reports. SISCOG had to learn
how to deal with these aspects.
The planning problem itself was not easy. Although VR did not had the
complexity of the labor rules existing in Norway, the possibility of combining
passenger and freight trains in a single duty, together with the existence of several
different types of duties and a large number of rules for transfer times, introduced
quite a complexity in the problem. VRs rostering process, based on 3-week
rosters, was quite different from what was used in other railways. On the other
hand, an endless number of rules for defining the compensations to be paid to
workers further hindered the problem.
A major project milestone was the formal definition of all duty types and their
relationship with the different applicable rules. This was a job that VR never
thought to be possible. Although the VIP system was developed with a large
team from VRs side, expert planners had a limited time to devote to the project
and were called upon their planning job whenever necessary. This fact introduced
much longer acceptance periods for the software deliveries than was foreseen. The
system was placed into production in two phases, the long-term component went
into production in 2003 and the short-term component was deployed in 2004.
In 2005, SISCOG started another project with VR, extending the VIP system to
plan the work of 800 guards and the work of 2,000 staff that perform railway-yard
shunting tasks. Due to the mutual trust that, in the meantime, was build between the
members of the project team, this second project had a very smooth development.
As a result of the two projects with the VIP system, there was a reduction of
the number of staff. The exact reduction was not quantified, but nowadays duties
are about 98% efficient, and there was a reduction in planning time to about one
third. Staff is very satisfied with their duties considering that they provide a balance
between work and free time.
In the period between 2008 and 2009, VIP was, again, extended to other classes
of personnel, including ticket selling, contact center, and traffic control personnel.
The work of some of these persons is not based on train timetables but rather on
workloads that define peaks of work for certain periods of the day. The depth of
the system was also extended to include real-time dispatching, work recording and
web-based interfaces to crew members.
3.4 London Underground (LUL)

The London Underground, LUL, is a subway system serving a large part of Greater
London and neighboring areas in the UK. The London Underground transports
379
more than 3,000,000 passengers per day over a network of 252 miles, organized as
11 lines, serving 275 stations and using more than 3,000 drivers.
The development of a CREWS-based system, named TSS, started in 2005. The
goal of TSS was to produce duty and roster plans for all the drivers of LUL. Up to
the start of TSS plans had always been done by hand. For a single major line, this
job took over 13 weeks. LUL had a team of 15 planners, including trainees, with
each planner focusing on a line. Training time for a competent planner was 2 to
3 years and 3 to 5 years for being able to plan a major line. LUL had three major
goals for TSS: (1) to produce more robust and consistent plans; (2) to enable more
efficient use of drivers; and (3) to allow for a larger number of planning options to
be created and considered in a shorter period of time.
The work involved for SISCOG was much larger than initially foreseen. The
plans of the 11 lines are internally grouped into 9 train-staff plans. Although the
underlying labor rules for drivers are common, there are several characteristics that
make the planning process different between lines. Each plan has its own specific
set allowances. The details within each station regarding walking and transfertimes are huge and depend on the time of the day and on the day of the week.
LUL did not compromise for anything but perfection. Any plan produced had to
be better than what was produced by the best planners. Different lines had different
goals. For example, in the Northern Line, the goal was to increase the robustness
of the plans, while keeping the same number of drivers; in the Piccadilly Line, the
goal was to reduce the number of drivers, while keeping the robustness of the plan.
During the project, the planners were asked to investigate the possibility of opening
a new depot at Brixton (on the Victoria Line). The project team felt that this was a
good opportunity to test the use of TSS in addressing what-if scenarios. Many of
these aspects lead to further changes in the CREWS-based optimizer. Nevertheless,
all challenges placed to CREWS were solved, with significant benefits to LUL.
Due to contract confidentially clauses, we are not allowed to disclose the exact
gains that were achieved. However, the system paid itself after the first year of
operation.
The deployment of TSS was done in phases, each phase being associated with
a line or a set of lines. In 2008, the first plan produced by TSS went live in
production. Nowadays all long-term plans for all lines are in full production with
TSS. In early 2010, LUL contracted an extension to TSS to handle a smooth
interaction between long-term plans and short-term plans resulting from work on
the track and special days of operation.
4 Benefits
The main goal of the development of CREWS was to increase the efficiency of
railway companies through the optimized use of staff resources. This goal has
largely been achieved; CREWS-based systems are able to obtain a 3-5% cost
reduction in the use of staff, when compared with the manual construction of plans.
In companies with several thousand workers, this quickly adds up to savings of

several million dollars a year. However, many other benefits, that were not fully
apparent when the development started, have surfaced along the years.
CREWS-based systems eliminate the burden of repetitive and tedious work that
was placed on the work of planners, enabling them to concentrate on their planning
work with a user-friendly help provided by the system.
Another benefit corresponds to the possibility of generating alternative solutions. When a non-IT approach is used, the company is usually satisfied when
a plan is produced to cover the work on all trains. The generation of a staff
plan, when done manually, is a task that involves several full-time planners over
a period of several months and the delivery of the plans is usually just-in-time.
With CREWS, a more than 10-fold speed increase in the production of plans has
been achieved, together with the possibility of having several planners, working
in parallel, producing alternative plans. Companies that use CREWS could, for
the first time, start comparing other aspects of the solution, such as social benefits
given to workers (other than the aspects that are prescribed in the rules), which
enable the balance of productivity costs, robustness issues, and social aspects.
Thus, gained time is primarily used to make better plans and to create more
alternatives for the next and later timetable periods.
CREWS provides a what-if simulation mode, where new rules and conditions
can be tested by simple changes in parameters. In this way, the company can
evaluate the consequences of new rules being discussed with trade unions and the
effect of providing new skills to staff located in different personnel bases.
A benefit that is not easily quantified corresponds to the preservation of the
planning knowledge within the company. In fact, all the knowledge pertaining the
task at hand is stored within the system. Differences in rules and regulations for
different classes of personnel, seen by most companies almost as dealing with
different realities, become insignificant when CREWS is used. As a consequence,
the same person can plan different personnel groups and planning units can be
integrated.
Acknowledgements
SISCOG would like to acknowledge the important role that our customers have
played in the development of CREWS. SISCOG also thanks all its staff, current
and past, for their work and dedication and the long night and weekend hours spent
to make CREWS and its applications a success.
References
[1] Caprara A., Fischetti M., Toth P., Vigo D., and Guida P. L., Algorithms for
railway crew management, Mathematical Programming 79, pp. 125141,
1997.
[2] Ernst A. T., Jiang H., Krishnamoorthy M., Owens B., and Sier D., An
Annotated Bibliography of Personnel Scheduling and Rostering, Annals of
Operations Research 127, pp. 21144, 2004.
381
[3] Martins J. P., Morgado E. M., and Haugen R., TPO: A System for Scheduling
and Managing Train Crew in Norway, Proc. of the Annual Conference on
Innovative Applications of Artificial Intelligence, Riedl and Hill (eds.), pp.
2532, Menlo Park, CA: AAAI Press, 2003.
[4] Morgado E. M. and Martins J. P., CREWS NS: Scheduling Train Crew
in The Netherlands, Proc. of the Ninth Annual Conference on Innovative
Applications of Artificial Intelligence, pp. 893902, Menlo Park, CA: AAAI
Press, 1997.
[5] Nilsson N. J., The Quest for Artificial Intelligence, Cambridge, UK: Cambridge University Press, 2010.
383
Generating and optimizing strategies

for the migration of the
European Train Control System
C. Lackhove, B. Jaeger & K. Lemmer
Institute of Transportation Systems, German Aerospace Center, Germany
Abstract
The growing interconnection of the European Union and the increase of
international traffic oppose new challenges to railways. The EU has decided to
improve the situation by introducing the European Train Control System (ETCS)
on corridors to achieve cross boarder interoperability. Therefore, an optimized
migration strategy is needed. The approach presented in this paper examines the
whole corridor with its details and the dependencies with the rolling stock. It
avoids planning mistakes, guarantees cost optimized strategies, and eases
adoption to changed parameters. To generate all possible migration strategies,
the corridor has to be modelled in detail. Therefore, it is divided into
homogenous sections. The fleet planning is extracted from the rolling stock and
the traffic. It is applied on the corresponding sections. Based on this,
requirements and dependencies are derived. This is especially important if
deadlines have to be considered that determine the state of equipment to a
specific point in time. Due to the complexity arising from the constraints and
interdependencies, the generation of strategies is carried out automatically. The
tool built upon the approach also delivers a rough schedule for the project
management. Consequences of changes along the planning constraints can easily
be computed, e.g. rescheduled deadlines. Subsequently, the strategies are
evaluated and optimized. For a comprehensive cost-benefit analysis, track
performance can now be taken into account. Furthermore, different perspectives
of the optimization can be compared. The method delivers comprehensive results
that would be a good and transparent baseline for negotiations among the
stakeholders to find a mutually agreed strategy.
Keywords: ETCS, migration, strategy, optimization, decision support, automatic
train protection, ATP, railway infrastructure, rolling stock.
doi:10.2495/CR100361
1 Introduction
The growing interconnection of the European countries demands high
investments in the automatic train protection (ATP) technology. Due to the
ongoing globalisation, mobility of goods and people gains higher importance.
Historically, the railway has been bound to national borders. Thus, independent
ATP systems have developed in every nation. A standardised system would
create interoperability and also end the diversity of the European ATP market.
Barriers for competitors to enter the railway market would be lowered. To reach
these goals, the EU has decided to introduce the European Train Control System
(ETCS). This takes place first along trans-European corridors of interoperability
that connect important industrial centres and regions [1].
This change of technology has to take place without interrupting the railway
operations. Such a process is described as a technology migration. Therefore, it
is necessary to proceed with a highly coordinated migration strategy and to
commit to technical standards [2]. In addition, safety and performance have to be
extended or maintained, resulting costs have to be minimized and benefit has to
be gained quickly.
The existing technological and operational surrounding is well known and
defined. ETCS itself is specified for the most part and already in a testing and
operation phase. So this paper does not deal with the actual choice of technology,
but the choice of the migration strategy.
The main challenge of the migration is the huge number of relevant
parameters, constraints and dependencies. The migration of vehicles and
infrastructure has to be coordinated and optimized. Furthermore, the complexity
is increased by the long life cycles of railway technology. On the European and
the national level a heterogeneous picture of systems emerged over time. This
leads to difficulties considering the various interfaces. Thus, investments beyond
ETCS may be required.
The presented method takes these constraints and parameters into account.
From this baseline, migration strategies are developed and evaluated. Fig. 1
gives a brief overview of the method which is as well implemented in a tool.
Figure 1:
Overview of the method.
385
2 Phases of the migration

The planning of the ETCS migration can be divided into three levels. The
highest, strategic level contains the coordination of the EU, the railway
companies and industry. Here the overall strategy as well as the technological
standard is committed. On the tactical level beneath, the migration on each transEuropean corridor as well as in each participating country is planned [3]. The
detailed project management of each participating company can be seen as the
lowest, operational level. It has to be ensured, that the levels are consistent with
each other.
Furthermore, the planning of the migration of ATP technology can be split up
into four phases [4]:
System modelling
System selection
Generating migration strategies
Evaluation of the migration strategies
In this paper, the migration is handled on a tactical and operational level with
a specified system i.e. ETCS. The following chapters show how the modelling
and the generation of strategies are carried out. Beforehand, existing constraints
have to be defined.
3 Technical and operational constraints

The first step for the method is the collection of constraints and parameters. In
this context, constraints are factors that cannot be changed during the migration.
On the contraire, the choice of parameters is free to a certain extent.
For a better distinction between old and new ATP according to [1], all ATP
systems that are compatible with ETCS shall be called Class A systems; national
ATP systems incompatible to ETCS are called Class B systems.
3.1 Infrastructure
The key problem of the migration of ATP systems is the incompatibility of Class
A and Class B systems, which concerns onboard and line side units as well as
legacy interlockings and ETCS in general. To meet the different requirements of
train lines across Europe, three so called Application Levels exist.
If ETCS Level 1 is installed, the legacy infrastructure elements, i.e. signals,
train detection and interlockings remain at the line side. Because of the stationary
signals, ETCS Level 1 is defined as a discrete ATP. The valid signalling and
speed limit is displayed at the drivers cab. This version is called Full
Supervision (FS). To reduce the engineering costs, there is also the possibility to
omit the signalling at the drivers cab and the permanent speed surveillance. This
version is called Limited Supervision (LS). It keeps the advantage of technical
compatibility but requires the train driver know the national body of rules and
regulations.

With ETCS Level 2 applied, no line side signalling is needed anymore. So the
trackside investments and maintenance costs can be reduced. Therefore, every
train using the track section has to be equipped with ETCS. If there are any trains
solely with Class B systems onboard, the line side signalling has to be kept up.
Apart from that, the line side train detection cannot be removed. Electronic
interlockings are required. If there is an interlocking of any other type at the line
side, it has to be replaced or new interfaces have to be installed [5].
The difference between ETCS Level 2 and ETCS Level 3 is the way of the
train detection. At Level 3, it works by a satellite positioning system, fixed
repositioning balises, and an onboard train integrity determination. This gives the
opportunity to save even more infrastructure and thus reduce the maintenance
costs. So far, there is no train integrity determination existing for freight trains.
ETCS Level 3 is a moving block system. So the safety clearance between
following trains is not made sure with fixed blocks. This increases the lines
performance.
The rules and regulations, e.g. in Germany [6], distinguish between the
permitted types of ATP systems depending on the lines maximum speed.
Discrete train control systems are only allowed up to a speed of 160 km/h. On
lines with a higher speed, continuous train control systems have to be used.
Thus, high speed trains have to be migrated either with ETCS Level 2 or ETCS
Level 3. Lines solely used by conventional or freight trains can be equipped with
ETCS Level 1.
In order to derive the requirements for the new system from the train
operations, the corridor is divided in homogenous sections. This shall simplify
the resulting model. Thus, homogenous requirements from the traffic can be
assigned. These requirements could be for example the desired number of trains
per day or the maximum speed [7]. It also seems useful to divide the corridor by
countries. This delivers the installed Class B systems as well as the national body
of rules and regulations on the line sections. Furthermore, every train that crosses
a border can be marked as international. This way the coordination of all
involved parties can be assured.
3.2 Rolling stock
The key question about the rolling stock strategy is whether the vehicles shall be
used in open loops on the whole railway network or on closed lines. This mainly
determines the number of vehicles to be migrated in each step. Therefore, it
mainly influences the size of the pools in which the vehicles are put together. In
the case of closed lines, each line would represent a vehicle pool [8]. If the
vehicles are used in open loops on the whole network or huge parts of it, the
decision about how to define the vehicle pools is more complex. The first
distinction should be made according to the vehicle series. If each series has an
area in the network which it is preferably used on, the definition of the vehicle
pools can be made according to it. There would only be little changes in the
dispatching processes. If there are no preferred areas for the series, either huge
changes in the dispatching processes have to take place to assign the series to
defined areas, or the migration strategy will be less adjustable and effective i.e.
387
more expensive, because the strategies of the infrastructure and the rolling stock
cannot be adapted to each other very well. Some earnings of the migration e.g.
the shutdown of the legacy Class B system or the reduction of onboard Class B
systems will probably take place later.
It has also to be decided if existing vehicles shall be equipped with ETCS or
if new vehicles have to be purchased. The decision depends on the life span, the
technical constraints and the resulting costs for each vehicle.
4 Modelling of the corridor or network to be migrated

A modelled corridor or rail network consists of one or more line sections and one
or more vehicle pools to include the traffic. The vehicle pools are assigned to the
line sections to match the flow of traffic. Fig. 2 shows the class diagram of a
corridor or rail network. As the traffic should not change along a line section, it
could be necessary to split up the line sections in even more detailed elements.
Each section or vehicle pool is defined according to the foregoing analysis of
constraints and parameters. Additionally, it is important to regard how many
kilometres and vehicles per year can be equipped with ETCS, i.e.
Equipment_Capacity, and how quick the Class B system can be taken off the
track, i.e. Dissolving_Capacity. It has a major effect on the resulting strategies.
5 Generation of migration strategies

A strategy in this context shall be defined as a combination of a goal to be
achieved and a path towards this goal. All possible strategies form the strategic
scope. The optimal migration strategy is part of the strategic scope.
Figure 2:
Example of a modelled corridor.

5.1 Migration goals
The definition of the sections of the corridor and the related traffic describes the
initial situation of the migration. The next step is to derive the scope of migration
goals. Those which do not meet the requirements of the traffic cannot be part of
resulting migration strategy. Hence, each allowed migration goal on each line
section has to meet the highest requirements of the related traffic. It also has to
be regarded whether the Class B systems stay operational or not.
Additionally, the ETCS Level to be deployed can be chosen as a preset.
Depending on the characteristics of the corridor, this can be a huge simplification
of the resulting model.
5.2 Migration paths
For the migration of ETCS on a line section, three basic migration paths exist
[9], each causing different costs. They coordinate the migration of the
infrastructure and the vehicles and ensure that the railway stays in operation.
This can only be guaranteed by equipping either the line side or the vehicles with
Class A and Class B systems in parallel. To speed up the migration, the line side
and the vehicles can be equipped with ETCS simultaneously, see fig. 3.
5.3 Examination of the strategic scope
The strategic scope in which the migration strategy shall be optimized is defined
by the number of migration goals and migration paths. In addition, the order in
which the line sections are migrated has to be chosen. This yields the number of
possible strategies Ntotal as follows, with Norder as the number of strategies arising
from the combinatory order of migration, Nopt.section as the amount of strategic
options per line section, Noptions as the total number of options derived from the
line sections, s as the number of line sections, g as the number of migration
goals, and p as the number of migration paths:
Figure 3:
Migration paths.
( s 1)!
( g * p) s N order * N options ,
2
( s 1)!
N order
,
2
N options ( g * p) s ,
389
N total
(1)
N opt .sec tion g * p N options ( N opt .sec tion ) s .

Due to the fact that this analysis of migration strategies takes place on an
operational level, the order of the migration of the line sections cannot be
influenced anymore. It is already determined by political decisions, set deadlines
for the construction of new sections, or set dates of the shutdown of legacy Class
B systems. If there should be any scope sorder left at this stage of the planning, it
comes down to only a few scenarios Nred.order to be compared. With eqn (1), this
leads to the following example:
1 sorder 5 1 N red .order 12,

N red .oder N order .
(2)
Thus, according to eqns (1) and (2) the number of possible migration
strategies mainly depends on Noptions, i.e. the number of options per line section
and the number of line sections. Fig. 4 shows as an example, how the amount of
strategies quickly reaches Noptions > 1030. It is not reasonable to generate and
evaluate all of these strategies.
Thus, the strategic scope has to be reduced in a way that it allows to compute
all of the possible migration strategies. This is achieved by regarding realistic
Figure 4:
Number of possible migration strategies.

planning constraints. These constraints are e.g. the fixed choice of an ETCS
Level to be equipped, whether the Class B system stays in operation or not, and
if some of the migration paths can be excluded for a line section or vehicle pool.
In eqn (1), these considerations reduce g and p and therefore deliver a reduced
Nred.opt.section:
g * p N opt .sec tion N red .opt .sec tion g red . * pred . ,

g red . g ,
(3)
pred . p.
Due to the fact that a migration goal which results in changing ETCS Level
every few kilometres would not be accepted, further simplifications can be
found. Some line sections might be re-combined to a number of sred clusters
equipped with homogenous ETCS Levels for a given migration goal. Together
with eqn (3), this leads to a reduced amount of options Nred.options:
( N opt .sec tion ) s N options N red .options ( N red .opt .sec tion ) sred ,
sred s.
(4)
The assumptions of eqns (1), (2), and (4) lead to the following result for a
reduced strategic scope Nred.total:
N red .options * N red .order N red .total N total N options * N order . (5)
Although the strategic scope has been reduced, e.g. to Nred.total < 108, it still
delivers reliable results due to regarding realistic planning constraints. The
makes it possible to compute all migration strategies. Therefore, a very good
baseline the choice and optimization of the migration is gained.
To handle the found strategies properly, the strategic scope is saved as a Petrinet (fig. 5). Starting from the initial situation, different paths to migration goals
Figure 5:
Example of the strategic scope.
391
are shown. Each combination of a path and a goal for the migration forms a
strategy to be evaluated. The states within the Petri-net describe the status of the
whole corridor or rail network at a specific point in time. The transitions between
the states symbolize the activities carried out during a migration strategy.
The states have been put into different categories. This eases the evaluation
and optimization of the strategies. First, it is distinguished between states in
which the migration is accomplished and such where the migration has not been
finished and interoperability has not been achieved yet. It is also taken into
account, if interoperability already exists, but the migration process is not yet
accomplished. Finished migration processes could be separated into three
different categories. The first category is characterised by a minimum of ETCS
equipped vehicles, i.e. a minimum of investment. In the second category, all line
sections and vehicles only use ETCS, i.e. all Class B systems have been
removed. The last category consists of states with an accomplished migration
that cannot be put in one of the foregoing categories.
6 Evaluation and optimization of migration strategies

The generation of the migration strategies delivers the changes of the examined
assets over time. For the infrastructure, the point in time of the equipment of
each line section is known as well as the number and type of elements required
doing so. Due to that, differences between ETCS Levels are regarded in detail.
The vehicle pools are treated equally. The amount of vehicles for each pool is
considered as well as the point in time of the retrofitting with ETCS or
replacement of legacy vehicles with new ETCS vehicles. The following figures
show three example strategies, derived from the corridor modelled in fig. 2.
The first example in fig. 6 shows the strategy with the least investments, i.e.
the minimum amount of vehicles is equipped with ETCS. The Class B systems
stay operational and the deployed ETCS Levels match, but do not exceed the
requirements.
Figure 6:
Migration strategy with minimum investment.

The second example, shown in fig. 7, is a strategy with solely ETCS in
operation after the migration. Therefore, all vehicles have to be equipped with
ETCS, all line sections operate with ETCS Level 2, and the Class B systems are
removed. This strategy could lead to a higher line performance.
The last example in fig. 8 shows a possible compromise between performance
and investments. All sections are equipped with ETCS Level 2. The Class B
systems only stay operational on those sections, where parts of the assigned
rolling stock do not require interoperability. This way, the investments in the
equipment of vehicles are minimized.
Figure 7:
Migration strategy with complete replacement of Class B systems.
Figure 8:
Migration strategy with compromise between performance and

investment.
393
From this baseline, a cost driver is assigned to each asset and element.
Additionally, gained value or income can be taken into account, e.g. if the
equipment of several line sections leads to new train connections or shorter
travel times. This yields the possibility to derive different performance figures,
like the net present value, life cycle costs, or migration costs.
For each strategy, the critical path is identified. So, each activity of the
strategy can be started as late as possible and as early as required. This leads to a
cost optimization of the strategies. For each migration goal the optimal path can
be found by comparison of all paths leading to that goal. Depending on the
chosen performance figure, this could be e.g. the one with the lowest migration
costs or the highest net present value.
Thus, at his stage of the optimization, only the migration goals have to be
compared. Fig. 9 shows how the investments of the foregoing examples relate to
each other. Now it is possible to take more criteria into account, e.g. to evaluate
whether an increased line performance pays off or not.
Due to the automatic generation, evaluation, and optimization of the
migration strategies, consequences of changes along the planning constraints can
be computed quickly. For example, if the deadline of the equipment of a line
section is rescheduled, this might have a huge effect on the equipment of
vehicles. This could be useful either to adapt to the changes, or to negotiate
about the rescheduling.
In addition, different perspectives of the optimization can be compared, i.e.
the infrastructure, the vehicle, and the integrated point of view. The best strategy
for the infrastructure side is not necessarily the best for the vehicle side. The
knowledge about these strategic options would be a good and transparent
baseline for negotiations among the stakeholders to find a mutually agreed
strategy.
Figure 9:
Compared investments of the strategies.
7 Summary
The method delivers the possibility to handle complex ATP migration problems,
e.g. the introduction of ETCS on corridors. The dependencies of the equipment
of vehicles and infrastructure are modelled in detail. Different scenarios of
migration goals can easily be generated and compared. Each migration strategy
is evaluated and optimized. Due to the detailed modelling, several performance
figures can be applied for the evaluation, e.g. the net present value or life cycle
costs. Furthermore, different perspectives of the optimization can be compared.
Thus, the method could well be used for the negotiations along the stakeholders
of the migration.
References
[1] The Commission of the European Communities, C(2006) 5211
ENCOMMISSION DECISION of 7 November 2006 concerning a technical
specification for interoperability relating to the control-command and
signalling subsystem of the trans-European high speed rail system and
modifying Annex A to Decision 2006/679/EC concerning the technical
specification for interoperability relating to the control-command and
signalling subsystem of the trans-European conventional rail system, The
Commission of the European Communities, Brussels, 2006.
[2] Bolli, M., Rothbauer, M. F., ERTMS/ETCS the future has begun, Signal
und Draht (101), pp. 6-12, 3/2009.
[3] Boehmer, A., Schweinsberg, R., Germanys national implementation plan
for the introduction of ERTMS/ ETCS, Eisenbahntechnische Rundschau, pp.
660-664, 10/2008.
[4] Obrenovic, M., Jger, B., Lemmer, K., Methodology for the LCC-Analysis
and the Optimal Migration of the Railway Operations Control on the
Example of ETCS, Comprail, Prague, 2006.
[5] Bartnicki, K., Rahn, W. H., Integration of relay interlockings on ETCS
corridors, Signal und Draht (102), pp. 24-27, 3/2010.
[6] Eisenbahn-Bau- und Betriebsordnung (EBO), BGBl., S. 1563, 1967 II.
[7] Deutsche Bahn AG, Konzernrichtlinie Infrastruktur gestalten, Modul
413.0301, Frankfurt am Main, 2002.
[8] Gralla, C., Koulischer, J., Schunke-Mau, C., Zoetard, P., ETCS for the
multi-system ICE 3, Signal und Draht (101), pp. 30-33, 3/2009.
[9] Mindel, K., Migration from LZB to ETCS in Germany, Signal und Draht
(93), pp. 45-47, 9/2001.
395
Synthesis of railway infrastructure

J. Sponemann & E. Wendler
Institute of Transport Science, RWTH Aachen University, Germany
Abstract
This paper addresses the problem of generating a cost-optimal railway infrastructure by stating and solving a linear optimization problem. Railway infrastructure
is represented by a network consisting of nodes and arcs. The nodes represent
stations; the arcs lines connecting the stations. An input instance of the network
design problem for railway infrastructure consists of two parts. The stations, which
have to be connected in a certain way, and a traffic demand, which relates each pair
of nodes (A, B) to a number of trains of different types, has to be routed from A
to B in a given time horizon. A newly designed network answers two questions:
what is the topology of the network, i.e. which stations are connected to each
other and how does the line look like in each connection (e.g. single track, double
track, single track with one overtaking station etc.)? The observed kind of routing
problem can be stated and solved as a multi-commodity flow problem. In order to
get the design of the network using a routing routine, a complete network is constructed. Finding a routing in such a complete network is then equal to designing
the network, since the routing chooses the arcs needed and so designs the desired
network. To solve the problem efficiently it is stated as a mixed integer program
(MIP), which is solvable by standard MIP-solvers.
Keywords: railway infrastructure, strategic long-term planning, network design,
multi-commodity flow, MIP.
1 Motivation
A solution of the problem of synthesizing railway infrastructure (SRI) answers the
question: what does a cost-optimal network of railway infrastructure for a given
traffic requirement look like? Planning a complete new network of infrastructure
from scratch is one obvious reason why research in this field pays off. Another one
is the strategic long-term planning of infrastructure done by railway infrastructure
doi:10.2495/CR100371

managers. During this planning process, estimated future traffic flows are routed
on an existing railway infrastructure to identify bottlenecks or capacity surpluses.
After that the infrastructure has to be redesigned to meet the future requirements.
As stated by Ross [1], currently long-term infrastructure planning is mainly a creative process. The results of this paper create a basis for methods that can provide
provable optimal decisions for such planning processes.
The following section, which is the main section of the paper, describes what has
to be done to state the SRI problem as a MIP. The third section, which is followed
by some conclusions, discusses MIP solving in general and the first results of the
solving process.
2 Model
The network of railway infrastructure that has to be designed is very intuitively
represented by a graph G = (V, A), with nodes N representing the stations and
arcs A representing the lines connecting the stations. Before the model of the problem is presented in detail, let us first have a look at the demands that the input and
output of the problem are placing on the structure of the model. An input instance
of the SRI problem contains the following information:
a set of railway stations defined by their distances to each other,
a set of train types, which are distinguished by parameters such as maximum
speed, length, acceleration and deceleration rates,
a traffic demand consisting of pairs of stations and an associated number of
trains of possibly different types which should run between these two
stations,
a quality parameter, which limits the degree of utilization for each stationto-station connection,
a set of stages of extension of lines, which are constructible between two
stations, defined by their life cycle cost and capacity, and
a time horizon.
The questions a solution for this problem has to answer are
Which stations have to be connected directly to each other?
What does the connection of two stations look like (e.g. single track, double
track, single track with one overtaking station etc.)?
What does the routing of traffic demand look like, i.e. which route is used
by which train to reach its destination station?
It is important to distinguish the two parts of the problems structure that are
mentioned above. On the one hand there is the network design problem, which
determines the topology of the network, and on the other hand there is the routing
problem of the traffic flow. Let us first consider how the routing problem for traffic
flow can be modeled and after that how the network design problem can be solved.
397
2.1 The routing problem

It is easy to see that finding the best route for a given demand of traffic flow is
equal to searching for the minimum cost flow in a network.
2.1.1 The minimum cost flow problem
In the minimum cost flow problem the objective is to find the (s, t)-path with the
least cost shipment for a given flow demand, where s and t are the source of the
respective target nodes. Ahuja et al. [2] define the minimum cost flow problem as
follows:
Minimize
cij xij
(1)
(i,j)A
subject to
xij
j:(i,j)A
xji = b(i)
i N,
(2)
xij
(i, j) A,
(3)
j:(j,i)A
lij
uij
b(i) = 0,
(4)
i= 1
where N is the set of nodes, A the set of arcs, xij the flow, cij the cost per unit
flow and lij , uij the capacity bounds on an arc (i, j) A. The b(i) in eqn (2) is
defined in the following way:
< 0, node i is demand node with demand b(i),

b(i)
= 0, node i is transshipment node,
> 0, node i is supply node with demand b(i).
The SRI deals with multiple commodities of traffic flow. Each commodity is
defined by a start and destination station, as well as by an amount of trains. This
leads to a special kind of network flow: the multi-commodity flow.
2.1.2 The multi-commodity flow problem
Ahuja et al. [2] state the multi-commodity flow problem as an optimization problem of the form:
Minimize
ck xk
(5)
1 k K
subject to
xkij
uij
(i, j) A,
(6)
k = 1, 2, ..., K,
(7)
(i, j) A and k = 1, 2, ..., K,
(8)
1 k K
N xk = bk
0
xkij
ukij

where G = (V, A) is the network graph, K is the number of commodities, xkij the
flow of commodity k K on arc (i, j), xk denotes the flow vector of commodity
k K, ck the corresponding cost per unit flow vector and N the node-arc incidence matrix, which is used in eqn (7) analogous to eqn (2) to define whether a
node is a demand, supply or transshipment node. Eqn (6) restricts the sum of all
flows on each arc (i, j) by the upper bound uij . The values of ukij also enable the
possibility to bound the flow of each commodity on each arc separately.
2.2 The network design problem
The key idea to solve the network design part of the SRI is to use the solution
of the embedded routing problem. To do so a multi-commodity flow problem is
solved, getting as input a complete network with multiple arcs. As mentioned in
the beginning of section 2, the solution of the embedded network design problem
of the SRI answers not only the question of which stations have to be connected
to each other, but also what a connection looks like. Thereby, different stages of
extension for one line, such as single track, double track, single track with one
overtaking station and so on are distinguished (see Figure 1).
2.2.1 The multi-arc network
The multi-arc network used for the SRI contains one arc for each stage of extension, which is constructible between two stations. Each of these arcs possesses a
different capacity and cost depending on the lines design and the corresponding
life cycle cost. Before the arc capacity is defined in the next subsection, an example
is given that shows the working method of solving the network design problem by
solving the multi-commodity flow problem on a complete graph with multi-arcs.
2.2.2 Example
Given the graph G = (V, A), see Figure 2(a), with the set of nodes V = {A, B, C, D}
and the set of arcs A = {AB0, AB1 , AB2, BC1 , ...}, where each arc XYi of a
connection XY has got a different capacity and different cost. Also given three
traffic flows C0, C1 and C2 (commodities) with a start and a destination station and an amount of trains (demand). Different train types are indicated by
an index. C0 = ((A, D), [50 , 01, 02]), C1 = ((B, C), [00 , 151, 22]) and C2 =
((C, D), [00 , 01, 32]). A routing found by solving a multi-commodity flow problem could, for example, route the flows 50, 50 + 151 + 22 and 50 + 32 via arcs
Figure 1: Different stages of extension for one line.

(a)
0
1
0
z
2
0
1
2
21 0
D
2
2
0
399
(b)
50
50 + 1 51 + 2 2
D
1
50 + 3 2
(c)
C
Figure 2: Network design by multi-commodity routing for commodities C0 =
((A, D), [50, 01, 02]), C1 = ((B, C), [00 , 151, 22]) and C2 = ((C, D),
[00, 01, 32]).
AB0 , BC2 and CD1, shown in Figure 2(b). The resulting stages of extension of
the lines between the stations are displayed in Figure 2(c).
To calculate the capacity consumption of mixed flows, such as 50 +32, one has to
keep in mind that different train types have different characteristics, such as maximum speed, acceleration and deceleration rates, and because of this they consume

different amounts of capacity. In terms of flow units this has the impact that, for
example, the following holds: 5i = 5j . Furthermore, different mix ratios of trains
consume different amounts of capacity and there is no train type whose capacity
consumption is expressible by a linear combination of the other train types consumptions. This specific characteristic of the capacity consumption is examined in
the next section.
2.3 Arc capacity
Capacity consumption of one train on a track section can be expressed using the
well-known minimum headway time, introduced by Happel [3]. It is the time zij a
train j at least has to wait when it wants to enter a track section that is currently
occupied by another train i. A visualization of the minimum headway time using
blocking time stairways is shown in Figure 3. For more information on the blocking
time theory, see Pachl [4].
Wendler [5] calls this minimum headway time in the context of queuing theory service time because it is the time frame while one train occupies the service
channel i.e. the track section and a following train cannot be served.
To calculate the mean minimum headway time of a mix of trains on a track
section, the order of trains arriving at the track section is important, since the minimum headway time can only be derived for pairs of consecutive trains. Because
SRI deals with future traffic demands there is no fixed timetable for the trains
Zij
train i
train j
Figure 3: Minimum headway time zij .

401
occupying the infrastructure. Because of that, all possible successions ij of trains

i and j are considered and weighted with probabilities pij of the event that train j
follows train i. This is shown in eqn (9), where xi is the number of trains of type
i, xj is the number of trains of type j, and N is the number of all trains. This is
a very simple estimation, which will be refined in future SRI solver implementations. The mean minimum headway time zij and the expected service time ETB
over all trains in the time horizon, respectively, can be derived by summing up
products pij xij (eqn (10)). Eqn (11) shows the expected capacity consumption
on a given track section a and mix of trains of different train types |K|.
pij :=
xi xj
xi xj
=
,
N N
N2
zij = ETB =
pij zij ,
i
iK jK
(10)
xai xaj
N a ETBa = N a
(9)
N a2
a
zij
(11)
By means of the preceding definitions it is now possible to state the SRI problem
as an optimization problem.
2.4 SRI: multi-commodity flow with multi-arcs
For a network G = (N, A), a set of commodities C and set of flow types (train
types) F T the optimization model of the SRI is formulated as follows:
ca xaused
Minimize
(12)
aA
subject to
xai xaj
Na
iK jK
N a2
a
zij
xaij
aOut(n)
0.6 tU
xaij = bnij
(13)
n N, i F T, j C
(14)
aIn(n)
xaij
xaused =
a A,
a A, i F T, j C
1, if i : xia > 0,
0, else.
(15)
(16)
where xai is the sum of all flows on arc a of the flow type for train type i, and xaij
is the flow of type i of commodity j on arc a. For a node n, the functions In and
Out return the set of all arcs (n , n) A and (n , n) A, respectively.

Because one unit of flow corresponds to one train, it seems to be incorrect to
not restrict the variable domain to positive integers. However, since the used traffic
demands are derived from future traffic flow estimations it is sufficient to choose
positive reals as the domain, as stated in eqn (15). This relaxation furthermore
simplifies the solving process. The objective is to minimize the life cycle cost for
the arcs that are used to route flow. The variables xaused , defined in eqn (16), are
used to ensure that arc costs arise if and only if there is flow on the arc. Usually,
cost functions in flow problems depend on the amount of flow, but since the track,
which corresponds to an arc, has to be constructed independently of the number of
trains running on it, the cost model described above is chosen. Eqn (14) contains
the known flow conservation constraint, cf. eqns (2) and (7). Eqn (13) is called
capacity constraint. The left-hand side describes the occupation time of the mix of
trains routed via track/arc a, cf. eqn (11). This capacity consumption is bounded
to an amount of 60% of the observed time frame tU . This value is taken out of
UIC Code 406 [6]. This is a leaflet of the International Union of Railways, which
standardizes railway capacity analysis. There exist of course more sophisticated
capacity models, but for the sake of simplicity the approach according to UIC
Code 406 is selected. Since the capacity constraint is non-linear, powerful LP/MIPsolvers are not applicable. To overcome this difficulty the model is transformed
into a mixed integer program.
2.5 SRI: MIP model
A MIP is a linear optimization problem that contains variables with an integer
value domain. Because of this integrality a MIP is much more difficult to solve
than a LP. The MIP resulting from the following transformation of the optimization
problem given in eqns (12)(16) is furthermore a binary MIP (BMIP), because the
integral variables are even binary variables.
To get rid of the non-linear capacity constraint, possible train/flow type mix
ratios that fully utilize the capacity of an arc are calculated for each arc, using
ETB , see eqn (11). These mix ratios are denoted as configurations. In the case of
three different train types 0, 1 and 2, the set of configurations for an exemplary arc
a has the following form:
Conf a := {[760, 01, 02], [740, 11, 02], ..., [00, 641, 00], ..., [00, 01, 422]}.
(17)
In the MIP model there is one binary variable yca for each configuration c
Confa . This holds for every arc a A. For each arc a at most, one of these
variables can be selected by setting its value to 1. This enables the chosen configuration and for each flow type i the sum of the flow of type i on that arc is bounded
by the value of the ith component of the selected configuration. This means that
one configuration [x0 , x1 , x2]a , if selected for an arc a, restricts the flow on a for
each flow type i to the value of xi . This is modeled by the new linear capacity
constraint in eqn (19) of the MIP model. The objective is to minimize the cost of
the selected arcs, which is equal to maximizing the cost of the arcs that are not
a
picked. Therefore, variables yoff/on
are introduced and set to 1 if the arc is not used.
403
This restructuring of the objective function provides a faster solving process. The
constraint shown in eqn (21) ensures that an arc is either switched off or exactly
one configuration is enabled.
a
ca yoff/on
Maximize
(18)
aA
subject to
xaij
yca v c (i)
a A, i F T,
(19)
xaij = bnij
n N, i F T, j C
(20)
a A
(21)
cConf a
jC
xaij
aOut(n)
aIn(n)
a
yca + yoff/on
=1
cConf a
xaij
a A, i F T, j C
yca
{0, 1}
a A, c Conf
a
yoff/on
{0, 1}
a A,
(22)
(23)
(24)
where G = (N, A) is the network, Conf a the set of all configurations associated
with arc a, C the set of commodities, F T the set of flow types and function v c
returns for a given i F T the value of the ith component of the configuration c.
3 Solving
The previous section presents a MIP model of the SRI problem. To solve the problem professional solver software, which provides academic user licenses, is used.
Two solvers with different advantages were used to solve the problem as follows.
3.0.1 Gurobi
The Gurobi Optimizer is a linear programming mixed integer programming solver
that exploits modern multi-core processors. Gurobi is currently the performance
benchmark winner, so it provides the fastest solving times. The disadvantage of
Gurobi is the interface. It allows only the usage of restricted sets of functions,
parameters and attributes, which can be accessed via the programming languages
C, C++, Java, .NET or Python. Despite this restriction it is a powerful solver that
additionally supports some modeling systems, such as MPL and AMPL, and is
able to read and write LP and MPS files. For further information see the Gurobi
homepage [7].
3.0.2 SCIP
SCIP stands for Solving Constraint Integer Programs and was developed at the
Konrad-Zuse-Zentrum for information technology in Berlin. Since the complete

source code is available the solver allows total control of the solution process and
unrestricted access to any information at any stage of the solution process. The
user can define, write and include their own pricers, branching rules, presolvers,
heuristics and so on. Basic principles and further information about the concept of
constraint integer programming and SCIP are provided by Achterberg [8] and the
SCIP homepage [9].
3.1 Solving mixed integer problems
There is a wide range of methods that are useful for solving (mixed) integer programs efficiently. The kernel method, which is state of the art and the cause of that
focussed here, is called branch-and-bound.
3.1.1 Branch-and-bound
The goal of the branch-and-bound method is to find an assignment of values of the
integer variables that forms an optimal solution of the MIP. One way to achieve
this is to enumerate all possible assignments of values by a so called explicit enumeration tree. This results, even in the binary case for a small set variables, in
a huge number of tree nodes. So it is desirable not to explore the whole tree. To
achieve a so called implicit enumeration tree, bounds are calculated at each node of
the branch-and-bound tree during tree building. With the help of these bounds it is
possible to prune branches of the tree, so that they need not be explored. The most
common method for finding bounds is to solve the linear programming relaxation
of the given MIP. In the case of a maximization problem the optimal solution of the
relaxation provides an upper bound on every solution of the MIP and is the basis
for the branching decision in the current node. Branching in the binary case means
creating two new branches of the branch-and-bound tree by assigning the values
0 and 1 to the variable that is chosen to branch on. For more detailed information
about branch-and-bound, see Wolsey [10].
3.2 Results
Current implementations run on examples with 20 stations, 3 different train types,
4 different track types and 10 traffic flows. Gurobi returns a result within a 1%
optimality gap in less than 7 minutes. The optimality gap is calculated using the
best upper in best lower bound in the current stage of the solving process. Proving the optimality, i.e. reaching a gap of 0%, currently takes a great deal of time.
This is caused by the huge amount of binary variables. The described example
contains about 2 106 binary variables and 4.5 104 continuous variables. To overcome this explosion in the number of binary variables ongoing implementations
are focussed on approaches such as column generation, described by Desrosiers
and Lubbecke [11], which try to minimize the number of binary variables needed
to calculate the optimal solution.
405
4 Conclusions
This paper shows how to synthesize networks of railway infrastructure out of estimated future traffic flows. To do so the problem is modeled as an optimization
problem by interpreting it as a multi-commodity flow problem on a complete graph
with multi-arcs, so that a found routing determines the arcs needed. To make the
optimization model applicable to professional solver software the problem is transformed to a MIP and respectively BMIP. This transformation results in a large
number of binary variables, which again results in long solver running times. To
overcome this difficulty ongoing research focusses on approaches, such as column generation, which try to minimize the number of binary variables needed to
calculate the optimal solution.
Acknowledgement
This publication is a result of research done in the DFG Research Training Group
1298, AlgoSyn: Algorithmic synthesis of reactive and discrete-continuous systems,
funded by the Deutsche Forschungsgemeinschaft (DFG).
References
[1] Ross, S., Strategische Infrastrukturplanung im Schienenverkehr. Deutscher
Universitats-Verlag: Wiesbaden, 2001.
[2] Ahuja, R.K., Magnanti, T.L. & Orlin, J.B., Network flows : Theory, Algorithms, and Applications. Prentice Hall: Upper Saddle River, New Jersey, pp.
649686, 1993.
[3] Happel, O., Sperrzeiten als Grundlage fur die Fahrplankonstruktion. ETR,
8(2), pp. 7990, 1959.
[4] Pachl, J., Timetable design principles (Chapter 2). Railway Timetable & Traffic, eds. I.A. Hansen & J. Pachl, Eurailpress: Hamburg, pp. 942, 2008.
[5] Wendler, E., Timetable design principles (Chapter 6). Railway Timetable &
Traffic, eds. I.A. Hansen & J. Pachl, Eurailpress: Hamburg, pp. 106117,
2008.
[6] International Union of Railways: UIC Code 406 - Capacity, pp. 1820, 2004.
[7] http://www.gurobi.com/, May 2010.
[8] Achterberg, T., Constraint Integer Programming. Ph.D. thesis, Technische
Universitat Berlin, Berlin, 2007.
[9] http://scip.zib.de/, May 2010.
[10] Wolsey, L.A., Integer Programming. Wiley-Interscience: New York, pp. 91
108, 1998.
[11] Desrosiers, J. & Lubbecke, M.E., A primer in columnn generation (Chapter
1). Column Generation, eds. G. Desaulniers, J. Desrosiers & M.M. Solomon,
Springer: New York, pp. 132, 2005.
407
Dimensioning of a railway station for

unknown operation
O. Lindfeldt & A.-I. Lundberg
Division of Traffic and Logistics, Department of Transport and
Economics, Royal Institute of Technology, Stockholm, Sweden
Abstract
Every now and then new railway stations are brought into operation on existing
lines. This is a good way of increasing the availability of railway services and
attracting more passengers. However, from a capacity point of view, this
procedure can be quite tricky, since new stations and additional stops thoroughly
alter the traffic properties of the line.
The addition of a station like this in Solna, north of Stockholm is under
discussion. Here, most of the regional trains, but probably not the long-distance
trains, would stop for passenger exchange. A new line, connected to the main
line just north of Solna, would also contribute to the traffic flow through the new
regional station.
The essential question in this project was to determine the number of platform
tracks needed to cope with the traffic flow. However, it has proven difficult to
find a representative timetable structure to use in the dimensioning work, both
the total number of trains and the distribution between stopping and passing
trains turned out to be uncertain.
A combinatorial method was therefore applied. Using this approach, a large
number of timetables, i.e. possible traffic situations, were generated and tested
(automatically) for the number of platform tracks needed.
Constructing and using this simple model forced the engineers to understand
and describe the fundamentals of this operational/scheduling/dimensioning
problem. The procedure hence gave useful insights about the system properties
and a direct knowledge of the sensitivity of different factors that are essential for
the number of tracks needed at a railway station like this.
Keywords: station design, station capacity, timetable, combinatorial method.
doi:10.2495/CR100381
1 Introduction
Every now and then railway stations are added and brought into operation on
existing lines. This is a good way of increasing the availability of railway
services and attracting more passengers. As with most investments in railway
infrastructure, this type of extension is much easier to dimension correctly when
the future timetable is known, or can be decided, before the station is designed.
A special case is dedicated commuter lines with completely homogeneous
traffic. In these cases, all trains can be assumed to stop for passenger exchange at
the new station. The design, i.e. track and platform configuration etc, is therefore
merely a question of frequency of service, dwell times and delays. The exact
timetable is less important and the stations operation can be assumed to be
similar to that of already existing, adjacent stations.
However, most Swedish railway lines are operated with mixed traffic. Longdistance, regional and freight trains are mixed. The construction of additional
stations on these lines implies great uncertainties connected to the timetable. The
track configuration, including the number of platform tracks, parallel movement
facilities etc, has to be carefully designed so that the overall capacity is not
affected negatively by the new station.
When the traffic is mixed, it is not so easy to foresee which trains are going to
stop and which are not. Even if the number of stopping trains per timetable cycle
is known, it is also necessary to know the exact sequence of stopping and passing
trains to achieve a proper station design.
Stockholm Central station is a combined through and dead-end station served
by two major lines from the north and one from the south. The two north lines,
the East Coast line and the Mlar line, are quadruple- and double-track
respectively. On the four-track East Coast line, the commuter traffic is separated
from other traffic whereas the two-track Mlar line is operated with a full mix of
traffic.
This mix of different speeds limits capacity and implies a high level of
disturbance sensitivity on the Mlar line. The demand for more and reliable
traffic motivates an extension into quadruple track and planning is currently
ongoing. Two alternative locations of the two new tracks have been evaluated:
Along existing tracks all the way from Kalhll to the junction in
Tomteboda.
Along existing tracks from Kalhll to Barkarby and then through a
tunnel eastwards to the East Coast line, see figure 1.
The second alternative, which also implies an extension into six tracks of the
East Coast line south of the junction in Ulriksdal, also gives the opportunity to
extend the existing Solna commuter station into a combined station for
commuter and regional trains. Such a station would serve both commuter and
regional traffic from the East Coast line and regional traffic from the Mlar line,
whereas commuter traffic on the Mlar line would continue to use the old line
through Sundbyberg.
409
East Coast line
Mlar line
Stockholm C
Figure 1:
Extension of Mlar line through a tunnel between Barkarby and the

East Coast line.
This type of complex system gives rise to several questions regarding how the
extended station should be designed to give sufficient capacity and other
operational properties. This article describes a deterministic method that
systematically evaluates different timetable layouts, i.e. combinations of
frequency of service and stopping/passing patterns. Solna station is used to
exemplify the method since the conditions are clear and the traffic situation is
neither too simple nor too complex for this kind of analysis.
This introduction is followed by a short overview of related studies and
literature. The section Method and modelling then describes conditions and
assumptions regarding infrastructure design, timetable generation, and the
capacity allocation model. The results are then presented, followed by some
concluding ideas about the proposed way of modelling and further
developments.
2 Related studies and literature

The Stockholm area has undergone several infrastructure planning processes
during the last decade. Lindfeldt [5] gives an overview of different capacity
issues that were faced during the design of the new commuter line, Citybanan,
through Stockholm. The evaluation method applied for the two connecting
junctions has several similarities with the method presented in this article. Also
in these cases, the design had to be performed subject to uncertainties about
future timetables and operation.
Berg von Linde [1] evaluates the unfavourable interaction of two closely
located bottlenecks south of Stockholm Central station. One of these bottlenecks,

Flemingsberg station, has only one platform track for north-bound traffic and
this imposes considerable constraints on the timetable.
Lindfeldt [7] also makes use of combinatorial methods to evaluate a great
number of timetable variants for mixed traffic on double-track lines. He uses
these methods to analyse the effect of frequencies of service, speeds and
distances between overtaking stations on line capacity. Also here, the idea is to
determine the interrelations between infrastructure and timetable.
Schaafsma and Bartholomeus [8] present a new control concept for the
Schiphol bottleneck in the Netherlands. Schiphol has several similarities with the
planned Solna station. Both are located between two junctions, have several
platform tracks, dense traffic and high utilisation. Several operation procedures
that are already in use at Schiphol, e.g. the first come first served operation, the
cross platform strategy and the stay in lane principle, will all be applicable at a
future Solna station as well. These procedures can be brought to maximal
efficiency if the infrastructure design is performed with them in mind.
Several studies have been made of routing through existing stations and
alternative methods are proposed in the literature. Hansen [3] gives a clear
introduction to the complexity of train routing through stations. He compares
analytical approaches based on queuing theory and max-plus algebra
respectively. He concludes that these methods give similar results regarding the
location of bottlenecks and the occupation of route sections. However,
significant differences in the amount of buffer time and the ability of the track
network to compensate for delays call for further development of both methods.
Yuan and Hansen [9] propose a sophisticated method of determining station
capacity indirectly through estimation of knock-on delays caused by route
conflicts. Their model takes into account variations in track occupancy times due
to fluctuations in train speeds, varying dwell times etc.
Kroon et al. [4] face the computational complexity of the problem of routing
trains through railway stations. They show that when the layout of a railway
station is fixed the amount of computational time is polynomial in the number of
trains.
Carey and Carville [2] consider the problem of routing trains through large,
busy stations. They use scheduling heuristics similar to those adopted by train
planners using manual methods. They are hereby able to include rules, costs and
preferences used by the expert planners. The method is similar to that described
in this article since the trains are slotted one by one according to their desired
arrival times.
None of the reviewed papers explicitly focuses on the designing of
infrastructure or how the requirements regarding station design depend on the
traffic situation, which is the main objective in this article.
3 Method and modelling

The design of a railway station depends strongly on operational factors such as
timetable, disturbances (delays) and occurrence of shunting movements etc. This
study aims to explicitly show how the timetable affects the number of tracks
411
needed at a through station that is operated with a mix of stopping and passing
trains arriving from two independently operated lines. For the sake of simplicity,
no disturbances are taken into account and all kinds of process times and
headway times are assumed to be deterministic. All modelled trains are assumed
to have approximately the same characteristics such as speed, retardation,
acceleration, dwell times etc.
3.1 Infrastructure
A simplified schematic track layout is shown in figure 2. Stockholm Central
station is located to the left, connected to four tracks above ground and two
underground tracks dedicated for commuter traffic (still under construction).
This commuter line (City line) and the (existing) Mlar line are both connected
to the East Coast line at Tomteboda, whereas the two new tracks for Mlar line
are planned to be connected at a junction further north (to the right). Solna
station is located between these junctions and the objective of this article is to
find a feasible track layout for this station.
Sundbyberg
Tomteboda
Solna
Kista
Ulriksdal
East
Coast
line
Figure 2:
Infrastructure layout.
One important condition for the operation is that the two middle tracks are
dedicated for commuter trains on the East Coast line, so the task is to find
the number of platform tracks connected to the two-line tracks on each side of
the commuter tracks in the middle. Due to symmetries in the operation and
the surrounding infrastructure, it is reasonable to also assume symmetry in the
station design.
A
Figure 3:
Possible station designs. The two mid-tracks are dedicated for

commuter traffic and are not evaluated in this study.

Figure 3 shows four possible configurations with one, two and three platform
tracks for non-commuter trains in each direction. Depending on the number of
passing trains, it might be feasible to construct tracks without platforms,
alternatives A and C.
3.2 Timetables and timetable generation
The station design depends on several timetable factors, mainly the number of
trains operated on each line per time unit. These numbers are unknown, or
uncertain, during the planning process. The situation is made even more difficult
since neither the distribution between stopping and passing trains can be
predicted.
The method described below is one way to evaluate how different timetables
affect the number of platform tracks needed. Combinatorial methods are used to
generate all possible timetable variants that follow from a few basic assumptions.
This is done in two steps. First, a traffic situation is defined by four factors:
Total number of trains/h on East Coast line.
Number of stopping trains/h on East Coast line.
Total number of trains/h on Mlar line.
Number of stopping trains/h on Mlar line.
Several timetable variants may correspond to each traffic situation. These
timetable variants arise because:
Stopping trains on the East Coast line can be chosen in different ways
from the total number of trains on this line.
Stopping trains on Mlar line can be chosen in different ways from the
total number of trains on this line.
The phase shift between the timetables for the two lines can be varied.
For a given traffic situation the total number of timetable variants is given by:
N EC N M
*
N timetable
n EC nM
N EC !
NM !
* f
*
*f
n EC !( N EC n EC )! nM !( N M nM )!
(1)
In eqn (1) ni denotes the number of stopping trains and Ni the total number of
trains on a line i. f is the number of phase shifts between the timetables of the
two lines.
Different traffic situations give rise to different numbers of timetable variants.
Based on demand forecasts and experience from earlier operation, four basic
assumptions were made in order to limit the evaluation space:
Total number of trains on East Coast line: 14-18 trains/h.
Total number of trains on Mlar line: 4-8 trains/h.
The traffic pattern is repeated every 30 minutes and so the period of
evaluation is limited to 30 minutes. This also implies that 30 different
relative time shifts between the timetables of the lines appear, f = 30 in
eqn (1).
Arriving trains are evenly spread on each line.
Table 1 shows the number of timetables that arise in each traffic situation
when these assumptions are combined with different numbers of stopping trains.
413
Each cell corresponds to a traffic situation. The first column shows a pair of
numbers on each row. These are the total number of trains/h on the Mlar line
and how many of these stop at Solna station. In the same way, the lowest row
shows the corresponding data for the East Coast line. It can be seen that each
traffic situation consists of 30 15 120 timetable variants.
Mlar line
Table 1:
Number of timetable variants for different traffic situations.

8
8
8
4
8
0
6
6
6
4
6
2
3
0
4
4
4
2
4
0
30
630
630
30
30
180
3780 3780
180
180 12600 180
180 15120 15120 180
30
630
630
30
30
2100
30
30
2520 2520
30
30
630
630
30
30
2100
30
30
2520 2520
30
90
1890 1890
90
90
6300
90
90
7560 7560
90
90
1890 1890
90
90
6300
90
90
7560 7560
90
30
630
630
30
30
2100
30
30
2520 2520
30
630
30
630
60
1260 12060
30
630
630
14
0
14
4
14
10
2100
30
30
2520 2520
30
30
30
2100
30
30
2520 2520
30
60
60
4200
60
60
5040 5040
60
30
30
2100
30
30
2520 2520
14
14
16
0
16
8
16
16
18
0
18
6
18
12
30
18
18
East Coast line
3.3 Capacity allocation procedure

Each timetable variant implies a unique pattern of station capacity that is
required for conflict-free operation. The utilisation of each platform track is
heavily dependent on the headway times that are applied during timetable
construction. Ideally, these times should be chosen with regard to the prevailing
delay level and the acceptance for knock-on delays (Yuan and Hansen [9]). For
the sake of simplicity, the values below are applied in this study. They
correspond to values commonly used in Swedish planning (Berg von Linde [1]).
Minimum timetable headway times:
o 200 s outside platform block sections.
o 300 s on platform block sections after stopping trains.
o 200 s on platform block sections after passing trains.
Reaction time and time supplement for acceleration for stopping trains
is 60 s. This time is only applied when a stopping train is followed by a
passing one.
Using these headway times the number of platform tracks can be estimated
for each timetable variant through a direct track allocation procedure
programmed in MATLAB. The trains are simply assigned to platform tracks in
the order they arrive (first in first served), cf. Carey and Carville [2]. The model
endeavours to choose the lowest available track number which results in efficient
utilisation and a minimum number of tracks.

This type of capacity allocation was performed both for the platform tracks
and for the exit tracks. It is important to also check the exit tracks since some
timetable variants might result in an exit flow of trains that requires more than
two line tracks beyond the station.
4 Results
Different performance evaluations are possible. The calculations result in a
discrete distribution of tracks needed for each traffic situation. These
distributions might most conveniently be represented by mean and standard
deviation measures. Together they give an idea of the required number of tracks
for each traffic situation.
The exact track utilisation can also be plotted for traffic situations of special
interest. Such a plot shows both the number of tracks needed for each timetable
variant and their degree of utilisation.
Throughout the study all station tracks have been modelled as platform tracks.
It is therefore impossible to tell whether some of the tracks can be constructed
without platforms, i.e. for passing trains only, or not. Such an analysis requires
additional modelling.
4.1 Platform tracks
Table 2 shows the mean number of required platform tracks for the studied
traffic situations. Bear in mind that the calculation includes only tracks dedicated
for long-distance and regional traffic in one direction. The entire design is given
by symmetry assumptions and the fact that two mid-tracks are dedicated for
commuter traffic.
The values in table 2 are mean numbers of tracks needed for the timetables
that originate from each traffic situation. For example, the traffic situation
Mlar line
Table 2:
8
8
8
4
8
0
6
6
6
4
6
2
6
0
4
4
4
2
4
0
Mean number of required platform tracks.

2
2.96
2.99
2.90
2.81
2.84
2.99
2.99
2.99
2.98
2.99
2.96
2.78
2.98
2.94
2.73
2.99
2.97
2.91
2.67
2.99
2.96
2.85
2.99
2.63
2.98
2.90
2.85
2.99
2.56
2.95
2.88
2.78
2.98
2.48
2.91
2.81
2.71
2.96
14
0
14
4
14
10
14
14
16
0
16
8
16
16
18
0
18
6
18
12
18
18
East Coast line
14 6
+
4 4
415
needs 2.78 platform tracks. This means that two tracks are enough in 22% of the
available timetables for this traffic situation, whereas three tracks are needed in
78% of the timetables. In this traffic situation it is reasonable to believe that a
two-tracked station would impose restrictions on the timetable or cause
scheduled delays due to lack of station capacity.
The table shows several interesting results. First, no timetable variant in the
110 examined traffic situations needed fewer than two or more than three
platform tracks. The design question is therefore limited to a choice between two
and three tracks/direction. It is also clear that stopping trains on the East Coast
line are those who impose a need for a third track.
Traffic situations with a mean lower than 2.75 tracks are marked in the table.
These are borderline cases where either two platform tracks or two platform
tracks and one passing track without a platform could be considered. These
alternatives imply lower investment costs at the cost of additional timetable
constraints and/or scheduled delays.
The validity of the calculated values provides that all conditions and
assumptions are correct. The most important assumption is probably that each
platform track can be utilised every 300 seconds. Such operation requires
relatively high punctuality. Under Swedish circumstances, with long delays and
low punctuality, the presented values for the number of tracks needed are rather
underestimations.
For traffic situations of special interest it is also useful to study the track
utilisation in detail. One such example is shown in figure 4. Since the model
systematically chooses a lower track whenever possible, the utilisation will
always be highest for track 1 and lowest for track 3. Note that there are timetable
variants (~40%) that do not need a third track. For these timetables the utilisation
is higher for track 1 and/or 2.
1
0.9
Track 1
0.8
Track utilisation
0.7
0.6
Track 2
0.5
0.4
0.3
Track 3
0.2
0.1
0
Figure 4:
100
200
300
400
Timetable variant
500
600
Track utilisation for timetables originating from the traffic situation

14 4
+ .
4 4

4.2 Exit tracks
A station consists of platform tracks and entrance and exit track sections leading
into and out of the station. The station analysed in this article is actually a rather
simple through station located between two junctions. The number of entrance
tracks is the same as the number of connecting lines. This fact, together with
relatively low utilisation of the Mlar line, indicates that the conflicts on the
entrance side will be limited and that it is reasonable to assume all arrivals to be
conflict-free.
Due to the mix of stopping and passing trains the situation will be different on
the exit side of the station. On this side, the traffic flow will be less regular and
so conflicts may occur that need a third track to be resolved. It is therefore also
of interest to check the exit capacity.
Table 3 shows the share of timetable variants within each traffic situation that
could be scheduled conflict-free with only two exit tracks. Two exit tracks are
enough in cases where all trains stop or all trains pass. This is reasonable since
the exit flow of trains will then be identical to the entrance flow.
Share of timetable variants where two exit tracks are enough.
Traffic situations lower than 0.20 marked.
Mlar line
Table 3:
8
8
8
4
8
0
6
6
6
4
6
2
3
0
2
2
2
1
2
0
0,37
0,36
0,1
0,13
0,18
0,2
0,12
0,15
0,31
0,17
0,13
0,33
0,17 0,097
0,1
0,33
0,25
0,06
0,056
0,083 0,034
0,5
0,53
0,26
0,31
0,23
0,5
0,46
0,33
0,31
0,32
0,47
0,36
0,29
0,29
0,27
0,41
0,26
0,26
0,31
0,23
0,63
0,64
0,54
0,49
0,51
0,6
0,52
0,48
0,48
0,45
0,59
0,46
0,48
0,48
0,43
14
0
14
4
14
10
14
14
16
0
16
8
16
16
18
0
18
6
18
12
18
18
East Coast line
Low values are shown for traffic situations with a mix of stopping and
passing trains. Some of these will hardly manage without a third exit track or
added scheduled delays through extended dwell or passing times. The conclusion
is that combinations where half of the trains from both lines stop are the most
difficult to schedule with only two exit tracks. However, serious problems do not
occur until the Mlar line is operated by more than 6 trains/h.
417
Conclusions and further work
This article proposes a heuristic approach to find a feasible design for a railway
station whose future operation, i.e. number of stopping and passing trains, is
uncertain. The results show that three platform tracks/direction are needed to
accommodate long-distance and regional traffic, even for moderate traffic
intensities.
Further studies are recommended to determine whether one of these platform
tracks could be replaced by a track without a platform, to be used by passing
trains only. A separate analysis of the sensitivity to assumed headway times is
also to be considered.
The modelling of timetables could be extended to also take into account less
regularity in the arrival processes. Such timetables are more realistic due to
speed differences between trains, operation of adjacent bottlenecks etc. The
meshes that connect the platform tracks to in- and outgoing lines could also be
further evaluated. Finally, a station design that is hereby found to be feasible
should also be evaluated with respect to delay propagation and disturbances.
Acknowledgements
The analyses presented in this article were performed by the Royal Institute of
Technology (KTH) as a consultancy assignment for the Swedish Rail
Administration (Banverket). It is part of the planning process for the extension of
the Mlar line.
References
[1] Berg von Linde O., Projekt Tegelbacken en kapacitetsbetraktelse, Tg
Otto HB Rapport 2002-19, 2002. (in Swedish)
[2] Carey, M., S. Carville, Scheduling and platforming trains at busy complex
stations, Transportation Research Part A 37, pp. 195-224, 2003.
[3] Hansen, I.A., Station capacity and stability of train operations, In: J. Allan,
R.J. Hill, C.A. Brebbia, G. Sciutto & S. Sone, (eds.), Computers in Railways
VII, pp. 809-816, WIT Press, Southampton, 2000.
[4] Kroon, L.G., H.E. Romeijn, P.J. Zwaenveld, Routing trains through railway
stations: complexity issues, European Journal of Operational Research 98,
pp. 485-498, 1997.
[5] Lindfeldt, O., Train traffic in greater Stockholm. The demand for a new twin
track railway through Stockholm. In: M.C. Ford (ed.), Proceedings of
Railway Engineering 7th International Conference and Exhibition, London,
Great Britain, 2004.
[6] Lindfeldt, O., Evaluation of punctuality on a heavily utilised railway line
with mixed traffic, In: Allan, J., Arias, E., Brebbia, C.A., Goodman, C.J.,
Rumsey, A.F., Sciutto, G., Tomii, N., (eds.), Computers in Railways XI,
pp. 545-553, WIT Press, Southampton, 2008.

[7] Lindfeldt O., Analysis of capacity on double-track railway lines, Transport
Planning and Technology. In press, 2009.
[8] Schaafsma, A.A.M., M.M.G.P. Bartholomeus, Dynamic traffic management
in the Schiphol bottleneck, In: I.A. Hansen, F.M. Dekking, R.M.P. Goverde,
B. Heidergott, L.E. Meester (eds.), Proceedings of 1st International Seminar
on Railway Operations Modelling and Analysis, Delft, The Netherlands,
2005.
[9] Yuan, J., I.A. Hansen, Optimizing capacity utilisation of stations by
estimating knock-on train delays, Transportation Research Part B 41,
pp. 202-217, 2007.
419
The simulation of passengers time-space

characteristics using ticket sales records
with insufficient data
J.-C. Jong & E.-F. Chang
Civil & Hydraulic Engineering Research Center,
Sinotech Engineering Consultants, Inc, Taiwan
Abstract
It is a very common approach for any business to analyze their historical sales
records to adjust operation strategy. Recently, Taiwan Railway Administration, a
government-owned railway operator, faces serious competitions from other
transportation systems. It becomes very urgent for the operator to modify its
timetables to meet demand patterns for increasing revenue. The key issue is how
to estimate passengers time-space characteristics. For railroads with advanced
automatic fare collection systems and simple service patterns, the estimation of
passenger flow may not be difficult since detailed travel information is available.
However, for systems with mixed traffic and insufficient ticket sales records, it
requires a scientific method to deduce actual travel patterns from limited
information. This study tried to establish such a model to reconstruct the timespace distribution of passenger flow. The model has been applied to Taiwan
Railway Administration to estimate passenger flow. The result is very useful for
decision makers to assess the utilization of train capacities and to adjust service
plans, such as adding/deleting train services, changing stopping patterns, or
modifying service termini. The proposed model can be applied to other railroads
with mixed traffic operations and insufficient ticket sales records.
Keywords: passenger flow estimation, ticket sales records.
1 Introduction
Taiwan Railway Administration (TRA) is the oldest railway operator that
provides intercity, regional and commuter train services in Taiwan. In early years
when TRA was the only inter-city transportation provider, timetable preparations
doi:10.2495/CR100391

were production-oriented. TRA provided transportation services mainly
according to resources availability (e.g., trains and crews). Passenger demand
was only a small issue in TRAs consideration list. During last few decades,
several transportation systems such as freeways and high-speed rail commenced
their services successively. These new transportation systems were strong
competitors for TRA. Recently, TRA attempted to employ marketing-oriented
approach for preparing more attractive timetables to increase revenue. To do this,
TRA should accurately estimate the demand characteristics of its customers,
including boarding time, origin station, and destination station.
In general, three different approaches are often used to estimate passenger
demand, including marketing research, transportation planning model, and
historical data analysis [3]. Among them, historical data analysis has great
potential for accurately characterizing passengers travel behaviour in a railway
system with a relatively low cost. The cost for collecting data decreases as the
computerization level of ticket sales systems increases. For a modern
computerized ticketing system, the sales record log is automatically generated
every day. Consequently, many researches prefer this approach for estimating
passenger demand. However the ticketing systems in TRA are not as advanced
as the Automatic Fare Collection (AFC) systems in modern urban transit
systems. Currently, TRA accepts four different kinds of tickets. Only tickets with
designated train numbers have detailed travel records. The others have limited
information, such as lack of train number or exact time to enter/leave the railway
system.
This study aims at developing a simulation model and a computer program to
reconstruct passengers time-space characteristics. The model estimates
passenger walking time and assigns each passenger to an appropriate train based
on limited information stored in the sales records. When the simulation is
completed, the number of passengers on each train and each railway section can
be calculated. Capacity insufficiency or service oversupply can also be
identified. The computer program provides several 2D and 3D charts to display
the time-space transitions of passenger flow. The resulting information is very
useful for railway operators to adjust their train service plans and timetables to
increase revenue.
2 Literature review
Analysis of historical ticketing records can be used to investigate passengers
travel behaviour in a railway system. Previous studies usually apply this method
to urban railway systems where detailed system logs of ticket gates are available.
For example, Myojo [4, 5] proposed a model to estimate passenger flow in a
large and complicated urban railway network using origin-destination (OD)
matrix data from ticket gates. The passengers route choices (including trains and
train lines) were determined by a logit model (A similar approach can also be
found in Hirai and Tomii [2]). To verify the proposed method, the study
compared the estimated results with the number of passengers reported by train
conductors who used a visual count. The correlation coefficients between them
421
are about 0.95~0.83. Nagasaki et al. [6] also proposed a similar approach to
estimate passenger flow but formulated passengers route choices as a shortest
path problem. Nagasakis model considered not only journey time and transfer
barrier factors but also congestion factors. In addition, his model also evaluated
train schedules from the viewpoint of passengers. Note that both Myojos and
Nagasakis studies used aggregated OD matrix data without exact
arrival/departure time for each passenger. Therefore, both models cannot
reproduce the detailed time-space characteristics of passenger flow.
In contrast to the macroscopic models proposed by Myojo [4, 5] and
Nagasaki et al. [6], Barry et al. [1] proposed a microscopic methodology to
estimate OD tables from the AFC records of MetroCard in New York City. The
results were used for other purpose such as traffic assignment in transportation
planning model. Zhao and Rahbee [7] also used AFC data to analyze the
behaviour of each passenger and integrated the records with Automatic Data
Collection system and Automatic Vehicle Location system to estimate rail
passenger OD matrix. Both studies did not estimate passenger flow on rail links
and trains.
Since TRA is not equipped with advanced AFC systems, the information
stored in the ticketing systems is insufficient. In addition, TRA provides train
services with different classes, each of which has different stopping patterns and
operation speeds. Even in the same class, the stopping patterns and service
termini for different trains are not identical. Consequently, the models found in
the literature cannot be directly applied to TRA. To overcome the problem, this
paper introduces a microscopic simulation model to estimate passenger flow
with insufficient data and mixed traffic. When the simulation is completed,
detailed information about the number of onboard passengers and the flow on
each section during different time intervals can be estimated. The following
section will introduce the features of TRA ticketing records. The detailed model
is discussed in section 4.
3 Features of TRA ticketing records

In early years, TRA used a manual approach to deal with ticket transactions. All
activities including ticket sales, checking, and inspection were performed by
TRA staff. At that time there were no electronic records. In the past few years,
TRA installed several ticketing systems, including booking systems, ticket
vending machines, ticket gate systems, etc. However, these systems are designed
mainly for accounting purpose. The information stored is insufficient to analyze
passenger behaviour. Since the study aims to precisely estimate passenger flow,
it is important to understand the status and limitations of the ticketing records in
TRA before developing the model.
There are many types of tickets in TRA. They can be divided into two major
categories. The first ticket type has a designated train number. Passengers with
these tickets are only allowed to board a specific train as the train number
marked on the tickets. For convenience, these tickets are referred to as
designated tickets. Note that designated tickets do not imply that seats are

reserved. Passengers may purchase designated tickets without reserved seats at
lower prices. The second ticket type has no designated train number. Passengers
with these tickets can board any trains of the same train class as shown on the
tickets. These tickets are called non-designated tickets.
In general, designated tickets are only used for express trains that provide
intercity services. Designated tickets with reserved seats can be purchased two
weeks before the train service and seats can be booked at the same time. Nondesignated tickets are used for any trains, such as commuter trains, local trains,
and even express trains. Non-designated tickets have several variations,
including one-way tickets and prepaid tickets. Both smart cards (RFID based)
and season tickets (magnetic based) are prepaid tickets. Figure 1 shows the
classifications of TRA tickets. The information stored in each ticket will be
introduced in the following two sections.
Figure 1:
Classifications of TRA tickets.
3.1 Electronic records of designated tickets

Electronic records of designated tickets exist in ticket sales and gate systems.
Trip information stored in ticket sales system includes the date of train service,
train number, origin station, destination station, etc. Gate system records the time
when the passenger passes through ticket gates. TRA provides several
convenient ways for purchasing designated tickets. The process for purchasing
tickets can be divided into three stages: booking, payment, and ticket pick-up.
Transactions at each stage are all recorded. Figure 2 shows the flow chart for
purchasing designated tickets. The simplest way to purchase a designated ticket
is via ticketing offices or vending machines at stations since the three stages can
be finished at the same time. If passengers book tickets through internet or phone
voice, they have several options to pay for the tickets. The method of payment
will decide how to pick up their tickets. The transaction records in internet/phone
voice booking system, ticket vending machine system, ticketing offices and post
offices were all collected for the study.
The main feature of designated tickets is that the train number is determined
once the ticket is booked. Therefore, it is easy to find out when and where the
passenger gets on and gets off the train. Note that the records of cancelled tickets
must be taken into account because tickets may be cancelled by passengers for
any reasons at any time before the train departs. If the model ignores the logs of
cancelled tickets, passenger flow will be overestimated.
Figure 2:
423
Flow chart for purchasing designated tickets.
3.2 Electronic records of non-designated tickets

A passenger with a non-designated ticket is allowed to board any train of the
same class as shown on his/her ticket. The trip information stored in the sales
records only consists of train class, origin station, and destination station. Due to
lack of train number, it is difficult to judge which train the passenger actually
boards. This study attempted to estimate the train number by other information.
The information depends on the type of the non-designated ticket and is
illustrated below:
(1) One-way Ticket: One-way tickets can be purchased via ticketing offices or
ticket vending machines at stations. A passenger with a one-way ticket is
allowed to board any train of the designated class once on the transaction
day. Two records may be useful to guess the train that the passenger should
take. The first one is the ticket transaction time and the other one is the time
stamp record when the passenger passes through a magnetic ticket gate.
Unfortunately, not all stations in TRA are equipped with ticket gates. In
such circumstances, passengers must show their tickets to station crews in
order to enter the paid area. Even at stations where ticket gates are installed,
passengers are not required to go through them. Therefore, transaction time
is the only reliable reference to estimate the train that a one-way ticket
passenger should board. Note that the purchase log and the cancel log may
exit in different ticket sales systems. For example, a passenger may purchase
a non-designated ticket via a vending machine and then cancel the ticket
through a ticketing office. Accordingly, the serial number of the nondesignated ticket is the only key to trace the two databases.
(2) Season Ticket: Season ticket is a kind of prepaid ticket. A passenger with a
season ticket is admitted to board any trains fifty times within two months
for a specific origin and destination pair. The passenger is required to
enter/leave paid areas through magnetic ticket gates. Thus, the time stamps
and the station names are the keys for estimating passenger flow.
(3) Smart Card: Smart Card is also a kind of prepaid ticket. It is based on RFID
technology and has its own gates. The characteristics of Smart Cards are

similar to season tickets. For some reasons, the electronic records in Smart
Card system have no time stamps when passengers enter stations.
3.3 Summary
Since the ticketing systems in TRA are designed mainly for accounting purpose,
the electronic records are insufficient for estimating passenger flow. This study
surveyed other electronic records in ticket gate system to supplement the
information. Table 1 summarizes the important data used in this study for
estimating passenger flow. Records for designated tickets and one-way tickets
are from ticket sales system. Quantity is the amount of tickets in one purchase.
If the value is negative, it means that those tickets have been cancelled. Records
for season tickets and smart cards are collected from the ticket gate system.
Thus, there is no quantity or ticket cancellation information.
In general, train number provides precise information about the train that a
designated ticket passenger intends to board. Thus, designated tickets have
sufficient information to estimate passenger flow under the assumption that all
passengers follow TRAs regulations. Secondly, we can deduce what train a
season ticket holder may take based on actual train schedules and the time
stamps of passing through ticket gates. The accuracy rate of determining the
boarding train for a smart card record is lower than that for a season ticket record
since the entering time for the smart card holder is not recorded. Finally, the
estimation of the boarding train for a one-way ticket record is the least precise
since only transaction time information can be used to judge which train the
ticket holder may take.
Table 1:
Useful information for different ticket types.
Designated Ticket
Origin station
Destination station
Train number
Train departure time
Quantity
One-way Ticket
Season Ticket
Smart Card
Origin station
Origin station
Origin station
Destination station
Destination station
Destination station
Transaction time
Entering time2
Leaving time
Item
Train class
Leaving time3
Quantity
Serial number1
1.
Serial number is used to trace the records of cancelled tickets.
2.
Entering time is the time when a passenger enters the paid area through a ticket gate at his/her
departure station.
3.
Leaving time is the time when a passenger leaves the paid area through a ticket gate at his/her
arrival station.
4 Simulation model
This study developed a simulation model to estimate passenger flow
characteristics based on the limited information summarized in Table 1. The
assumption and the framework of the proposed model are explained in this
section. Some important issues for the simulation process are also addressed.
425
4.1 Assumption
The assumptions for the proposed simulation are summarized below:
(1) The rail network in TRA is not complicated. The great majority of trips have
only one route between origin and destination stations. The model assumes
that passengers always choose a train that stops at both their origin and
destination stations without any transfers.
(2) A passenger who boards a train without any ticket is prohibited. Such illegal
behaviors should not happen frequently. These trips can not be counted
since there are no electronic records for illegal passengers.
(3) It is also an illegal behaviour that a passenger purchases a train ticket with
lower class and then boards a higher class train. The model assumes that
passengers always board trains according to their tickets.
(4) Passengers with one-way tickets will arrive at platform and prepare to board
a train within a certain time window after purchasing the tickets.
(5) Passengers with season tickets will arrive at platform and prepare to board a
train within a certain time frame after passing through magnetic ticket gates.
(6) Passengers with smart cards will take trains that arrives their destination
stations within a certain time window before they leave the stations.
4.2 Framework
Figure 3 shows the framework of the simulation model. The proposed model
consists of two major components: Train Traffic Simulator (TTS) and Passenger
Flow Simulator (PFS). The first one simulates the movement of trains. The
second one simulates the flow of passengers.
To make the model widely applicable, the TTS accepts two different
types of inputs: the planned timetable and the actual train schedule. The planned
timetable is easier to collect than the actual train schedule, but the assignment of
passengers to trains for the former is less precise than that for the latter. If train
punctuality is close to 100%, the simulation results will be similar. The PFS
extracts useful information from various databases and combines them into four
tables. The trips of cancelled tickets must be deducted from normal trips to avoid
overestimation.
Passengers must board a train to move from their origin stations to
destination stations. The process to assign each passenger to an appropriate train is
the core of the simulation. Passengers with designated tickets are assigned to the
designated train. The assignment of passengers with non-designated tickets is more
complicated. The study defined walking time to represent the time for a passenger
to walk to platform after purchasing a ticket or passing through the entry gate. The
model employs a uniform distribution to generate walking time for each passenger.
Actual value will be determined by parameters a and b in Equation (1).
Wi U (a, b)
(1)
where Wi =the walking time of passenger i
a = minimum walking time to platform
b = maximum walking time to platform
Figure 3:
Framework of the simulation model.
For one-way tickets and season tickets, the example of assigning a passenger
to an appropriate train is shown in Figure 4. Assume that a passenger purchases a
ticket from station D to station B at T1 . The model then generates walking time
and adds it to T1 . Let T2 be the time when the passenger arrives at platform. The
model will search forward for the first train of the recorded train class that stops
at both stations D and B, and then assigns the passenger to the train. For
example, the departure time of train 1 is earlier than the arrival time of the
passenger at the platform of station D. It is impossible for the passenger to board
train 1. Train 2, train 3 and train 4 do not stop at both stations B and D. Thus,
train 5 is the most likely train that the passenger may board in this example.
The assignment of passengers to trains for smart card tickets is similar to that
for one-way tickets and season tickets. However, the entering time of smart cards
is not recorded. Thus, the model will search backward for an appropriate train
from the time that a smart card holder leaves his/her destination station. The
concept is shown in Figure 5. In this example, train 1 is the most likely train that
the passenger may take.
When all passengers are assigned to trains, the number of passengers on each
train and each rail section can be calculated. In addition, every train has detailed
time and space information. Passenger flow at any time and any space can be
estimated.
427
Twalking
T1
T2
Figure 4:
Train assignment for one-way tickets.
Twalking
T2
Figure 5:
T1
Train assignment for smart card.
5 Case study
This study developed a computer program and used real data from TRA to
demonstrate the proposed model for estimating passengers time-space
characteristics. The input data and simulation result are explained as follows:
5.1 Input data
Since the operation control center in TRA did not have output module at the time
the study was carried out, the actual train schedules were not available. Instead,
the study employed the planned timetables as the input data. The sales records
and timetables on January 4 and 5, 2009 were used for the case study. There
were about 220 stations, 800 trains, and 400,000 records per day in TRA.

5.2 Simulation result
The program provides three different kinds of 2D and 3D charts to illustrate the
simulation results. Basically, there are two types of passenger flow estimated by
the model, i.e., node flow and link flow. The analysis of node flow focuses on
the number of passengers that enter and leave stations, while the analysis of link
flow focuses on passenger flow through each rail section.
Figure 6 displays the estimated hourly passenger inflow and outflow at Taipei
station (the busiest station in TRA). This information is quite useful for planners
to figure out the distribution of passenger flow and to identify the peak hour for
Taipei station.
Figure 6:
Hourly passenger inflow and outflow at Taipei station.
The number of onboard passengers is a key to estimate section flow. An

example of passenger volume on a train along its journey is depicted in Figure 7.
With this figure, the transition of passenger volume along its journey can be
recognized. Figure 7 shows not only the total passenger volume, but also the
components of passengers. According to the definitions in TRA, a trip shorter
than 50 km is classified as a short-distance trip. If the length of a trip is between
50 km and 200 km, it is classified as a middle-distance trip. A trip whose length
is more than 200 km is defined as a long-distance trip. The figure can be used to
locate the Maximum Load Section (MLS) and to find out the trip combinations
of different lengths on the MLS. The information may help railway operator plan
and modify their train services to satisfy passenger demand. For example,
providing shorter distance trains if the passenger volume near the two ends of the
rail line is too low.
Figure 7 only displays the passenger volume on a specific train. To explore
the variations in section flow, the study aggregated onboard passenger flows for
all trains, section by section and hour by hour. In other words, onboard passenger
volumes of the same section in the same hour were added together. The results
are shown in Figure 8. The x-axis, y-axis, and z-axis represent space, time, and
hourly passenger volume, respectively. This 3D chart clearly illustrates
passenger flow on each section in each hour. Figure 8 also shows significant
difference of passenger demands between weekday and weekend. This 3D chart
may assist planner to realize passengers time-space characteristics.

On board passengers on train #1015 along TRA rail section
300
Number of on-board
passengers
429
200
100
0

Stations
Long distance trip
Figure 7:
Middle distance trip
Short distance trip
Onboard passenger volume of a specific train along its journey.
(a) Weekday
Figure 8:
(b) Weekend
3D time-space distribution of passenger flow.
6 Conclusion and suggestion

In early years, TRA assembled all station masters to hold a meeting for
discussing how to modify timetables once a year. The decisions were based on
their experiences without quantitative evaluation methods. Moreover, station
masters only understood passenger flow at their stations. Passenger flow between
adjacent stations was not supervised by station masters. The primary objective of
the study is developing a simulation tool to estimate passenger flow in a rail
network with insufficient ticket sales data. Through the proposed model, railway
operators can calculate the hourly passenger flow at each station, the onboard
passenger volume for each train, the passenger flow on each section, and the 3D
time-space distribution of passenger flow. The simulation results are very useful
for decision makers to adjust their train services to increase revenue. The
proposed methodology can be applied to other similar railway systems with
mixed traffic and different types of tickets.
Analysis of historical sales records has a restriction that it can not consider
potential demands because the analysis result may be influenced by historical
timetables. For example, if the passenger inflow at a station is low, the reason
may be no demands or no suitable train services. Therefore, the analysis of

historical sales records is just a reference only. To investigate potential demands,
it is suggested that railway operator collect and analyze the log of booking
failure. The reason of booking failure may be no available seats or even no train
services at the preferable time for the OD pair of a potential customer. The
information will be a useful reference to decide whether to increase train
capacities or to add train services for increasing revenue.
References
[1] Barry, J. J., Newhouser, R., Rahbee, A., and Sayeda, S., Origin and
Destination Estimation in New York City Using Automated Fare System
Data, Proceedings of the 2001 TRB Planning Applications Conference,
Corpus Christi, Texas, 2001.
[2] Hirai, C. and Tomii, N., An Estimation Method of the Number of On-board
Passengers Applicable to Evaluation of Traffic Rescheduling Plans,
Quarterly Report of RTRI, Vol. 42, No. 4 pp.195-200, 2001.
[3] Jong, J. C. and Suen, C. S., A Train Service Planning Model with
Dynamic Demand for Intercity Railway Systems, Journal of the Eastern
Asia Society of Transportation Studies, Vol. 7, pp. 1598-1613, 2007.
[4] Myojo, S., Daily Estimation of Passenger Flow in Large and Complicated
Urban Railway Network Proceedings of the 7th World Congress on
Railway Research, 2006a.
[5] Myojo, S., Method to Estimate Passenger Flow Using Stored Ticket Gate
Data, Quarterly Report of RTRI, Vol. 47, No. 4 pp.178-181, 2006b.
[6] Nagasaki, Y., Asuka, M., Koyama, K., A Fast Method for Estimating
Railway Passenger Flow, Computers in Railways X, pp. 179-187, 2006.
[7] Zhao, J. and Rahbee, A., Estimating a Rail Passenger Trip OriginDestination Matrix Using Automatic Data Collection Systems, ComputerAided Civil and Infrastructure Engineering, p376-387, 2007.
431
Headway generation with ROBERTO

A. D. Middelkoop
ProRail Rail Development, The Netherlands
Abstract
A traditional and expensive solution for bottlenecks in a railway network is to
build more infrastructure. To handle future growth of passenger and freight
transport demand, the Dutch rail infra manager ProRail is looking for alternative
ways to solve capacity and quality bottlenecks. One of the ideas is to evaluate
and improve the timetable development process. By applying design principles
and by other conditions, buffer times are used in different timetable construction
phases. It is not clear whether and where the use of buffer times may cause a
double claim on capacity. An important design principle is the use of headway
times to separate two trains in the timetable safely. The specific values for
headway situations are mostly unknown. Planners use general values, based on
their experience. The current timetable planning tools require headway times as
input data. Given the large number of potential train combinations, it is almost
impossible to know every headway time before timetable construction starts. To
improve the knowledge and application of headway times, ProRail started the
development of ROBERTO, a tool for generating a large number of headway
times. The aim is to compute headway times for specific situations and to
determine general headway times for use on a more global level. The input for
ROBERTO is generated by simulating train characteristics, block section
occupation times and signalling aspects. ROBERTO combines possible
conflicting train pairs and calculates the headway times. All results are fed into
the planning systems and the effect on capacity and quality will be evaluated.
Keywords: timetable design, headways, simulation.
1 Introduction
This paper describes the development of a new planning support tool
ROBERTO, for generating a large number of headway times. After a short
introduction of the Dutch Rail Network and its challenge for the near future in
doi:10.2495/CR100401

Section 2, it explains the programme of Triple C in Section 3. This programme
consists of a number of measures, which amongst others change the planning and
the operation principles of the railway traffic. A particular part is to reallocate
buffer times in the timetable. Therefore, historical and experience based headway
times are not accurate enough and there is a need to improve the quality of
headway times and to make them available in the timetable development and
planning systems. Section 4 describes the approach to develop the new tool,
Section 5 describes the first application on an important railway corridor in the
network. The paper ends with conclusions and future activities
2 The Dutch rail network

The size of the infrastructure of the Dutch railway network is moderate
compared to most other European countries. The length is 2800 km and it
contains about 6500 km of tracks. In recent years three new infrastructure lines
have been built. A new high speed line Amsterdam-Schiphol-RotterdamBelgium, a new connection between the harbour of Rotterdam and Germany
(Betuweroute) and a new extra double track connection between Amsterdam and
Utrecht will become available. Anticipating the availability of these capacity
extensions ProRail and the Train Operating Companies (TOC) have introduced a
new timetable structure in 2007. The main part of the traffic is used for
passenger transport (about 85%). On a daily basis some 5400 trains carry 1.2
million passengers. Each day over 300 cargo trains transport 100 kton of freight.
All trains from 29 TOCs produced over 140 million train kilometres in 2007.
Although freight transport is growing strongly, it is still a minor part (about 8%)
of the total train kilometre performance.
2.1 Travelling in the near future
In the near future Dutch society is facing a mobility problem. Transport demand
is expected to increase. It will be difficult to reach city centres, main harbours
and to establish good connections to the rest of Europe. Both passenger and
freight transport might encounter loss of travel times. In addition, the railway
transport demand will grow strongly, especially in the western and most
urbanised part of the network (Randstad), as a result of the new timetable
structure, the operation of the new lines and road congestion.
Nowadays the occupation rate of the Dutch rail network is already high [1]. In
the Randstad intercity trains run every 15 minutes there and regional trains run
every 15 minutes, connecting the four largest cities. It will be difficult to
facilitate future growth. A traditional and expensive solution for bottlenecks in a
railway network is to build more infrastructure. The challenge is to find solutions
that are more cost effective.
ProRail, the Dutch rail infra manager has the ambition to facilitate this growth
and contribute to the improvement of mobility and reachability. Therefore,
ProRail has introduced a programme called Triple C. The idea is to increase
railway transport by offering high frequent travel opportunities and to give
433
freight lines dedicated routes through the country. There are a number of
bottlenecks to solve before the network may handle the foreseen transport
volumes.
The ambition is to be ready in 2012 and apply the principles on a first
corridor. Depending on the market demand soon other corridors may follow.
New solutions from the Triple C approach will be introduced the coming years
as soon as possible.
3 Triple C project
The project Triple C, where C stands for Change (in Dutch Triple A), aims on
changing or redesigning the timetable development processes. It covers capacity
analysis, timetable development and operational processes. A multidisciplinary
design team investigates how these processes may be changed to facilitate
improvements. Furthermore, they look at conditions concerning maintenance,
traffic control, safety, noise, environmental, legal and regulation issues.
This new approach tries to increase transport capacity in a cheaper, smarter
and quicker way and focuses on tailor made but robust solutions. It looks for
ways to improve the occupation rate first before deciding to build new
infrastructure. It also aims at developing innovative solutions and to organise a
strong feedback from the operational level to the planning. The next section
illustrates the three categories with some examples.
3.1 Changing capacity extension
The measures focus on increasing track occupation rates, rail infrastructure
extension and river crossings. Examples are:
- Signalling block shortening
- Higher passing speed for freight trains in a node
- Fast overtaking situations
- Opening times waterway bridges
- Alternative waterway crossings
- Advanced traffic management systems to optimise train traffic
on punctuality, energy consumption and throughput.
3.2 Changing capacity allocation
The infra manager is responsible for the optimal use of the rail and transfer
capacity. In case of conflicting capacity claims of different transport companies,
this should be the criterion to decide on the final timetable construction.
Therefore example measures in this category are:
- New or adapted regulation
- Priority rules for capacity allocation
- Adjust product specification like train types and train lines
- New braking regulations

3.3 Changing planning and operational processes
Timetable planners use planning principles in order to construct a timetable that
is feasible during operation. In reality, the structural feedback from the operation
to the planning is rather new, but first results are very promising. It triggers a
discussion about changing planning principles. Concept measures from this
category are:
- Compute and reallocate headway and buffer times
- Small conflicts in planning handled by traffic control
- Minimise crossing movements in big nodes
- Flexible departure tracks
- Support driver and traffic control with on-line information
- Maintenance inspection outside the rush hour
- Quicker door closing process
One of the ideas from the last category is to determine the amount of buffer
time in the timetable explicitly and to reallocate the buffer times. By knowing
the technical minimal times exactly, the planning process becomes more
transparent. The effects of buffer time reallocation and small planning conflicts
on capacity and quality may be quantified better. For a lot of situations headway
and buffer times are not available on an appropriate level and it is very time
consuming to compute them for all situations. This has been the reason to start
the development of a tool that generates a large amount of headway times:
ROBERTO.
4 Improving the planning process

First, this chapter gives an overview of the planning process at ProRail,
including the decision support systems. The application of these tools has
evolved from not only supporting long term timetable development to also
support short term timetable design processes. They are used at ProRail, the
Dutch rail infrastructure manager, and at NSR, the main Dutch train operating
company. [5]. Then it describes which part is improved by the introduction of
ROBERTO.
4.1 Planning process and tools
The mid term planning process at ProRail consists of four stages. After these
stages, the planning process continues with the construction of the 24-hour
timetable, rolling stock, shunting and crew planning. Finally, the capacity
allocation process integrates all train paths for all train operating companies.
The first stage is a definition of the transport demand in terms of passenger
and freight volumes, train lines, frequencies and more. The second stage is to
make a definition of the expected capacity. In fact, this is a description of the
infrastructure of the rail network, with an appropriate level of details for the
stations and the tracks. The properties of the signalling system are incorporated
by means of headway times. The third stage is to generate a countrywide feasible
timetable using the CADANS-algorithm [2], which is incorporated in the DONSWIT Transactions on The Built Environment, Vol 114, 2010 WIT Press
Market demand
Line planning
Capacity
definition
Network
Timetable Design
Station
Train Routing
TRANS
ROUTGOED
DONS
(CADANS + STATIONS)
Figure 1:
435
Timetable
Construction
+ Capacity
allocation
DONNA
Planning stages and tools.
tool [4, 5]. In the Netherlands, such a timetable is a regular one or two hourly
pattern representing a rush hour or an off-peak period. Also known as clockface
pattern timetable or Taktfahrplan in German. The result is a set of records in
which each train has an arrival, departure or pass through movement, at a
station on a certain moment. The last step is to generate a feasible set of routes in
the main stations (about 70) given the network timetable, resulting in track
occupation charts. This stage uses the STATIONS algorithm [3].
4.2 DONS approach: designing a network timetable
The system DONS (Designer of Network Schedules) supports the construction
of a network timetable. It translates the user input into groups of constraints,
describing the relation between train events caused by running times, dwell
times, headway times buffer times, passenger and rolling stock connections and
generates a solution. The result is a set of records where each train has an
arrival, departure or pass through movement, at a station on a certain moment.
The user has option to give the solver a lot of solution space or to limit this. For
instance, when the infrastructure constraints are switched off any timetable
should be possible. If in this case no solution is found the market demand is
inconsistent and should be changed. The system gives information which set of
relations is impossible. On the other hand, the user may also start with an earlier
found solution, fix the train times and ask the system to show whether new trains
fit in the timetable. If not, the result of former iterations is saved and only new
trains should be changed. It is an iterative approach where the tool generates
feasible solutions or shows where planners should relax constraints to solve
infeasibility.
A feasible timetable means that there are no planning conflicts. Potential
conflicts occur amongst others where two trains claim the same infrastructure
elements in their path through the network. Most planners and also their
timetable planning systems use a microscopic infrastructure model, including
switches and the signalling system, to check for conflicts. The planned times are
based on a technical minimum time added with a buffer time and rounded to
minutes. The underlying network infrastructure model in DONS is on a
mesoscopic level. Main elements are the tracks in the nodes, the links and how

they are connected. It does not describe the switches and the signals, but
separates succeeding and crossing train movements by headway times. Unless it
is possible to specify a headway situation for a unique train combination in
DONS, planners use more general definitions based on their experience and
scarce historical facts. The origin and the exact values for underlying headway
situations are mostly unknown. The calculation of a headway time is very time
consuming, mainly caused by the manual input of infrastructure data. Given the
large number of potential train combinations, it is almost impossible to know all
correct headway times before timetable construction starts. This number may
even grow when more variants of rolling stock combinations should be used.
Therefore, in practice these planning norms are simplified to one or more general
levels.
With the tool ROBERTO it is possible to generate a large number of headway
times automatically and to feed them into DONS and other the planning systems.
The aim is to investigate whether simplification to a more general level makes
sense and to decide where to use specific or general headway times.
5 Development of ROBERTO
To improve the quality of the headway times and to base planning standards on
real facts, ProRail started the development of ROBERTO (in Dutch this is an
abbreviation of running and headway times calculation tool). The tool supports
the calculation of a large number of headway times automatically. This section
explains the elements of a headway calculation first, then it describes the
ROBERTO development.
5.1 Calculation of a headway time
Headway times describe the time distance between two trains in the timetable
planning. Each train needs a free track section ahead to guarantee a safe train
run. Due to the low adhesive power of the wheel rail contact (steel to steel) and
the condition to have an absolute braking distance to any preceding train, braking
distances in railways are relatively long compared to road transport. This
distance has to be free of other trains in case of normal operation. The signalling
system secures safe access to the required infrastructure ahead of a train by
showing red, green or yellow aspects sometimes accompanied by a speed limit.
To explain the elements that contribute to a headway time, Figure 2 shows a
situation where the location of the conflicting infra element lies outside the
platform area. The platform area, represented by a central line P, is the reference
location for the moments recorded in the timetable. This is a situation where an
arriving train 2 has to be separated from a departing train 1. The same principles
hold for other combinations of arriving, departing and passing trains.
Basic elements in a headway situation are:
Operation time for setting the route of train 1
Reaction time driver
437
P
Figure 2:
Headway situation.
Running time train 1, from reference location P (here platform area) to

point that releases the conflicting block section C.
operation/reaction time to set a new route for train 2over the conflicting
element
Running time train 2, from position T, which is at approaching distance
of the relevant signal to platform area P
When two trains share one or more infrastructure elements in their routes, a
conflict may occur in case they claim for use this element in an overlapping time
interval. Train separation may be described using the blocking time model [6]. In
a time-distance graph, a train path is visualised by a line, but on a more detailed
level it consists of a set of block section occupation times represented by a
profile of rectangles.
To find a minimal headway time the second train profile has to be shifted as
close to the first profile as possible. This is where the line representing sight
distance for train 2 touches the rectangle profile of train 1 [Fig. 3]. In other
words: shift as long as the running time of the second train is equal to the
original running time.
5.2 ROBERTO
The aim of ROBERTO is to compute a large number of headway times
automatically for all possible pairs of trains that share one or more elements of
the infrastructure. Input for the tool are running times, track element occupation
times and signalling aspects relations. The computation of a headway time
requires input from a microscopic infrastructure level. To realise this in a short
time ROBERTO uses output from the simulation model FRISO (Flexible Rail
Infrastructure Simulation model of Operations). The approach is the following:
Build a simulation model (with FRISO) containing a part of the
infrastructure network
Define a set of trains, e.g. the trains of the timetable pattern, coming
from planning systems
SN1B
Figure 3:
stop
SN3B
SN4P
SN5P
SN6P
SN7B
Halteer SN9B
Time distance diagram with block section occupation.
Generate the running times by single simulation runs, log train

behaviour and information of the signalling system.
Feed this data to ROBERTO (XML-file).
Select ROBERTO parameters and run it.
Analyse ROBERTO output
Convert and feed the ROBERTO output to the planning system DONS
The data flow has the following components:
IA/DONNA
Company
Databases
Infrastructure
Timetable
Routes
FRISO
Simulation
Model
Running times
Track occupation
Signalling aspects
ROBERTO
DONS/DONNA
Headway tool Timetabling
system
Headway times
Headway times
Norms, standards
The user chooses to compute all given or a selection of trains. ROBERTO

makes appropriate combinations of the trains and calculates the time differences
on all shared infrastructure objects. Note that for two trains following each other
more objects are shared than two trains running in opposite directions, with
exception of single track use. For succeeding trains, time differences on each
common signal become available. The last step is to define the critical/minimal
headway time and to adjust it to the reference location of the timetable. To find a
minimal headway time the second train profile has to be shifted as close to the
first profile as possible without changing the original unhindered running time.
For inspection of the speed profile of a train there is a speed-time diagram, for
inspection of the critical headway time and place there is a time-distance diagram
439
with a visualisation of the block section occupation times (Fig. 3). The planning
system DONS uses headway times on different levels. For instance, there is the
most global level, meaning there is a headway time valid for any train pair in any
location and there is the most detailed level where a headway time for specific
trains on specific locations may be defined. In total there are 5 levels of detail.
The system has a mesoscopic model for the infrastructure of the network. Each
station or junction is a node and each connection is a link. Both node and links
know the amount of tracks inside them and which train movements are
potentially conflicting. The results of ROBERTO are based on a microscopic
infrastructure model. Therefore, there is an extra step/interface which converts
the critical headway times to the DONS nodes and the right level.
6 Future work
In a first step, the results are validated. The results and the calculation
performance are promising. In a triangular part of the network between Den
Bosch Eindhoven and Tilburg (an area of approximately 60 kilometres),
having 22 trains, ROBERTO finds about 1200 headway times in 20 minutes.
Next step is to calculate the headway times for the main corridors and to analyse
effects on capacity and punctuality performance. Finally, the tool will be
connected to all planning systems, to support both timetable development and
capacity allocation.
References
[1] Poort, J.P.: Limits on utilization (in Dutch). NYFER (2002)
[2] Schrijver, A., Steenbeek, A.: Timetable construction for Railned
(Dienstregelingontwikkeling voor Railned). Center for Mathematics and
Computer Science Amsterdam (1994)
[3] Zwaneveld, P., Dauzere-Perez, S., Van Hoesel, S., Kroon, L., Romeijn, H.,
Salomon, M., Ambergen, H.: Routing Trains Through Railway Stations:
Model Formulation and Algorithms, Transportation Science 30 (1996) 181194
[4] Vromans, M.J.C.M...: Reliability of Railway Systems. ERIM PhD Series
Research in Management 62 (2005) 56-63
[5] Kroon, L et al.: The new Dutch Timetable, the OR revolution. Interfaces (to
appear 2009)
[6] Hansen, I.A., Pachl, J.: Railway Timetable & Traffic (2008)
441
Development and implementation of

new principles and systems for
train traffic control in Sweden
B. Sandblad, A. W. Andersson, A. Kauppi & G. Isaksson-Lutteman
Human-Computer Interaction, Dept of Information Technology,
Uppsala University, Sweden
Abstract
The trend towards higher speed, more frequent traffic and many traffic operators
requires new strategies and solutions for efficient train traffic control and
utilization of track capacity. Operative control is today focused on controlling
the infrastructure. In earlier research we have shifted the control paradigm from
todays technology oriented into a more traffic oriented one. This is done by
real-time re-planning. The continuously updated traffic plan is normally executed
by automated systems. After tests and evaluation in a simulated laboratory
environment, the Swedish Rail Administration (Banverket) decided to develop
and deploy an operative system to be installed at a traffic control centre. This
system, called STEG, implements the main research results. Features of the new
system are a dynamic planning view in form of a time-distance graph, decision
support that helps the controller to identify disturbances and conflicts and
automatic systems for execution of the traffic plan. The traffic controller can
re-plan traffic (time aspects, track usage) via direct manipulation of the graph
lines in the interface. Track maintenance and other activities can also be planned.
The system automatically calculates all consequences of the changes and shows
the effects on all trains within the actual time-distance space. A very careful
process has been used to go from research results and prototypes to a fully
operational system. The process has been very user centred and numerous
iterations have been performed. Through this elaborate work, we have been able
to ensure that the intentions of the prototypes have been correctly implemented
in the final product.
Keywords: train traffic control, dispatching, traffic planning, user interfaces,
automatic execution.
doi:10.2495/CR100411
1 Background
Tomorrows train traffic, with higher speed, more frequent traffic, mixed traffic
and many independent traffic operation companies, requires new principles and
technical solutions for efficient train traffic control. Todays control systems are
often designed to support the operators possibilities to react on alarms, conflicts
and disturbances and to solve acute problems and conflicts. However, in order to
perform efficiently, operators should be able to follow the dynamic development
of the traffic system over time and prevent disturbances. In order to achieve this,
we must change the control paradigm from technical control of the infrastructure
into higher level traffic planning tasks. This is done by replacing the traditional
control commands by real-time re-planning (Andersson et al. [1], Sandblad et al.
[7], Wikstrm et al. [9]).
Advanced laboratory prototypes have successively been implemented and
tested. By connecting user interface prototypes to a train traffic simulator
(Sandblad et al. [8]), it has been possible to perform experiments with the design
of new user interfaces and decision support tools, and to test and evaluate new
control strategies for the train traffic control operators. Based on numerous
laboratory experiments, a step has now been taken in order to build a fully
operational system and to test and evaluate this in a real traffic control centre
environment.
2 Earlier research studies

Our research has been based on a very detailed description and analysis of how
train traffic is controlled today, the mental models of the dispatchers and the
strategies they use for decisions and control tasks. The research has consisted of
mainly the following steps:
Observations and interviews with dispatchers and other professionals at
the traffic control centres. Analysis of the findings and identification of
problems and development areas.
Seminars with experienced and responsible professionals from the
national rail and traffic control administrations. Here the visions and
restrictions for future development of control systems have been
specified.
Iterative specifications and evaluations with the help of a working group
consisting of experienced operative traffic control professionals.
Tests and evaluations in a laboratory control room environment using a
train traffic simulator system.
In order to support real-time planning of train traffic we provide the traffic
controller with an interactive computerized time-distance graph. Prototypes of
new user interfaces that support the new control strategy have been designed,
implemented and preliminary tested in the laboratory environment at Uppsala
University. The interface is designed to integrate all decision relevant
information into one unified interface and to support continuous awareness of the
dynamic development of the traffic process (Kauppi et al. [5]).
443
The computer based time-distance graph is designed in such a way that it

visually supports the operators situation awareness of the current status and the
projection into the future (Endsley [3]). The user interface, with its planning
view, can support early detection of upcoming conflicts, identify possible replanning alternatives and their predicted effects. The new control strategy has a
potential to better support the traffic controllers ability to handle continuous replanning, with the goal to always have a functional traffic plan at hand. This plan
can be automatically executed except when technical malfunctions hinder this.
Automatic functions that support execution of the traffic plan must be
transparent, predictable and easy to understand. The automatic functions must
never change the controllers traffic plan but are only allowed to strictly execute
the actual traffic plan. The traffic plan mainly consists of time table and track
usage information, including maintenance work. Detailed interface design, easy
to interpret, concerning the automation helps to keep the human in-the-loop and
to avoid automation surprises (Bainbridge [2]). By re-planning, the operator is in
control of what the automatic function will do and when. Hence, the operator is
continuously in full and active control.
We have also evaluated different approaches to include decision support
systems in operative train traffic control (Hellstrm et al. [4], Kvist et al. [6]).
We have found that more advanced automated decision support systems are
today not a realistic alternative of several reasons. More research and
development of methods are needed in this field. We have decided to focus our
efforts on supporting the controllers through better presentation of information,
improved information observability and quality, help with early detection of
conflicts and disturbances, identification of possibilities and limitations for replanning and evaluation of effects of alternative actions.
3 From research prototypes to an operational system

Experiments with the new control strategy, operator interfaces, decision support
systems and automatic execution functions have been performed in our
laboratory environment with satisfying results (Sandblad et al. [10]). Many
important aspects can be investigated in the simulated environment at Uppsala
University, but some issues must be evaluated in a real operative environment.
To work in a laboratory environment, and to control a simulated traffic system,
will always mean that we have simplified the situation. The real traffic system is
more complex and stochastic compared to our laboratory models. The work tasks
of the controllers are also more complex and diversified then what we can create
in the laboratory, e.g. concerning communication with other persons in the
complex and dynamic environment. It will never be possible to evaluate all
relevant aspects of the new control system in a pure simulated environment.
We also face large practical and economic problems when the laboratory
prototypes shall be implemented and deployed as a part of the real train traffic
system. It will not be possible to develop a complete traffic management and
control system only for test purposes, but we must implement the new control
functionalities on top of the existing basic control infrastructure. Our prototype

system has a focus on planning, re-planning and automatic execution of control
commands. Not all other tasks are supported by functionality in our system.
When malfunctions in the infrastructure hinder the automatic execution, the
controllers must go back to the old control system. Thus, the new control system,
control by re-planning, must for test purposes be implemented as a
complementary module to the existing system.
The research and technical implementation questions that we try to answer in
the project are mainly:
Does the new control paradigm, principles, tools and interfaces really
contribute to more efficient traffic control and a better work
environment for the traffic controllers?
Is it possible to implement the new control principles and tools as an
integrated part of the already existing infrastructure? What of the
original ideas must be changed in order to make the implementation
possible and economically realistic?
How can our research prototype support requirement specifications and
evaluation for the implementation and development process?
4 The STEG project

4.1 Project phases
The STEG project has been divided into several different steps or phases. On a
high level the following main steps have been identified:
Benefit-cost analysis.
Risk analysis and assessment of the project as such, including backing
procedures if certain parts of the project fail.
Identification of test site. A test site was selected that fulfilled a number
of requirements, e.g. availability of different track structures, single
track, double track, mixed traffic types, more complex stations,
connections to other traffic control regions, availability of input data for
track diagrams, technical specifications etc.
Requirement specification for the test system.
Several different technical investigations concerning compatibility,
availability of input data, technical platform, technical performance,
safety, security, communication etc.
Specification and test of control algorithms, e.g. for the automatic
execution of control commands from the traffic plans.
Technical development according to specified development model,
including a user centred process.
Implementation. Operative tests and evaluation.
4.2 The development phase
Of special interest in a research context is the process to come from the research
prototype to a fully operational system without loss of essential requirements and
445
functionality. This has successfully been achieved through a very close

cooperation between researchers, designers and developers, including numerous
iterations. We have earlier found that it is not so easy to create a system that to
full extent meets all relevant requirements.
In this project there has been a very strong focus on usability issues,
minimizing the operators mental workload, support of the operators situation
awareness, avoiding automation surprises etc. In order to achieve all this in an
optimal way, it is not possible to supply the technical development team with a
comprehensive list of requirements, and passively wait for the final system.
Every step in the development process must be followed, analysed and evaluated
by skilled interface designers with a deep knowledge in appropriate knowledge
areas. Of course, this requires both enough time and resources together with a
development team that is open to continuous iterations, tests and modifications.
5 The STEG system today

The STEG system is today implemented as an additional module on top of the
regular train traffic control system. This allows the traffic planner to go back to
the old traditional system at any time. Via STEG, the traffic planner can
continuously observe the dynamic development of the traffic within the actual
track segment. The planning view in the time-distance graph is automatically
scrolled downwards as time evolves. Identified conflicts with respect to track
usage on the train lines or in the stations are automatically indicated in the
interface. Such conflicts can now be early identified and eliminated by the traffic
planner by re-planning of time table and track usage for each train involved in
the conflict. Other sets of information shown in the interface are track structure,
train positioning, detailed information concerning trains and stations etc. The
user interface is continuously updated by dynamic data from the train traffic and
signalling system. The results of all re-planning actions and the total effects of
the valid traffic plans are always shown in the interface. See figure 1.
Through manipulation of the time-distance graph lines, directly in the user
interface, the time-table and the track usage can be re-planned whenever the
traffic planner finds this appropriate. See figure 2. When the traffic plans are
without conflicts, they can be automatically executed. This is done by a separate
system that executes the plans exactly as they are specified by the traffic planner.
By not allowing the automatic algorithms to change the traffic plans, all
automation surprises (Bainbridge [2]) can be eliminated. The automatic
execution system is non-autonomous and is never allowed to change the traffic
plan. In earlier systems, where the automatic systems could change the plan,
train order, meeting-points etc., the traffic planner often turned the automatic
system off in order to avoid confusion. The human traffic planner is now always
in full control of the situation.
Figure 1:
The figure shows the united interface, including the planning view
in the time-distance graph, graph lines for each individual train, the
time axis, the history below the present time line, the track
structure, train and station information, planned maintenance work,
etc. The planned traffic can always be seen together with the
original time-table lines, so that delays, etc. can be easily detected.
Conflicts of different natures are also visualized and can be
detected and solved early.
Figure 2:
The figure shows re-planning of a selected train. The traffic planner

can easily change the arrival time, departure time or track usage for
the selected train and station. This is done by the selection of a
graph line and manipulation of the nodes using the mouse buttons
and thumb-wheel. The new plan can be seen directly in the user
interface.
447
6 Preliminary tests and evaluation

The STEG system has been used for operational tests at a Swedish train traffic
control centre. Via STEG, traffic planners can monitor and control by replanning one segment of the main rail line from Stockholm to southern Sweden,
including one double-track line, one single-track line and some less frequently
used freight traffic lines.
The experiences so far, when the test period is not finished, are mixed. On
one hand, the system works according to the intentions and requirements. On the
other hand, a number of different problems have appeared which have made the
tests somewhat problematic.
We have found that the basic concept, control by re-planning in real time and
automatic execution of the traffic plans, is working in practice and is accepted by
the traffic planners. However, we have also been faced with a number of
problems of a more practical nature. Some of the more important problems and
obstacles, which have disturbed the tests so far, are:
Technical errors in old interlocking systems, difficult and expensive to
eliminate.
The user interface should show more relevant states of the automatic
execution system. Otherwise the traffic planner will not be able to
predict the effects of technical malfunctions.
A larger presentation area would improve the usability.
Lack of a complete integration with the ordinary traffic control and
signalling system leads to robustness problems.
More advanced tests and evaluation procedures are planned for the remaining
test period. These include e.g. data analysis, observations, interviews,
questionnaires and video recordings with following analysis of the planners
behaviour. The evaluation will focus on two main questions: does the system
contribute to better traffic performance and does the system contribute to more
efficient work of the traffic planners. The full results of the evaluation will be
presented later.
7 Future research
From our earlier research and experimental studies in the laboratory, which has
been shortly discussed above, we have a more or less complete solution for the
new proposed control paradigm, control by re-planning. When the operative test
system is being specified and developed, it is not possible to implement the full
prototype system. Some parts are not relevant to the operative test environment,
other parts are not possible to implement because of limitations in the existing
infrastructure etc. Some of the more important, and from a research point of view
most interesting, problems to be solved in the future are:

7.1 Traffic planning on a national level
It is not enough to solve the re-planning problem for individual traffic segments.
In Sweden today the traffic is controlled as several isolated traffic segments in
each of the eight regional control centres. In order to obtain continuously
updated traffic plans that cover the total traffic system, a national system and
organisation must be created that integrates all separate traffic plans. On this
national level more strategic planning decisions can be taken, which better
coordinates the local and regional activities.
7.2 Automatic execution functions
The purpose of the automatic execution functions is to generate and deliver
control command sequences to the underlying control system in time. Because of
the lacking quality in traffic predictions, the algorithms must have large margins.
This results in a non optimal performance. Measures to improve precision in data
are most important, since this can significantly improve the total performance.
The traffic controllers could e.g. be allowed to update the traffic plans closer to
real-time. The actions of the automatic functions must be clearly shown in the
user interface in order to support good situation awareness and avoid automation
surprises.
7.3 Detailed track diagrams
Today it is unclear how much track diagram information that is needed for the
controllers. The presentation must be detailed enough to support the
understanding of conflicts, status of the infrastructure, restrictions and degrees of
freedom in the re-planning activities etc. Different level of detail in the
presentation will be tested in the future.
7.4 Traffic control in complex stations
The design of support systems, e.g. interface elements and decision support
functions, for traffic control in more complex stations is not investigated enough.
In our operative test environment we will not cover complete traffic regions, and
because of that we do not now need advanced solutions. On the other hand, we
will not be able to evaluate the total performance. In order to specify a complete
traffic plan, from start to end station, also complex stations must be covered by
the re-planning tool.
7.5 Work environment and design of the workplace
We have a rather detailed picture of what kind of presentation system that is
needed for optimal performance and a good work environment. This should
require very large presentation areas with high resolution and quality and without
disturbing frames. Because of economic and practical reasons, we will not be
able to implement an ultimate technology. The exact lay-out of the work place
449
will be made so that the individual traffic controller has an optimal solution
concerning ergonomics and information overview.
7.6 Remaining design and implementation questions
There are some important problems concerning the available technical solutions
that we will not be able to solve within the STEG project. This will restrict our
possibilities to develop efficient support systems and to evaluate the new control
paradigm. The two most severe limitations in this respect are:
Train speed and position. There are no technical solutions available that
now allow us to observe train speed and position with high precision.
Today the best precision is the identity of the block section. In the
future positioning systems with a high precision will be available.
Communication with train drivers. Today we are not able to
automatically communicate new traffic plans to the train drivers. This
means that the train drivers will drive according to old and obsolete
plans. By doing so they will not be able to perform optimally. In very
urgent cases the controllers can phone the train drivers to inform them
about changes in traffic plans, train stops etc. It is also not possible for
the train drivers to easily inform the traffic controllers about late
departures, speed restrictions caused by machine problems etc. In the
future we will have efficient communications links for such purposes,
e.g. when ERTMS/ETCS systems have been fully implemented.
Acknowledgements
This project has been financially supported by the Swedish National Rail
Administration. We especially thank all professional traffic controllers and
planners who have been engaged in the research and test activities.
References
[1] Andersson A.W., Sandblad B., Hellstrm P., Frej I., Gideon A. (1997) A
systems analysis approach to modelling train traffic control. Proceedings of
WCRR97, Florence, Italy 1997.
[2] Bainbridge, L. (1983). Ironies of automation. Automatica, 19, 775-779.
[3] Endsley M.R. (1996). Automation and situation awareness. In R.
Parasuraman & M. Mouloua (Eds), Automation and Human performance:
Theory and applications (pp. 163-181). Mahwah, NJ: Lawrence Erlbaum.
[4] Hellstrm, P., Sandblad, B., Frej, I., Gideon, A. (1998). An evaluation of
algorithms and systems for Computer-Aided Train Dispatching, Computers
in Railways VI, Wessex Institute of Technology, 1998.
[5] Kauppi A., Wikstrm J., Hellstrm P., Sandblad B., Andersson A. W.,
(2005). Future train traffic control, control by re-planning. In J.R. Wilson,
B. Norris, T. Clarke, and A Mills (Eds), Rail Human Factors supporting the
integrated railway (pp. 296-305). Ashgate Publ. Ltd. 2005.

[6] Kvist T., Hellstrm P., Sandblad B., Bystrm J., (2002). Decision support
in the train dispatching process. Computers in Railways VIII, Wessex
Institute of Technology, 2002.
[7] Sandblad B, Andersson AW, Bystrm J, Kauppi A. (2002). New control
strategies and user interfaces for train traffic control. Computers in
Railways VIII, Wessex Institute of Technology, 2002.
[8] Sandblad B. et al. (2000). A train traffic operation and planning simulator.
Computers in Railways VII, Wessex Institute of Technology, 2000.
[9] Wikstrm J., Kauppi A., Hellstrm P., Andersson A., Sandblad B. (2004)
Train traffic control by re-planning in real-time. Computers in Railways IX,
Wessex Institute of Technology, 2004.
[10] Sandblad, B., Andersson, A.W., Kauppi, A. and Wikstrm, J.
Implementation of a Test System for Evaluation of New Concepts in Rail
Traffic Planning and Control. In: Wilson, J., Norris, B., Clarke, T. and
Mills, A. eds.: People and Rail Systems. Human Factors at the Heart of the
Railways. Ashgate Publ. Comp., 2007
Section 6
Maglev and high speed railway
453
A model for the coordination between

high-speed railway lines and conventional
rail lines in a railway passenger
transportation corridor
Y. Bao
School of Traffic and Transportation, Beijing Jiaotong University, China
Abstract
With the construction of high-speed railway lines in China, there are growing
concerns about the rational transport cooperation between high-speed railway
lines and conventional rail lines. A rational transport cooperation scheme can
improve railway capacity utilization, train speed, service and the organization
quality of railway transportation. The previous research mainly focused on the
aspect of the management of railway or passenger organization, which ignored
the interaction of them. Based on the planning of a railway transportation
corridor and the structure and distribution of passenger flows, we addressed the
problem of rational cooperation of the railway passenger transportation corridor,
aiming at identifying the train varieties, quantities and the routes of trains on
high-speed railway lines and existing conventional rail lines in a railway
transportation corridor. A bi-level programming model for the division is
proposed. The upper model is to minimize the total transportation cost, and the
lower one is an equilibrium model determined by passengers. Then a solution
algorithm based on a genetic algorithm (GA) is designed. Finally, the application
of the model and the algorithm are illustrated by a numerical example.
Keywords: high-speed railway, railway passenger transportation corridor,
coordination, bi-level programming, genetic algorithm.
1 Introduction
The coordination of high-speed railway (HSR) and conventional railway (CR) is
the issue to identify train routes, train quantity and the distribution on the two
doi:10.2495/CR100421

lines in a railway corridor. The coordination is a mode choice problem.
Meanwhile, it is a route choice problem. Therefore, the problem of coordination
is to identify the routes of different trains on the two parallel lines. HSRs are
developing very quickly in China, and they are built between metropolises, but
there are already CRs between them, so the coordination between HSRs and CRs
should be research in order to fully use resources and avoid competition.
An agreement was reached by the research of 1990s, and HSRs finished the
transportation of passengers on HSR lines and most mid and long-distance
passengers from CR lines, and CRs finished freight transportation and the rest of
the passengers travelling by the slow trains on CRs. However, with the
construction and operation of HSRs, the research background and prerequisites
have changed. For example, the research in the 1990s supposed that train units
on HSRs were bought from other countries, but now, China can produce train
units by herself. HSRs are quite different from CRs in infrastructure, operation,
and character, so the alternative is different. Therefore, the coordination between
HSRs and CRs is highly desirable. The coordination is concerned with passenger
transportation service quality, the revenue and the development of railway
transportation.
Previous researches about the coordination of HSR and CR cover different
aspects and emphases, including form the aspect of passengers by the
disaggregate model [14], or from the aspect of the railway operator [5], or the
above two aspects [6]. The research method contains the logit model [13], the
passenger flows assessment model, based on the railway network [7], the game
model about the selection of a competitive transportation corridor [8, 9], the
enumeration method, the satisfaction optimization, and so on. However, most
researches about the coordination of HSR and CR are from the aspect of
passengers or from the aspect of the railway operator, and few researches have
been done from both aspects, and most studies failed to research the feedback of
the decision made by the railway operator from passengers. This paper
established a bi-level programming model to describe the relationship between
the decision made by the railway operator and the reaction from the passengers
about the decision. The remainder of the paper is organized as follows. Section 2
explains basic assumptions about the problem. In Section 3, individual route
choices and the railway operators decision are investigated by a bi-level
programming model. Section 4 introduces a genetic algorithm to solve the
problem. A numerical example is provided in Section 5 to illustrate the
application of the models. Section 6 presents concluding remarks.
2 Basic assumptions
The following assumptions are made in this study: (a) whether high level train
units run on CR lines or whether low level train units run on HSR lines is
determined by the profit of the railway operator, and is not determined by policy
or other factors; (b) passengers choices are based on the maximum travel utility;
(c) the same type of trains (train units) have the same seating capacity and can be
455
assigned to HSR lines and CR lines; (d) the operation of the two directions of a
line is the same, so we only research one direction.
3 Bi-level programming model

A railway transportation corridor consists of parallel railway lines and some
stations. Stations can by classified in to two types, 1) a train could run on another
type of line at the station; 2) a train could not run on another type of line at the
station. We establish a railway network ( S , E ) . Tables 1 and 2 are the
parameters and the decision variables used in the model, respectively.
The upper level is to maximize the profit of the railway operator, with the
restriction of train limited running distance, the capacity of lines. The lower level
is to maximize passengers utility, since passengers utility is described by
passengers cost, so the objective of the lower level is to minimize passengers
travelling cost.
The upper level
Xu
Max xu r (Qijxu r M u ul Ful Cul ) d xu (i, j )

u xu 1
|e
a ,bS
lab
| xu relab d xu max
Xu
u xu 1
xu relab
(elab )
(1)
(2)
(3)
The lower level
MinZ
m Qijxurh
u xu X u
p 1
ijpxu r
Vrp
Qijxu r Qij P ( xu r )
P ( xu r )
(4)
(5)
Vxu r
Xu
(6)
Vxu r
u xu 1
The lower level is the utility of passengers, and it determines passengers

travelling scheme choice. Passengers travelling scheme choice is the basis of
coordination, since it affects the load factor of a train, so it plays a vital role of
the coordination in a railway transportation corridor. Passengers travelling
scheme choice is affected by passenger time value, fare, travelling distance, train
frequency, train departure time, the character of HSR and CR lines, etc, and it is
determined by the utility the passengers get from their travel; in addition to the
utility of fare and travelling time, it also includes comfort, safety, punctuality,
and so on.

Table 1:
Parameter and set
elab
| elab |
(elab )
u
tu
r
R
xu
VSul
Definition of parameters and sets.

Definition
The set of stations, station i, j S , and a , b are
the adjacent stations
Arc, line type l ( l 1 , HSR line; 2, CR line)
The length of arc elab
The maximum capacity of arc elab
Train type, u 1 , train unit only run on HSR lines;
2, train unit on HSR lines which can run on CR
lines; 3, train on CR lines which can run on HSR
lines; 4, train only run on CR lines
The running time of train type u
Train operation scheme
The set of train operation schemes, r R
Train number x of train type u , xu 1, 2, , X u
Train speed of type u on line l
ul
The occupation of train type u on line l
Mu
Ful
The capacity of train type u
Cul
C pa
C pe
t pa
t pe
fu
d xu (i, j )
The fare of per train kilometer of train type u on

line l
The cost of per train kilometer of train type u on
line l
The fare of a passenger from his origin to his
railway trip start station
The fare of a passenger from his railway trip end
station to his destination
The time of a passenger from his origin to his
railway trip start station
The time of a passenger from his railway trip end
station to his destination
Frequency of train type u
Tpi
xu
The transfer time of passenger p at station i
d xu max
The maximum travelling distance of train
Qij
The volume of passengers from
The running distance of train
i to j
xu
Table 1:
Qijxu r
m
vh
457
Continued.
The volume of passengers from

of scheme r
The hierarchy of passengers
Time value of passengers
i to j by train xu
with
hierarchy
h (h 1, 2, , m)
Qijxu rh
Passengers of hierarchy h from i to j travelling

by train xu of scheme
Table 2:
Definitions of variables.
Parameter and set
Definition
x r
Whether train xu is operated on scheme r , 0, No; 1,
x re
Yes
Whether train xu of scheme r occupies arc elab ,0 ,
ijpx r
No;1, Yes
Whether passenger
lab
pi
p chooses the train xu of
scheme r , 0, No; 1,Yes

Whether passenger p transfer at station
i , 0, No;
1 , Yes;
The profit of railway
3.1 Calculation of passengers utility

According to random utility theory, the utility of passenger p to the choice r is
U rp .
U rp Vrp rp
U rp the utility of passenger p for choosing travelling scheme r ;
(7)
Vrp the fixed utility of passenger p for choosing travelling scheme r ;
rp the random error of passenger p for choosing travelling scheme r .

In this paper, passengers travelling schemes are the travelling schemes of
travelling directly by different routes or by transferring at different stations.
Taking fig. 1 as example, there are 6 travelling schemes for passengers travelling
from O to D, 1) passengers travel directly from O to D by the train running on
HSR line; 2) passengers travel directly from O to D by the train running on CR
line; 3) passengers travel directly from O to D by the train first running on HSR
line, then changing to run on CR line at station A; 4) passengers travel directly
from O to D by the train first running on CR line, then changing to run on HSR
Figure 1:
An illustration of passengers travelling schemes.
line at station A; 5) passengers first travel by the train on HSR line to station A,
then transfer to the train on CR line at station A; 6) passengers first travel by the
train on CR line to station A, then transfer to the train on HSR line at station A.
Here we define four characters to calculate Vrp , economy ( X 1 ),
expeditiousness ( X 2 ), comfort ( X 3 ) and accessibility ( X 4 ). Each
travelling scheme has a fixed utility by the four characters. If we use Vr to
replace Vrp , then
V 1 11 X 11 12 X 12 13 X 13 14 X 14
V 2 21 X 21 22 X 22 23 X 23 24 X 24
Vn n1 Xn1 n 2 Xn 2 n3 Xn3 n 4 Xn 4
(8)
(9)
(10)
rq -parameter, the preference of passenger for the character q of
r , q 1, 2,3, 4 ;
X rq - the character q of travelling scheme r .
travelling scheme
3.1.1 Calculation of travelling scheme characteristics

(1) Economy
Passengers need to pay for their travel, and the fare is used to indicate the
economy of the travel. Fare consists of the access fare from origin to the start
station, the riding fare on the train, and the egress fare from the end station of the
travel to passengers destination.
X 1 C pa Ful d xu (i, j ) ijpxu r C pe
(11)
(2) Expeditiousness
Expeditiousness is an importation factor affecting passengers choice,
especially to businessmen. Here, travel time is used to express the
expeditiousness of a trip. Previous studies use passengers travelling distance
divides train speed. However, there are two limitations in this method, 1) the
value to different type of time should be different, i.e., passengers transfer time
for waiting the connecting train is different from the time riding on the train; 2)
transfer breaks the continue trip, and it may take threat to passengers in their
mind. So we think we should distinguish different types of time during the trip.
459
Total travel time includes riding time on the train, train stop time and
passengers transfer time. However, the addition time for the late of the train is
not considered.
(12)
X 2 d xu (i, j ) / VSul pi Tpi
parameter of the transfer time changed to riding time.

(3) Comfort
With the raise of living standard, people's consumption idea has changed.
They pursue much more comfortable travelling environment. Comfort is an
important character that affects passengers choice behavior. Since travelling is a
consuming of passengers physical strength, additional time is needed to recover
from the fatigue, when the travelling time is up to some hours. So passenger
recovering time from fatigue reflects the comfort of a trip. The recovering time is
associated with travelling time and travelling environment, and travelling
environment is determined by train type. Passenger recovering time is calculated
by the following equation (Peng [5]).
gu (t) M /[1exp(t)]
(13)
(utu )/ tu
(14)
(utu ) / tu
(15)
M - the limited recovering time, in general, M is 15 h;
u - nondimensional parameter, when train type is u , and t 0 , the recovering

time is M /(1 u ) ; and
u - the strength coefficient of recovering time for one travelling hour, u 0 ,
1
the unit is h .
Figure 2:
The illustration of passengers travelling time and recovering time.

Table 3:
Passengers recovering time from fatigue when travelling between

Beijing-Shanghai by different types of trains.
Train type
High-level train on
HSR
Low-level train on HSR
Normal train on CR
Passenger travelling time (h)

5
Recovering time (h)

0.96
13
22.72
8.97
14.93
When M 15 h, the recovering time travelling by different type of trains is as

fig. 2.
From the comparison we can see the advantage of HSR in recovering
passengers fatigue. Taking Beijing-Shanghai HSR line for example, 1) if we
assume that the travelling time of high-speed train is 5 h, the recovering time of
passengers travelling by HSR is 58 min; 2) if passengers travelling by through
trains (train type Z) on CR line, the travelling time is 13 h, and the recovering
time will be up to 9 h; 3) if passengers travelling by normal trains on CR line, the
travelling time is 22 h and 43 min, and the recovering time will be up to 14 h 56
min, nearly to the general limited recovering time M .
The above research is based on through trains, when passengers transfer, if
the travelling time is tu on train type u , in this case, parameter u and u
should be calculated by weighted average method.
Therefore, passengers comfort is calculated by eqn. (16).
X 3 g ( u ) (t )
(16)
(4) Accessibility
Most current approaches about passengers choice behavior to different
transportation modes, in the mainland of China, focus on the characters of the
mode itself, rather than research from the whole trip. The usual methods to
improve the market share of a mode are enlarging the network, improving the
covering area of the mode, shorting the travelling time, improving the service,
etc., but ignoring the accessibility of the mode. From the research of abroad and
Taiwan in China, accessibility is an importation factor that affects the market
share of different transportation modes [10, 11]. With the development of highspeed train units, the riding time is lower and lower. Therefore, the access time
to the station and the egress time from the station occupies a large part in the
whole travelling time, especially to those cities that are always in heavy traffic.
In this study, station accessibility is represented by passengers agree time,
egress time, the frequency of trains and the transfer time.
X 4 t pa Tpi pi / f u t pe
(17)
- parameter of train departure frequency.
4 Algorithm for solving the model

Genetic algorithm is introduced to solve the model, and the steps are as follows.
461
Step 1: Representation and initialization of chromosomes for the upper-level

model
Select a feasible solution N0 for the upper-level model, let
X r { x r } represent a chromosome for the upper-level model. Each code in
u
the chromosome is the value of
x r ,
u
generate
POP _ SIZE _ U
chromosomes,
which is { X r / X r ( x1r , x2r ......xnr ), r 1, 2,......POP _ SIZE _ U } . The steps used to

generate chromosomes could be described as below.
Select a random direction d from Rn;
If N0+d is feasible, let it be a new chromosome, otherwise, generate a new d,
until N0+d is feasible;
Repeat steps (1) and (2) to get POP _ SIZE _ U chromosomes.
Step 2: Evaluation and Selection
Execute each chromosome to get each chromosomes fit value based on
step6, sort the chromosomes on the basis of fit values. Select
POP _ SIZE _ U chromosomes to execute the following steps.
Step 3: Crossover
Create a new population of POP _ SIZE _ U number by applying the following
operations. The operations are applied to choose from the population with a
probability based on fitness.
(i) Darwinian Reproduction: Reproduce an existing chromosome by copying
it into the new chromosome.
(ii) Create two new chromosomes from two existing chromosomes by
genetically recombining randomly chosen parts of two existing chromosome s
using the crossover operation applied at a randomly (according to Pc _ U )
chosen crossover point within each chromosome.
Step 4: Mutation
Create a new population of POP _ SIZE _ U number by applying the following
operations. The operations are applied to choose from the population with a
probability based on fitness.
(i) Darwinian Reproduction: Reproduce an existing chromosome by copying
it into the new chromosome.
(ii) Create one new chromosome from one existing chromosome by mutating
a randomly (according to Pm _ U ) chosen part of the chromosome.
Step 5: Iterations
Iteratively perform the above steps (2) ~ (4) until the termination
criterion Gen _ Num _ U has been satisfied.
Step 6: Solving the lower-level model based on the input from the upperlower model
Step 6.1 Representation and initialization of chromosomes for the lower-level
model
Select a feasible solution N0 for the upper-level model, let
X L r { i j p x r } represent a chromosome for the lower-level model. Each code
u
in the chromosome is the value of ijpxu r , generate
POP _ SIZE _ L chromosomes,

which is { X / X ( x1 , x 2 ...... x n ), r 1, 2 , ...... P O P _ S IZ E _ L } . The steps used
to generate chromosomes could be described as below.
Select a random direction d from Rn;
If N0+d is feasible, let it be a new chromosome, otherwise, generate a new d,
until N0+d is feasible;
Repeat steps (1) and (2) to get POP _ SIZE _ L chromosomes.
Step 6.2: Evaluation and Selection. The same with step 2.
Step 6.3: Crossover. The same with step 3.
Step 6.4: Mutation. The same with step 4.
Step 6.5: Iterations. The same with step 5.
r
Step7: Return the result Qijxu r by the lower level to step 5.
5 Numerical example
The rail network topology is shown in fig. 3. Capacity of each train unit on HSR
is 600 p (passenger), and 1220 p on CR. We assume that the occupation rate of
each train is 90% on HSR lines, and 85% on CR lines. The fare of each
passenger per train-km is 0.30 and 0.14 CNY on HSRs and on CRs of highspeed trains, and 0.12 CNY on CRs of normal trains. The cost of per train-km
unit is 127.1 and 184.1 CNY of high-speed trains on HSRs and CRs, and 92.4
Figure 3:
Illustration of the rail network used in the numerical example.

Table 4:
A
A
B
C
D
E
F
G
H
B
500
Passengers travelling demand.

C
1000
0
D
800
1200
0
E
3000
1500
2000
1500
F
1500
600
1500
1000
2000
G
900
800
800
1200
1000
0
H
5000
2500
3000
1800
3500
3000
2000
The weight of services attribute for different types of passengers.
Passenger
hierarchy
Passenger
income
level/CNY
Percentage/%
h=1
<2000
h=2
Passengers
time value/
CNY
Economy
Expeditiousness
Comfort
Accessibility
10
10
0.5
0.3
0.05
0.15
2000~3000
30
10-15
0.4
0.35
0.08
0.17
h=3
3000~5000
40
15-25
0.3
0.38
0.1
0.22
h=4
>5000
20
>25
0.2
0.4
0.15
0.25
Table 5:
463
Table 6:
Section
A-C
A-D
A-E
A-F
A-H
B-D
B-E
B-H
C-E
C-F
The number of trains of different sections.

CR
0
1
1
0
1
1
1
2
0
0
HSR
2
0
4
2
7
0
0
0
6
3
Section
C-H
D-E
D-G
D-H
E-F
E-G
E-H
F-H
G-H
CR
0
3
1
1
0
1
2
0
1
HSR
4
0
0
0
6
0
7
5
0
CNY of normal trains on CRs. The organization cost for each passenger is
0.0381 Chinese Yuan (CNY), when they transfer. Meanwhile, we assume that
the volume is not a constraint for train units running on CR lines.
The genetic algorithm has been implemented by Microsoft Visual C++ 6.0
(more than 4200 code lines) and runs on a Pentium Duo, 3.4GHz PC, with
512MB RAM memory. The time cost is 56 seconds.
The results are given below.
6 Conclusions
This paper addresses the coordination issue of HSR and CR in a railway
transportation corridor from the aspect of passengers and railway operator. A bilevel programming model is established to coordinate the difference of
passengers' choice and the decision made by railway operator. A genetic
algorithm is designed to solve the model. The model and algorithm is
demonstrated by a numerical example.
The proposed model can be extended in several directions. In the upper-level
level, freight transportation can be included, especially to those valuable goods.
Meanwhile, in the lower level, passengers departure time can be added as a
constriction. Another possibility is to add other transportation modes in a
transportation corridor, such as air transportation, and freeway.
Acknowledgements
This study was jointly funded by National Natural Science Foundation of China
(No.60736047) and Beijing Jiaotong University (No.141078522). The author
deeply appreciates the support.
465
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corridor mode choice, Journal of Transport Geography, 3(4), pp.257268,1995.
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Choice, Transportation Research Part B, 29(6), pp. 471-483, 1995.
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Structure and Application to Intercity Travel, Transportation Research Part
B, 31(1), pp. 11-21, 1997.
[4] Chaug-Ing Hsu & Wen-Ming Chung, A Model for Market Share
Distribution between High-speed and Conventional Rail Services in a
Transportation Corridor, The Annals of Regional Science, (31), pp.121-153,
1997.
[5] Qiyuan Peng, Transportation organization of passenger special line, Science
Press, 2007.
[6] Jie Tang, The coordination and optimization method between high-speed
railway and conventional railway, Master's Thesis, Central South University,
2008.
[7] IljoonC hang, A Network-based Model for Market Share Estimation among
Competing Transportation Modes in a region corridor, Ph.D. thesis, The
University of Maryland, 2001.
[8] Jianmei Zhu, Game Model of Selection of Competitive Transportation
Corridors, Journal of Southwest Jiaotong University, 38(2), pp.336-340,
2003.
[9] Chiung-Wen Hsu, Yusin Lee & Chun-Hsiung Liao. Competition between
high-speed and conventional rail systems: A game theoretical approach,
Expert Systems with Applications, 37, pp. 31623170, 2010.
[10] Clever, Reinhard, Airport and station accessibility as a determinant of mode
choice, Ph.D. thesis, University of California, Berkeley, 2006.
[11] Martijn Brons, Moshe Givoni & Piet Rietveld. Access to railway stations
and its potential in increasing rail use. Transportation Research Part A,
(43), pp.136149, 2009.
467
Derivation of the safety requirements for

control systems based on the interoperability
property of the Maglev train
W. Zheng1, J. R. Meller2 & K. Li1
1

2
Institute for Traffic Safety and Automation Engineering,
Technical University of Braunschweig, Germany
Abstract
With the prospect of new and different Maglev train lines to be constructed, the
interoperability properties of the Maglev train have become a new issue. The
safety performance requirement of the Maglev control equipments for
interoperability operation was derived based on the objectives of the crossing
boundary between different lines and the corresponding procedures have been
modelled with stochastic Petri nets. Firstly, the whole objectives of the crossing
boundary of different Maglev lines were defined taking the operation efficiency
and safety target into consideration. The train would cross the boundary without
decreasing the speed. The operation efficiency and the safety property of the
crossing procedure should be guaranteed. In addition, based on the
interoperability objectives, the interoperability operation procedure of the
Maglev train was specified and the Maglev control equipments used for the
interoperability were designed. The control equipments were used to transmit the
data between different control systems of different lines. Thirdly, the process of
the train passing the boundary of different lines was modelled with the stochastic
Petri nets based on the different operation stage of the train. Finally, by means of
the simulation of the model, the safety performance requirements of the Maglev
control systems were derived based on the defined crossing success rate.
Keywords: interoperability, Maglev train, Petri nets, modelling.
doi:10.2495/CR100431
1 Introduction
The Maglev train is one of the new vehicles and it is still in the stage of research
and development. In the near future, the new operation of the Maglev train lines
will be built and it is necessary that the different lines should be linked to the
operation network to improve the flexibility and efficiency. Based on this, the
same Maglev train should be able to operate in different lines, and this is called
the interoperability of the Maglev train in China.
Interoperability means that different lines equipped with different control
systems exist and are interlinked together. The train should be able to cross the
boundary of different lines, meeting the safety requirements and be efficient.
With regard to interoperability research, the Europe Union drew up several
documents to define and explain the requirements. Document [1] specifies the
safety requirements and document [2] describes the performance requirement. In
China, the interoperability research is also undertaken in the laboratory of
universities and commercial operation lines. However, there has been no
research up to now about the interoperability of the Maglev train.
In order to guarantee that one Maglev train can cross the boundary of
different lines, the crossing process and changed data flow should be specified
and analyzed, and all the factors influencing the crossing success rate should be
identified so that it can be used as a guideline for the interoperability
specification design.
In this paper, the research is mainly focused on one of the interoperability
properties, the ability of crossing boundary of different lines, and the
corresponding system design approach is presented. The crossing process of the
Maglev train is modelled with Petri nets and the relationship between the
crossing boundary success rate and the system equipments dependability is
analyzed quantitatively.
2 The objectives of the crossing boundary and system design

The objectives of the crossing boundary of different lines for the Maglev train
are the basis of the system design and analysis.
2.1 Objectives
The objectives are described as follows:
1) The action of crossing boundary of different lines could be proposed by the
former system. The target system makes the decision of accepting or rejecting
the train based on its own operation conditions.
2) If the train is allowed to enter into the new line, the train should be able to
cross the boundary with the original speed by the way of stepping style and it
shall be able to operate in the new track based on the diagram.
3) During the process of passing the boundary, if the trains speed exceeds the
limitation, the former and target systems should be able to cooperate to guarantee
the safety of the train.
Figure 1:
469
The schematic diagram of the crossing boundary process.
4) During the process of passing the boundary, if any of the components fail,
the two control systems of two lines should guarantee that the train stops at a
specified point.
2.2 The process of crossing the boundary of different lines
The schematic diagram of a crossing boundary is shown in Fig. 1.
1) As shown in Fig.1, A is the crossing triggering point. When the train
reaches this point, CCS-A will transfer the necessary data to CCS-B, such as the
information of the train and the demand of the route. The information of the train
consists of the train identification, its weight and its length, etc. The route
request consists of the track data and segment data, etc. After receiving the route
request from CCS-A, CCS-B will reply to CCS-A and inform the DSC-B to set
the rout in system B for the train.
2) After the CCS-A has changed the necessary data with CCS-B, the train will
execute the step action in point B. DSC-B will send the route data to DSC-A at
this point. If the current speed in the operation speed curve for stopping point C
is beyond the speed in the minimum speed curve for the next stopping point E,
the train will be stepped to E point and it should operation under the operation
speed curve of point E.
2.3 Control system design
Based on the process of crossing the boundary, it is clear that the new
communication net should be designed to enable the data to be changed between
the different control systems for different lines.
The control system of Maglev train is composed of the CCS (Centralized
Control System), the DCS (Decentralized Control System) and the VCS (Vehicle
Control System). The DCS is composed of the DCC (Decentralized Control
Computer), the DSC (Decentralized Safety Computer), the DPS (Decentralized
Propulsion Shut-off) and the DSM (Decentralized Switch Module). The main
part of the VCS is the VSC (Vehicle Safety Computer. The structure of the

control system is shown in Fig.1. Wu [3] specified the functions of each
component in the control system.
The CCS is connected with the DCS by a control core network and the
different components of DCS are interlinked with the safety protection network.
Since the control systems of different lines have to exchange the data, it is
necessary to add the communication systems between the control systems. As
shown in Fig. 2, A-net and B-net are the designed communication systems for
the crossing.
The function of A-net is to guarantee the communication between CCS-A and
CCS-B. If A-net fails before the train arrives at B point in Fig.1, the crossing
action will fail. During the time of train running from B point to the place of the
boundary, B-net should be intact so that the DSC-A and DSC-B can
communicate with each other all the time so that the train can cross the boundary
safely. If B-net fails during this period, the crossing action will also fails.
Based on the process of crossing the boundary, it is obvious that the
dependability property of the A-net and B-net has close relationship with the
success rate of crossing boundary.
3 Petri net model of the crossing boundary process

As one of the modelling languages, Petri nets has been applied widely in the
modelling and performance analysis of traffic control, mechanical engineering,
software engineering, medicine and chemistry fields. David and Didier [4]
described how the Petri nets can be used in the application of industry
engineering. Zheng et al. [5] and Zheng [6] used Petri net to model the level
crossing and the computer interlocking and analyze the safety performance of the
control system. German [7] presented the basic elements of the Petri nets and Lin
[8] specified the performance analysis principle and approach of the stochastic
Petri net.
Based on the crossing boundary procedure as shown in Fig. 2, the Petri net
model of the crossing process is described in Fig. 3.
Figure 2:
The frameworks of the former system and the target system.
Figure 3:
471
Petri net model of crossing boundary process.
Slovk et al. [9] introduced the hierarchical modelling approach firstly. Based
on this approach for system dependability analysis, two views of the procedure
of crossing boundary of the train can be modelled: one is the crossing process of
the Maglev train including the failure process and the other is the function and
dependability property of the control system.
1) The modelling of crossing boundary process: the state of the Maglev train is
composed of places Operation preparation, Departure position, Crossing
position, Step position, Cross success, Target and Cross failure state.
The place Crossing position and Step position means the point A and point B
of Fig.1. About the transition, the Interval time is a deterministic one because
the headway of the train is fixed. The transitions operation time, Crossing
triggering time and Crossing step time are defined to be exponential and their
parameters mean the corresponding operation time of the train.
2) The modelling of the failure of crossing boundary: the state of a failure
process is composed of the place Initial and failure state. The parameters of
the transition recovery rate represent the recovering time in case of the
crossing failure.
3) The modelling of function and dependability of A-net and B-net: for A-net
and B-net, the state is both composed of two places Intact and Failure state.
The transitions between these two places are exponential and the parameters of
the transitions mean the failure rate and recovery rate respectively. The place
Intact also can act as the function place. The place A-net intact is in charge
of the function of crossing triggering process and it play its role by a testing arc
connected to the transition Crossing triggering time. The place B-net is in
charge of the function of stepping process and it is also linked to the place
Crossing step time with a testing arc.
4 Simulation analysis
The TimeNET4.0 for Windows is a tool for edition and simulation of Petri net
models [10]. To the model shown in Fig. 3, based on the assumed necessary

parameters, the expected average marking time of the place failure state can be
obtained by simulation. Then it is divided by the recovery rate and the result
will be the failure rate of crossing boundary.
The parameters in the model are assumed as follows: headway of the Maglev
train: 0.5 hour; the whole operation time: 2 hours; the average crossing triggering
time: 0.5 minutes; the average stepping time: four minutes; the average recovery
time of crossing failure: 2 hours.
Simulation results are shown in Fig. 4 and Fig. 5.
As presented in Fig. 4, the failure rate will decreased with the higher
dependability of the A-net and B-net.
Failure rate of crossing boundary[%]
0.001
B-net
B-net
B-net
B-net
B-net
0.01
0.1
FR=1.E+00
FR=1.E-02
FR=1.E-04
FR=1.E-06
FR=1.E-08
1
10
100
1.E+00
1.E-01 1.E-02
1.E-03
1.E-04 1.E-05
1.E-06 1.E-07
1.E-08
Failure rate of the A-net[1/hour]
Failure rate of crossing boundary [%]
Figure 4:
The relationship between the crossing failure rate and the

dependability of the control systems.
0.0021
0.0020
0.0020
0.0019
0.0019
0.0018
0.0018
0.0017
0.0017
0.0016
Exchange data period=0.2 Min

Exchange data period=0.5 Min
Exchange data period=1 Min
Exchange data period=2 Min
10
12
14
16
The time period of steping procedure [Minuter]
Figure 5:
The relationship between the failure rate of the crossing boundary

and the triggering and stepping time.
473
It is assumed that the headway of the train is 30 minutes and every operation
process is composed of one action of crossing boundary. Then in one year, the
whole time of crossing boundary for the trains is 17520. If only one time failure
of crossing boundary is allowed in one year, then the failure rate should at most
be 5.7 E-5. From Fig.4, it can be derived that in order to meet this target, the
failure rate of net-A and net-B should be lower than 1.0 E-6 per hour.
In Fig.5, it is assumed that the failure rate of the A-net and B-net is 1.0 E-6
per hour, and it is clear that if the triggering time and stepping time of the train
are relatively longer, the failure rate of crossing boundary will be decreased
slightly.
5 Conclusion
Based on the interoperability objectives and safety requirements, the functions
and the structures of the control systems for the crossing boundary of different
Maglev train lines were designed. By the results of simulation of the model, the
dependability requirements of the added control systems could be identified
based on the defined target of success rate of crossing boundary. The triggering
time and stepping time of the train have little effect to the failure rate of crossing.
The quantitative analysis of the crossing process can be used as the guideline for
the formulation of the interoperability specification.
References
[1] Safety Requirements for the Technical Interoperability of ETCS in Levels
1&2, ERTMS/ETCS-Class 1, SUBSET-091, 2009.
[2] Performance Requirements for Interoperability, ERTMS/ETCS-Class 1,
SUBSET-041, 2005.
[3] Wu, X.M., Maglev Train. Shanghai Science and Technology Press:
Shanghai, pp. 98-134, 2003.
[4] David, V. & Didier, R. B., MORM-A Petri net based model for assessing
OH&S risks in industrial processes: modelling qualitative aspects. Risk
Analysis, 24(6), pp. 1719-1735, 2005.
[5] Zheng, W., Mller, J. R., Slovk, R. & Schnieder, R., Estimation of traffic
risk of passive level crossing based on stochastic Petri net models and
social economic dataProc. of the 3rd Int. Conf. on Transport Simulation,
Queensland, Australia, pp. 35-38, 2008.
[6] Zheng W., Modeling and hazard analysis of railway station protection
system based on stochastic Petri nets, Proc. of the 8th Int. Conf. on
Reliability, Maintainability and Safety, Chengdu, China, pp. 493-496, 2009.
[7] German, R. Performance Analysis of Communication Systems Modelling
with Non-Markovian Stochastic Petri Nets, John Wiley & Sons: Chichester,
pp. 36-57, 2000.
[8] Lin C., Stochastic Petri Nets and System Performance Evaluation,
Tsinghua University press: Beijing, pp, 19-27, 2005.

[9] Slovk, R., May J. & Schnieder E., PROFUND modeling for holistic risk
and availability analysis by means of stochastic Petri nets applied to a level
crossing Control System. Proc. of Formal Methods for Railway Operation
and Control Systems, LHarmattan: Budapest, pp.221-232, 2003.
[10] TimeNET. www.pdv.cs.tu-berlin.de/~timenet/
475
Dynamic characteristics modelling and

adaptability research of the balise transmission
module in high speed railways
H. Zhao1, S. Sun1 & W. Li2
1
School of Electronic Information and Engineering,

2
Beijing Jiaoda Signal Technology Co., Ltd, China
Abstract
General simulation requirements within the train control system simulation
framework were described. Dynamic characteristics were modelled at four
resolution layers, ranging from low to very high resolution. The research focuses
mainly on the dynamic behaviour and simulation representation at the signal
emulation layer. The Balise Transmission Module Hardware-In-the-Loop
simulator was justified with respect to dynamic behaviour modelling.
Furthermore, the relationship between Balise Transmission Module dynamic
characteristics and train speed was verified by simulation and test data. The
speed factor is derived and analyzed. Finally, quantitative evaluation issues of
high-speed adaptability were explored based on the deduction of decoding failure
probability under a certain bit error rate and the availability targets for a certain
line.
Keywords: Balise Transmission Module, dynamic characteristics, adaptability,
high speed railway.
1 Introduction
Balise Transmission Module (BTM) is a part of the train control system onboard constituent, and has the main functions of generating tele-powering signals
to the balise, to receive and process up-link signals from the balise. BTM has
been successfully used in China Passenger Dedicated Lines (DPL) with the
maximum speed of 250Km/h and high-speed lines with a maximum speed of
doi:10.2495/CR100441

350Km/h, such as the Beijing-Tianjin DPL and Wuhan-Guangzhou DPL
KeJiYun[2008] NO.143 [1]. Valuable test data and operation experience were
acquired with respect to the BTM used under the high-speed operation
conditions. However, Eurobalise specification recommended that the maximum
applicable speed for the reduced size balise is only 300Km/h, as recommended in
SUBSET-036-V2.4.1 [2]. Issues about BTM static feature simulation, test and
application rules were studied in the past (Yang et al. [3], Zhen and Zhao [4] and
Wang et al. [5]), but none of the in-depth research was found openly about BTM
used in high-speed lines.
This paper discussed the high-speed adaptability assessment issues through
dynamic characteristics modelling and simulation. Section 2 described the
dynamic characteristics modelling at four resolution layers, ranging from low to
very high resolution. The relationship between BTM dynamic characteristics and
the applicable train speed was verified by test data in Section 3. Finally, Section
4 formulated high speed adaptability evaluation criteria.
2 BTM dynamic characteristics modelling

2.1 Train control system simulation requirement
The train control system is a real-time distributed complex system. The
simulation requirement differs as far as different end-users with a diversified
focus are concerned. For example, operators own different viewpoints from
suppliers, as do maintainers and constructors. The intention to adopt simulation
varies from functional test to interoperability test, control strategy optimization,
safety assessment, efficiency evaluation or training. Furthermore, the
requirement also changes within different phases of system life cycle. Clearly,
system modelling should satisfy such diversified needs. Classification of the
simulation requirement should be considered deliberately; proven technology,
i.e., the multi-resolution modelling method, was supposed to be a good choice.
2.2 Multi-resolution BTM modelling
2.2.1 Overview
In general, a train control simulation system is capable of reproducing the
movement and operation status of trains despatched in pursuit over a pilot line
with no less than three stations. In this context, three kinds of simulator are
usually required, including the multi-train simulator, single train simulator and
component Hardware-In-the-Loop (HIL) simulator. A multi-train simulator is
able to simulate multiple trains running by their own working plan
simultaneously. A single train simulator is often used to manifest the detailed
behaviour of a train and its onboard equipment, especially the driver-machine
interaction. The component HIL simulator is an effective test rig for the
interoperability test, providing the HIL test environment for a specified
component, such as BTM, Train Interface Unit, etc. Besides, component
designers may additionally need the physical mechanism simulator to provide
Table 1:
477
Multi-resolution model of BTM dynamic characteristics.
Target
Multi-train simulator
Single train simulator
BTM HIL simulator
Physical mechanism
Simulator
Dynamic characteristics
Layer
Feature
Application
see 2.2.2
Protocol
see 2.2.3
Signal
see 2.2.4
Filed
Modelling
method
FFA
FFA
TBM
see 2.2.5
FEM
Resolution
Low
Medium
High
Very High
the finest granularity emulation of the electromagnetic coupling characteristics

happening at the component interface. Table 1 shows the BTM dynamic
characteristics model at these four resolution levels. A detailed explanation of
Table 1 is as follows.
2.2.2 Dynamic characteristics modelling at the application layer
The BTM model at this layer has low resolution. The Functional Failure
Analysis (FFA) (Nicholson [6]) method is used to analyse the features presented
in the multi-train simulation process. We apply the five typical guide words
(Commission, Omission, Early, Late and Value) to the failure analysis
of the major top level function of BTM, i.e. the telegram reporting function.
Getting rid of the meaningless outcome, the accurate description of five derived
malfunctions are: the transmission of an erroneous telegram interpretable as
correct, the loss of the telegram intended for full performance, erroneous
reporting of a valid telegram in a different track, transmission of the valid
telegram before the time window, transmission of the valid telegram after the
time window. We believe, in addition to the normal function, the derived
malfunctions depict properly the highest level BTM characteristics.
2.2.3 Dynamic characteristics modelling at the protocol layer
The communication protocol between the BTM and the Vital Computer (VC)
onboard is the major concern of the single train simulator at this layer. We
cannot make a general discussion of the dynamic communication behaviour, as
the protocol is supplier dependent. However, FFA should be a suitable way to
model it. For example, the guide word Value can be used to the
communication baud rate and CRC result.
2.2.4 Dynamic characteristics modelling at the signal layer
It is necessary for the BTM HIL simulator to model the received up-link balise
signal under specific train speed in the laboratory while the antenna and
simulated balise are kept still. Test Based Modelling (TBM) is suggested at this
layer, which is the same as the transmission test procedure described in Test
Specification for Eurobalise Form Fit Function Interface Specification (FFFIS)
SUBSET-085-v2.2.2 [7]. Firstly, the tele-power radiation pattern is evaluated by
recording the flux of the tele-power signal at every geometrical test position.
Secondly, the threshold curve is recorded while the BTM functions well with

respect to the strength of the received up-link signal. An example of the radiation
pattern and threshold curve is shown in Fig. 1. Then, the up-link signal for the
dynamic test is created by a certain algorithm SUBSET-085-v2.2.2 [7], based on
the results of two previous steps. The dynamic up-link signal can be generated
by taking all the environmental factors into account, such as lateral displacement,
debris, mounting height and speed. It is also important that the dynamic up-link
signal can be used for BTM testing under standstill conditions. Actually, the
signal is created by converting the up-link signal threshold at the diversified
geometrical test position to the signal envelope at (0, 0, maximum height). The
BTM HIL simulator can be realized thus far (Zhen and Zhao [4] and Wang et al.
[5]). Taking advantage of the BTM HIL simulator, we can experiment on the
specific BTM. The following data can be acquired: (1) telegram and user data;
(2) location report; (3) number of non-overlapping good telegrams; (4) BTM
function reporting time.
These data can be further expressed graphically with respect to operational
speed or any other factor of interest; then the corresponding BTM behaviour may
be modelled, as in Section 3. In this process, the following two concepts were
defined.
1) Static contact length: Ls. This denotes the effective action length along with
the X-axis direction, while the BTM can correctly decode and output the
balise telegram within the main lobe region under the specified static
conditions. For the weakest balise, the formula is:
Figure 1:
Example of signal radiation pattern and threshold curve.
Ls X l 2 X l1 ,
X l1 , X l 2 [ x : I th ( x) I low ( x) 0]
479
(1)
where Xl1, Ll2, Ith and Ilow, are as shown in Fig. 1.

2) Dynamic contact length: Ld. This denotes the effective action length along
with the X-axis direction, while the BTM can correctly decode and output
the balise telegram within the main lobe region under the specified dynamic
conditions. For the weakest balise, the formula is:
(2)
Ld XL2 XL1 (Tbtm Tdis Tdeb Temd ) v XL1, XL2 [x : Ith (x) IBal (x) 0]
(3)
Ld Ls (Tbal Tbtm Tdis Tdeb Temd ) v
where Tbal denotes the start-up time of the balise; Tbtm denotes the start-up time of
the BTM decoding function together with the Antenna Unit; Tdis denotes the
delay time due to random displacement between the antenna and balise; Tdeb
denotes the delay time due to change of debris; Temd denotes the delay time due
to changes of the spatial electromagnetic environment.
2.2.5 Dynamic characteristics modelling at the field layer
The Finite Element Method (FEM) is suitable for modelling the dynamic
behaviour of the BTM in the highest resolution. BTM designers need to know
more about the electromagnetic field distribution and quantitative coupling
property where specific application scope, such as train speed and balise
discreteness, is concerned.
3 Speed factor in BTM dynamic characteristics

A high resolution model built at the signal layer provides a suitable basis for the
discussion of the influence of operational speed upon BTM dynamic
characteristics. The BTM HIL simulator described in Section 2.2.4 is capable of
acquiring a number of non-overlapping good telegrams (denoted as Ng) with
respect to simulated train speed. Taking the BTM developed by Beijing Jiaoda
Signal Technology Co., Ltd (BJST) as an example, test data were as shown in
Figs. 2 and 3. The nominal mounting height for the antenna unit is 463mm, i.e.
H=463mm. The lateral displacement is 110mm in all test cases, i.e. Y=110mm.
Every test case was repeated 10 times. The test result of each repeat had an effect
on the final test results. The test result was summarized as follows.
The BTM received a fewer number of telegrams as speed was increased.
Ice on the antenna had no significant effect on the BTM function (Fig. 2).
Compared with the condition of the metallic plane under the simulated
balise, the BTM received more than 0.5 frames of telegram at nominal
condition for the weakest balise.
Compared with the weakest balise, the strongest balise contributed 1 to 2
more frames of telegram for the BTM function (Fig. 3).
The BTM dynamic characteristics had significant relation with train speed
while the number of non-overlapping good telegrams was evaluated. To be
clearer, the dynamic contact length was evaluated instead, as shown in Fig. 4 for
debris test cases. Obviously, the dynamic contact length decreased 26mm per
100 Km/h averagely when speed was increased. Let Ld denote the dynamic

contact length in metres, whereas Ls is the static contact length, namely the
contact length when the speed was approaching zero. Let v denote the speed in
m/s and denote the speed factor. The following formula was derived by linear
curve fitting,
Ld Ls v
(4)
4
where 9.36 10 s . Clearly, this formula is the same as the formula (3). The
speed factor is actually the effect of the start-up time of the balise and the
BTM function together with the Antenna Unit, as well as the disturbance factor
of Tdis, Tdeb and Temd defined in formula (3). From another point of view, Ld is a
product of the dynamic action time and speed, where the dynamic action time
can be derived from Ng, as shown in formula (5). Here, 1023 is the number of
bits in one frame of the balise telegram; and 564480 is the mean data rate in bits
per second.
Ld
N g 1023 v
(5)
564480
Combining formulas (4) and (5), we can get the relation between Ng and v, which
is the mathematical expression of Figs. 2 and 3.
Ng
564480 Ls

1023 v
(6)
4 High speed adaptability evaluation criteria

High speed adaptability for the BTM can be evaluated based on the above
modelling and reasoning results. Firstly, the number of non-overlapping good
telegrams for the specified BTM and antenna under specific conditions, namely
Ng, is an important figure. It is in inverse proportion to speed, as shown in
formula (6). Secondly, according to mathematics statistics theory, the BTM
decoding failure probability, denoted as Pber, is able to be derived when the nonoverlapping telegrams with a total number of Nt is received under the
contaminated environment with certain Bit Error Rates (BERs) [2]. Supposing
Number of non-overlapping
good telegrams
Nominal
Matellic
Ice
8
7
6
5
4
3
2
1
150
Figure 2:
200
250
300
350
400
SpeedKm/h
450
500
550
BTM performance under debris (H=463mm/Y=110mm).
481
Number of non-overlapping good

telegrams
12
Weakest
11
Strongest
10
9
8
7
6
5
4
3
2
150
200
250
300
350
400
450
500
550
SpeedKm/h
Figure 3:
BTM performance with respect to the strongest and weakest balise

(H=463mm/Y=110mm).
Dynamic contace length:mm
750
Nominal
Metallic
Ice
650
550
450
150
Figure 4:
200
250
300
350
400
SpeedKm/h
450
500
550
Dynamic contact length under debris (H=463mm/ Y=110mm).
Table 2:
Pber
Nt
Decoding failure probability with respect to Nt.

1E-6
2.0
2.71E-8
3.0
9.20E-11
3.5
that the BER within the dynamic contact length is evenly 10E-6, the relationship
between the two figures is expressed in Table 2 (Zhao et al. [8]). A basic
receiver is assumed to be used for the BTM in the above cases.
Thirdly, Pber can be determined by specific availability targets of certain lines
within the entire specified range of railway conditions and train speeds. For
example, if the mean BTM failure rate due to BER will be less than 2.66 times
per annum, a mean figure of 10E8 balise passages with error free telegrams
delivered by the BTM to the VC should be ensured in the Beijing-Shanghai High
Speed Line (the line is supposed to be about 1400Km, 2 balises per kilometre,
260 trains per day. The annual number of balise passages will be 2.66E8). Then,
Pber should be 10E-8. Fourthly, we can find the required total number of nonoverlapping telegrams Nt, approximately 3.0 in this instance. Finally, if we
determined Ng by the BTM HIL simulator in the laboratory, where BER can be
controlled to zero, Ng should be no less than Nt in principle. Therefore, the high

speed adaptability evaluation criteria for the BTM are simplified to the
comparison of Ng and Nt.
5 Conclusion
BTM dynamic characteristics can be modelled at four resolution layers by FFA,
FFA, TBM and FEM, respectively. For specified BTMs and antennas under
specific conditions, the number of non-overlapping good telegrams is in inverse
proportion to speed, whereas the dynamic contact length decreases linearly with
speed. High speed adaptability for the BTM can be evaluated by comparison of
the number of non-overlapping good telegrams received by the BTM with the
predetermined value. This value is derived from specific availability targets of
certain lines.
Acknowledgements
We gratefully acknowledge the financial support provided by The National
Natural Science Foundation of China (Grant No. 60736047) and the National
863 High-tech R&D Program (Grant No. 0912JJ0104). We also would like to
thank the CEDEX Eurobalise Laboratory Spain for providing the test facilities
and test reports for the contractual BTM test activities.
References
[1] Ministry of Railway China, KeJiYun [2008] No.143, Balise Application
Principle for CTCS Level 2 (V1.0). Train Control System Specification for
Passenger Dedicated Line, Ministry of Railway, Beijing, China, 2008.
[2] Union Industry of Signaling, SUBSET-036-V2.4.1 Form Fit Function
Interface Specification for Eurobalise. Brussels: Alstom Ansaldo
Bombardier Invensys Siemens Thales, 2007.
[3] Yang, Z., Fan, P., & Xue, R., Balise System Used in High Speed or Speedincrease Line. China Railway Science, Beijing, 23(2), pp.42-47, 2002
[4] Zhen, J., & Zhao, H., Research on Balise Transmission Module Test
System, Journal of Beijing Jiaotong University, 32(2), pp. 80-83, 2008.
[5] Wang, R., Zhao, H., & Wang, S., Research on Up-link Signal Simulator
Used for BTM Test in Balise system. Journal of the China Railway Society,
Beijing, 30(6), pp. 46-50, 2008.
[6] Nicholson, M., Lecture Note: Fundamental Safety Engineering, University
of York, 2008.
[7] Union Industry of Signalling, SUBSET-085-V2.2.2 Test Specification for
Eurobalise Form Fit Function Interface Specification. Alcatel Alstom
Ansaldo signal Bombadier Invensys Rail Siemens: Brussels, 2007.
[8] Zhao, H., Li, W., Zhao, M., & Liu, Z., Dynamic Characteristic and HighSpeed Adaptability of Balise Onboard Equipment. (To be published) China
Railway Science, Beijing, China, 2010.
Section 7
Metro and other
transit systems
485
CBTC test simulation bench

J. M. Mera, I. Gmez-Rey & E. Rodrigo
CITEF (Railway Technology Research Centre),
Escuela Tcnica Superior de Ingenieros Industriales,
Universidad Politcnica de Madrid, Spain
Abstract
Due to its safety characteristics, signalling equipment requires a great amount of
testing and validation during the different stages of its life cycle, and particularly
during the installation and commissioning of a new line or upgrade of an existing
line, the latter being even more complicated due to the short engineering periods
available overnight.
This project aims to develop a tool to reduce the above-mentioned efforts by
simulating the CBTC trackside, fulfilling the interfaces between subsystems and
elements of these subsystems, and using some real elements.
In this way, a testing environment for signalling equipment and data has been
developed for the CBTC system. The aims of the project that were set out at the
beginning of the development and completed with the present simulator are as
follows:
Real CBTC equipment trials and integration: CBTC on-board

equipment, CBTC Radio Centre, etc.
Other signalling elements trials and integration: interlockings and

SCCs.
CBTC track data validation.
In order to achieve these objectives, various simulation applications have

been developed, of which the most important are the following: Infrastructure,
Automatic trains, Train systems, Planning and Control Desk, etc.
This system has been developed, and is currently adding new modules and
functionalities, for companies of the Invensys Group: Westinghouse Rail
doi:10.2495/CR100451

Systems in the UK and Dimetronic Signals in Spain, which are using it for the
new CBTC lines under their responsibility.
Keywords: computer techniques, management and languages (simulation),
advanced train control (CBTC), equipment test.
1 Introduction
The increasing expansion of underground railway networks seen in recent years
to meet the growing demand has highlighted the need to integrate new signalling
and rail traffic management systems, such as CBTC [1, 2], which enable line
capacity to be increased as well as line operating safety. Therefore, in order to
obtain a safe and reliable operation, numerous tests need to be performed, but the
high costs of infrastructures as well as rolling stock make it extremely difficult to
immobilize both in order to use them for testing and training. For this reason,
and because sometimes it is impossible to create high risk situations to
demonstrate the procedure to follow, the use of simulators is more than justified
in the world of railways. Within the scope of railway simulators, we can find
different functionalities, such as driving simulators and operational simulators,
for testing real equipment, and analyzing data, etc.
The main aims of the project with which we are dealing, are to develop a tool
to reduce the effort needed to bring a new line into service, and at the same time
avoid immobilizing infrastructure and rolling stock. The tool may even be used
for carrying out tests prior to the physical existence of the new line. For this
reason, our simulator is included among those developed for testing real
equipment and analyzing data. In order to develop the simulator, all the elements
needed as well as their real interfaces have been simulated, it being possible to
replace each of these elements by their real equivalents.
In order to attain these goals, a test environment for signalling and data
equipment has been developed within the CBTC system. The aims set at the
start of the project, which are being completed with this simulator, are as
follows:
Integration and testing of real CBTC equipment, such as: BPs, ATP,
etc.
Integration and testing of other signalling elements, such as:

Interlockings, SCCs, etc.
2 System architecture design

The set objectives require an independent module-based software structure to be
developed so that each of the modules corresponds to a real element and can
therefore be replaced by it. This layout is shown in Figure 1.
The system is based on the ERTMS/ETCS simulator developed for Invensys
Rail [35], and shares several of its modules with it. The most important
elements that have been reused are:
487
Automatic Train
Dynamic
DMI
ATP
Train Systems
TIU
Antenna
Radio
Automatic
Driver
Track Circuit
APR Reader
Code Reader
Infrastructure
BP
APR Balise
Signals
Analysis Tool
Interlocking
Track Circuit
Switches
Planning and
Control Desk
SCC
Real Data
Figure 1:
General layout of the CBTC Simulator.
Planning and Control Desk (PCD): this application allows the Simulator
user to generate, configure, launch, etc., the different scenarios. It has
had to be adapted to offer the possibility to generate and work with both
an ERTMS and a CBTC scenario.
Infrastructure: this is automatically generated from a configuration file

containing a description of all the elements making up the
infrastructure, using a specified language: track circuits, points, balises,
signals, etc. The logic of each of these elements as well as their
functionality has also been simulated. Specific infrastructure
components have been developed for CBTC.
Automatic Trains: it is possible to have up to thirty automatic trains

running on the line. The train systems elements are simulated, that is,
the pneumatic and electrical behaviour is modelled through their
respective circuits. The vehicle dynamics have also been simulated. The
drivers actions are simulated automatically. By using automatic trains,
both the performance of the on-board equipment and the infrastructure

can be checked. For example, the correct working of the BP with
several trains connected to it can be checked.
Of the new elements developed for adaptation to CBTC, the following are
particularly important:
APR Balise: these elements contain the telegrams from the APR trackside balises and send their contents when stimulated by the simulated
train.
Track Circuit with Speed Codes: these elements simulate track circuit
occupation, whether it be untimely or due to an oncoming train. In
addition, they load a speed code in accordance with the conditions
contained in the interlocking and this is sent to the train when it invades
the interlocking.
Interfaces with the real modules: since various types of real equipment
have had to be integrated, like the ATP or the DMI, elements have
needed to be developed that can send and/or receive, as need be, the
data that each piece of equipment must exchange with the simulated
part.
Analysis Tool: this tool allows analysing the data loaded in the BP. By
taking the messages exchanged between an automatic train and the BP,
a series of graphs and checks are generated that can easily check
whether or not the engineering rules with which the signalling was
designed are being met, as well as determining if the BP is performing
properly under the circumstances specified for the analysis.
The modules that have been integrated are described below:
ATP: the on-board train equipment has been integrated in its Host
version, that is, in its software version to be run in a PC.
DMI: the driver interface has also been integrated in its Host version.
BP: the Block Processor Host has also been included in the simulator.
The system also continues to use the same idea to separate the
communications in an independent module inside each application, as can be
seen in Figure 2. In this way, maximum integration capability is achieved for real
equipment, since it is ensured that the design does not change when real
equipment is inserted. Communication between different applications is achieved
through a Host whose mission is to control communications and tell each
application where it can find the required data.
The use of the Components Technology developed by CITEF has also been
maintained in respect of the base system. One component is a DLL (Dynamic
Linked Library) which has a specific function. For example, a balise needs to
send its content to a train when stimulated by such. Each real element has its
489
TCP/IP
Communications
Module
Body of the Application
Figure 2:
Figure 3:
General layout of an application.
Communication mechanism between components.
equivalent in a component. The components involved in each application are

stored in a Components Container called a Variables Register, which enables
them to communicate with one another through the exchange of variables, as can
be seen in the diagram in Figure 3.
Interfaces with real equipment
A new inter-application communication mode has had to be developed to

achieve interaction with real equipment, such as the ATP Host and the DMI
Host. These communications are socket-based.

The sockets enable any data flow to be reliably and orderly exchanged
between two applications. To define a socket, an IP address and a port are
necessary, apart from setting up a transport protocol capable of being interpreted
by both applications. Since IP addresses are being used, sockets can be used
between applications that are running in different computers. In the example in
Figure 4, it can be seen that applications A and B are connected by a socket that
joins the Port2 ports of the IP1and IP2 IPs. A socket can be made to look like a
direct pipeline between two applications so that one will supply the data that the
other needs to receive.
The sockets enable a client-server architecture to be implemented. The name
client is given to the application that initiates communication and server to the
application waiting for the other to initiate said communication. That is, in the
example in Figure 4, if application A makes a communication request to
application B, and application B accepts it, the socket is established between
both, and A plays the role of client and B the role of server.
In spite of the fact that using sockets allows two-way communication, the
developed system uses a one-way system so that the client only sends data and
the server only receives data. Where two-way communication is required, two
sockets are implemented so that both applications are servers and clients at the
same time. In Figure 5, applications A and B are connected to two sockets.
Socket 1 is used to send data from B to A and inside it. A is the server and B the
client; to the contrary, Socket 2 is used to send data from A to B and inside it. A
is the client and B the server.
The real equipment integrated is accompanied by a simulation layer that lets
sockets be implemented in it and serves as a data exchange interface in a format
that is adapted to the core of the real equipment.
Figure 6 shows the general layout of communications with the integrated real
equipment. The ATP and the DMI are the elements for which sockets have had
to be used.
Figure 4:
Figure 5:
Scheme of a socket.
Scheme of implemented sockets.
491
The design developed by CITEF in the simulator incorporates new

components whose function is to replicate the data handled by the real
equipment by means of communication with a central component called an ATP
Router. It is this that is connected to the ATP and the DMI through sockets. The
elements developed for this purpose in the simulator are detailed below,
indicating the kind of data exchanged with the ATP Router:
TIU Socket: sends/receives the discreet signals handled by the ATP. For
example, when the driver operates the emergency brake, the TIU
receives this data, which in turn is received by the TIU Socket, which
transmits it to the ATP Router for it to be sent to the ATP.
Dynamic Socket: sends the speed and forward movement data that
calculates the dynamics for the ATP Router to be able to send it to the
ATP.
APR Socket: sends the telegrams from the balises the train passes over
on its journey for them to be transmitted to ATP.
Socket Speed Codes: sends the speed codes that the ATP must receive
as the train keeps occupying track circuits.
The ATP Router establishes the following sockets with the DMI and the ATP:
ATP Despatch Socket: all the data required to be received by the ATP is
sent through this socket; that is, balise telegrams, discreet, dynamic
speed codes, messages from the BP and messages from the DMI.
DMI Despatch Socket: the data to be shown to or requested of the

driver at any instant as indicated by the ATP at any instant is sent
through this socket.
DMI Reception Socket: the actions taken by the driver on the DMI to be
transmitted to the ATP are received from this socket.
ATP Reception Socket: three types of data are received; the messages
sent to the BP by the ATP, the discreet messages that the ATP orders
the TIU to activate or deactivate and the data the ATP sends the DMI so
that the latter can show it to the driver.
4 Data analysis
One of the most important parts of the development undertaken is the Analysis
Tool. This tool can be used to program analyses of the data exchanged between
the BP and the ATP.
The process followed to achieve this purpose is described below:
A scenario is taken without automatic trains and without any set routes.
Train Systems
TIU
Socket TIU
DMI
Dynamic
Socket
Dynamic
Router ATP
APR Balises
Socket APR
Track Circuits
with
Speed Codes
Socket
Speed
Codes
ATP
Signals
Switches
Infrastructure
Antenna
Radio
BP
Figure 6:
Communications with real equipments.
493
In the real SCC the user sets the route to be analysed.
The interlocking receives the order to set the route and sends it to the
field elements that are positioned to correspond to the route in question,
and when the conditions set are met, the interlocking sends a signal to
the BP to indicate that the route has been authorised. The Analysis Tool
is listening to the communication between the interlocking and the BP,
and is thus able to detect which route has been set.
When the route has been authorised, the user can request an analysis of
the route in question, selecting the required analysis options.
A train is automatically inserted in the simulator forward of the set route

and begins to run. The train must receive 2 APR balises before entering
the route. On receipt of the first balise, the train must initiate
communications with the BP, and after the second APR, the BP can
send the train a movement authorisation.
Throughout the simulation, the messages exchanged by the train and the
BP are listened to by the Analysis Tool, and, so, the tool can decide
when the conditions set for the analysis have been met. At this moment,
the train will brake automatically, shut off communications with the
BP, and will be eliminated from the scenario.
The Analysis Tool will analyse the messages that it has been listening to
during the simulation and generate the graphs and checks requested by
the user.
5 Advantages and functionality of the system

It may, therefore, be stated that the main advantages and functionalities of the
system described in this article are as follows:
A reduction in the efforts required to bring lines equipped with the

CBTC system into service.
It offers the possibility to test different configurations of a single

scenario to see which option is most advantageous.
Since neither the infrastructure nor the rolling stock need be

immobilized in order to carry out tests, a considerable reduction in costs
is obtained.
Since the same interfaces are used as with the real equipment, this
means that functional tests can be performed on real equipment, with
the possibility of simultaneously including one or more pieces of real
equipment.
It may be used to verify trackside data before it is installed, and in

addition, if need be, obtain results showing where the erroneous data is
located.
Figure 7:
Some snapshots of the simulation system.
6 Future developments
It is planned to extend the system in several stages in order to achieve the
following objectives:
To test real Target equipment, that is, the hardware version with the
configuration to be installed on the track. To perform this, there will be
a stage where the ATP, DMI and BP Host will be replaced by Target
equipment.
Target interlockings will also be tested and will also be required to be

integrated.
To use the system as a driving simulator by incorporating a virtual cab

and a visual environment.
To test the real ATO equipment, both in its Host version and Target
version. Therefore, this equipment will need to be integrated into the
simulator.
495
7 Conclusions
Since the CBTC Test Simulation Environment developed by CITEF implement
exactly the same interfaces built into real equipment, it can guarantee that the
behaviour of the simulated and real equipment is absolutely identical.
Moreover, if we take into account that the use of simulators in a railway
environment has been fully justified throughout this article, and more so in this
particular example of a CBTC environment, we may state that using this test
bench tool is an overriding guarantee for bringing new CBTC lines into service
as well as ensuring that the different track and on-board equipment will run
smoothly under absolutely any circumstances.
It is also a tool for preparing data, testing and detecting any possible failures
in track data.
We may state that in spite of the development costs for this type of tool, the
cost of track tests is reduced considerably thanks to this simulation environment,
since the number of track tests is reduced, thereby reducing the use of
infrastructure and rolling stock set aside for this purpose. This cost saving
becomes more hidden if it is borne in mind that it is a polyvalent system, as it
can be used for any line that implements CBTC.
This system is being developed, and is currently adding new modules and
functionalities, for companies of Invensys Rail: IRNE in the UK and IRSE in
Spain, which are going to use it for the new CBTC lines under their
responsibility.
References
[1] 1474.1 IEEE Standard for Communications-Based Train Control (CBTC)
Performance and Functional Requirements
[2] 1474.2 IEEE Standard for User Interface Requirements in CommunicationsBased Train Control (CBTC) Systems
[3] Gmez-Rey, A, Mera, JM, et al. ERTMS Driving and Operation Simulator
under Distributed Architecture in a Virtual Reality Environment.
Proceedings of ITEC2001. Lille, France. April 2001.
[4] Mera, JM, Gmez-Rey, I, et al. ERTMS/ETCS TEST SIMULATION
BENCH. 10th International Conference on Computer Aided Design,
Manufacture and Operation in Railway and other Advanced Mass Transit
Systems. COMPRAIL X. Prague, Check Republic. June 2006.
[5] Mera, JM, Gutirrez, LM, et al. Simulation of the ERTMS / ETCS Railways
Control and Protection System; Levels 0, 1 and 2. 8th International
Conference on Computer Aided Design, Manufacture and Operation in
Railway and other Advanced Mass Transit Systems. COMPRAIL VIII.
Lemnos, Greece. June 2002.
497
Development of the new CBTC system

simulation and performance analysis
R. Chen & J. Guo
School of Information Science & Technology,
Abstract
This paper introduced the new developed CBTC (Communication Based Train
Control) system simulation and performance analysis (hereafter called the
simulator) in Southwest Jiaotong University from the system architecture,
functions, modeling and algorithms. The simulator is a software program to
simulate the movement of trains in the system. It applies the same signal rules of
a project without any real hardware or software. A directed graph of track layout
and the CBTC moving block train control model used in the simulator are
introduced. The main purpose of the simulator is to calculate the system
headway and trip speed under the current system configuration and block design.
Headway is defined as the time interval between the successive trains moving
along the same track in the same direction through the same point. Minimum
Design Headway is a key parameter in a system. In this paper, the principle of
the in-line station headway and the turn-back station headway calculation are
described, and the examples of Chengdu line 1 are provided.
Keywords: CBTC, train control, headway, simulation, performance analysis,
safety braking model, safety distance, directed graph.
1 Introduction
With the rapid development of urban railway transit, the new moving block
technology CBTC has been the trend of the urban railway Automatic Train
Control (ATC) system. To carry out the system simulation and evaluate the
system performance is an important step in the system design stage.
The main purpose of the simulation is to calculate the system headway and
trip speed with the current system configuration and block design. Headway is
doi:10.2495/CR100461

defined as the time interval between the successive trains moving along the same
track in the same direction through the same point. Minimum Design Headway is
defined as the shortest headway at which the system is able to operate trains
continuously. It is determined by the most restrictive point on the guideway.
Minimum Design Headway is a key parameter in a system.
This paper introduced the new CBTC system simulation and performance
analysis tool developed in Southwest Jiaotong University from the system
architecture, functions, modeling and algorithms. The Simulator is a software
program to simulate the movement of trains in the system. It applies the same
signal rules of a project without any real hardware and software.
The new Simulator is developed with Visual C++, Matlab and GUNPLOT to
provide a friendly graphical user interface and easily to configure the operation
scenarios. It is not only used for the performance analysis and block design
optimization, but also to provide an open platform for the studying of the key
algorithms in CBTC system.
2 Software structure and system function

Fig. 1 illustrates the system function and the software structure in the most
abstract level.
There are three core modules in the System Simulation and Performance
Analysis: ModeLib, Simulation and Analysis.
ModelLib is the train control model library in the software. It includes the
following main models called by the Simulation module in every simulation
step: Safety Distance model, Braking model, Accelerating model, Station Stop
model, Station Departure model, etc. Train control model library is configured
offline to be suitable with the particular project using Matlab.
Figure 1:
System function and the software structure.
499
Simulation module simulates the movement of all the trains in the system.
The simulation scenarios can be configure in the database or dynamically input
from the Configuration Workstation. Input information for the Simulation is
Guideway database, Vehicle parameters and Simulation scenarios. The
Simulation module has an interface to ATS (Automatic Train Supervision) or
ATS simulator to display the real-time system status, such as the wayside status,
route status, train type, train location, etc. Another type of simulation view is
provided by the graphic Time/Distance and Velocity/Distance plots.
The analysis module imports the Simulation Data recorded by the Simulation
module (including: position, velocity, acceleration, grade, speed restriction,
target speed, distance to go, etc) and perform the system parameter calculation.
Headway/Distance plot is the most important output of the analysis report, from
which we can find out the Minimum Design Headway and where the most
restrictive point is in the system.
3 System principle
3.1 Guideway database
The guideway database is based on the directed graph, a standard mathematical
topology representation. It has a set of Nodes and Edges. Any location where the
track diverges, converges, changes the direction of travel or ends is called a
Node. The track that connects two nodes together is called an Edge. Typically,
the switch and the track end are represented by the node in the topology. Each
Edge has a default direction that travels from a source node to a destination node.
Normally, the edge direction is same with the track direction. Each Edge and
Node has a uniquely ID in the system. The position of the trains and the wayside
objects in the system can be defined as <edge, offset> vector.
Figure 2:
Train location in the directed graph.

Fig. 2 is the example of Directed Graph in Chengdu line from Wenshu
Monastery Station to Luomashi Station. Position of train 1 and train 2 is <+e4,
156> and <-e2, 236> respectively.
To have a standard and open mathematical topology representing the
guideway database is an important technology for the interoperability of CBTC
system. When a train transfers from one CBTC system to another, it downloads
the new guideway database at the entrance and report the position to the new
Zone Controller. Zone Controller will then calculate the movement authority and
send back to Onboard Controller. Both of these messages use the <edge, offset>
method to define the position in the moving block system database.
3.2 System simulation
3.2.1 Safety braking model
Fig. 3 is a typical safe braking model recommended by IEEE 1474.1 [1]. In the
figure, the emergency brake curve is the worst-case, open-loop, speed/distance
curve a train will follow once the ATP has initiated an emergency brake
application. This emergency brake curve must always be less than or equal to the
safe speed curve, where safe speed is defined as the speed above which a critical
hazard (derailment or collision) could occur.
In this model, safety factors are accounted for in the emergency brake curve,
train position uncertainties, and other additional measurement tolerances
incorporated in the CBTC system design, and there is no requirement to add
additional safety margins.
The ATP over speed detection curve is the speed-distance curve that the ATP
subsystem uses to immediately initiate an emergency brake application, if the
ATP subsystem detects that the measured speed exceeds this curve at the
measured train location. When the ATP subsystem has initiated an emergency
brake application, the ATP subsystem is no longer in the control loop, and the
Figure 3:
Typical safe braking model.
501
train will emergency brake at or below the emergency brake curve. The
emergency brake curve includes an initial propulsion runaway period, until
propulsion is disabled.
The ATP profile curve is the speed-distance curve that is an ATP over speed
allowance below the ATP over speed detection curve. The ATP profile is the
base curve used by the ATP subsystem.
3.2.2 Safe train separation
Fig. 4 is the Safe Braking Model used in the Simulator. The model defines the
principle, assumptions, process and parameters of Safety Distance calculation.
All these parameters are imported from the configurable database and can be
adjusted to meet the particular project requirements.
This Safe Braking Model is an application of the typical safe braking model
recommended by IEEE 1474.1 to calculate the Braking Distance, Safe Braking
Distance and the Safety Distance. Braking Distance is the distance to the normal
stop point with the normal brake rate. Safety Braking Distance is the braking
distance in the worst case. The relationship is,
SafetyBrakeDist BrakeDist SafetyDist
(1)
SafetyTrainSeparation
SafeBrakeDist PositionUncertain
(2)
In the simulator, ATO curve is N seconds (it is configurable) afterward the

ATP enforcement curve. System will always try to drive the train along with the
ATO profile in the simulation.
Figure 4:
Safe braking model and the train separation in the simulation.

Since the headway is defined as the non-interfering train separation, the
Disturb Point is the position of ATO starts to reduce the speed according to
braking model. As expressed in eqn (2), Safety Train Separation is the Safety
Braking Distance plus the additional Position Uncertainty.
3.2.3 Train movement and train speed calculation
System uses a continuous time slice approach to calculate the train position and
velocity. Each time the simulator advances one time slice and calls the train
control model to calculate the position information for all trains.
The below functions describes the relationship between time, velocity, and
acceleration,
vi 1 vi ai t ;
ai t 2
S i vi t
;
2
S i 1 S i S i .
(3)
where
t , is the time slice;

vi
, is the train initial speed at the time slice;
vi 1 , is the new train speed in this step, also the initial speed for next time slice;
ai , is the acceleration for this time slice, to simplify the calculation, the constant
acceleration is used for one time slice;
Si , is the distance train travelled in the time slice;

S i , is the initial position of the train;
S i 1 , is the new position of the train.
Every step when the current train velocity is calculated, Simulator will
compare it to the ATO profile to determine the drive mode: braking, accelerate,
or coasting.
3.3 Minimum headway calculation
As defined before, Headway is defined as the time interval between the
successive trains moving along the same track in the same direction through the
same point. Minimum Design Headway is defined as the shortest headway at
which the CBTC system is able to operate trains at its maximum ATO speed
continuously. It is determined by the most restrictive point on the guideway.
3.3.1 Minimum interstation headway
Interstation headway is the time interval of the successive trains without
considering the station stop. Fig. 5 illustrates s the principle of the minimum
interstation headway calculation. In this figure, ATP profile is not showed.
Figure 5:
503
Minimum interstation headway.
The disturb point of train 2 is the train at its maximum ATO speed and start to
reduce according to the brake model defined in section 3.2.2. The time of train 2
travelling from the disturb point to the position X (rear of train 1) at its
maximum ATO speed is the minimum headway of position X.
Then we can have,
THeadway
S SservicBrake S SafetyDis tan ce STrainLength DUncerta int y

VMax _ ATO
(4)
where
THeadway
, is the minimum headway;
S ServiceBrake , is the service brake distance for train 2 at the maximum ATO
speed;
S SafetyDis tan ce
STrainLength
, is the safety distance calculated by the brake model;
, is the length of train;
DUncerta int y
, is the position uncertainty of the proceeding train;
VMax _ ATO
, is the maximum ATO speed of train 2.

From the above principle, in the simulator, minimum headway of each
position can be calculated by simulating only one train. Since the simulated train
is always trying to run at the maximum ATO speed, system can scan back to find
out the position and the time of the disturb point, and then calculate the actual
time it travelled through to get the minimum headway.
Figure 6:
Minimum station headway model.
3.3.2 Minimum station headway

Fig. 6 is the model to determine the minimum intermediate station headway.
According to this model, the constraint for the non-interfering train separation
requires that Train 1 has cleared the station by a SD beyond the station stopping
point (Position uncertainty of the proceeding train is taken into consideration), at
the time that Train 2 is a braking distance away from the station stopping point
(i.e. the disturb point). System can be configured to use the full service brake rate
or a certain constant brake rate to calculate the braking distance.
From this model, we can have
THeadway TEntry TDwell TExit TPr ocess
(5)
where
TEntry
, is the time for the train to travel from the disturb point to the station stop
point along with the ATO profile;
TDwell , is the station dwell time;

TExit , is the time for the train to travel from the station stop point to its rear is an
safety distance plus the position uncertainty beyond the station stopping point;
TPr ocess , is the system process delay time.

Fig. 7 is the example of minimum interstation and station headway
calculation of Chengdu line1 from Luomashi Station to Centaury City Station.
Please note that the used guideway parameters and singling system parameters
are not exact the same with the real project. If we assume the system is based on
moving block principle, we can see the most restrictive point of minimum
headway in the system is always at the station area for the reason of station dwell
505
time. With this figure, we can directly know the minimum design headway and
where the most restrictive point is in the system. If the minimum design headway
is greater than a project requirement, most likely, it can be optimized at this
point.
3.3.3 Minimum turn-back headway
Minimum turnback headway is calculated by multiple trains operation through
the switches. The following scenario is the Chengdu line 1 Shenxian Lake
Station with turnback for 2 trains by the same route.
4 Conclusion
The main purpose of the System Simulation and Performance Analysis tool is to
calculate the system headway and trip speed with the current system
configuration and block design. It is characterized by scanning all the simulation
Figure 7:
Example of the minimum headway calculation.
Figure 8:
Turnback headway calculation.
Table 1:
Time
T0
T1=T0+N1
Turnback headway calculation.
Train 1
Train 1 departs from
Shenxian Lake
arrival platform
Train 1 clear switch
W2109 (associated
axel counter).
T2=T1+N2
ATS commands
W2109/W2111
move to normal
position
W2109/W2111
moved to normal
position.
Movement authority
of Train 2 extended
to S2125.
T3=T2+N3
T4=T3+N4
T5=T1+N5
T6=T5+N6
T7=T6+N7
T8=T5+N8
Train 1 Clear switch

W2105 (associated
axel counter).
ATS commands
W2105/W2107
move to reverse
position
W2105/W21071
moved to reverse
position.
Train 1 arrives the
turnback position
T9=T4+N9
T10=T8+N10
T11=max(T7,T1
0)+N11
T12=T11+N12
T13=T12+N13
Train 2
Action Time
N1 seconds travel
time to clear
W2109.
N2 seconds for
system processing
delay.
N3 seconds for
switch moving.
N4 seconds for
system processing
delay
N5 seconds travel
time to clear
W2105.
N6 seconds for
system process
delay
N7 seconds for
switch moving.
Train 2 arrives at the

Shenxian Lake
arrival platform
Train 1 direction
changed.
Movement authority
of Train 1 extended
to X2102. Train 1
departs from the
turnback position.
Train 1 Clear switch
W2107 (associated
axel counter).
ATS sets route for
Train 2 to the
turnback track.
N8 seconds travel
time
N9 seconds travel
time (from the
disturbing point)
N10 seconds for
direction change
N11 seconds for
system processing
delay
N12 seconds travel
time to clear
W2107.
N13 seconds for
system processing
delay
Table1:
T14=T13+N14
T15=T14+N15
T16= T9+N16
T17=max(T15,T
16)+N17
507
Continued.
W2109/W2111
moved reverse
position,
W2105/W2107 to
normal position.
Movement authority
of Train 2 extended
to turnback position.
Train 2 dwell time
expired
Train 2 departs from
Shenxian Lake
arrival platform
Minimum Turnback Headway = T17
N14 seconds for

switch moving.
N15 seconds for

system processing
delay
N16 seconds dwell
time
N17 seconds for
system processing
delay
data to calculate the actual distance and time the train travelled, and the train
movement is based on train control model library. We used Chengdu line 1 as
the example for the design and development validation.
Besides assisting the system design, the tool also provides as an open
platform for the train control model optimization study. Some future study is
now carried on this platform, such as energy saving, automatic design optimizing
of headway, automatic design optimizing of system capacity, etc.
In addition, the tool itself is under the improvement to have faster simulation
speed, friendlier user interface, more flexible to build in a new mathematical
train control model, easier to create the guideway database, etc.
References
[1] IEEE Std 1474.1 - 2004, IEEE Standard for Communications-Based Train
Control (CBTC) Performance and Functional Requirements. 2005.
[2] Bavafa-Toosi Y., Blendinger C., Mehrmann V., Steinbrecher A. & Unger R.,
A new methodology for modeling, analysis, synthesis, and simulation of
time-optimal train traffic in large networks. IEEE Transactions on
Automation Science and Engineering, 5(1), pp. 43-52, 2008.
[3] Tang, T. & Huang, L., A survey of control algorithm for automatic train
operation. Railway Journal, 25, pp.98-102, 2003.
[4] Chen, L., Ning, B. & Xu, T., Research on modeling and simulation of
vehicle-on-board automatic train protection subsystem of communication
based train control system. Vehicular Electronics and Safety, 2007. ICVES.
IEEE International Conference, pp. 1-5, 13-15, 2007.
[5] Liu, W., Li, Q. & Tang, B., Energy saving train control for urban railway
train with multi-population genetic algorithm. Information Technology and
Applications, 2009. IFITA '09. International Forum, pp. 58-62, 15-17, 2009.
[6] Ke B. & Chen N., Signalling block layout and strategy of train operation for
saving energy in mass rapid transit systems. IEE Proc.-Electr. Power Appl.,
152(2), pp.129-140, 2005.
509
Efficient design of Automatic Train Operation

speed profiles with on board
energy storage devices
M. Domnguez1, A. Fernndez1, A. P. Cucala1 & J. Blanquer2
1
Instituto de Investigacin Tecnolgica,

Escuela Tcnica Superior de Ingeniera (ICAI),
Universidad Pontificia Comillas, Spain
2
Metro de Madrid, Spain
Abstract
Energy usage in electrical railway systems is being studied in order to find
technologies and developments for increasing energy efficiency. It is not only an
environmental problem, but also concerns railway infrastructures as an
economical aspect. The problem is finding which system to invest in for
decreasing energy consumption and costs. In this paper, two possibilities are
studied. The first one is the redesign of the ATO (Automatic Train Operation)
speed profiles of metro lines. The speed commands in service nowadays were
selected based on time and comfort criteria. In addition, in this paper the
consideration of energetic criteria is taken into account. Complementing the
previous possibility, the implementation of an on board energy storage device is
evaluated. The regenerated energy of electrical brakes in metropolitan railways is
not used if there is no other train starting up at the same time, and it is wasted
with heating resistors. With the aim of taking advantage of regenerative energy,
the economical and energetic advantages of investing in an on board storage
device, despite its additional mass, are studied. Both approaches are finally
jointed, obtaining speed profiles that are even more efficient with the
implementation of the device. Optimal Pareto curves, where the best solutions
are placed, are modified taking into account on board storage devices. A
simulator is needed for the proper simulation of all the possible speed
commands. It has been developed and validated with measurements in line 10 of
the Madrid Underground. Solutions show that about 25% of energy savings are
expected with only the speed profiles redesign. In addition, it is shown how these
doi:10.2495/CR100471

optimal speed profiles are modified when an on board energy storage device is
also taken into account.
Keywords: regenerative energy, ecodriving, electrical brake, metropolitan
trains, ATO speed profiles, optimal design.
Introduction
Energy efficiency in railway systems is nowadays a key topic being studied in

order to reduce energy consumption and costs. With this end in view, different
technologies, developments or strategies are being researched, and tested from
the point of view of driving optimization, capacity and optimal use of
regenerative braking.
In order to find speed profiles which optimise energy use, mathematical
models have been applied to principally optimal control techniques. In [1] the
optimal speed profile it is calculated with the maximum principle. The study in
[2] considers the problem of the optimal driving strategy based on a generalised
equation of motion that can be used in discrete and continuous control. The result
is a theoretical approach to the search for the switching points of the driving
mode. The authors of [3], seeing the difficulties of resolving the optimal control
problem with numerical techniques, developed a discrete dynamic programming
algorithm. They use kinetic energy instead of speed and obtain an analytical
solution in real time. In [4] Bellmans dynamic programming has also been used
to optimise the running profile of a train. The authors transform the original
problem into a multistage decision process accomplished by linearization and
time-uniform discretization. These approaches include simplifications in their
track, trains and driving models. This means that they are not appropriate for the
optimal design of Metro ATO speed profiles given the short inter-stations in
metropolitan lines, and the differences of a few seconds between the ATO profiles
to be designed. Therefore, accurate models are needed.
The difficulty involved in the analytical resolution of the problem means that
approaches based on simulation are an alternative. They do not require
simplifications and enable an accurate calculation of running times and energy
consumption, as [5] manual driving modelling for freight trains. A number of
optimisation techniques have been used in combination with simulation. In [6],
genetic algorithms (GA) are used. A fitness function with variable weightings was
used to identify optimal train trajectories. The influence of the weightings is clear.
Artificial Neural Networks have also been used. In [7], it is proposed that they are
used to obtain the optimal coasting speed. The objective function is formulated by
considering the cost of energy consumption and the cost of passenger travelling
time. In [8], Chang et al. include Pareto efficiency in differential evolution to find
a trade-off between punctuality, consumption and comfort. However, these
models cannot be applied to the realistic case of the Madrid Underground. The
features of the ATO system considered (see [9]) make necessary a different
approach which, rather than using a continuous control curve, optimises the
discrete configuration parameters of the equipment and takes also into account
operative and comfort restrictions and the highly irregular track gradients.
511
With respect to regenerative braking, different approaches are also found. The
regenerated energy of electrical brakes in metropolitan railways is not used if
there is no other train starting up at the same time in the same electrical section,
or there are not inverting substations, with the result that the energy is wasted
heating resistors banks. This means that it is needed to equip the system with
devices which allow storing energy in the train or at substations [13]. These
devices can be supercapacitors, flywheels and SMES (Superconducting magnetic
energy storage). Their advantages against regeneration between trains, is that it is
not needed another train available to use the regenerated energy [10]. Moreover
they can be used for voltage regulation [11] and reducing energy demand
without having an effect in transport efficiency and punctuality [12]. The storage
devices at substations require energy to be transferred using the lines, which
leads to transmission loses. So, it is avoided by placing the device on-board
vehicles [14].
This paper takes and combines two of those strategies. First of all, the
redesign of the ATO speed profiles of a line of the Madrid Underground has
been carried out. In the Madrid Underground, trains are operated according to the
speed commands they receive from balises. These commands define a particular
speed profile and running time, with associated energy usage (consumption). The
design of speed profiles usually takes into account running times and comfort
criteria, but not energy consumption criteria. In this paper, a computer aided
procedure for the selection of optimal speed profiles, including energy
consumption, which does not have an effect on running times is presented. It is a
continuation of the work in [9]. To this end, the equations and algorithms that
define the train motion and ATO control have been modelled and implemented
in a very detailed simulator. This simulator includes an automatic generator of
every possible profile and a graphical assistant for the selection of speed
commands in accordance with decision theory techniques. It has been developed
and validated with measurements in line 10 of the Madrid Underground.
Secondly, it is evaluated the implementation of an on board energy storage
device analyzing the advantages in a new design in which the regenerated energy
can be stored and feed the train, without forgetting the additional mass of this
device. With that new design, speed profiles even more efficient with the
consideration of the on board storage device, are obtained. Some authors have
suggested to optimize the charge/discharge of the energy storage devices and
speed profiles together [15]. With the aim of developing a realistic study, in this
paper it is the train and the speed profile he follows what leads the operation of
the storage device. Thus, a redesign has been carried out obtaining new modified
optimal Pareto curves, where the best solutions are placed.
2 Models and simulator

2.1 Operation
When designing an energy efficient driving pattern, the decision variables are
running time and energy consumption whilst the comfort criteria must be met.
The proposed design method is based on the accurate simulation of all the

E.
STORAGE
450
400
ATO
Config.
350
300
CONSUMPTION
)
s ue o (
Track
data
250
200
150
100
50
0
0
s, v
ATO
Balise:
command
Figure 1:
ao
10
15
20
25
30
35
40
45
50
55
60
65
70
75
80
MOTOR
Train
data
Fmotor
DYNAMICS
ao, v, s
Track Running Resistance

data
Coefficients
Block diagram of the modularized model simulator.
possible combinations of ATO speed commands for each inter-station in order to

obtain precise results of these variables. To achieve this accuracy, the simulation
model has been modularized. Each module represents the different subsystems of
a real train (Figure 1).
The simulator is composed of five modules: ATO equipment simulator,
motor, train dynamics model and train consumption model as well as the model
of an on board energy storage device. This modular architecture allows the
validation of each module separately and an easy adjustment for specific features
of a particular ATO equipment. To this end, the simulator input interfaces are
designed to enable the definition of track layout, train characteristics, and ATO
system configuration.
The ATO model represents the control logic of the driving. At each
simulation step, the position and speed of the train is inputted there. Then, an
acceleration set value is calculated depending on the state of the train: motoring,
braking to target speed, braking to stop etc. This value is sent to the motor
module which translates it as the ratio between required force and maximum
traction force corresponding to the speed at each simulation step. Motor needs
the mass of the train plus the rotational inertial effect and the traction effort
available depending on the speed to calculate the force needed to follow the
acceleration set value of the ATO module. Then, a jerk limitation checks there
are no abrupt changes in force in transitions like traction-braking or brakingtraction in order to assure the comfort of passengers. Subsequently, the new
acceleration, speed and position of the train must be calculated. For that purpose
the resistance to train movement is needed. The track gradient resistance Fg is the
resistive force due to gravity, positive for ramps and negative for slopes and it is
calculated from a list with the initial and final points of downhill and uphill
sections, their values, and the slope transition curves. Curves are treated as
equivalent slopes added to the actual ones. At each simulation step, an average of
the gradient where the train is situated is calculated.
Finally, the energy consumption E is recalculated according to the time
increment t and the current I at each simulation step. A constant line voltage U
513
is assumed. The current corresponding to the maximum force is the only one
known. The consumed one could be calculated, assuming a constant efficiency,
but this assumption would not be realistic. Therefore, a model including the
variation of the efficiency depending on the ratio between the required and the
maximum force is needed.
Train velocity, acceleration, traction or brake force and energy consumption
are computed at each simulation step and they would be the input data for the
next simulation step.
2.2 Measurements
In order to record real data of trains in Line 10 of the Madrid Underground, a
laptop was connected on board to the Traction Control System while trains were
travelling with flat-out. These measurements have been used to adjust the
simulator and validate some data. For example, the differences between the
theoretical motor curves and the real ones (measured) have been found and they
are shown in Figure 2. The empirical curves are now used instead of the
provided one.
A comparison of complete simulations and measured data of running times
and energy consumption was also carried out in order to validate the simulator.
An average difference of 7.7% in energy usage and 1.4% in running times is
obtained.
2.3 Simulations
The simulator combines all the possible commands that the ATO system
provides. Thus, all the possible speed profiles for each inter-station are obtained.
The solution space is plotted in a time-consumption graph with every profile
characterized by its running time and consumption. Moreover, the simulator
indicates which profiles are not available to be implemented because of comfort
or operational restrictions. An example is given in Figure 3.
In the Madrid Underground, four alternative speed profiles per inter-station
need to be programmed in the Traffic Regulation System. This set of profiles has
increasing running times from the first (flat out, the fastest) to the fourth
(slowest). If the optimal profiles are chosen, they will also have decreasing
Current
Current (A)
Traction Effort (N)
Traction effort
Measured traction force
Measured current
Theoretical maximum traction force (maximum load)
Theoretical current (maximum load)
Theoretical maximum traction force (tare)
Theoretical current (tare)
Speed (km/h)
Figure 2:
Speed (km/h)
Experimental and theoretical motor curves.

Solution Space F1
Possible speed profiles
Consumption (kWh)
10,5
Selected speed profiles

Uncomfortable speed profiles
Pareto curve
8,5
6,5
4,5
2,5
97
Figure 3:
107
117
127
137
147
Running Time (s)
157
167
177
187
Solution space of Fuencarral platform 1 with uncomfortable speed

profiles.
energy consumption according to the shape of the Pareto curve as it is shown in

Figure 3. Consequently, this is a multicriteria problem where the aim is to find
an appropriate trade-off between energy consumption and running times.
Decision theory techniques have been used to solve it.
The proposed procedure follows three criteria: domination, sensitivity and
uniform distribution of running times. The following description of the
procedure will be illustrated with a realistic application of the Madrid
Underground. The energy consumption and running times of the current speed
profiles and the proposed ones will be compared in order to value the achievable
energy saving.
3 Case study
The procedure has been applied to the redesign of all the ATO speed profiles of
Line 10 of the Madrid Underground. Some considerations must be taken into
account:
- Four speed profiles per inter-station are looked for.
- The selected speed profiles must be comfortable.
- The first profile is the flat out.
- The maximum running time gap between the fastest and the slowest speed
profile is limited in practice, so the slowest profile must be moved and
placed before the flat slope of the Pareto curve if it is necessary to
observe this restriction.
The advantages obtained with the redesign are:
- A temporal uniform distribution of the four speed profiles for each interstation. An example is given in Figure 4 where proposed design and
current one are compared. The speed profiles 3 and 4 of the current set
consume the same energy with different running times. It takes the
second and third profile almost the same time to travel the inter-station
and the flat area of the Pareto curve is hardly well-spent. In contrast, the
new design proposes profiles over the Pareto curve with a similar gap
time between them which favours a proper operation of the traffic
regulation system.
515
- Comfort. The example in Figure 5 is clear. The speed profile in service

nowadays in Lago platform 1 is quite uncomfortable because of the
consecutive periods of coasting and motoring. The simulator allows
verifying the comfort of the selected profiles.
- An important energy saving without almost affecting running times is
achieved. Figure 6 shows how up to 35.1% savings is reached in
Santiago Bernabu platform 1 maintaining the running time between
stations.
The simulation results show that as an average 20.6% of savings are expected
with the sets of profiles redesign being even 25.0% with the newly designed
speed profile number 4 (see Table 1). These results are achieved with only a
2.6% of running times modification. Although the results are based on
simulations yet, it is a reliable value since the simulator has been validated with
real measurements.
Solution Space NM1

6,5
Consumption (kWh)
5,5

Current speed profiles
4,5
3,5
2,5
1,5
78
Figure 4:
Figure 5:
80
82
84
86
Running Time (s)
88
90
92
94
Temporal uniform distribution of the proposed speed profiles in

contrast with the current design.
Proposed speed profile instead of the uncomfortable current one.

Solution Space SB1
6,5
Consumption (kWh)

5,5

4,5
35.1% savings
3,5
2,5
1,5
62
67
72
77
82
87
92
97
102
107
Running Time (s)
Figure 6:
Energy saving achieved with the newly designed profiles.
4 Consideration of an on board energy storage device

As shown before, with a proper design of the ATO speed profiles it is possible to
achieve important savings due to the selection of the optimal strategies of speed
holding or coasting-motoring which decreases the traction consumption. Too
furthermore, taking into account the advantages of the regenerative brake, the
total energy consumption of the train could decrease considerably. One of the
possible technologies for a well spending of this energy is the use of on board
energy storage devices. Therefore, a study of the convenience of the
implementation in trains of these devices has been carried out. Trains could store
their own regenerated energy while braking and use it during the next starting. In
order to evaluate the convenience of using them, the previous design has been
carried out again considering on-board storage devices, so optimal curves are
modified.
With the aim of obtaining realistic results, an on board device with actual
features has been look up on the bibliography. The selected technology to be
incorporated is MITRAC Energy Saver of Bombardier [16]. It is working from
September 2003 in a LRV on Mannheim. It is composed by 640 UltraCaps with
a capacity of 1800F each. Its mass is 477kg with a maximum power of 300kW.
Simulations have also been carried out in a European metropolitan system in an
8 vehicles train and a tare of 165t with 6 devices of 1.5kWh each [17]. In the
present study 4 devices have been assumed with a total mass of
M=477x4=1905kg, a maximum power of 300kW and 4x1.5=6kWh possible
energy to storage. Moreover, 95% efficiency has been assumed [18].
4.1 Particular cases
Before showing the obtained results, two particular (but real) cases are going to
be detailed. One of them is an inter-station situated in an uphill section (Lago
platform 1) and the other one in a downhill section (Batn platform 2). Both, the
two flat out speed profiles as well as the track gradient are shown in Figure 7.
The redesigns have been carried out taking into account an on board energy
storage device which is 50% charged before travelling an inter-station. In Figure
8 the solution space of the uphill inter-station is shown. It is possible to see the

Lago Platform 1
80
Maximum speed
Speed profile
70
60
Speed (km/h)
60
50
40
30
50
40
30
20
20
Maximum speed
10
Speed profile
34477,7
Position (m) 34977,7
35477,7
Elevation
(m)
0
33977,7
ATO track gradient

Real track gradient
Figure 7:
10
0
15559,08
16059,08
Position (m) 16559,08
17059,08
ATO track gradient

Real track gadient
Elevation
(m)
Spped (km/h)
Batn Platform 2
80
70
517
Particular cases.
Solution Space L1
Consumption (kWh)
24,5
22,5

20,5

18,5
Speed profiles with storage

device
Potential speed profiles to be
selected with storage device
16,5
14,5
136
146
156
Design without storage

R. Time (s) E.Consumption (kWh)
137.3
23.32
139.1
22.89
140.5
22.92
142.2
22.92
Figure 8:
166
176
Running Time (s)
Design with storage

137.4
20.75
144.3
17.64
143.1
18.33
146.6
17.64
186
196
Differences
R. Time (%)
E.Consumption (%)
-0.07
11.05
-3.70
22.95
-1.85
20.00
-3.09
23.03
Possible design in Lago platform 1.
comparison between the design previously done without storage and the current
one. Speed profiles characteristics are shown in the table as well as the energy
saving expected: up to 23% with the fourth profile. A comparison with the
profiles currently in service is not possible because they are not observing the
comfort restrictions defined for the new design.
Being the inter-station on a downhill section, the potential saving is higher
because of the necessity of using electrical braking. An example is given in
Figure 9 where almost a 50% of saving would be possible to achieve with the
second profile. Doing the comparison with the profile number 2 currently in
service, the consumption could decrease almost 70%.
It is important to notice that in both cases the speed commands which lead to
the selected profiles, change when a storage device is considered. That is to say
that the optimal profiles are moved not only in y axis but also could have a
different running time (besides the additional time that the mass storage can
mean). On the contrary, there are inter-stations where the optimal Pareto curve is
just moved in consumption as the example in Figure 10.

Solution Space B2
5,5
Consumption (kWh)

4,5

Speed profiles with storage
device
3,5
2,5
1,5
143
153

144.2
5.50
146.5
3.24
150.4
2.18
154.0
1.64
Figure 9:
163
Running Time (s)
173
Design with storage

144.2
3.77
148.1
1.67
150.9
1.29
154.0
0.88
183
Differences
R. Time (%)
E.Consumption (%)
-0.03
31.36
-1.09
48.52
-0.33
40.85
0.00
46.34
Possible design in Batn platform 2.

Solution Space F1
12
Consumption (kWh)
10

8
6
4
2
0
98
108
118
Figure 10:
128
138
148
158
Running Time (s)
168
178
188
Possible design in Fuencarral platform 1.
5 Results
Table 1 shows average results of savings. With the implementation of an on
board 50% charged storage device, energy consumption would decrease up to
40% regarding to the previous design proposed. It would be 47.5% of savings
regarding to the current situation, that is to say, to the speed profiles in service
nowadays in Line 10 of the Madrid Underground. Moreover, the additional mass
of the device only increases the running time of the flat out in 0.03%.
Table 1:
Profile 2
Profile 3
Profile 4
519
Summary table. Average energy savings with the proposed designs.

regarding to current design
R. Time (%)
E. saving (% )
-0.49
16.38
-2.24
20.38
-5.19
25.05
-2.64
20.60
Design with storage regarding

to design without storage
R. Time (% )
E. saving (%)
0.08
32.29
-0.07
33.69
0.05
35.85
0.02
33.95
Design with storage

regarding to current design
R. Time (%) E. saving (%)
-0.41
43.38
-2.32
47.21
-5.14
51.92
-2.62
47.50
6 Conclusions
A detailed simulator of the particular ATO system of the Madrid Underground
has been developed in order to obtain a realistic simulation that allows
calculating slight differences between alternative speed profiles. In the case
study of Madrid Underground, these differences can be a few seconds. Thanks to
that, it has been possible to carry out a realistic design of the speed profiles of
Line 10. The newly designed profiles against the speed profiles currently being
used result in 20% of savings as an average.
Too furthermore, taking into account the implementation of an on board
storage device, up to 47.5% of savings could be expected regarding to the
currently speed profiles. The design has been carried out with an initial charge of
50% supposed. It would be possible with negligible increase in the running times
of the fastest speed profiles (flat out) due to the additional mass of the storage
device.
References
[1] Khmelnitsky, E., "On an Optimal Control Problem of Train Operation,"
IEEE Transactions on Automatic Control, vol. 45, pp. 1257, 2000.
[2] Howlett, P., "The Optimal Control of a Train," Annals of Operations
Research, vol. 98, pp. 65, 2000.
[3] Franke, R., Terwiesch, P., and Meyer, M., "An algorithm for the optimal
control of the driving of trains," Proceedings Of The 39th IEEE Conference
On Decision And Control, Vols 1-5, pp. 2123-2128, 2000.
[4] Ko, H., Koseki, T., and Miyatake, M., "Application of dynamic
programming to the optimization of the running profile of a train,"
Computers in Railways IX, vol. 15, pp. 103-112, 2004.
[5] Lukaszewicz, P., "Energy Consumption and Running Time for Trains," in
KTH, Department of Vehicle Engineering: Royal Institute of Technology,
Stockholm, 2001, pp. 153.
[6] Bocharnikov, Y. V., Tobias, A. M., Roberts, C., Hillmansen, S., and
Goodman, C. J., "Optimal driving strategy for traction energy saving on DC
suburban railways," IET Electric Power Applications, vol. 1, pp. 675, 2007.
[7] Chuang, H. J., Chen, C. S., Lin, C. H., Hsieh, C. H., and Ho, C. Y., "Design
of optimal coasting speed for saving social cost in mass rapid transit
systems," 2008 Third International Conference On Electric Utility
[8]
[9]
[10]
[11]
[12]
[13]
[14]
[15]
[16]
[17]
[18]
Deregulation And Restructuring And Power Technologies, Vols 1-6, pp.

2833-2839, 2008.
Chang, C. S., Xu, D. Y., and Quek, H. B., "Pareto-optimal set based
multiobjective tuning of fuzzy automatic train operation for mass transit
system," IEE Proceedings-Electric Power Applications, vol. 146, pp. 577583, 1999.
Domnguez, M., Fernndez, A., Cucala, A. P., and Cayuela, L. P.,
"Computer-aided design of ATO speed commands according to energy
consumption criteria," Computers In Railways XI - Computer System
Design And Operation In The Railway And Other Transit Systems, vol. 103,
pp. 183-192, 2008.
Ramos, A., Pea, M. T., Fernndez-Cardador, A., and Cucala, A. P.,
"Mathematical programming approach to underground timetabling problem
for maximizing time synchronization," Revista CEPADE, pp. 95, 2008.
Sagareli, S. and Gelman, V., "Implementation of new technologies in
traction power systems," presented at Proceedings of the 2004 ASME/IEEE
Joint Rail Conference (IEEE Cat. No.04CH-37550),
Siemens, "SITRAS SES Acumulador de energa para el transporte de
cercanas."
Gunselmann, W., "Technologies for Increased Energy Efficiency in
Railway Systems," 2005.
Chymera, M., Renfrew, A., and Barnes, M., "Energy Storage Devices in
Railway Systems," IEE, 2006.
M. Miyatake, K. Matsuda, and Haga, H., "Charge/discharge control of a
train with on-board energy storage devices for energy minimization and
consideration of catenary free operation," presented at Computer in
Railways XI, Toledo, Spain, 2008.
Steiner, M. and Scholten, J., "Energy storage on board of DC fed railway
vehicles PESC 2004 Conference in Aachen, Germany," Pesc 04: 2004
IEEE 35th Annual Power Electronics Specialists Conference, Vols 1-6,
Conference Proceedings, pp. 666-671, 2004.
Steiner, D. M., Klohr, M., and Pagiela, S., "Energy storage system with
Ultracaps on board of railway vehicles," 2007 European Conference on
Power Electronics and Applications, Vols 1-10, pp. 982-991, 2007.
Gay, S. E. and Ehsani, M., "On-board electrically peaking drive train for
electric railway vehicles," presented at 2002 IEEE 56th Vehicular
Technology Conference Proceedings (Cat. No.02CH37359)
521
Research on the load spectrum distribution

and structure optimization of locomotive
traction seats
W. Wang, M. Wang & Z. Liu
Laboratory for Structural Strength Testing,
Abstract
As a result of long-time service, cracks started to emerge in traction seats of the
6K locomotive. There is an urgent need for more reliable traction seat structures.
The stress-time history of key points of traction seats was measured under 6K
locomotive operation condition. By methods of mean stress amendment and load
identification, the load spectra for six traction seats were compiled. The statistic
inference and the fitting test were processed on the load spectra, and the Weibull
distribution function and the maximum load were deduced in order to have a
more comprehensive understanding of the load distribution. With the help of
ANSYS code, the optimization structures of traction seats were designed and the
dynamic stress test was carried out. Combined with the S-N curve and Miner
Law, the equivalent stress amplitudes of key points relative to service life were
calculated. The results show that all of the equivalent stress amplitudes are less
than the fatigue limit and the optimization structures meet with the operation
requirement.
Keywords: load spectrum, equivalent stress amplitude, Weibull distribution,
traction seat.
1 Introduction
The traction mechanism, transmitting the locomotive traction force, is one of the
most important parts, ensuring the safety of the locomotive. As a result of long
service under heavy loads, fatigue cracks emerge in traction seats of the 6K
locomotive. The quantity and size of cracks are increasing seriously, which has
caused a security risk to the locomotive in service [1].
doi:10.2495/CR100481

The Z-style traction rod is the typical type of 6K locomotive. Six traction
seats are welded to the wagon underframe and six traction rods are connected to
three bogies, respectively. Statistics revealed that about 76% of cracks initiated
from the welds between the cover plate of the traction seats and underframe
beam [2]. Figure 1 shows the traction system and the connection between the
traction seat and the underframe structure.
Based on the data processing of the stress-time history signal of the traction
seats, the load spectra are compiled for each traction seat. Using the MATLAB
tool, statistical inference and adaptive testing are processed to study the
distribution characters of the load spectrum parent, and the maximum load is
deduced by the probability method. Finally, the optimal structures are defined in
terms of ANSYS code, as well as load spectra, and the equivalent stress
amplitudes of key points of optimal structures were calculated.
2 Testing and compilation of the traction seat load spectrum

2.1 Test condition
The test line, about 288 km, is the operation line for the 6K electric locomotive.
The track includes numerous curves, turnouts and an 11~13 slope stretch of
about 30km. The load of the test locomotive is 4,500 tons, which is the same as
the maximum traction tonnage. Data acquisition is continuous in order to ensure
the integrity of test data.
2.2 Load identification
Traction seat load is the tension and compression load from the traction rod. The
load Fx can be identified by strain gauges along the axle [3-5], or
Fx
Figure 1:
2
D .
4
Traction system of the 6K locomotive.
(1)
523
where D is the section diameter of the traction rod and is the stress value
obtained by the axial strain gauges.
2.3 Load spectrum compilation method
In order to get more accurate stress distribution, the spectrum compilation should
take the stress average and amplitude as a binary random variable [6], which can
be obtained by the rain flow counting process of the measured dynamic stresstime history and then be grouped by eqn. (2).
m max m min
Dm
Nm
D a max a min
a
Na
(2)
where Dm and Da are the group interval of stress amplitude and mean stress,
respectively, m max and m min are the maximum and minimum of mean stress,
respectively, a max and a min are the maximum and minimum of the stress
amplitude respectively and N m and N a are the total number of mean stress and
amplitude series ,respectively, which here takes 8.
In order to facilitate the optimization design of the structure, eqn. (3) is used
to change the two-dimensional stress spectrum into a one-dimensional spectrum.
1ai
ab
b m
(3)
where a , m are the stress amplitude and mean stress, b is the tensile
strength of the material and 1ai is the equivalent stress amplitude of each
series for symmetric cycle.
2.4 Test results of the stress spectrum and the load spectrum
Table 1 shows the equivalent one-dimensional stress spectrum of the left 1#
traction rod. According to eqn. (1), the stress data in Table 1 can be transformed
into the load spectra, namely the traction seat load spectra, also shown in
Table 1.
3 Statistical inference of the load distribution characteristics

In order to fully understand the parent distribution of the load spectrum of the
traction seat, statistical analysis of the load spectra is performed. Weibull
distribution is assumed according to the approximate shape of load amplitudefrequency histogram and then hypothesis testing is carried out to determine the
mathematical model.

Table 1:
Stress spectrum and load spectrum.
Stress amplitude
(MPa)
Frequency
Cumulative
frequency
Load amplitude
(KN)
7.4
12.1
16.9
21.7
26.5
31.0
35.5
40.5
4217
2975
758
174
47
11
4
3
8189
3972
997
239
65
18
7
3
20.88
34.15
47.70
61.41
74.81
87.68
100.41
114.36
3.1 Weibull function

The probability density function of the three-parameter Weibull function can be
expressed by eqn. (4).
b 1
X X b
X X0
b
0
X X0
.exp

F ( x) X a X 0 X a X 0
X a X 0
X X0
0
(4)
where X 0 is location parameter, b is shape parameter and b 0 , X a is scale

parameter and X a >0;
The expectation of Weibull function is
E( x ) xf ( x )dx X 0 ( X a X 0 ) ( 1
0
1
)
b
(5)
The deviation of Weibull function is
Var( x ) ( x ) 2 f ( x )dx ( X a X 0 ) [ ( 1
0
where
( ) is the Gamma function.
2
1
) 2 ( 1 )] (6)
b
b
3.2 Distribution function deduction of load

Chi-square minimization method, namely, 2 minimization method [7, 8] is used
and parameter estimation of Weibull distribution for the load spectra is
performed with the help of MATLAB tool.
The mean value and deviation of the load test subsample can be obtained
based on the load amplitudes and frequencies, which can be supposed to be
parameters of Weibull function as the subsample is in large quantity. In order to
determine three parameters of Weibull function, another equation should be
found except eqn. (5) and eqn. (6). Here taking K . pearson value as an objective
525
function, 2 minimization method is used to determine the optimal value of

shape parameter b . Table 2 shows the fitting data and adaptive testing results of
the relevant parameters of Weibull function.
The data in Table 2 show that the correlation R value is greater than "the
minimum value of correlation coefficient" in the R test and in the 2 test,
K . pearson statistic values are less than the critical value, which verify that it is
acceptable to suppose that the load statistical parent meets Weibull distribution.
3.3 Inference of the maximum load
The load spectra may not include the maximum service load due to the test limit.
The probability calculation is a typical method to get the maximum load [9].
Table 3 shows the maximum load of each traction seat deduced from statistical
inference. It can be found that the maximum amplification factor is 1.206 and the
minimum is 1.083 compared with test data.
4 Optimization of traction seats and fatigue life prediction

4.1 Optimization design of traction seats
Taking the left 1 seat for example, the optimal structure is provided based on
the maximum load. Fig. 2 shows the FEA results of both the improvement seat
Table 2:
Parameter fitting and adaptive testing results of the Weibull

function for the load spectra.
Parameters
Traction
seats
Right 1#
Right 2#
Right 3#
Left 1#
Left 2#
Left 3#
X0
0.7099
0.5573
0.9487
0.9295
0.8331
0.5963
Table 3:
Xa
15.8788
17.0824
12.6846
14.6116
14.1651
16.2452
Correlation
K. pearson
Statistics
19.317
18.6873
19.8244
23.4233
19.9945
18.244
4.44
5.47
6.11
5.70
4.29
3.11
0.99942
0.99837
0.97169
0.99054
0.96381
0.99964
The maximum loads of each traction seat (Unit: KN).
Traction seats
Right
1#
Maximum
Load
Statistical inference
Right
2#
112.6
3
Right
3#
104.4
9
Left
1#
103.7
1
132.8
8
Test Load
93.36
95.51
88.33
Amplification factor
1.206
1.099
1.174
Left
2#
Left
3#
116.5
105.
31
97.2
7
1.08
3
5
114.3
6
1.162
98.59
1.182
(a) Original seat
(b) Optimized seat

Figure 2:
FEA analysis of the original and optimal design of traction seats.
and the original one. The comparison shows that the maximum stress of the weld
connecting traction seat and the wagon underframe decreases from 190.3 MPa to
63.1MPa, and the maximum stress of the improved structure moves to the
transition arc of reinforcement cover plate and the value is 103. 5MPa.
4.2 Fatigue life prediction of the optimal traction seat
In order to predict the fatigue life of the optimal traction seats, the dynamic stress
test was carried out under the same operation condition and the equivalent stress
amplitude was obtained according to the reference [8].Table 4 lists the equivalent
stress amplitude results of the left 1# traction seat key points (location shown in
fig.3), in which the extension life of 1,600,000km, 2,000,000km and
3,000,000km corresponds to 8 years, 10 years and 15 years in service
respectively. It can be seen that the equivalent stress amplitudes of measured
527
points are all less than the admissible fatigue stress of 70MPa, which means the
optimized structure can be used safely in further 8 ~15 years.
5 Conclusion
(1) The dynamic stress-time history of key points of traction seats was collected
while the locomotive was in service and the load spectra were compiled
respectively for the six traction seats based on the load identification method.
(2) The statistical inference and adaptive testing were processed to learn the
distribution characters of the load spectrum parent. The results show that the load
spectra of the traction seats meet Weibull function. The maximum load is
deduced by the probability method as well.
(3) By modelling and performing analysis in ANSYS code, the optimal traction
seat structures were defined. The online dynamic stress test and the fatigue life
prediction were carried out. The results show that the fatigue life of traction seats
can prolong to 8-10 years after the structure optimization.
Table 4:
Equivalent stress amplitudes of left 1# traction seat.

Service life
1,600,000
km
Point location
2,000,000
km
3,000,000
km
Connection weld between cover plate and

underframe (non traction rod side, inner side)
Connection weld between cover plate and
underframe (non traction rod side, outside)
34.2
36.4
40.9
27.7
29.6
33.2
Transition arc of the cover plate( inner side)
36.0
38.4
43.1
Transition arc of the cover plate( outside)
26.0
27.7
31.1
2
1
4
Figure 3:
Location of the key points for measurement.
Acknowledgements
The work is supported by the Fundamental Research Funds for the Central
Universities and Beijing Nova Program.
References
[1] Huang, Z. & Zhang, H., Traction device's summarization of 3B0
locomotive, Diesel Locomotives, 40(11), pp.24-26, 2004.
[2] Yuan, J., 6K electric locomotive profile. Electric Locomotives and Mass
Transit Vehicles, 11(1), pp. 37-41, 1988.
[3] Wang, F., Study on Fatigue Life and Reliability of Fatigue Life of Turn 8Gtype Device Cross-braced Bogies, Northern Jiaotong University, Master
Thesis: Beijing, 2003.
[4] Liu, H., Mechanics of Materials (4th Edition), Higher Education Press:
Beijing, pp40-45, 2004.
[5] Shi, C., Research of Load Identification and Distribution of SW-200 Bogie
Frame, Northern Jiaotong University, Master Thesis: Beijing, 2006.
[6] Xiong, J. & Gao, Z., Rain Flow - Back method and two-dimensional fatigue
load distribution of hypothesis testing, Aviation Journal, 17(3), pp.297-301,
1996.
[7] Xu, Q., Software Development of Stress Spectrum Processing and Spectrum
Analysis System on Locomotive Bogie, Northern Jiaotong University,
Master Thesis: Beijing, 1999.
[8] Lv, P. & Liu, Z., Research on statistical inference methods of stress
spectrum of bogie, Journal of Northern Jiaotong University, 22(1), pp.44-50,
1998.
[9] Stephens, R.I., Fuchs, H., Stephens, R.R. & Fatemi, A, Metal Fatigue in
Engineering (2nd Edition), John Wiley and Sons: Hoboken, pp55-70, 2000.
529
Generation of emergency scheme for urban rail

transit by case-based reasoning
F. Li, R. Xu & W. Zhu
School of Transportation Engineering, Tongji University, China
Abstract
Case-based reasoning (CBR) is a method that uses previous experiences to solve
new problems. The characteristics of CBR make it suitable for complex
problems related to knowledge reuse. Based on the analysis of the characteristics
of emergency events in urban rail transit, a generation method using CBR for
emergency scheme is proposed. Certain related technologies, such as case
representation, case retrieval, case adaption, case revising and case retaining, are
conceived and discussed. A numerical example is used to illustrate the
application and efficiency of the proposed method, which can take full advantage
of historical correct experiences and benefit to the intelligentization of
emergency scheme generation for urban rail transit.
Keywords: urban rail transit, emergency scheme, case-based reasoning, case
retrieval.
1 Introduction
Accidents, failures, unpredictable disasters, and sudden increase of passenger
flow due to special events happen in urban rail transit (URT) now and then.
These emergency events, which impact widely and long and evolve uncertainly,
will bring negative impact on the whole rail network unless properly dealt with.
In terms of URT, on one hand, operation organization and passenger evacuation
are constrained by the spatial layout because of the relatively closed space in
URT system. On the other hand, emergency response process for URT actually
is a process of interaction and cooperation between different departments, which
is difficult to do well due to the distinct differences existing in the
communication, coordination and authorization. Therefore, it is visible that the
emergency decision in URT is complex and difficult.
doi:10.2495/CR100491

In recent years, a lot of researches have been carried out on the safety and
security of URT, most of which studied the construction of emergency response
system and the disposal method for specific emergency events, while few aim to
the generation of emergency scheme. Zhang and Liu [1] designed the
management mode of emergency plan based on case-based reasoning and rulebased reasoning, but did not give the specific reasoning algorithms. Cui et al. [2]
constructed a framework for the multi-agent-based emergency response in the
subway, but did not study generation of emergency scheme. Wang [3] proposed
a generation method of emergency scheme based on emergency planning, but the
emergency plans were compiled according to the type and level of emergency
events before emergency events occur. It is hard to directly apply pre-established
plan to emergency response, and specific plan still involves many unstructured
problems. Therefore, it is necessary to generate emergency scheme according to
emergency status and characteristics.
Case-based reasoning (CBR) is one of the well-known AI methods. It solves
new problems by finding and reusing solutions from similar problems
successfully solved before and often shows significant promise for improving the
effectiveness of complex and unstructured decision making [4]. Based on the
analysis above, this paper applies case-based reasoning (CBR) methodology into
the generation of emergency scheme for URT. Certain related technologies, such
as case representation, case retrieval, case adaption, case revising and case
retaining, are conceived and discussed.
2 CBR in emergency scheme generation

Those previous experiences in emergency disposal in URT consisting of
emergency characteristics descriptions and relative solutions are called cases and
are stored in a case base in a certain pattern. The process of emergency scheme
generation using CBR can be divided into four stages that is retrieval, adaptation,
revising and retaining (fig.1) [5]. When an emergency event occurs, the system
matches the new problem against cases in the case base using a specific retrieval
method, and finds the most similar case from the case base. And then, aiming to
the differences between the current problem and the retrieved case, the system
revises the retrieved case using professional knowledge of emergency disposal.
The revised solution can be confirmed as the emergency scheme for the current
problem at that time. Subsequently if necessary, according to the performance of
the emergency scheme and experiences and lessons learned in the disposal
process, the proposed solution could be modified to avoid the same mistakes.
The description of the emergency and the modified solution could be saved as a
new case in the case base with the aim of reusing in the future.
Figure 1:
531
Case-based reasoning cycle in emergency scheme generation.
3 Case representation
Cases should be represented in a standard structure and rules, so as to be
retrieved and adapted. A typical case usually contains two parts: the problem and
the solution. The problem that describes the characteristics of the problem and
related information could be represented by pairs of feature-value; the solution
expresses the measures, disposal process and related information to the problem.
Currently, the main methods of case representation includes: logical
representation, production representation semantic network method, frame
method. There are various emergency events in URT, such as train fault, fire and
so on, and the number and names of the referred features vary from one to
another. Framework method is used to represent emergency and fire is taken as
an example to describe case representation, as shown in table 1.
4 Case retrieval
Case retrieval is the core of CBR. Methods for case retrieval are nearest
neighbour (NN), induction, and knowledge-guided induction and template
retrieval. These methods can be used alone or combined into hybrid retrieval
strategies [6]. In this study, we take NN to retrieval the similar case. It is the

Table 1:
The description of fire case.
Emergency
feature or solution
Description
Value type
case ID
the order number of the case in the

case base
numeric or
ordinal
fire, electrical breakdown, etc.
nominal
peak or off-peak hours
nominal
coach, platform or station hall
nominal
type of
emergency
occurrence time
occurrence
location
duration
the expected duration
casualties
number of injury and the death toll
event level
burning area
smoke
components
smoke
concentration
description the severity of

emergency
the area of burning region
the main components of smoke
the concentration of smoke
safety facilities
the status of fire safety facilities
cause
emergency
scheme
implementation
result
the cause of the emergency
numeric or
interval
numeric or
interval
Nominal
Interval
Nominal
numeric or
interval
numeric or
ordinal
Nominal
measures, disposal process, et.al

good , bad
method for retrieving the most similar case or several similar cases from the case
base. Similarity is a measurement of the degree of the similarity between the
current case and the retrieved case. A complete case retrieval process using NN
is generally composed of two steps: Firstly, calculate the similarity of features
between the new case and the source case. Secondly, calculate global similarity
according to the weights and the similarity of features obtained. The similarity of
features between the two cases could be calculated as follows [7]:
1 | V j* Vij |
sim(C *j , Cij )= 1
if V j* and Vij are numeric or ordinal

if V j* and Vij are numinal and V j* Vij
(1)
if V and Vij are numinal and V Vij

*
j
*
j
where C * and Ci are the new case and the i th retrieved case respectively, V j* and
Vij are the values of the j th feature for the two cases, and sim () is the similarity
function.
533
If the value of the feature is interval, the similarity function of features is

shown in eqn. (2) [7].
sim(C j , Cij ) 1
*
V
2
*
j
Vij
V
2
*
j
Vij
(2)
where V j* and V j* are the lower limit and upper limit of the j th feature for the
current case respectively, and Vij and Vij are the lower limit and upper limit of
the i th retrieved case in the case base.
Global similarity is the weighted sum of the similarities of features, and it
could be computed by the following formula.
n
sim(C , Ci )
*
sim(C , C
j 1
*
j
ij
(3)
j 1
where sim(C* , Ci ) represents global similarity between C * and Ci , and j is the

weight of the j th feature for both the current case and the retrieved case, and n
denotes the number of the finally selected features in calculating similarity. The
initial weights of features could be determined by using analytic hierarchy
process or the experience of experts. It must be noted that all of features values
should be normalized before similarity calculation.
In order to improve the retrieving efficiency, the current case only matches
with the retrieved cases with same type of emergencies because only the solution
to the same type of emergency event may be suitable for current event. In the
reasoning process, is set as a threshold to ensure the number of selected cases
is not too much. Only global similarity between the current case and the
retrieved case is greater than , can the retrieved case be screened.
5 Case adaptation, revising and retaining

The emergency scheme of the most similar case could be regarded as the initial
scheme for the current problem. In general, the most similar case, which is still
different from the current problem, should be revised to fit the current situation.
However, because case revising usually needs professional knowledge, there is
no universal revise method. Cases are usually modified manually. The CBR
system usually could retrieve several similar cases simultaneously. Operators
could revise initial scheme by using the knowledge of other similar cases to
improve the performance of emergency scheme.
Case retaining is also the process of learning for the CBR system. After
emergency handled, the performance of the emergency scheme is evaluated.
Combination of the description of emergency event, emergency scheme and
implementation result is saved as a new case in the case base. The knowledge of
the CBR system can be updated over time, which ensures the growing of system
handling ability.
6 Example
In this section, a simple example is presented. Suppose a fire occurred in urban
rail transit, and the description of the input case and related cases in the case base
are listed in table 2. In table 2, C* denotes the current case, and the listed features
are the important features selected in similarity calculation, and the values of the
features has been already normalized. The initial weights of the selected features
are presented in table 3.
The new case and the retrieved cases in the case base.
Table 2:
Case ID
occurrence
time
occurrence
location
event level
C1
C2
C3
C4
C5
C*
peak
off-peak
peak
off-peak
off-peak
off-peak
station
hall
level 1
station
hall
level 1
platform
level 2
station
hall
level 1
station
hall
level 1
coach
level 1
burning area 0.1-0.15 0.2-0.3

0.1-0.2
0.2-0.4 0.15-0.25 0.25-0.3
safety
0.95
0.85
0.8
0.8
0.95
0.9
facilities
scheme ID scheme1 scheme2 scheme3 scheme4 scheme5
implement
good
good
good
good
better
result
Table 3:
weight
The initial weights of the selected features.
Occurrence
time
0.05
Occurrence
location
0.05
Event
level
0.1
Burning
area
0.1
Safety
facilities
0.15
Take C * and C1 as an example to illustrate the calculation of case reasoning.

The five similarities of five features pairs can be calculated by eqn. (1) - eqn. (2).
*
sim (C1 , C11 ) 0
sim (C2 , C12 ) 1
*
sim (C3 , C13 ) 1

*
sim(C4 , C14 ) 1
*
0.25 0.12 0.3 0.15 2 0.85
sim(C5* , C15 ) 1 0.9 0.95 0.95
Then, the global similarity can be calculated by eqn. (3):

n
sim(C , C1 )
*
sim(C , C
j 1
*
j
1j
535
)
0.84
j 1
Finally, the global similarities between the input case and all related cases
existed in the case base can be calculated, and the results are listed in table 4.
Table 4:
global
similarity
The global similarity of each case.
C1
C2
C3
C4
C5
0.84
0.97
0.49
0.95
0.85
From table 3 we can see that the most similar case is C2 . If the threshold is
set to 0.9, C1 , C3 and C5 will be filtered out. The solution of C2 can be selected
as the initial scheme for the fire. C4 can be served as a reference to operators for
revising the initial scheme in order to make it more suitable to the current
condition.
7 Conclusion
In this paper, the case-base reasoning (CBR) is introduced into the solution to
existing problems in emergency decision-making of urban rail transit as a new
approach. The procedure and methods of generating emergency scheme by CBR
are analyzed in detail. The numerical example indicates that valuable knowledge
in previous practice could be reused. However, generating emergency scheme
successfully depends on a well-constructed case base which contains a large
number of cases with the same type. Selecting appropriate features to improve
retrievals accuracy and efficiency is the issue that we plan to explore in the
future.
Acknowledgements
This research has been financially supported by the National High Technology
Research and Development Program of China (863 Program) (Grant No.
2007AA11Z236). The authors gratefully thank anonymous referees for their
useful comments and editors for their work.
References
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emergency preparedness information system. Journal of Tongi University
(Natural Science), 30(7), pp. 890-894, 2002.

[2] Cui, Y., Tang, Z. & Wu, X., Study on the multi-agent-based system of
accident disposal in the subway. Journal of the China Railway Society,
26(3), pp. 8-12, 2004.
[3] Wang, Z., Urban rail transit emergency treatment auxiliary decision-making
technologys several problems research. Tongji University: Shanghai,
pp.32-45, 2008.
[4] Ahn, H. & Kim, K., Global optimization of case-based reasoning for breast
cytology diagnosis. Expert Systems with Applications, 36(1), pp. 724-734,
2009.
[5] Watson, I. & Marie, F., Case-based reasoning: A review. The Knowledge
Engineering Review, 9(4), pp. 5060, 1994.
[6] Elina, P., Timo, S. & Tuomas, K., Synthesis of separation processes by casebased reasoning. Computers & Chemical Engineering, 25(4), pp. 775-782,
2001.
[7] Li, Y., Xie, M. & Goh, T.N., A study of mutual information based feature
selection for case based reasoning. Expert Systems with Applications, 36(3),
pp. 5921-5931, 2009.
537
Application and perspectives for interoperable

systems in Italy and Europe
R. Bozzo1, R. Genova2 & F. Ballini2
1
2
Department of Electrical Engineering, University of Genoa, Italy

Inter-University Centre of Transport Research, Genoa, Italy
Abstract
A rapid transit system represents one of the main growth areas of the railway
business developed to solve the enhanced mobility request. New solutions have
been applied in order to simplify and to improve public transport services,
without changing trains and providing a fast, direct link from the city to the
outskirts. The solutions are interoperable transport systems (like light rail very
similar to the Stadtbahn approach, tram-train and train-tram).
The tram-train concept indicates vehicles which operate on railway lines in
suburban areas, but that are also able to work on a tramway net to supply a
capillary service in the urban area.
In central Europe a few cities have planned different tram-train solutions:
Karlsruhe, Saarbrcken, Chemnitz and Kassel realised the heavy model (train
performances and technical standards similar to railway rolling stock). Other
cities choose light systems, adopting vehicles more similar to the tramway
design (Nordhausen, Zrich, Vienna, etc.).
The tram-train represents the missing link between urban tramway and
railway systems, whose transport capability depends only on how the
infrastructures are used (railway or tramway nets).
Another non conventional and lower cost model is the Stadtbahn which
have diverted in-town sections of their system underground; in some of these
cases, tunnels have been built to accommodate full metro trains if desired
(Stuttgart, Frankfurt a/M, Bochum, Kln, etc.).
In Italy metrotranvia lines are to be found in Milan and Turin, based on the
light rail model: in Turin the rolling stock have been built with peculiar
characteristics (floor height 550 mm for boarding at platform level). Other
interesting Italian interoperable systems are the Tram delle Valli in Bergamo
doi:10.2495/CR100501

and the Sassari tramway (950 mm track gauge, the same as the interconnected
railway local net Ferrovie della Sardegna) and, in the near future, the renewed
interurban tramway line Milano-Desio, (extended to Seregno) with estimated
costs amounting to 214 million Euros. Finally, the Torino-Torre Pellice, will be
the first tram-train application in Italy
Keywords: local public transport, interoperable systems, economic impacts.
1 Means of transfer chosen by the users

Since the end of the Second World War mobility demand has undergone deep
seated changes, both from the quantitative and qualitative point of view, mainly
following the changed conditions of work and settlement.
Today journey times have taken on, together with comfort and safety, an ever
greater importance, just as the demand for transfers not only from the outskirts to
the centre but from metropolitan areas to the central zones of cities is
continuously increasing.
This phenomenon requires suitable responses from public transport, which in
recent years has shown an interesting recovery but not sufficient, however, to
supply a valid alternative to private mobility, now so well rooted in the habits of
citizens especially in erratic journeys or those which require breaks of load.
For transport supply one does not require only a suitable sizing, but also
economic and environmental sustainability, with a careful look at the visual
impact and street furniture.
Therefore, the problem appears to be extremely complex both for transport
companies and for the public administration. Technological innovation plays an
essential and at the same time delicate role, making a higher number of solutions
available compared to the past, but facing decision makers with delicate
problems in the choices to be taken.
100%
5.7
4.7
5.9
7.5
92.2
92.8
90.1
87.7
82.8
10.6
90%
80%
70%
60.1
60%
50%
Motorbikes
Private cars
40%
Public means
30%
20%
29.3
10%
0%
2.2
2.5
3.9
4.8
9.2
Up to 5,000 from 5,000 from 25,000 from 50,000from 100,000 more than
inhabitants to 25,000 to 50,000 to 100,000 to 250,000 250,000
inhabitants inhabitants inhabitants inhabitants inhabitants
Figure 1:
Means of transfer chosen on the basis of the size of the urban

centre.
539
Today, the trends in progress are various, first of all the revival of the
tramway system lived as an instrument for the best exploitation of town planning
for cities, which are being redesigned through it. In more detail, Italy appears
with a high propensity to the use of private means (two or four-wheeled) indeed
the rate of motorisation is among the highest in the European Union, with 590
cars per thousand inhabitants in 2005, passed only by Luxembourg.
Figure 2 shows the results of a survey conducted by ISFORT between 2004
and 2006 with regard to the satisfaction expressed by the citizens of mediumlarge towns with regard to the public transport service delivered, respectively,
by bus and tram (graph on left) and by underground (graph on right). As it is
possible to see, the judgement expressed in 2006 for bus and tram appears
negative (little or not at all satisfied) for about 35% of those interviewed, with a
slight improvement compared to the previous year but a marked worsening
compared to the year 2004, where dissatisfaction with the service was
manifested by about 29% of the sample. The underground service was judged
considerably better with a quota of dissatisfied on average of around 20% with a
minimum of 16% in 2006. Since an action aimed at reviving public transport
requires in depth study, with separation of opinions between road and rail
systems such as trams, there emerges a marked satisfaction for mass rapid
transport systems [1].
100%
11.8
18.2
100%
26.2
23.3
60%
59.7
45.8
41.9
Verysatisfi ed
24.7
22.7
5.9
0%
2004
Figure 2:
11.4
2005
Verysati sfied
Quitesatisfied
50.1
38.7
40%
Dissatisfi ed
24.4
20%
10.4
0%
2006
47
60%
Qui tesati sfied

Notverys atisfi ed
40%
20%
40.8
80%
80%
19.6
4.1
2004
14.2
6.3
2005
No tvery satisfied
37.1
Di ssati sfied
11.4
4.6
2006
Satisfaction expressed by users in medium-large towns for the

public transport service [2].
For medium-small centres, where mass rapid transport systems are not in
themselves applicable, technology however makes interoperable systems
available, which allow one to limit investments in infrastructures using the
existing networks and drastically reducing the breaks of load.
2 The reasons at the base of the disaffection for public

transport in Italy
The reasons at the base of the disaffection for public transport are of both a
social and technical nature. Indeed, along with the simple habit of total
autonomy in the journey, the points of major criticality are, in order of
importance in the users' perception:

1.
2.
3.
4.
5.
journey times, considered non competitive compared to those of the

private means and often very difficult to quantify with certainty in
advance;
accessibility of the public means (understood as ease of use) is lower
than the private means, and the need for breaks of load;
capillarity of the service;
insufficient level of comfort, mainly attributable to overcrowding but
also to parameters now assessed as fundamental, such as the level of
cleaning, the efficiency of the air conditioning plant, the level of safety
and the difficulty of entering the carriage due to the survival of vehicles
with the floor not lowered;
correspondence of the service with the real needs, with particular
reference to the frequency of the runs, the design of the routes and the
networks.
The last point, in particular, is confirmed by the data contained in the

National Transport Account 2007 and summarised in figure 3, from which a
heavy imbalance emerges between supply of and demand for transport. This
imbalance is more evident in the urban service (71.7 billion places per km
supplied against 11.6 billion passengers per km transported) compared to the
extraurban one (70.4 billion places per km supplied against 18.1 billion
passengers per km transported). Even though, 25.7% of coverage of the
places supplied for the extraurban service does not seem to be an
appreciable result either for the covering of the costs, or for the satisfaction
with the service. Within towns, this coverage is even lower: just 16.2%.
80.0
60.0
40.0
71.7
70.4
20.0
11.6
0.0
Urban
Places km supplied
Figure 3:
18.1
Extraurban/suburban
Travellers km transported
Comparison between passenger km transported and places km

supplied (billions) [3].
To all this one must add the slow evolution of the concept of sustainable
mobility toward s an idea of enlarged comfort of towns, where the reduction of
private mobility and recourse to public transport systems with low emissions
541
becomes functional to urban upgrading. This derives from a greater

environmental awareness among the population, but also from the awareness
that such a renewed context represents the driving force for the growth of the
wealth of the territory. However, a public transport system cannot limit itself to
satisfaction of environmental parameters and user satisfaction, it must also be
efficient to bring together the liveability of towns with the economic
sustainability of services.
These objectives may be reached through the use of innovative, high-capacity
systems that make that level of service available that allow one to acquire market
shares (new users) and therefore to improve the urban centre, both from the point
of view of congestion by traffic and from the point of view of atmospheric and
acoustic pollution.
3 Comparison of the costs and technologies for the public

transport
Table 1 permits a comparison of the innovative and traditional technologies
available for the running of Public Transport of people in urban areas and shows
a comparison between the transport capacities of different systems obtained
hypothesising a frequency of service equal to about three minutes. It is clear how
depending on the level of mobility demand expressed by the urban zone the
service is sized and the choice of the most suitable means of collective transport
is made.
An exact consideration of the levels of present use and a correct estimate of
those that may possibly be attracted with innovative modes and/or means of
transport is indeed presupposed fundamental for both the economic and technical
sustainability of the service.
As highlighted in table 1, the consumption, expressed for uniformity of
comparison in grams of oil equivalent, are very different from one another
depending on the transport technology examined.
The typology of hybrid bus considered is that of the most innovative which
allow an energy saving of about 20% compared to traditional thermal vehicles.
Also for what concerns trolley buses the consumption was estimated for those of
the latest generation equipped with energy recovery systems (e.g.
supercapacitors) and for which one estimates a saving of electrical energy of the
order of 25%.
With particular reference to trolley buses with supercapacitors, the first series
of vehicles, of 18 metres, were delivered at the start of 2009 to the ATM in
Milan.
Analysing consumption per km travelled one sees how the classical
underground is that which expresses the highest values: 538 grams of oil
equivalent per km, while the trolley bus is the one with the lowest energy
consumption with a maximum value for the vehicle of 24 metres equal to
359 goe/km.
Finally, considering the specific consumption (which also takes into account
the capacity of the means) one sees how the data favour high-capacity systems:

Table 1:
Type of
vehicle
Comparison between urban transport systems passengers

transported consumption and costs.
Estimated
Passengers
transported /h consumption/km
(goe/km*)
per direction
Estimated
specific
consumption
(goe/pkm**)
Cost of
vehicle
k
Cost of
infrastructure
k/km
0 - 100
12 m bus
1500
368
24.2
310
18 m bus
2500
423
20.4
380
0 - 100
24 m bus
12 m hybrid
bus
18 m hybrid
bus
24 m hybrid
bus
12 m trolley
bus
18 m trolley
bus
24 m trolley
bus
3,500 4,000
478
17.3
500
0 - 100
1500
294
19.3
460
0 - 100
2500
338
16.3
570
0 - 100
3,500 4,000
382
13.8
900
0 - 100
1500
276
18.2
500
400 - 600
2500
317
15.3
800
400 - 600
3,500 4,000
359
13
1000
400 - 600
Tram
4,000 6,000
488
15
2,000
3,000
7,000 10,000
15,000
30,000
538
10
9000
12,000 50,000
Underground
* goe/km: grams of oil equivalent per km

** goe/pkm: grams of oil equivalent per passenger km
Figure 4:
Stuttgart Stadtbahn system [4].
543
the lowest specific consumption expressed in grams of oil equivalent per

passenger km (10 goe/pkm) is that of the underground, while the highest value is
that of the thermal bus of 12 metres (24.2 goe/pkm).
It is clear that for the underground plant that transport up to 30 thousand
passenger hours in each direction with a capacity up to 1200 passengers per
train (standard composition with 6 vehicles) the energy consumption attributable
to each passenger km transported is drastically cut winning the challenge of the
most environmentally friendly means among those considered, followed by the
other plant with a fixed path, trams, which have a specific consumption of 15
goe/pkm and by trolley buses of 24 metres (16.9 goe/pkm) which are vehicles
that have only recently come onto the market.
The innovations of the tramway sector have been fundamental for the
progressive integration with the existing railway systems and with the classical
underground and the creation of interoperable systems, in particular of the tramtrain system [5] which represents one of the most interesting progresses in the
transport field in recent years and the new trend for the sector.
With the term tram-train one defines a family of rolling stock that carry out
services on railway stretches in a peripheral or territorial environment, but which
are able, thanks to suitable links, to use normal tramway lines, supplying a
capillary service of connection within town centres as well as between town
centres far from one another.
The system [6] is competitive and efficient, particularly thanks to the
following characteristics:
minimisation of investment costs thanks to the use of already existing
railway infrastructures, possibly reusing disused railway lines;
possibility of increasing the number of stations along the railway line
keeping the same journey times for a train;
reduction of running costs compared to an equivalent railway system, the
tramway system needing only one operator on board;
increase of the commercial speeds in suburban stretches and drastic
reduction of the breaks of load.
Different solutions have been adopted by the realities which have adopted
tram-train systems. In Karlsruhe, Saarbrcken, Chemnitz and Kassel the so
called heavy models have been preferred i.e. with trains that are similar in
characteristics and dimensions to railway electric locomotives (or railcars), while
in other cases light models have been adopted i.e. with a more reduced profile
and more similar to a tramway vehicle.
Karlsruhe, already in 1992, presented itself as a pilot project for the running
of tram-trains [5]: today there are 11 lines active of the S type with a total
extension of the network of 468 km. The 36 trains first supplied of GT8100C/2SY type were joined in the years 1997-1999 by another 79 GT8100D/SY-M, some of which equipped with toilet facilities.
In the town of Saarbrcken 28 Flexity Link trains have been operating on
the 25.5 km of network with 23 stops/stations since 1997.

Table 2:
Comparison between different transport systems.
System
Transport
Infrastructural
Vehicle
Vehicle
(vehicl)
capability
costs
length
power
[pass/h
[k/km]
[m]
[kW]
4,000 6,000
5,000-10,000
30-50
250-500
8,000 12,000
20.,000
20-30
400-800
8,000 30,000
12,000-50,000
12-25
300-600
3,000 5,000
typically existing
30-40
400-600
direction]
Tram
Light
rail
(*)
Underground(**)
Tram-train
(*)
Length and power referred to single unit, (*) multiple coupling up to 3 units,
(**) multiple coupling up to 8 units.
Figure 7: Tram-train in Saarbrcken

Figure 5:
Heavy model train system.
In Chemnitz, from which originates the transport model going by the same
name, since 2002 10 Variobahn tram-trains have been operating which serve the
23 km of regional network between Altchemnitz and Stollberg. In the early
nineties (after the fall of the Berlin wall and with the return of the name of the
town of Karl-Marx-Stadt to Chemnitz)a feasibility study was carried out that
envisaged the creation of a mobility system on a territorial scale by means of the
reconversion of non-electrified railway lines for the running of tram-trains.
The RegioTram project of Kassel saw the opening in 2007 of 4 lines (RT1RT2-RT3-RT4) with an extension of 122 km on which 18 Alstom RegioCitadis
545
version E/E (750 cc - 15kV 16 2/3 Hz) and 10 Alstom RegioCitadis version E/D
(750 cc diesel) operate destined to the non-electrified lines.
In France the T4 line was opened in November between Aulnay-sous-Bois
and Bondy in the suburbs of Paris. The plant is operated by the same SNCF on
the site of a previous railway, while the other three Parisian lines are run by
RATP. Alstom will deliver to SNCF a good 200 tram-trains, which will benefit
besides the area of Lyons, the countryside of the Loire, the Rhne-Alpes region,
the Ile-de-France and the town of Strasbourg.
In Italy the use of tram-trains is envisaged on the railway stretch from Turin
to Torre Pellice: the Piedmont Region has foreseen a contribution of 20 M for
the purchasing of three vehicles and for adjustment of the infrastructure. In the
urban environment its running on the tramway network of the Piedmont regional
capital is foreseen.
The tram-train can also be associated with all the interoperable tramways,
among which are to be recalled Line 10 in Basel, which connects Basel with the
small town of Rodersdorf running along a stretch also in French territory on
which there is the stop of Leymen: the non urban stretch runs on the route of an
old reconverted railway line. Still in Basel line 8 which will be extended as far as
Weil am Rhein in Germany, confers the town network a unique feature of
internationality.
Figure 6:
The railway line Bern-Worb Dorf.
In Berne Line G can be cited which arrives as far as Worb Dorf; in Vienna the
Wiener Localbahnen runs the urban service on a tramway network and the same
goes for the Forchbahn in Zurich, which is inserted, at the level of service model
of rhythmic timetable in the S-Bahn town system.
From the point of view of applications, in 2004 the five transport companies
operating in the basin of the Rhine and Neckar gave life to a unique consortium,
the RNV (Rhein-Neckar-Verkehr GmbH) which, thanks to the infrastructures
present and their total interconnection, offers a territorial service complementary
to the railway network run by DB.
4 Conclusions
In conclusion we can say that the use of interoperable systems for local public
transport (extra urban and suburban) is far more developed in other European
countries than Italy where this development is hampered by rigid regulation on
the use of rail networks.
As we mention in this article, interoperable systems have a positive impact on
efficiency, effectiveness and passenger comfort and are often critical to the
success of local public transport areas within which they operate. Consequently,
their presence significantly affects the number of people who turn to public
transport services rather than the convenience of private transport. It is also
critical in curbing congestion, air and noise pollution.
References
[1] S. Migliaccio, Trasporti pubblici di qualit, MobilityLab, n. 22, Bimestre
Luglio Agosto, 2008.
[2] ISFORT - Audimob observatory of mobility of Italians. - Data 2005
[3] National Transport Account ed. 2007 Data 2005.
[4] R. Bozzo, R. Genova, I sistemi STADT-BAHN: un modello di ferrovia
cittadina, MobilityLab n. 17, Settembre - Ottobre 2007.
[5] M. Novales, M. R. Bugarin, A. Orro, Un nuovo concetto nel trasporto
urbano : il tram-treno, Ingegneria Ferrovia, n. 10, p. 741, 2001,
[6] F. Perticaroli, Sistemi elettrici per i trasporti, Seconda edizione Casa
Editrice Ambrosiana, Milano, Gennaio 2001.
Section 8
Energy supply
and consumption
549
A method to optimise train energy

consumption combining manual energy
efficient driving and scheduling
C. Sicre1, P. Cucala1, A. Fernndez1, J. A. Jimnez2,
I. Ribera2 & A. Serrano2
1
Instituto de Investigacin Tecnolgica,

Escuela Tcnica Superior de Ingeniera,
Universidad Pontificia Comillas, Spain
2
Renfe Operadora, Spain
Abstract
This article presents a combined simulation and optimisation technique to
optimise the energy consumption of a single manual-driving train service with
inter-stations along a High Speed Line. For this purpose, the best energy efficient
driving strategies along every stretch between two stations will be simulated with
an accurate and detailed train simulator to obtain the run time and energy
consumption Pareto curves of each stretch. Afterwards, an optimisation tool will
distribute the available slack time for the service among the stretches, which will
minimise the overall energy consumption of the service. The potential of the
method will be shown with a case study at the end of the article.
Keywords: manual energy efficient driving, ecodriving, coasting, timetable,
Pareto curves, slack time.
1 Notation and terminology

Flat-out time: minimum run time that a train can achieve satisfying all the
constraints of a service
Slack time: Time that added to the flat-out time constitutes the commercial run
time of a stretch, and whose aim is to ensure punctuality in case of delays
Grade: Longitudinal track inclination, positive uphills, negative downhills, []
HSL: High Speed Line
doi:10.2495/CR100511

Neutral section: Piece of rail track without electric feeding
Pareto curve: Curve consisting of the drivings that, for a fixed run time,
consume the least amount of energy
2 Introduction
Reduction of energy consumption on railway systems has recently turned to be a
global concern as a contribution to reduce the global warming. Many fields can
contribute to this aim, for instance, infrastructure, signalling, maintenance and
operation. This paper will focus it from the operation point of view, in particular,
by means of manual energy efficient driving and efficient scheduling.
2.1 Manual efficient driving
There have been many contributions about manual energy efficient driving.
Basically, there are three different ways a train can be driven: applying traction,
coasting (no traction effort) or braking. The problem about manual efficient
driving is when to switch to each way, fulfilling the constraints of the service.
For modelling the manual driving, different authors have translated the
experience of the drivers into different manual driving parameters; in [1], four
parameters are defined to build a driver model for calculating energy
consumption. In [2], the authors introduce the maximum and minimum coasting
speed parameters. With relation to the previous parameters, in [3] it is introduced
a distance, measured from a departure station, before it the train is not allowed to
coast.
Researches about finding the best strategy to drive a train started on the late
60s, when the optimal control for a linear train model was solved analytically
applying Pontryagins Maximum principle [4], concluding that the optimal
driving strategy consisted of four sections: starting with maximum acceleration,
holding speed, coasting, and finally braking with maximum deceleration. This
conclusion was reinforced in [5] and [6], with running tests that lowered the
energy consumption by 13% and 20-25% respectively.
A different approach for finding the best driving is by training the drivers; in
A toda Vela project [7], a group of AVE (Spanish High Speed) drivers took
part in a contest consisting of consuming the least amount of energy along the
service Madrid-Sevilla without affecting the punctuality commitment. The
results show achievable savings up to 9,5%.
Other attempts to find the best efficient strategy have been focused on
calculating the best coasting points along the rail track, like [3, 8, 9], or
determining an optimal holding speed lower than the speed limit, like [10] and
[11]. Other techniques deal with the reduction of the unnecessary braking; one of
them is explained in [12] and consists of avoiding the use of the brake during
sections where the grade would otherwise increase the speed above the desired
holding speed. To achieve that purpose, the train must start coasting early
enough to reduce the same speed that will be recovered along the downgrade.
Another similar technique consists in holding speed without braking, [13]; when
551
the train is allowed to increase the holding speed up to the speed limit of the line,
it maintains the holding speed always that tractive effort is needed, otherwise,
instead of braking, it starts coasting, increasing its speed. The train then can
either reach the speed limit, when it will brake in order not to exceed it, or start
decreasing its speed due to upgrades, reaching again the holding speed, when
tractive effort will be again applied.
2.2 Design of efficient timetables
The timetable of the service must be feasibly designed attending to the train, line
characteristics and users demand. It is built adding a slack time to the flat-out
time, to ensure the punctuality in case of any delays.
There are researches that have been focused on designing slack times taking
into account behavioural responses [14]. Others have been focused on
minimising interchanges waiting times, like [15], where the authors consider a
fixed value of slack time for the whole service and the available headway for
each route, distributing it the best way for avoiding delays, or [16], where
evolutionary techniques are used for the same purpose.
Related with energy consumption, in [17] the timetable is designed by adding
a slack time to the flat-out time with the aim of reducing the energy consumption
for a fixed service time. More ambitiously, the work in [18] looks for a
compromise between timetable synchronization and energy minimisation.
3 Model ecodriving - timetable

The objective of this work is to minimise the global energy consumption of a
single train service with inter-stations along a HSL by manual energy efficient
driving and timetable design, which is carried out both by a simulation and
optimisation models.
A general train service consists of a head station, n inter-stations and a
terminal station, resulting in n+1 stretches. The purpose of the optimisation
model is to distribute the fixed available slack time present in every timetable
among the different stretches of a service in the most efficient way. Besides, the
aim of the simulation model is finding the most energy efficient drivings along
each stretch, calculating run times and energy consumptions with a high grade of
accuracy.
A train service is always associated with a timetable, where the commercial
time of a stretch is built up by the addition of the flat-out time and the slack time.
This slack time is usually calculated as a percentage of the flat-out time plus an
additional time that depends on the length of the service, according to UIC Code
451-1. The difference between the slack time and the time delays during a
service will be the available time to perform an energy efficient driving.
The optimisation model will distribute the slack time of the service among its
n+1 stretches minimising the global energy consumption. To achieve it, there are
needed the run times and energy consumptions of the best energy efficient
drivings of every stretch, and this is extracted from the simulation model.

The simulator will calculate run times and energy consumptions of manual
drivings by the efficient combination of the driving techniques described in the
introduction. Each driving is associated with a data pair of run time and energy
consumption, so the drivings that, for a given time, consume the least amount of
energy, will constitute the so called Pareto curve for that stretch, [19]. This curve
relates each run time with the minimum achievable energy consumption,
Figure 1.
The results of the simulator are therefore n+1 Pareto curves. Those Pareto
curves, together with the slack time for the whole service, will be the input data
of the optimisation model for distributing the slack time in the best energy
efficient way. After obtaining the optimal slack time for each stretch, it will be
only necessary to add it to its corresponding flat-out time to obtain the associated
commercial time. The most efficient drivings fulfilling the whole service energy
optimisation will be located on the Pareto curves. Figure 2 shows a block
diagram for the whole process.
Figure 1:
Rail Track
Data
Run time-energy consumption and associated Pareto curve.
Manual
Driving
strategies
Simulation model
Pareto curve of
each stretch
Generator of manual energy

efficient drivings based on
simulation
Train
Data
Energy
consumption
Flat-out driving
stretch i
Best manual energy efficient driving

for stretch i considering the whole
service optimisation
Optimisation model
Optimal distribution of the
available slack time along the
stretches of the service
Slack time for

the whole
service
Slack time
for each
stretch
Pareto curve
stretch i
Slack time stretch i
Flat-out time
Figure 2:
comercial
time stretch i
Run time
Block diagram for optimising train energy consumption.
553
4 Simulation model
4.1 Description of the simulator
In order to calculate accurately run times and energy consumptions, a detailed
step-based simulation model has been developed [20, 21].
The step-based simulation divides the train movement into a succession of
intervals which duration/length is the step itself. Each interval is characterised by
an initial and a final state, providing that the final state of one step will be the
initial state of the following. Step-based simulation is utilised when the train is
varying its speed, and its grade of accuracy is inversely proportional to the
duration/length of the step, which may be as small as needed, with the constraint
of the computational demand. Nevertheless, due to the fact that one of the main
requirements of the simulator is calculating run times and energy consumptions
accurately, the step must be kept small. During each step, the acceleration is
considered as constant (which is a reasonable assumption when the step is
small), so the state variables at the end of a step can be calculated from the state
variables at the beginning of it and the equations of the uniformly accelerated
linear motion:
Time step-based simulation:
s f s0 v0 t 0.5 a t 2
v f v0 a t
t f t0 t
Being s0, v0, t0, sf, vf, tf the distance, speed and time at the beginning and the end
of the step respectively, a the acceleration, and t the time step.
Space step-based simulation:
s f s 0 s
2
v f v0 2 a ( s f s 0 )
t f t0
v f v0
a
Being s0, v0, t0, sf, vf, tf and a the same as previously, and s the distance step.
This simulation model is based on object-oriented programming and has been
implemented in C++.
4.2 Input data
The input introduced into the simulator consists of the three upper left blocks
shown in Figure 2: train, infrastructure/service and manual driving strategy.
The train is modelled as a length distributed and includes rotary inertia to
account for the effect of rotary masses on acceleration. The maximum electric
tractive and braking effort curves are modelled with respect to the speed
(A)
Figure 3:
(B)
(A) Traction, braking effort and running resistance curves as a

function of speed. (B) Available headway for the commercial
service.
(Figure 3A), and their efficiencies may depend both on the speed and the
powering/braking ratio, or either be constant. The running resistance is modelled
as a second degree polynomial with respect to the speed (Figure 3A). The model
also takes into account the consumption of auxiliary equipment and comfort
systems and slippage between rail and wheels. It has also the possibility of using
regenerative braking and/or onboard energy storage devices.
The infrastructure and the service are defined with the following data:
a. Check points, stopping stations, stopping times and timetable.
b. Speed limits, both permanent and temporary.
c. Grades and grade transitions.
d. Neutral sections, tunnels and track width.
e. Curves, distinguishing among straight sections, curves and clothoids.
f. Headway: it is a space-time margin for a specific service out of which it is not
desirable the train to be, to avoid introducing delays in the line (Figure 3B).
To enable the simulation of manual driving strategies, a driver module has
been implemented, where different strategies can be managed with a set of
configurable parameters and manual efficient driving techniques that were
described in the introduction.
The most efficient techniques to reduce the energy consumption are holding
speed without braking and performing a coasting process before braking to reach
a speed limit or a stopping station. Hence, a typical efficient driving may consist
of several sections of different holding speeds combined with a final coasting
process, as it is shown in (Figure 4) for the stretch Madrid-Zaragoza, where three
different sections of holding speed were combined with a final coasting section
before the braking process.
The simulation process for obtaining the best manual driving strategies along
a service begins with the definition of the track, train and service data described
in the previous sections. The track is divided into the n+1 stretches that forms
the service studied. Next, a guided search is developed along each stretch
independently. This is carried out by combining the manual driving parameters
and strategies outlined in the introduction. Each combination configures a
driving that will produce a concrete pair of run time and energy consumption.
Figure 4:
555
Typical driving consisting of different holding speeds without

braking sections and a final coasting section.
One of the main contributions of this simulation search technique is that a

wide range of manual driving strategies can be analysed combining different
sections of holding speed with different coasting intervals. This richness of
definition of manual drivings contrast with the simplification usually found in
the literature, which is admissible for short metropolitan services, but not for
HSL. Furthermore, calculating energy consumption by an accurate simulator is a
guarantee of reliable results. Other methods even avoid calculating energy
consumption during the optimisation process, using instead Artificial Neural
Networks. Another advantage of this method is that there can be simulated as
many strategies as desired, so it will be always possible to find an efficient
driving strategy that lasts a desired time.
Once simulated the best manual driving strategies for each stretch, they are
obtained n+1 distributions like the one shown in Figure 1. The drivings that, for
a given run time, provide the minimum energy consumption, will set up the
Pareto curve, consisting of the best manual drivings for each run time. The
output of the simulation process is the n+1 Pareto curves that will be the input to
the optimisation model. Whether the train uses regenerative braking, energy
storage devices or none of them, the shape of the Pareto curve will be different,
so depending on the use of these devices, the optimal driving strategy may vary.
5 Optimisation model
The timetable optimisation model will use the Pareto curves and the available
slack time for the service to distribute it in the best energy efficient way. It will
be assumed that the whole slack time is available for efficient purposes. Each
Pareto curve will be modelled as a polygonal whose segments can be adjusted in
order to achieve more precision, Figure 5.
Figure 5:
Theoretic and modelled Pareto curves.
The mathematic formulation of the optimisation model is the following:

Indexes
i
Number of stretches along the service, i = 1,,n+1
j
Number of segments of the polygonal Pareto curve
n
Number of inter-stations
Parameters
Slope of segment j from the polygonal of stretch i
ai , j
bi , j
Ordinate of segment j of the polygonal of stretch i
Slack time for the whole service [s]

Minimum slack time for stretch i
Cf i
P
Rmi
Stopping time at station [s]

Flat-out time for stretch [s]
S i, j
Minimum run time for the whole service [s]

Equation of segment j of the polygonal of stretch i
Commercial time for the whole service [s]
Rm
Variables
Slack time for stretch i [s]
Ci
Ri
Commercial time for stretch i [s]
yi, j
Indicates activation of segment j from the polygonal of stretch i
Equations
The commercial time of a stretch is the sum of the flat-out and the slack time.
Ri Rm i C i
(1)
Equation of each segment j from the polygonal of stretch i.

S i , j a i , j Ri bi , j
(2)
The commercial time of the service is equal to the addition of the commercial
times of each stretch and the stopping time at the inter-stations.
n 1
(3)
R R nP
i 1
557
The sum of slack times is equal to the slack time for the whole service.
n 1
(4)
C Ci
i 1
Slack times must be bigger than a certain fixed value to guarantee punctuality.
Ci Cf i
(5)
Ei y i , j ai , j Rmi Ci bi
(6)
Energy consumption of stretch i.

j 1
Only one segment in each Pareto curve is activated.
y
j 1
i, j
(7)
The objective function consists in the minimisation of the total amount of energy
n 1 j
(8)
min
y (a ( Rm C ) b )
i 1 j 1
i, j
i, j
The way the Pareto curves are defined ensures that the solution obtained is
achievable; n out of n+1 commercial times will be located at the junction of two
segments of the modelled Pareto curves. The position of the last one will be
inside a segment, which may not coincide with a simulated driving. In that case,
it will be selected the most similar one, (Figure 5).
The optimisation model has been implemented in Gams, and the result is the
slack time to be added to each of the n+1 flat-out times, what will determine the
commercial time of the n+1 drivings that minimise the energy consumption of
the whole service.
6 Case study
To evaluate the effectiveness of the exposed method, a real case will be
presented, consisting on a service operated by Renfe, which will be MadridZaragoza, with stops at Guadalajara and Calatayud, and developed by the train
Talgo-Bombardier Class-102. Firstly, there are simulated the optimal manual
drivings along its three stretches, obtaining the Pareto curves for MadridGuadalajara, Guadalajara-Calatayud and Calatayud-Zaragoza. Finally, there is
proposed a redistribution of the available slack time among the three stretches in
order to optimise the global energy consumption.
The timetable has a fixed commercial duration Ri for each of the three
stretches. Simulating the flat-out driving for the Class-102 on each of them they
are obtained the flat-out times Rmi and the slack times Ci, so the sum of the three
slack times is the available slack time for the whole service C. All these values
are shown on the left side of 0, as well as the energy consumption reached with
the flat-out driving.
Now there are simulated the efficient manual driving strategies for each
stretch in order to obtain their Pareto curves (Figure 6).
The three Pareto curves are introduced in the optimisation model together
with the available slack time for the service (0:10:30). The new optimal
distribution of slack times and the savings got by this method are shown on the
Figure 6:
Simulated driving strategies (Top: Madrid-Guadalajara. Left

bottom: Guadalajara-Calatayud. Right bottom: CalatayudZaragoza).
Table 1:
Results of run times and energy consumptions for commercial

timetable and optimised timetable.
right side of 0, which fixes the new optimised timetable that minimises the
energy consumption of the whole service. It must be noted that the saving
predictions are compared to the flat-out drivings, which are the least efficient
ones, but it has been checked on real tests that this is the most typical driving
developed by the drivers, whose only current concern is the punctuality of the
service. It must also be noted that those savings are obtained only with minimal
changes on the timetable (the time for the overall service maintained) as only the
559
arrival and departure time of the inter-stations are modified, and performing an
efficient manual driving, which are actions that cost no money at all.
7 Conclusions
This work has proposed a method based on simulation and optimisation to
minimise the energy consumption of a single train service with intermediate
stops along a HSL following manual energy efficient driving and efficient
scheduling.
The fully detailed simulator guarantees accurate and trustful results of run
time and energy consumption of the drivings simulated, and the way the manual
driving strategies are defined allows to explore almost all the feasible driving
strategies that can be developed by human drivers, allowing a complete search of
the best manual energy efficient driving for an isolated stretch.
With the optimal distribution of the available slack time along the different
stretches of a service, it is possible to guarantee not only the best efficiency for
each of its stretches separately, but the least energy consumption for the whole
service.
References
[1] Lukaszewicz, P., et al. Driving techniques and strategies for freight trains.
In Computers in Railways VII. Seventh International Conference on
Computers in Railways. COMPRAIL 2000. 2000: WIT Press.
[2] Bocharnikov, Y.V., et al., Optimal driving strategy for traction energy
saving on DC suburban railways. IET Electric Power Applications, 2007.
1(5): p. 675.
[3] Acikbaas, S. and M.T. Soylemez, Coasting point optimisation for mass rail
transit lines using artificial neural networks and genetic algorithms. IET
Electric Power Applications, 2008. 2(3): p. 172.
[4] Ichikawa, K., Application of optimization theory for bounded state variable
problems to the operation of train. Bulletin of the Japan Society of
Mechanical Engineers, 1968. 11(47): p. 857.
[5] Yasukawa, S., et al., Development of an on-board energy saving train
operation system for the Shinkansen Electric Railcars. Quarterly Report of
the Railway Technical Research Institute, 1987. 28(2-4): p. 54.
[6] Van Dongen, L.A.M. and J.H. Schuit. Energy-efficient driving patterns in
electric railway traction. In International Conference on Main Line Railway
Electrification (Conf. Publ. no.312). 1989: IEE.
[7] Renfe, A.v., A toda vela, la conduccin econmica. Aprovechamiento
mximo de la energa de traccin. 2004.
[8] Chang, C.S. and S.S. Sim, Optimising train movements through coast
control using genetic algorithms. IEE Proceedings - Electric Power
Applications, 1997. 144(1): p. 65.
[9] Howlett, P., Optimal strategies for the control of a train. Automatica,
1995(4): p. 519-532.

[10] Pudney, P. and P. Howlett, Optimal driving strategies for a train journey
with speed limits. J Austral Math Soc Ser B, 1994. 36: p. 38-49.
[11] Liu, R. and I.M. Golovitcher, Energy-efficient operation of rail vehicles.
Transportation Research Part A: Policy & Practice, 2003. 37(10): p. 917.
[12] Lagos, M., et al. Computer-aided train operation: CATO. In Computers in
Railways VII. Seventh International Conference on Computers in Railways.
COMPRAIL 2000. 2000: WIT Press.
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and energy consumption in a high-speed railway. IEEE Transactions on
Systems, Man & Cybernetics, Part A (Systems & Humans), 1998. 28(6): p.
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[14] Carey, M., Optimizing scheduled times, allowing for behavioural response.
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design. Traffic Engineering & Control, 1981. 22(8-9): p. 490.
[16] Chung Min, K. and C.S. Chang, Timetable Synchronization of Mass Rapid
Transit System Using Multiobjective Evolutionary Approach. IEEE
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[18] Albrecht, T., et al. A new integrated approach to dynamic schedule
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[19] Domnguez, M., et al., Computer-aided design of ATO speed commands
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[20] Law, A.M. and W.D. Kelton, Simulation Modeling and Analysis. Third
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561
Driving equipment with three-phase inverters

and asynchronous traction motors for trolleys
and trams
V. Radulescu, I. Strainescu, L. Moroianu, S. Gheorghe, E. Tudor,
V. Lupu, F. Bozas, A. Dascalu, G. Mitroi & D. Braslasu
ICPE SAERP S.A., Romania
Abstract
The company ICPE SAERP S.A. is the main producer of electric drives for
urban traction and for railway vehicles in Romania. The products of our
company are subject to the last 48 years of permanent evolution, based on the
semiconductors development and of the microprocessors control techniques.
The improvement of the passengers comfort and the downsizing of the
exploitation costs is a must for public transportation companies, relating to
trolleybuses and trams. Both can be achieved by using modern electric drives
(DC choppers or three-phase inverters), which can reduce power consumption
and increase control of the vehicle. The main products for electric traction are:
drives for traction motors of the vehicles (DC choppers for DC series motors and
three-phase inverters for asynchronous and for synchronous motors) and
converters for auxiliary services of the vehicles with two development directions,
battery chargers (DC converters) for drive supply (24Vdc or 110Vdc) and threephase inverters for auxiliary asynchronous motors (steering, compressor). ICPE
SAERP SA has delivered 310 pcs. traction equipment with DC chopper with
GTO thyristors or IGBT transistors that equip the trolleybuses from Astrabus srl
Arad for the final customers RAT Bucharest, Transurb Galai and Ratuc Cluj
Napoca. This paper presents driving equipment with three-phase inverters for
asynchronous motors for trolleys and trams that ICPE SAERP has delivered in
the past three years. The paper also presents the equipments performances, the
analysed principle for electrical power diagrams.
Keywords: three-phase inverter, asynchronous traction motor, electrical vehicle.
doi:10.2495/CR100521
Introduction
The nominal input voltage for the driving equipment with a three-phase inverter
and asynchronous traction motors is 750 Vdc or 600 Vdc, with a voltage
variation of +25%...30%, to which the atmospherically voltages are added. The
nominal input voltage for the microprocessors command block is 24 Vdc with a
variation of +25%...30%. This voltage comes from the battery on the urban
vehicle (tram, subway frame, trolley). The driving equipment is conceived so
that it can function in harsh conditions: high mechanical vibrations, a
temperature domain of 40....+ 55oC etc. This equipment has a LC input filter, a
three-phase power inverter and asynchronous traction motor. The three-phase
inverter design is based on high voltage IGBT transistors.
The existing control software allow four main functions:
o Control by reading the current state of the vehicles electrical driving
system and the commands given by the system [3];
o Adjustment through the commands sent to the three-phase inverter
INV3 that actions two (for trams) or one asynchronous traction motor
(for trolley). During the traction electrical breaking with energy saving
regimes, the couple is always adjusted. In case of electrical breaking,
the voltage limitation from the filter is ensured by connecting the
dynamic break, so that the total break couple would be the one asked by
the driver from the. The adjustment block assures also the anti-slide
protection when starting the vehicle and anti-blocking when the vehicle
uses electrical breaking.
o Communication on an internal level, between the Master and Slave
control cards but also with an external computer, for the diagnosis;
o Diagnosis by collecting and memorizing the significant data for the
status of the whole system; supplementary, an alphanumeric display
with 4 lines of 20 characters is available, that reflects the current status
of the whole system.
The ICPE SAERP equipment for the driving of the tram or

light subway wagon
The electrical power diagram of the driving equipment for the tram with two
motor bogie, each bogie being equipped with two three-phase asynchronous
traction motor and two inverters with IGBT transistors, each inverter supplying
one asyncronous motor with variable voltage and frequency. This is presented in
the Figure 1.
The input DC voltage, collected by a pantograph 1 (pozitive phase) from the
line, is applied to a surcharge discharger 3 and respectively through an
inductance 4, a radio parasites filter 5 and after that a main contactor 8. In
parallel on the capacitor 5 a voltage transducer 7 is connected, to measure the
contact line voltage.
Power diagram for the electrical drive with two inverters and 2 asynchronous motors.
Figure 1:
563

By connecting the main contactor, it charges the two three-phase inverters
(transistors 18-23 and 41-46) for the driving of the two traction motors 26 and 49
mounted on the bogies. To limit the initial current shock to the capacitive filter
13 and 36, we introduced two resistors 11 and 34, that are short-circuited by the
contactors 10 and 33 after a certain time.
The first three-phase inverter through two phase current transducers 24 and
25 supplies the three-phase asynchronous motor 26, that has a overspeed and
position transducer 27, that measures the motors speed and its rotation direction.
With the help of a transistor 28 and of a rheostatic breaking resistor we can
control the voltage on the supplying line during the electrical braking operation.
The inverter gives the command to supply the traction motor with variable
voltage and frequency, following the statoric field of the motor, by an inverter
command block 31, made with a master microprocessor and one or more slave
microprocessors. The inverter command block 31 assures the traction and energy
saving electrical breaking regimes and when the network does not receive all
breaking energy, the start of the rheostatic break command is given, as a
difference between the asked breaking effort and the one with energy saving. To
action the traction motor on the second bogie we use a similar scheme as
presented, for the driving of the first bogie, using elements 32...54.
To action the whole tram, we use a general command block 55, with a master
microprocessor and one or more slave microprocessors, receiving a series of
information from all the blocks and the traction elements: through a data
highway 56 the data and information is transmitted between the main command
block 55 and the inverter command blocks 31 and 54. Also through this highway
the data needed for an intelligent display block 57 (placed on the board of the
vehicle) and for a laptop computer 58 (for the diagnosis data extraction from the
command blocks) are transmitted.
With the help of a tram command controller 59, placed on the vehicles
board, the driver commands the run regimes (forward and backwards), normal
breaking, emergency breaking and stop breaking, and also starting acceleration
and breaking deceleration, this data are transmitted to the main command block
through a data highway 60.
By pressing the 61 and 62 buttons on the board, the driver can disconnect the
first or second inverter, if one of them malfunctions; in this way the driver can
ensure the safe return to the garage. With the help of an emergency breaking
device 63, we can ensure the emergency breaking at full value when its needed.
ICPE SAERPs equipment for trolley electrical drive
Figure 2 presents the electrical principle scheme for the driving of a trolley
equipped with a three-phase inverter and a three-phase asynchronous traction
motor. The nominal input voltage of 750 Vcc or 600 Vcc is transmitted to the
trolleys equipment by 2 current collectors 63 and 64 and fuses 65 and 66. This
voltage is applied to the discharger 3. At the dischargers terminals 3, the radio
parasites filter that is made of two inductances 67 and 68, a capacitor 5 and the
thermic fuse 6.
82
capt + [-]
29
capt - [+]
12
26
24
F8
85
92
81
a
93
27
71
84
87
90
80
79
G1
E1
~
G2
E2
76
72
76
30
28
15
17
18
21
19
22
20
79
69,70,89
23
24
25
27
31
96
78
G2
E2
23
30
74
13
22
UNITATE COMANDA INVERTOR
66, 65, 6
G1
E1
G2
E2
21
75
PF
M
+
16
a
78
15
28
70
PM
13
RP
68
14
c
96
10
66
G1
E1
~
91
c
d b
20
73
88
19
95
94
B2
B2
18
77
75
89
b
B1
B1
84
3
25
17
83
69
F1
67
65
10,16, 8
84
84
88,84
90,91
93,96
80
97
98
85,92,81
56
56
BLOC COMANDA CU
MICROPROCESOR TIP MMA-01
55
58
56
PC DIAGNOZA
57
56
AFISOR INTELIGENT
Figure 2:
Power diagram for trolleybus electrical drive.
64
63
565

The voltage from the output terminals of the inductance 67, through a fast
main switch 8 that provides short-circuit and overload protection, and through an
inductance 12, on one side and through the fuse 70, of an auxiliary charge
contactor 10 and a charge current limitation resistor, its applied to a rectifier
with four diodes 71, 72, 73 and 74, so that no matter the contact line polarity, the
voltage applied to A terminal has the same polarity.
In this way, the trolley can easily run in the garage or on track, being supplied
by the lines of the trolleys that run in the opposite direction, having a different
polarity. Usually the closest line to the sidewalk has a minus polarity. In parallel
on the capacitor 13 is a fast discharge resistor of the capacitor 14 and a input
voltage filter transducer 15.
Figure 2: Power diagram for trolleybus electrical drive
After an optimum short time, one of the main contactors 16 is closed, that
allows, after the capacitor 13 has charged to a reasonable voltage, the supply of a
three-phase inverter (made of 6 IGBT transistors 18...23), through a total
current transducer 17.
The three-phase inverter supply through two phase current transducers 24 and
25, an asynchronous three-phase traction motor 26, that is connected to a
overspeed and position transducer that measures the motors overspeed and
determines the rotation direction. With the help of a rheostatic breaking
transistor 28, of a direction diode 77 and of a rheostatic breaking resistor 29, we
can introduce rheostatic breaking; the breaking current is measured by a
rheostatic breaking current transducer 30. The inverter is commanded to supply
the traction motor with variable voltage and frequency, following the statoric
field of the motor, by a inverter command block 31, made with a master
microprocessor and one or more slave microprocessors. The inverter command
block 31 assures the traction and energy saving electrical breaking regimes, in
which case are commanded two thyristors 75 and 76, that allow the transfer of
the electrical breaking saved energy to the contact lines. When the network does
not receive all the commanded breaking energy, the start of the rheostatic break
command is given, as a difference between the asked break and the one with
energy saving.
The functioning of the transistor inverter is ensured by the command of the
transistors through this command block that receives a series of information from
the total current transducer taken by the inverter 17, from the rheostatical
breaking current transducer 30 and from the over speed and position transducer
27.
The command, surveillance and diagnosis of the entire trolley are done by a
main command block 55, that receives a series of information from the inverter
command block through the data highway 56, but also from the other equipment
and electrical and mechanical elements: pedals 78 and breaks 79, thermic fuses,
input voltage transducer 7, auxiliary services static source 84, body voltage
sensor 96, closed doors sensor 97, stationary break contact 98. In the drivers
cabin there is an intelligent display 57 that receives information through the
highway 56, and when needed can be connected to a laptop computer 58 to
collect all the events from the main command blocks diagnosis system.
567
The three-phase inverter command block
Figure 3 presents an example of command, adjustment, control and diagnosis

block with microprocessors, used for the command of inverters on trams and
trolleys.
The main microprocessor command block for the three-phase force inverter
31 is done with a microprocessor 100 that contains a RAM memory with a
battery 101 to memorize the events. Figure 3 presents the command block for the
inverter 1 from Figure 1. The analogical measurements from the inverter input
voltage transducer 15, from the current transducers: inverter total current 17 and
phase currents 24 an 25 enter an interface as analogical inputs 102, in which each
analogical input signal is conditioned, filtrated, standardized and then applied to
an analog to digital converter, so that the output signals can be read by the
microprocessor that sends them by a highway 103 to the microprocessor 100.
The logical inputs, usually YES or NO: command the inverter 61, command the
emergency break 63 and a signal from a radiator temperature thermostat with
IGBT transistors inverter 104; enter an interface block as logical inputs 105
where they are applied to optocouplers and then transmitted through the highway
105 as logical signal applicable to the microprocessor 100. The signal from the
speed and position transducer 27 enter a rotor over speed and position interface
block 106, where its conditioned, filtrated, standardized, so that the output
signal can be used by the microprocessor, being transmitted through the highway
103 to the microprocessor 100. The inputs from the microprocessor 100 sent
through the highways 56 (from the central command block) and 103 are
processed by the microprocessor that has programmes for the voltage, current
and traction motor over speed regulators and are transmitted on a command
highway 107 to a command block 108, that through transistor command highway
109 commands the IGBT transistors (18, 19, 20, 21, 22, 23) from the inverter.
The commands for the transistors enter a block that reads large currents in the
transistors 110, that can stop the transmission of impulses to the transistors, by
doing so blocking the inverter, that transmits through the highways 107 and 103
to a detection and signalising block of the malfunction 111, that commands an
optical/ acoustical warning in the central command block 55.
The microprocessor command block for the command of the rheostatical break
transistor is realized with a microprocessor 112. The analogical inputs from the
voltage transducer 15 and from the rheostatical break current transducer 30 enter
an analogical inputs interface 113, in which every analogical signal is
conditioned, filtered, standardized and then applied to a analogical-digital
converter, so that the output signals can be used by the microprocessor, that are
transmitted through a highway 114 to the microprocessor 112. The logical
inputs, YES or NO: command the break from the controller 59, from the
emergency break button 61 and from a radiator temperature thermostat with
thyristor 115, enter a logical inputs interface block 116, where they are applied to
optocouplers and then transmitted though the data highway 114 as logical signals
applicable to the microprocessor 112. The inputs from the microprocessor 112
received through the highway 114 are processed by the microprocessor 112 that
Block diagram for the command, adjustment, control and diagnosis of the electrical drive on trams and trolleys.
Figure 3:
General view, box drawing LFT- AS.

Figure 4:
569

contains programmes for the voltage and current regulators, are sent through a
command highway 117 to a command block 118, that through a rheostatical
break thyristor command highway 119 commands the IGBT thyristor 28. The
commands for the thyristor enter a large current thyristor sensor block 120, that
can stop the transmission of impulses to the thyristor, by doing so blocking the
thyristor, that transmits though the highways 117 and 114 to a detection and
warning block that the rheostatical break thyristor 121 malfunctioned, and
commands an optical/acoustical warning to the central command block 55
through the data highway 56 and the main information is sent to the diagnosis
laptop 58. The nominal voltage filter 24 Vdc, 122 supplies two converters cc/cc
123 and 124 that supply with corresponding voltages the microprocessors
and the block components of the inverter command block 31.
Execution of the electrical equipment for the asynchronous

motor trolley
The driving equipment with inverter is placed on the roof of the trolley. The
signal processor command of the traction inverter is included with the power
electronics (IGBT), and the command is done by serial transmission of the
commands to the SATREC-MMA block.
The components of the electrical equipment from the LFT-AS are:
o Traction inverter block IVF;
o EMC continuous current network supply filter with ultra fast safety fuse
o Ultra fast automated switch QL
o Network voltage sensor SPTR
o Line contactor KL and pre-charger circuit KR+RP
o Services contactors K1K3
o Crossing operating contactors KD
o Ultra fast safety fuses 1250Vcc F1, F2, F5F9
o Auxiliary services static converter type CS11T-SA
o Static supply converter for the air conditioning converter CS11T-CL
The roof box project contains all the equipment mounted on the roof. The
positioning was made so that the mass of the entire equipment would be reduced
and the gravity center would be moved as far back as possible.
Conclusions
According to their final destination, the equipment must satisfy all the European
standards and requirements regarding safety and comfort for the urban traffic.
The reliability must be very high and maintenance operations must be simple and
easy to do for medium trained personnel. For this is necessary to have a high
level of diagnose and the possibility to isolate the damage very quickly. To fulfill
this requirements, ICPE SAERP, traced very sharply the development of the
semiconductor technology, and electrotechnical materials, the final goal being to
increase the performance of the products.
571
The control of the drives are made entirely based on specific designs
developed inside the company, beginning from the PCB design and physical
stage of the boards, and in the end, final testing and development of the software
for control and diagnosis.
The electrical drive for trams or trolleys, based on asynchronous motors are
state of the art designs, which use the last technology for control and power
diagrams. The final performance concerning energy saving and the comfort of
the passengers is proved, the power savings against a classical drive is about
30%.
The analysis made by various authorities in Europe, reached the conclusion
that the pollution in the big cities may be reduced if an well organized urban
transportation will be created, with modern means of transportation, especially
those that use underground and surface subway networks (on special routes,
including light-subway), completed by connection lines that use tramcars, trolley
buses and hybrid fuel cell based electrical autobuses that are parallel connected
with modern electrical storage batteries. A strong urban transportation network
will reduce substantially the number of automobiles and so the pollution can be
strongly diminished. In addition to this, through a well-organized urban electric
transportation, we can assure an optimum run of passengers from the big cities,
with an acceptable comfort and safety.
All of this implies large investments distributed on long time periods and
respectively subsidies from the city halls that should cover the exploitation costs
after renouncing of most of the diesel autobuses and powerful expansion of nonpolluting electrical transportation.
This is well covered in the European Recommendation COM (2007) 551 final
[1, p. 1, 9, 19, 20]:
Local authorities cannot face all these issues on their own: there is need for
cooperation and coordination at European level. The vital issue of urban
mobility needs to be addressed as part of collective effort at levels: local,
regional, national and European. The European Union must play a leading
role in order to focus attention on this issue.
Extension, rehabilitation and upgrading of clean urban public transport such
as trolley buses, trams, metros and suburban rail as well as other sustainable
urban transport projects should continue to be promoted and supported by the
UE.
According to a recent study, over 40% of the urban tram and light rail fleet in
the EU-15 and 67% of the fleet in the new Member States is over 20 years
old and ought to be replaced before 2020.
At EU level several sources of financing are available, for instance the
Structural Funds, the Cohesion Fund and loans from the European investment
Bank. As in the past, the EUs Cohesion Policy will remain an important
source of funds in the eligible region during the period 2007-2013.
According to the programming documents, European Regional Development
Fund ERDF- and Cohesion Fund will contribute to almost 8 billion for
urban transport during the 2007-2013 period.

The cohesion instruments in the current period 2007- 2013 provide a more
broad and solid basis for co-financing urban transport and collective transport
across Europe. The ERDF and Cohesion Fund regulations make explicit
reference to clean urban transport and public transport but also, for the first
time, to integrated strategies for the clean transport.
References
[1] Green Paper. Towards a new culture for urban mobility. Commission of the
European Communities. Brussels, 25.9.2007-COM (2007) 551 FINAL.
[2] Radulescu, V., Strainescu, I., Gheorghe, S., Tudor, E., Moroianu, L., Serbu
V., Goia, C., Bozas, F., Dascalu, A., Braslasu, D., Tanase, M., Mitroi, G.,
Badea, S., Sburlan, I., Ungurasu, C., Lupu, V., Radulescu, B., Driving
equipments made by Icpe Saerp for urban electric transport vehicles, Proc.
of the Urban Transport XIV, Urban Transport and the Environment in the
21st Century, eds. C.A.Brebbia, Malta, pp.203-211, 2008
[3] Strainescu, I., Tudor, E., Serbu, V., Bozas, F., Badea, s., Speed control of
subway and trams, Proc. of the Urban Transport XIV, Urban Transport and
the Environment in the 21st Century, eds. C.A.Brebbia, Malta, pp.515223,
200
573
Development, testing and implementation of

the pantograph damage assessment system
(PANDAS)
A. Daadbin1 & J. Rosinski2
1
School of Computing Engineering & Information Sciences,

Northumbria University, UK
2
Transmission Dynamics, UK
Abstract
Pantograph failures due to complex interactions between the overhead line
(OHL) and pantograph structure cause significant problems to the railway
industry worldwide. Despite many efforts undertaken worldwide, no successfully
implemented pantograph monitoring system has, up until now, been introduced
for long-term operation on routinely operating trains.
This paper describes the development, design and test results from the first
fully proven Pantograph Monitoring System, which is now deployed on routinely
operating trains in the UK.
The system uses two subcomponents: the Digital Processing Module (DPM),
which is directly clamped on the live 25kV pantograph structure, and the
Receiving Signal and Relay Unit (RSRU) which is installed in a secure location
inside the carriage. A pantograph mounted unit is interfaced with the
accelerometers that are attached in vicinity of the carbon strip. The DPM uses
Bluetooth communication to report any unexpected events to the RSRU. The
DPM has an on-board GPS module and acquires and stores time domain data
corresponding to the 100 highest events captured during daily train operation.
The data is downloaded to the RSRU on a daily basis. Any high alarm events are
instantaneously transferred to the train to warn the operator and the control
centre about potentially a harmful event that requires immediate attention. The
hot spots caused by the overhead line are mapped and trended to allow
successful implementation of predictive maintenance of the OHL. The system
uses the GPRS mobile network to allow instantaneous access and remote
interrogation from any location worldwide.
doi:10.2495/CR100531

The system described in this paper represents the newest developments in
pantograph monitoring and it is now in routine operation.
Keywords: pantograph failure, monitoring system, condition monitoring,
Bluetooth communication.
1 Introduction
Pantographs are the single contact point between the rolling stock and the
catenary. Good contact must be maintained under all running conditions to
ensure seamless collection of power. The higher the speed, the more difficult it is
to maintain good contact.
In Europe the overhead line infrastructure is designed for a lifespan of 30-50
years plus. This has resulted in the selection of specific materials, such as pure
carbon or copper and graphite impregnated carbon, for the critical pantograph
contact strips. However, these materials present the drawback of wearing very
rapidly, increasing the need for intense regular maintenance.
Traditionally, European railways support a maintenance strategy based on
inspecting and replacing pantograph heads rather than focusing on the overhead
infrastructure. Problems with the overhead line during contact with the
pantograph strip can promote wear and damage to the pantograph carbon
element. There are reports of pantograph heads needing replacement after a
single journey on high speed trains. Therefore, a monitoring system for an
accurate identification of the overhead line geometry faults and their locations is
extremely valuable.
2 Pantograph environment
Due to the nature of the environment in which the pantograph operates, it is very
difficult to put any monitoring in place. Figure 1 show the role of the pantograph
in connecting the supply from the overhead line to the train.
Figure 1.
575
In Figure 2 a close-up view of the pantograph is shown at the resting position.

When the power needed, the mechanism is raised until the carbon strips get
closer to the overhead line and make contact.
Taking measurements of the interaction between the train pantograph and the
overhead line catenary has long been a challenge, due to the need to overcome
the hostile environment and the problems of isolation. Such measurements
require a telemetry system to transmit information from pantograph mounted
transducers, at a potential of 25kV, to recording equipment located in the vehicle
body.
Transmission Dynamics, in conjunction with Serco Rail, has developed and
successfully implemented the Pantograph Monitoring System, which is now
deployed on routinely operating trains in the UK. The following section deals
with the details of the components involved and typical signals used in on-line
monitoring.
3 Monitoring system
The system uses two subcomponents. The first subcomponent is the Digital
Processing Module (DPM) shown in Figure 3.
Figure 2.
Figure 3.
Figure 4.
This DPM is directly clamped on the live 25kV pantograph structure, as
shown in Figure 4. The DPM is interfaced with the accelerometers attached in
the vicinity of the carbon strip. The DPM houses integrated battery cells and is
equipped with an array of three solar panels. Intelligent power management
ensures that batteries are replaced only twice per full year of operation.
The second subcomponent is the Receiving Signal and Relay Unit (RSRU),
which is installed in a secure location inside the carriage. The DPM uses
Bluetooth communication to report any unexpected events to the RSRU.
The DPM has an on-board GPS module and acquires and stores time domain
data corresponding to the 100 highest events captured during daily train
operation. The data is downloaded to the RSRU on a daily basis. Any high alarm
events are instantaneously transferred to the train to warn the operator and the
control centre about potentially harmful events that require immediate attention.
4 Typical data
The data collection showed that the signals were free from any electromagnetic
interference. The typical signal from the two accelerometers on the carbon strip
is shown in Figure 5. It shows the acceleration caused by the impact load on the
pantograph.
577
Figure 5.
Figure 6:
OHL fault location stamp.
The instantaneous monitoring enables the hot spots caused by the overhead
line to be mapped and trended to allow successful implementation of predictive
maintenance of the overhead line (OHL), Figure 6.
5 Conclusions
The Pantograph Damage Assessment System (PANDAS) described in this paper
represents the newest developments in pantograph monitoring and it is now in
routine operation. Its features are:
Directly mounted on a 25kV live pantograph

Bluetooth radio communication with train
On board GPS for accurate event location stamp

Battery/Soar Panel Powered long operation life
On board data storage and signal processing
Using two accelerometers and two dummy channels
Overnight download of all events to train mounted SD memory card
Connected to GPRS mobile network for immediate access and
interrogation
Remotely re-programmable via mobile network
Robust design proven in Service
EMI certified for operation in demanding Rail Environment
This innovative monitoring system reduces the maintenance costs not only for
the pantograph but also for the overhead line electrical equipment.
Section 9
Dynamics and
wheel/rail interface
581
Strategies for less motion sickness

on tilting trains
R. Persson1 & B. Kufver2
1
2
KTH, Sweden
Ferroplan, Sweden
Abstract
Many railways have put tilting trains into operation on lines with horizontal
curves with small radii. Tilting trains have vehicle bodies that can roll inwards,
reducing the lateral acceleration perceived by the passengers. Tilting trains can
therefore run through curves at higher speeds. However, excessive tilt motions
can cause motion sickness in sensitive passengers. On the other hand, too little
tilting will cause discomfort from high lateral acceleration and jerk.
The present paper presents new tilt algorithms aimed at balancing the
conflicting objectives of ride comfort and less motion sickness. An enhanced
approach is taken, where the amount of tilt depends on the local track conditions
and the train speed. The paper shows how selected tilt algorithms influence
certain motion sickness related carbody motions.
Speed profiles designed to avoid local peaks in the risk of motion sickness are
another possibility. The speed profiles for both tilting and non-tilting trains are
today set from safety and comfort perspectives only, thus minimizing the
running time. The present paper shows how speed profiles could be used to
balance the conflicting objectives of running time and less risk of motion
sickness. The result is derived from simulations and put in relation to todays tilt
algorithms and speed profiles on the StockholmGothenburg main line in
Sweden (457 km).
Keywords: tilting train, tilt algorithm, tilt strategy, passenger comfort, motion
sickness, running time simulation.
doi:10.2495/CR100541
1 Introduction
Growing competition from other modes of transportation has forced railway
companies throughout the world to search for increased performance. Travel
time is the most obvious performance indicator that can be improved by
introducing high-speed trains. Trains with a capability to tilt the carbodies
inwards in track curves constitute a less costly alternative than building new
lines with large curve radii. The idea of tilting trains on lines with curves with
small radii was discussed as long ago as the 1930s [2, 3]. The inward tilt reduces
the centrifugal force to which the passengers are subjected, allowing the train to
pass curves at higher speed while maintaining ride comfort. Carbody tilting is
today a mature and relatively inexpensive technology [4].
Experience shows that tilting trains can cause motion sickness in sensitive
passengers [5-9]. The difference in risk of motion sickness between non-tilting
and tilting rolling stock has attracted particular interest. Roll and vertical motions
are the two carbody motion components that show the largest increase compared
to non-tilting trains and are a consequence of the tilt applied [10]. However, too
little tilting will cause discomfort due to high lateral acceleration and jerk. The
present paper presents new tilt algorithms aimed at balancing the conflicting
objectives of ride comfort and less risk of motion sickness.
Most existing tilting trains use a fixed relation between the track plane
acceleration and the amount of tilt. As in [1], the present enhanced approach
applies an amount of tilt commensurate with the local track conditions and speed
of the train. Modified speed profiles especially designed to avoid local peaks in
the risk of motion sickness are another possibility. Todays speed profiles are
designed to minimize the running time taking safety and comfort parameters into
consideration. The present paper shows how the risk of motion sickness could be
considered when setting speed profiles.
2 Vehicle motions
Measured vehicle motions give important information, in particular as regards
the difference between tilting and non-tilting trains. Figure 1 shows a Power
Spectral Density (PSD) diagram for carbody roll acceleration; one motion
component with a large increase from non-tilting to tilting trains in on-track tests
[10]. A four-car long-distance tilting train, class BM73, from Norwegian State
Railways (NSB) was used as the test train. The non-tilting cases were run with
the same train, but with the tilt switched off and at speeds corresponding to nontilting trains. The measurements were taken on the Norwegian line between
Kristiansand and Vegrdshei, a line containing numerous curves with 300 m
radii. The main difference as regards carbody roll acceleration is found between
0.02 Hz and 0.5 Hz where the tilting train shows larger amplitudes than the nontilting one. Carbody vertical acceleration shows similar differences to carbody
roll acceleration. PSD diagrams for all six motion components are shown in [10].
Figure 1:
583
Power Spectral Density (PSD) for carbody roll acceleration at

on-track tests between Kristiansand and Vegrdshei in Norway
[10]. The non-tilting case was run with the same train, but with the
tilt switched off and at speeds corresponding to non-tilting trains.
The effect of vertical and roll acceleration on motion sickness could not be
adequately separated as the two motions were strongly correlated in the on-track
tests.
3 Evaluation criteria
3.1 Single source comfort criteria
The requirements in respect of lateral acceleration are often set indirectly by
limiting the permissible track plane acceleration. The EU-funded research project
Fast and Comfortable Trains (FACT) studied the comfort-related quantities for
plain track on the basis of certain European track standards [11]. For
conventional trains, the results regarding lateral acceleration ranged from
0.78 m/s2 to 1.41 m/s2 with an average of 1.00 m/s2. The corresponding results
for tilting trains are lower, ranging from 0.48 m/s2 to 1.00 m/s2 with an average
of 0.63 m/s2.
Japanese Railways have used 0.80 m/s2 as the limit since the 1960s [12]. This
limit was challenged by [13], and [14] indicated that a more liberal limit could be
applied as only 10% of the standing subjects reported discomfort at 1.0 m/s2 and
only 5% of the seated subjects reported discomfort at 1.2 m/s2. The limit on
lateral acceleration has now been relaxed to 0.90 m/s2 for certain trains with
seated passengers only. However, they also found that combined comfort criteria
were more effective than limits on single sources (see Clause 3.2).

Among European railways, the requirements regarding lateral jerk are set in
the same indirect way as for lateral acceleration. The calculated lateral jerk for
conventional trains ranged from 0.24 m/s3 to 0.71 m/s3 with an average of
0.48 m/s3 [11]. The corresponding results for tilting trains are considerably
lower, ranging from 0.15 m/s3 to 0.50 m/s3 with an average of 0.27 m/s3.
The introduction of natural tilting trains in Japan raised motion sickness as a
comfort issue. Correlation between roll motions and motion sickness was
reported [9] and a limit of 5 degrees/s was set so as to avoid discomfort.
Calculated carbody roll velocities for tilting trains ranged from 2.3 degrees/s to
7.6 degrees/s with an average of 5.1 degrees/s when FACT studied the comfortrelated quantities for plain track on the basis of certain European track standards
[11].
3.2 Combined comfort criteria
British Rail Research has described how to combine motion components in a
curve transition to one comfort criterion [15-16]. The method differentiates
between seated and standing passengers, but is here only referred to for seated
passengers. The PCT Comfort index calculates the percentage of dissatisfied
passengers on the basis of eqn (1). A reasonable acceptance value is in the
interval from 3 to7.
PCT max (8.97 y1s max 9.68 y1s max 5.9);0 0.12 ( 1s max )1.626 (1)
y = Lateral acceleration in carbody [m/s2], y = Lateral jerk in carbody

[m/s3] and = Roll velocity in carbody [degrees/s].
where
A similar combined comfort criterion has been developed in Japan [14]. In

addition, this method differs between seated and standing passengers, here given
for seated passengers. The TCT Comfort index calculates the discomfort on a 1 to
4 scale, where 1 is not uncomfortable and 4 extremely uncomfortable, the result
is expressed as eqn (2). Note that the two combined comfort criteria of lateral
acceleration and jerk have approximately equal weight.
TCT 0.4 y 0.4 y 0.02 0.04 0.8

where parameters are as above plus
[degrees/s2].
(2)
= Roll acceleration in carbody
3.3 Motion sickness

Motion sickness is not correlated to a single curve but is rather an accumulated
effect from several curves. A limit on one or more motion components is
presumably not generally appropriate. A model where motion doses are
accumulated over time and recovery can be quantified may be a better choice
[17]. Carbody vertical acceleration gave the highest correlation to motion
sickness in several on-track tests [10]. However, the motion amplitudes
585
measured during the test were lower than those proven to cause motion sickness
during laboratory experiments. This indicates that other motion components such
as roll velocity and lateral acceleration contribute to the motion sickness
experienced on tilting trains.
4 Optimization algorithms
4.1 General
The approach taken in the present study is to reduce the difference in motion
between non-tilting trains and tilting trains by applying just as much tilt as is
necessary to avoid discomfort. This approach will minimize both carbody
vertical acceleration and roll velocity at the expense of lateral acceleration and
jerk. Comfort criteria must therefore be set to avoid unacceptable amplitudes on
the latter ones. Three different discomfort criteria can be distinguished.
1. Lateral acceleration
2. Lateral jerk
3. Combination of lateral acceleration and jerk
The acceptance values of these criteria were discussed in Sections 3.1 and 3.2.
The combination of lateral acceleration and jerk is a simplification of the
combined criteria, where the roll motions have been omitted. These motions will
be minimized anyhow by the general approach of applying just the amount of tilt
necessary to avoid discomfort. An example of how the three comfort criteria
result in an acceptance area is shown in Figure 2.
One option to fulfil the comfort criteria would be to modify the ratio between
tilt angle and track plane acceleration. However, the potential of such an
approach is limited as the ratio must be set large enough to fulfil the comfort
criteria at the largest permissible track plane acceleration. A non-linear ratio
between tilt angle and track plane acceleration would be slightly better, but the
potential is also here limited by the requirement to fulfil the comfort criteria in
the most demanding curve and curve transition. Instead, an enhanced approach is
Lateral jerk [m/s3]
0.5
Combined
criteria
0.4
0.3
0.2
Acceptance area
0.1
0
0
Figure 2:
0.2
0.4
0.6
0.8
Lateral acceleration [m/s 2]
1.2
Comfort acceptance area as a function of lateral acceleration and

jerk.
Curve length [%]
5
4
3
2
1
5000
3500
3000
2800
2600
2400
2200
2000
1800
1600
1400
1200
1000
800
600
400
250
Curve radius [m]
Figure 3:
Distribution of circular curves (curve transitions excluded) with

radii less than 6000 m as a function of the total length of the
StockholmGothenburg line.
suggested, where the amount of tilt depends on local track conditions and the
train speed. Such a solution is possible with computer-controlled actuators, route
files (defining track alignment and applied cant) stored onboard, and train
positioning systems.
The present paper uses the Swedish mainline between Stockholm and
Gothenburg as an example. The track may be characterized by the curve
distribution, which can be expressed as a percentage of the total length of the
track. The curve radius indicated is the mean radius in a group, e.g. the curves in
the 1000 m group range from 900 to 1100 m. The StockholmGothenburg line
has a variety of curves ranging from 352 m radius and up. The curve distribution
for the line is shown in Figure 3. The total length of the circular curves
(transition curves are excluded) with radii less than 6000 m constitutes 19% of
the line. The total length of the line is 457 km.
Applying a motion sickness dose perspective on a railway line is an
interesting approach [17]. This means that the risk of motion sickness is
estimated as a function of time. The influence of different tilt algorithms and
speed profiles may be quantified as motion sickness doses by means of the
following process: The train speeds at each point on the line are simulated in an
Excel-based simulation program. These simulated train speeds are used as input
to quasi-static motion calculations, according to [11]. The calculated motions are
then accumulated over time to give motion sickness doses.
4.2 Todays speed profiles
Todays Swedish speed profiles for tilting trains are set by allowing maximum
1.60 m/s2 track plane acceleration and 0.52 m/s3 maximum rate of change of
track plane acceleration. Todays tilt control applies a fixed ratio between track
plane acceleration and tilt angle, which gives about 0.60 m/s2 lateral acceleration
perceived by the passengers at maximum track plane acceleration and about
587
0.20 m/s3 lateral jerk perceived by the passengers at maximum rate of change of
track plane acceleration. These passenger comfort values are slightly better than
what could be accepted according to the comfort criteria in Figure 2. The
difference may be used to reduce the risk of motion sickness. The following
three control possibilities can be distinguished:
1. Original control, fix ratio between tilt angle and track plane acceleration
2. As 1, but with reduced ratio that just meets the comfort criteria
3. Optimized control on a curve by curve basis that just meets the comfort
criteria.
The effects on certain motion components of the different control possibilities
are shown in Table 1. The table contains data for three curves and their
transitions. The original control always applies tilt in proportion to the track
plane acceleration, while the optimized control considers each curve separately.
The first curve has a rather large radius and there is no need to tilt at all; the
Table 1:
Motion components in selected curves.
Track data
Original control
Optimized control
2
2
2
2
Element Radii [m] Cant [mm] y [m/s ] z [m/s ] [deg/s] y [m/s ] z [m/s ] [deg/s]
Transition
2.0
1.0
Circular
5440
25
0.11
0.010
0.30
0.006
Transition
2.0
1.0
Transition
3.7
2.9
Circular
1401
125
0.36
0.154
0.67
0.138
Transition
3.4
2.6
Transition
2.3
2.0
Circular
998
140
0.60
0.297
0.80
0.283
Transition
2.3
2.0
70
Original control
Reduced ratio tilt / track plane acceleration
60
Optimized control
Net Dose on z [m/s]
50
40
30
20
10
0
0
50
100
150
200
250
300
350
400
450
500
Distance [km]
Figure 4:
Net Dose on carbody vertical acceleration for todays speed profile.

carbody roll motion in the case of the optimized control is purely a result of the
applied cant. The second curve has fairly short transitions making the
combination of lateral acceleration and jerk decisive as regards the need for tilt.
The third curve is close to the permitted track plane acceleration; considerable
tilt must be applied to satisfy the lateral acceleration requirements. All three
curves are examples where a lower tilt angle could be applied to reduce the
carbody vertical acceleration and the carbody roll velocity without
compromising the set comfort criteria.
As mentioned in Section 3.3, motion sickness is not an effect of one or a few
curves, but rather an accumulated effect of several curves. The Net Dose method
both takes this and recovery during periods with fewer motions into account.
Figure 4 shows the Net Dose calculated on carbody vertical acceleration for the
StockholmGothenburg line.
The difference in Net Dose on carbody vertical acceleration may look small,
but the case with reduced ratio between tilt angle and track plane acceleration
gave a significant positive effect on the risk of motion sickness in an on-track
test [7]. The optimized control gives about twice as large a reduction of the
maximum Net Dose calculated on vertical acceleration as in the on-track test.
4.3 Improved speed profiles
Another objective of the present study is to reduce the running time without
increasing the risk of motion sickness. About 9% running time may be saved if
trains and speed profiles are improved [18]. Maintaining the original control
would not only require a larger maximum tilt angle, but would also result in an
increased risk of motion sickness. The present study shows that the maximum
Net Dose value of carbody vertical acceleration will increase by 26% if the tilt
control is kept as today. The following control possibilities are available to
maintain the maximum Net Dose value of vertical acceleration as today with the
improved speed profile:
Reduced ratio between tilt angle and track plane acceleration. This will
cause the maximum lateral acceleration perceived by passengers to
increase to 1.5 m/s2 and the maximum lateral jerk to increase to
0.6 m/s3.
Optimized control on a curve by curve basis. The values become
1.4 m/s2 and 0.5 m/s3 respectively.
None of the options above are attractive, as comfort would be dramatically
reduced compared with todays tilt control.
5 Speed profiles as a tool to minimize motion sickness risk

The optimized tilt control was thus found to be unable to combine good comfort
and low risk of motion sickness for the improved speed profile. This is a
consequence of the maximized speed profile, as full tilt must be applied in many
curves. One possibility to regain some scope or the optimized control is to
reduce the speed again. This contradicts the purpose of using the improved speed
589
profile, but the impact on running time may be small if speed is reduced only at
selected locations. The following control options are available to maintain the
same maximum Net Dose on carbody vertical acceleration as today if 8%
running time savings are accepted.
Reduced ratio between tilt angle and track plane acceleration. This will
result in a maximum lateral acceleration perceived by passengers of
1.1 m/s2 and a maximum lateral jerk of 0.4 m/s3.
Optimized control on a curve by curve basis to just satisfy the comfort
criteria in Figure 2. The maximum lateral acceleration and jerk become
0.8 m/s2 and 0.3 m/s3 respectively.
These options look much more attractive from a passenger comfort
perspective, but at the expense of 1% lost running time. The largest reduction of
maximum Net Dose is obtained where the Dose takes its largest values. Figure 5
shows one example with a speed reduction from 190 km/h to 180 km/h between
kilometre 60 and 115 on the StockholmGothenburg line.
6 Discussion and conclusions

The Net Dose calculations in the present paper are based on carbody vertical
acceleration, as this was the motion component that showed the best correlation
to the risk of motion sickness [10]. Using carbody roll velocity instead of vertical
acceleration would shift the focus from circular curves to transitions, but the
track sections with the largest risk of motion sickness remain the same. It could
also be discussed whether quasi-static motion calculation is suitable. Support for
80
Original speed, original control
Enhanced speed, original control
Optimized speed, optimized control
70
Net Dose on z [m/s]
60
50
40
30
20
Section with reduced speed
10
0
0
50
100
150
200
250
300
350
400
450
500
Distance [km]
Figure 5:
Net Dose on carbody vertical acceleration for the improved speed

profile.

doing so can be found in [11] and [19]; the latter indicates that weighting of
carbody vertical acceleration to the risk of motion sickness must be extended
towards quasi-static motions.
The present paper presents tilt algorithms aimed at balancing the conflicting
objectives of ride comfort and less risk of motion sickness. An enhanced
approach is taken, where the amount of tilt depends on local track conditions and
train speed. The enhanced approach proved to be effective as long as partial tilt
could be applied in the majority of the curves and still satisfy the comfort
criteria. Local speed reductions were found to be effective for regaining useful
scope work area for the enhanced approach, but at the expense of lost running
time.
Acknowledgements
The financial support from the Swedish Governmental Agency for Innovation
Systems (VINNOVA) and the Swedish National Rail Administration
(Banverket) is gratefully acknowledged. The authors thank Bombardier
Transportation for permission to publish this paper.
References
[1] Kufver, B. & Persson, R. On enhanced tilt strategies for tilting trains. Proc.
of Comprail 2006, CMP/WIT Press: Southampton, pp. 839-848. ISBN 184564-177-9.
[2] Deischl, WVV. Linienverbesserungen oder gesteuerte Achsen?
Verkehrstechnische Woche, 31(9), pp. 97-108, 1937.
[3] Van Dorn, W. & Beemer, P. Suspension for vehicles. US Patent 2.225.242,
1938.
[4] Persson R., Goodall R. & Sasaki K. Carbody Tilting Technologies and
Benefits. Proceedings of the 21st IAVSD Symposium, Vehicle System
Dynamics, Volume 47, No 8, pp. 949-981, 2009
[5] Hughes, M. Tilt nausea is bad business. Railway Gazette International,
153(4), p. 249, 1997.
[6] Clon LM., Quetin F., Thibedore T. & Griffin M. Research on motion
sickness. Proc. of World Congress on Railway Research 1999, Tokyo.
[7] Frstberg, J. Ride comfort and motion sickness in tilting trains - Human
responses to motion environments in train and simulator experiments. PhD
thesis, TRITA-FKT Report 2000:28, KTH, Stockholm.
[8] Brume, M. Why are Pendolinos so nauseating? Rail Professional, 93, p. 5,
2004.
[9] Ohno, H. What aspect is needed for a better understanding of tilt sickness?
Quarterly Report of RTRI, Volume 37. pp. 9-13, Japan, 1996.
[10] Persson, R. Motion sickness in tilting trains - Description and analysis of
the present knowledge. ISBN 978-91-7178-680-3. KTH, Stockholm, 2008.
591
[11] UIC. Competitive and sustainable growth programme, Fast and

Comfortable Trains (FACT), Track for tilting trains - Report D8.
http://www.uic.org/download.php/fact/d8.pdf.
[12] Urabe, S., Koyama, M. & Iwase, Y. Evaluations of train riding comfort
under various speeds at curves. Quarterly report of RTRI. Volume 7. No 2.
pp. 3436, 1966.
[13] Suzuki, H. Recent research and developments in the field of riding comfort
evaluation. Quarterly report of RTRI. Volume 37. pp. 4-8, Japan, 1996.
[14] Suzuki, H., Shiroto, H., Tanka, A., Tezuka, K. & Takai, H. Psychophysical
evaluation of railway vibration discomfort on curved sections. Quarterly
report of RTRI. Volume 41. pp. 106-111, Japan, 2000.
[15] Harborough, PR. Passenger comfort during high speed curving - analysis
and conclusions, BRR TR DOS 017, British Rail Research: Derby, 1986.
[16] CEN. Railway applications Ride comfort for passengers Measurements
and evaluation, EN 12299. CEN. Brussels, 2009.
[17] Kufver, B. & Frstberg, J. A net dose model for development of nausea.
Proc. of 34th meeting of the UK Group on Human Response to Vibration,
Dunton, Essex, England, 1999.
[18] Persson, R. Tilting trains technology, benefits and motion sickness.
Licentiate Thesis. ISBN 978-91-7178-972-3. KTH, Stockholm, 2008.
[19] Persson, R. Weighting curves to motion sickness. Proc. of 44th meeting of
the UK Group on Human Response to Vibration, Loughborough, England,
2009.
593
Railway vehicle and bridge interaction:

some approaches and applications
G. Mikheev, E. Krugovova & R. Kovalev
Laboratory of Computational Mechanics
Bryansk State Technical University, Russia
Abstract
The present paper describes the CAE-based approach for analysis of dynamics of
a coupled model of a flexible railway bridge and a train. The approach is being
implemented in Universal Mechanism (UM) software. The railway bridge is
considered as a flexible multibody system. The dynamics of flexible bodies are
simulated using data imported from finite element analysis (FEA) software. An
application of the approach to the investigation of dynamics of a railway vehicle
and a bridge supposes taking into account the flexibility of the bridge.
Comparison of flexible deflections and stresses for the full and reduced
FE-models for static and moving loads are presented. The simulation results for a
high-speed train on a bridge that is modelled as a reduced FE-model with 50, 100
and 200 flexible modes, as well as comparison of simulation results for separate
and coupled approaches to vehicle-bridge interaction (VBI), are shown.
Keywords: vehicle-bridge interaction, flexible bridge model, moving load.
1 Introduction
Computer simulation is an effective approach to analyze the dynamics of railway
bridges under train motion along them [14]. The main object of investigations
can be both a bridge and a railway vehicle. From the point of view of bridges,
purposes of researches could be the detection of resonance phenomena on
railway bridges, dangerous operation conditions such as train speed and weight,
specific bridge design and so on. As for high speed trains, a dynamic analysis is
necessary because of resonance phenomena of the structures due to regularly
spaced axle groups of the train. In the case of resonance, excessive bridge deck
doi:10.2495/CR100551

vibration can cause loss of wheel/rail contact, destabilization of the ballast and
exceedance of the stress limits.
Analysis of the dynamics of the railway bridge and time histories of stresses
and strains are required for the calculation of their durability. In this case, stress
loading blocks are the results of dynamic simulation. These blocks are calculated
based on time histories of bridge stresses obtained for selected modes of loading.
The loading depends on the weight and speed of rail vehicles, track irregularities
on the bridge and so on.
As for railway vehicle dynamics, it is important to consider the additional
flexibility of the bridge in both vertical and lateral dynamics on safety, stability
and ride comfort.
Usually, research of the dynamics of railway bridges is carried out based on a
simplified description of the vehicle-bridge interaction. The widespread
approach supposes analysis of a finite element model of a bridge under action of
the moving loading that simulates a train. In most cases, constant values of
forces that correspond to the weight distribution of the train vehicles are
considered. Thus, the dynamics of the vehicles are not taken into account within
the simplified approach. Besides, such models do not take into account the
mutual influence between vehicles and bridges. It is their main disadvantage.
In this paper, methods for creating complex models, including a full 3D
model of railway vehicles and trains and 3D models of flexible bridges, are
considered. The methods are implemented in Universal Mechanism (UM)
software [5].
2 Equations of motion of a flexible body

Equations of motion of a flexible body are derived using the floating frame of
reference method (Shabana [6]). Linear flexible displacements of the body are
described by the component mode synthesis method (Craig and Bampton [7] and
Craig [8]). According to this method, flexible displacements are approximated
by a sum of modes:
u h j w j Hw ,
(1)
where u is a matrix-column of nodal degrees of freedom of the flexible body, hj

is a matrix-column of the mode and wj is a modal coordinate that defines flexible
displacements corresponding to the mode with number j.
Modes of flexible body are calculated by an external FEA program and
imported to UM software. A subsystem technique is used for including a flexible
body into a multibody system. The idea that flexible displacements of a body can
be represented by the sum of a number of mode shapes, scaled by modal
coordinates, can be extended to stresses in the body as well. Modal coordinates
can be used as the scaling factors on the stress solution of each mode shape and
the superposition of these scaled stresses represents the bodys stress state
instantaneously.
595
3 Simulation of a rail-bridge interaction

Rail-to-wheel contact forces are applied to a flexible structure as a running load.
Both lateral and vertical force components are considered. A flexible body
interacts with other bodies of a multibody system via joints and force elements.
Joint points and points of attaching force elements are usually located at nodes of
a FE-model of the flexible body. Such an approach cannot be applied to
simulation of an interaction of a railway vehicle with the flexible bridge, because
loads move and act between nodes of the FE-mesh of the bridge.
In UM software, a rail is modelled as a massless visco-elastic force element
(see Figure 1). Transversal yr and vertical zr deflections of the rail, as well
as their time derivatives, depend on the position and velocity of point K of the
force element attachment to ground. Rotation of the rail around a longitudinal
axis is not taken into account.
If a rail lies on a flexible bridge, total rail stiffness is obtained as a sum of
stiffness between the rail and the bridge (sleepers, roadbed and so on) and
stiffness of the flexible bridge itself, Figure 2. During integration of equations of
motion, a position of point K is defined by the current position of a wheel.
Figure 1:
Figure 2:
Massless model of a rail.
Model of interaction of a railway vehicle with a flexible bridge.

3
1
4
L12
P2
L2
K1
K1
2
Figure 3:
K2
L22
P21
L11
P11
L1
K2
P22
4
P1
L1
P12
L21
2
Simple algorithm of nodal force decomposition.
Therefore, it is necessary to compute the position and velocity of any point on

the surface of the flexible bridge, as well as to apply calculated force to any point
on a surface of the bridge.
Since the FEA-approach supposes force applying to a flexible body in nodes
of FE-mesh only, the simple algorithm of the decomposition of wheel-to-rail
contact forces between the nearest nodes of FE-mesh was used. Let us consider
the algorithm in detail. A control area consists of surface polygons of a finite
element model of the bridge, which is created around a rail-wheel contact point.
The position and velocity of point K are calculated as linear interpolation of the
corresponding values of the nearest nodes. Interaction forces are also distributed
between the nearest nodes, Figure 3.
4 Separate and coupled approaches to simulate VBI

Let us discuss two typical approaches for the analysis of vehicle-bridge
interaction and the stress-strain state of a bridge.
The so-called separate approach is the typical one that is used in many papers.
It supposes considering a dynamical model of a railway vehicle and a model of a
bridge separately. It means that wheel-to-rail contact forces are obtained from
simulation of a railway vehicle without taking into account vehicle-bridge
interaction. As a result, the dynamical analysis time histories of contact forces
are saved. Then the obtained wheel-to-rail contact forces are applied to the
FE-model of a bridge as running loads at the points that correspond to the
positions of the wheels, Figure 4. Since vehicle dynamics is simulated without
any reference to a bridge, the separate approach cannot give us any vehiclerelated performances, such as safety, stability or ride comfort, that would
describe exactly vehicle-bridge interaction. So the separate approach can be used
as a good approximation for the bridge response, but it is completely useless
with regard to obtaining the vehicle dynamical response to running through the
bridge.
The so-called coupled approach supposes the mutual vehicle-bridge
dynamics, Figure 5. Total displacements of rails are obtained as a sum of
displacements between the rail and the bridge due to sleepers and roadbed and
flexible displacements of the bridge itself. The obtained total displacements
finally influence the contact wheel-to-rail forces that in fact act on wheelsets and
the bridge and thereby couple vehicle and bridge dynamics. So the coupled
approach connects vehicle and bridge models in the integrated model and
597
provides results concerning not only the bridge, but also vehicle response on
vehicle-bridge interaction, which can also be the focus of applied researches.
5 Applications
5.1 Verification of reduced FE-model: static test
Since the component mode synthesis method supposes significant reduction of
degrees of freedom of the flexible bodies, then compare results of static
calculations with the full FE-model of the bridge in NASTRAN [9] and reduced
FE-model in the Universal Mechanism software.
Let us consider the model that is depicted in Figure 6. A locomotive of
138,4 tonns stands in the middle of the first span of the bridge. The locomotive
has 6 wheelsets. So, locomotive static load can be modelled as 12 lumped forces
of 113 142 N that represent the wheel loads.
a) Vehicle dynamics
Figure 6:
b) Obtaining contact forces c) Applying moving load

Figure 4:
Separate approach.
Figure 5:
Coupled approach.
Single locomotive on a bridge: computer model and design

diagram.

Nine interface nodes in places of attachments of spans to piers (three nodes
per pier) were chosen according to the component mode synthesis method. The
flexibility of the piers was not taken into account.
The model of the bridge includes 40902 nodes and 45200 shell and beam
finite elements. The full model has nearly 245 400 d.o.f. The reduced model has
98 d.o.f. The cross section of the bridge is presented in Figure 7. Some of the
flexible modes used, which are the result of orthonormalization of the
component modes, are shown in Figure 8. Eight control nodes were chosen to
compare results for the full and reduced FE-models of the flexible bridge,
Figure 9.
The comparative simulation results are given in Table 1. It is clearly shown
that the relative error is less than 2% for flexible deflection, and less than 5% for
stresses.
Figure 7:
1.65 Hz
Cross section of a two-way bridge.
11.5 Hz
Figure 8:
Figure 9:
11.8 Hz
Some flexible modes of the bridge.
Control points on the bridge.
Table 1:
Deflection, mm
Node
1
2
3
4
5
6
7
8
Reduced
FE-model
-23.10
-23.20
-1.28
-1.09
-8.30
-1.07
-18.10
-18.10
Full
FE-model
-23.10
-23.20
-1.30
-1.09
-8.30
-1.09
-18.10
-18.20
Figure 10:
599
Node deflections and stresses.

Longitudinal stress,
MPa
Reduced
Full
FE-model FE-model
-1.88
-1.91
-1.92
-1.96
-0.17
-0.17
-1.62
-1.61
1.23
1.23
2.03
2.05
-1.43
-1.44
-1.45
-1.47
Relative error, %
Deflection
Stress
0
0
1.54
0
0
1.83
0
0.55
1.57
2.04
0
0.62
0
0.98
0.69
1.36
Computer model for the moving load test.
5.2 Verification of the reduced FE-model: moving load test

The second verification of the reduced FE-model of the bridge was done for the
moving load. The model consists of a two-section electric locomotive on a
flexible bridge, Figure 10. The FE-model of the bridge consists of 17907 nodes
and 17641 beam and shell finite elements. The full FE-model has more than
105 000 d.o.f. and the reduced one has only 200 d.o.f. The vehicle velocity is
80 km/h. Irregularities of the railway track were ignored.
A comparison of the flexible deflections for the moving load for the full FEmodel of the bridge in MIDAS software [10] and the reduced FE-model of the
bridge in UM software is given in Figure 11. Flexible deflections due to a
moving load (without deflection due to the weight of the bridge itself) in the
middle of the span in the upper chord of the bridge are given. As is presented in
Figure 11, flexible deflections for the full and reduced FE-models of the bridge
are nearly the same. This means that reduced models of the bridge can be
successfully used for the simulation of vehicle-bridge interaction within
multibody system dynamics simulation codes.
Figure 11:
Results for moving load test: full and reduced flexible models.
5.3 Trains on the bridge

Let us consider the two examples of the simulation of the motion of trains on a
bridge. The examples are focused on highlighting the following questions. The
first one is how many flexible modes of a bridge should be taken into account to
obtain more or less accurate results. The second one is how great an effect the
mutual vehicle-bridge interaction has. Is it really necessary to consider
significantly more complex mutual models or is it enough to represent a vehicle
simply as a moving load according to the separate approach?
UM software supports the simulation of railway vehicles of all types: diesel
and electric locomotives, freight and passenger cars, trains and special railway
vehicles. Dynamic models of railway vehicles undergo no simplifications for
VBI simulation in comparison with usual vehicle dynamics analysis. So,
simulation results related to vehicles can be considered as valid and accurate
enough. The correctness of mathematical models and used numerical algorithms
in Universal Mechanism software were proven by the Manchester benchmarks
(Iwnicki [11], Universal Mechanism [12]). Railway vehicles can be simulated as
rigid or rigid-flexible multibody systems.
A high-speed passenger train and a heavy-haul train on the same bridge will
be considered below. The model of the bridge that is described in Section 5.1
was used, see Figures 79.
5.3.1 High-speed train
The high-speed train consists of 10 vehicles (totally 294 d.o.f.), Figure 12. The
train is modelled as a typical multibody system and runs at 200 km/h. Let us
compare some results for the flexible bridge described with the help of 50, 100
and 200 fixed interface eigenmodes calculated according to the component mode
synthesis method.
Figure 12:
Figure 13:
601
Simulation of high-speed train motion on the flexible bridge.
Flexible deflections and stresses for 50, 100 and 200 fixed interface
eigenmodes, coupled approach.
Flexible deflections and stresses for the node in the middle of the first span of
the bridge are shown in Figure 13. All models include 54 constraint modes and
from 50 up to 200 fixed interface eigenmodes. It is obvious that the model with
200 eigenmodes is the most accurate one.

5.3.2 Heavy-haul train
A model of a heavy-haul train consists of 2 locomotives and 8 freight cars
(totally 892 d.o.f.), Figure 15. The train runs at 100 km/h. Let us compare the
obtained flexible deflections and stresses for the flexible bridge (200 fixed
interface eigenmodes for the flexible bridge were used) for the separate and
coupled approaches, see Figures 16 and 17.
The comparison of results for the separate and coupled approaches is
presented in Figures 14, 16 and 17 and shows that there is no significant
difference between the simulation results for the mentioned approaches. Please
note that the difference for the separate and coupled approaches is larger for the
heavier heavy-haul train despite its speed being two times smaller. Please note
that the considered models include the relatively stiff steel concrete bridge. The
difference between the results of the separate and coupled approaches might be
more evident for other bridges of different design.
Figure 14:
Flexible deflections for the separate and coupled simulations.
Figure 15:
Simulation of heavy-haul train motion on the flexible bridge.
Figure 16:
Figure 17:
603
Flexible deflections for the separate and coupled simulations.
Flexible stresses for the separate and coupled simulations.
Conclusions
Reduced FE-models of bridges show generally very good agreement with the full
FE-models for static test. The relative error between full and reduced FE-models
is less than 2% for flexible displacements and less than 5% for stresses.
Simulation results for the moving load test also showed a very good
agreement between full and reduced FE-models that proved the practical
possibility of using reduced FE-models of bridges within software codes for the
simulation of vehicle-bridge interaction.

A different number of considered flexible modes for a FE-model of a bridge
(50, 100 and 200 d.o.f.) expectedly influences both flexible deflections and
stresses. The maximum difference is obtained for stress amplitudes.
The considered model of the high-speed and heavy-haul trains on the bridge
did not show any significant difference between the separate and coupled
approaches for simulating a vehicle-bridge interaction.
The proposed approach proved to be an effective tool for a detailed analysis
of the vehicle-bridge interaction, taking into account the flexibility of the bridge.
Acknowledgements
This research is supported by the Russian Foundation for Basic Researches under
grant no 08-01-00677-.
Simulation results for the moving load test with the full FE-model
(Section 5.2) in MIDAS software were kindly provided by Eng. Mikhail Malgin,
The Paton Electric Welding Institute, Kiev, Ukraine.
References
[1] Gong, L. & Cheung, M. S., Computer simulation of dynamic interactions
between vehicle and long span box girder bridges. Tsinghua Science and
Technology, Volume 13, Number 81, 2008.
[2] Xia, H., Zhang, N. & De Roeck, G., Dynamic analysis of high speed
railway bridge under articulated trains. Computers and Structures, 81, pp.
24672478, 2003.
[3] Yang, Y. B., Yau, J. D., & Wu, Y. S. Vehicle-Bridge Interaction Dynamics,
World Scientific Publishing Co. Pte. Ltd., 2004.
[4] Gong, L. & Cheung, M. S., Computer simulation of dynamic interactions
between vehicle and long span box girder bridges. Tsinghua Science and
Technology, Volume 13, Number 81, 2008.
[5] Universal Mechanism software, http://www.umlab.ru
[6] A.A. Shabana. Flexible multibody dynamics: review of past and recent
developments. Multibody System Dynamics, 1, pp. 189-222, 1997.
[7] Craig, R.R. Jr. & Bampton, M.C.C., Coupling of substructures for dynamic
analysis. AIAA Journal, Vol. 6, No. 7, pp. 1313-1319, 1968.
[8] Craig, R.R. Jr., Coupling of substructures for dynamic analysis: an
overview. In AIAA Paper, No 2000-1573, AIAA Dynamics Specialists
Conference, Atlanta, GA, April 5, 2000.
[9] MSC.NASTRAN, http://www.mscsoftware.com
[10] MIDAS Family Programs, http://www.midasuser.com
[11] Iwnicki, Simon D. The Manchester benchmarks for rail vehicle simulation /
ed. by S. Iwnicki. - Lisse: Swets & Zeitlinger, 1999.
[12] The Manchester benchmarks for rail vehicle simulation in Universal
Mechanism software. http://www.umlab.ru/download.htm
605
Certain aspects of the CEN standard for the

evaluation of ride comfort for rail passengers
B. Kufver1, R. Persson2 & J. Wingren2
1
2
Ferroplan, Sweden
Bombardier Transportation, Sweden
Abstract
The work of the European Committee for Standardization (CEN), Working
Group CEN/TC256/WG7, concerns ride comfort for passengers. A European
prestandard from 1999 for the measurement and evaluation of ride comfort for
rail passengers has been revised by the working group. A draft standard
prEN 12299 (Railway applications Ride comfort for passengers
Measurement and evaluation) was sent for enquiry during 2006. From the CEN
members, the national standardisation bodies of 28 countries, more than 300
technical and editorial comments were received. WG7 then produced a revised
draft standard, which in 2009 was accepted as a European standard. The present
conference paper discusses certain parts of EN 12299:2009, with a focus on data
processing, the application of computer methods and interpretation of results.
Keywords: ride comfort for passengers, CEN, European standards, EN 12299.
1 Introduction
The European Committee for Standardization (CEN) has a Technical Committee
TC256, defining European standards for the railway sector.
In 1999, a European prestandard for measurements and evaluation of ride
comfort for rail passengers ENV 12299 [1] was published. The prestandard
defines methods for quantifying the effects of vehicle body motions on ride
comfort for passengers. These methods have originally been developed by Office
for Research and Experiments of the International Union of Railways (ORE)
(NMV, NVA and NVD methods) [2] and British Rail Research (BRR) (PCT and PDE
methods) [3].
doi:10.2495/CR100561

Recently, the prestandard ENV 12299 has been revised by Working Group
CEN/TC256/WG7. Active experts in WG7 have been nominated from the
national standardisation bodies of France, Germany, Italy, and Sweden, and
come from the companies Alstom, Bombardier, Deutsche Bahn (DB), Ferroplan,
Siemens, La Socit Nationale des Chemins de Fer Franais (SNCF), Trenitalia
and the Swedish National Road and Transport Research Institute (VTI). An
enquiry version of the new standard was submitted to CEN during 2006 and
more than 300 technical and editorial comments were received and taken into
account for the final version of the new standard EN 12299 [4] which was
approved and published in 2009. The aim of the present conference paper is to
present certain parts of the new standard, with a focus on data processing,
application of computer methods and interpretation of results.
2 Basic principles in the comfort standard EN 12299

Comfort is measured in an indirect way. Motions of a vehicle are mostly
measured by accelerometers and gyros fitted to the vehicle body at certain
positions. Direct tests based on test subjects are not defined in EN 12299 [4],
even though certain guidelines are given in an informative annex. The Mean
Comfort Complete Method NVA (described in Clause 5 of this paper) makes use
also of accelerometers in the interface between the seat pan/seat back and the
passenger.
Vehicle conditions, accelerometer positions, test speed, selection of test
sections, relevant time intervals etc. are defined for each method.
The accelerometer and gyro signals shall be band-pass or low-pass filtered.
The weighting curves Wc and Wd for lateral and longitudinal motions are the
same as in ISO 2631-1 [5], while the low-pass filter Wp (used in the PCT and PDE
methods) and the weighting curve Wb for vertical direction are special filters for
railway applications.
Post-processing of the filtered signals, such as sliding window calculations,
rms calculations, averaging procedures and statistical analysis is defined for each
method.
The scope of the standard is to define relevant methods for the evaluation of
ride comfort. In an annex, the procedures for vehicle assessment with respect to
one of the comfort methods are defined.
3 The mean comfort standard method NMV

The Mean Comfort Standard Method quantifies comfort during a continuous
five-minute run for a seated passenger. Weighting curves Wb and Wd are used,
extracting vibrations in the frequency range 0.4 Hz 100 Hz. Hence, the method
neglects quasi-static acceleration due to curving. The method is validated for
fairly straight lines.
The accelerations are measured in the longitudinal (x), lateral (y) and vertical
(z) directions. After frequency weighting, sixty continuous (and not overlapping)
five-second weighted rms accelerations are calculated for each direction. From
607
the sixty rms values, the 95th percentile (i.e. the 4th highest value) is used for
further processing.
Finally, the 95th percentiles of the weighted accelerations in the three
W
directions ( a XPd 95 etc) are combined with an rss (root-sum-square) calculation

according to eqn (1), valid for a 5-minute period.
Wd
Wb
2
2
N MV 6 (aWXPd 95 ) 2 (aYP
95 ) ( aZP 95 )
(1)
The resulting NMV value may be interpreted according to Table 1. Based on

experiences from France, Germany and Sweden, the scale is slightly modified
compared with the corresponding scale in the prestandard ENV 12299 [1].
The NMV method has many similarities with traditional vibration analysis
according to ISO 2631-1 [5]. The controversial point is the use of 95th percentiles
where only the 4th highest value is considered. The consequences are that the
three hypothetical 5-minute vibration patterns in Table 2 are considered equally
comfortable, which seems doubtful.
Another problem is that it is not possible to connect the resulting NMV value to
a certain location along the track and the local track irregularities, since the three
95th percentiles of the x, y and z accelerations may occur during three different
five-second time intervals (and consequently at three different locations).
4 Continuous comfort CCx, CCy and CCz

Since the NMV method makes use of the 95th percentiles only, there is a
substantial loss of information. Therefore, CEN/TC256/WG7 proposes that all
five-second rms values are reported from comfort tests. This will enable further
analysis and comparisons between different vibration measurements. These fivesecond rms values define a times series for x, y and z directions, respectively
(called Continuous Comfort CCx(t), CCy(t) and CCz(t)).
Table 1:
Scale for the NMV comfort index in EN 12299 [4].

NMV < 1.5
1.5 < NMV < 2.5
2.5 < NMV < 3.5
3.5 < NMV < 4.5
NMV > 4.5
Table 2:
Very comfortable
Comfortable
Medium
Uncomfortable
Very uncomfortable
Three hypothetical five-minute vibration patterns for one direction

(each of sixty five-second rms values, m/s2).
Series A
Series B
Series C
First highest rms value

0.3
0.3
0.9
2nd
0.3
0.3
0.9
3rd
0.3
0.3
0.9
4th
0.3
0.3
0.3
5th
0.1
0.3
0.3
ith
0.1
0.3
0.3
60th
0.1
0.3
0.3

Table 3:
Preliminary scale for the CCy(t) and CCz(t) comfort indexes.
CCy(t), CCz(t) < 0.20 m/s2

0.20 m/s2 < CCy(t), CCz(t) < 0.30 m/s2
0.30 m/s2 < CCy(t), CCz(t) < 0.40 m/s2
CCy(t), CCz(t) > 0.40 m/s2
Very comfortable
Comfortable
Medium
Less comfortable
A preliminary scale for assessments of individual CCy(t) and CCz(t) values is

given in EN 12299, Table 3.
5 Mean comfort complete methods NVA and NVD

The Mean Comfort Complete Methods (NVA and NVD) quantify comfort during a
continuous five-minute run, in analogy with the Mean Comfort Standard Method
(NMV). The NVA method is based on accelerometer measurements not only at the
floor (vertical direction), but also in the interfaces between a seated passenger
and the seat pan (lateral and vertical directions) and seat back (longitudinal
direction). This makes the method substantially more cumbersome to use, both in
real comfort tests and in computer experiments. The NVA comfort index is based
on 95th percentiles of the measured accelerations.
The NVD method is validated for standing passengers. Accelerations are
measured at the floor only. The NVD comfort index is based on median values of
the measured accelerations in all three directions and on the 95th percentile of the
measured accelerations in the lateral direction. The ORE B153 expert committee
achieved the best correlation between comfort ratings and vehicle motions when
the maximum values and not the 95th percentiles were used [2]. However, it was
believed the method would be too sensitive to anomalies if it was based on the
exceptional values. Whether the method is based on maximum values or 95th
percentiles does not really affect the sensitivity to outliers, and does not
eliminate the fact that Series A and Series B in Table 2 would be rated equal
with the NVD value.
Both Mean Comfort Complete Methods have the same substantial loss of
information in the statistical analysis as the Mean Comfort Standard Method:
Most five-second rms values have no influence at all in the final calculation. In
addition, both methods have the characteristic that it is not possible to connect
the resulting NVA or NVD value to a certain location along the track since the
relevant 95th percentiles (and median values) may occur during different fivesecond time intervals.
6 Comfort on discrete events PDE

Comfort on discrete events, PDE, is based on research at British Rail Research
(BRR) [3]. The tilting APT and non-tilting HST were used for test runs, where
test subjects were instructed to press a button if any aspects of the lateral ride
were considered Uncomfortable or Very uncomfortable on a scale Very
609
comfortable Comfortable Acceptable Uncomfortable Very

uncomfortable.
BRR found that comfort disturbances were reported at large track
irregularities or transition curves. These two cases were analysed separately. For
large track irregularities, it was found that the percentage of passengers
indicating discomfort depends on two variables: Mean lateral acceleration (due
to curvature and cant) and peak-to-peak lateral acceleration.
The PDE method was slightly modified in ENV 12299 [1], with the aim of less
manual application. A 2 Hz low-pass filter WP was introduced and a procedure
using a two-second sliding window was defined. Within this window, peak-topeak lateral acceleration pp(t) and mean lateral acceleration |2s(t)| shall be
calculated according to eqns (2) and (3).
T
T
ypp (t )max yP,* Wp ( ), t , t ,
2
2
T
T
min yP,* Wp ( ), t , t
2
2
y2s (t )
1
T
T
2
*
P,Wp
( )d
(2)
(3)
T
t
2
*
where T=2 seconds and yP,Wp ( ) is the low-pass filtered lateral acceleration of
the vehicle body.

From these running peak-to-peak and mean lateral accelerations, running
PDE(t) for standing and seated passengers can be defined, eqns (4) and (5),
respectively. The PDE functions represent the percentage of the passengers rating
the ride as uncomfortable or very uncomfortable. It may be noted that the PDE
functions may take values above 100, but such high values are outside the
interesting range of application.
(t ) max 8.46 y
(t ) 21.7;0
PDE (t ) max 16.62 ypp (t ) 27.01 y2s (t ) 37.0;0

PDE
pp
(t ) 13.05 y2s
(4)
(5)
The comfort index PDE(t) is a continuous signal as a function of time and can
be reported as such. For the assessment of a particular local event (which will
affect the two-second sliding window during about 4 seconds), the local
maximum of PDE(t) shall be used.
Examples of the shape of the PDE(t) function are given in Figure 1. Note that
even though the discrete events generate distinct peaks of the low-pass filtered
lateral acceleration P,Wp(t), the shape of the PDE(t) function may be less transient.
Originally, the PDE functions were derived and validated for circular curves
and straight track only. Comfort disturbances on a transition curve, or within

3 seconds, from a transition curve were neglected [3]. When eqns (4) and (5) are
applied on acceleration data measured on a transition curve, which ENV 12299
[1] and EN 12299 [4] allow, both a mean value of lateral acceleration |2s(t)| and
a lateral peak-to-peak acceleration value pp(t) will be quantified within the twosecond sliding window. This can be seen for the transition curves in the time
intervals 2s<t<4s and 11s<t<13s in Figure 1.
For a short transition curve with a high lateral jerk, the mean value of lateral
acceleration |2s(t)| and the lateral peak-to-peak acceleration value pp(t) may be
high enough to generate PDE(t) values above zero. See Figure 2 for a 2-second
PDE(t)
1,4
14
Lateral acc(t)
Acceleration [m/s ]
1,2
12
2s average
2s peak-to-peak
10
PDE(t)
0,8
0,6
0,4
0,2
0
0
10
12
14
16
Time t [seconds]
Examples of low-pass filtered lateral acceleration P,Wp(t) and

PDE(t) functions. The 2-second average pp(t) and 2-second average
2s(t) functions are also illustrated.
Figure 1:
14
2s average
2s peak-to-peak
1,2
Acceleration [m/s ]
PDE(t)
Lateral acc(t)
1,4
12
PDE(t)
10
0,8
0,6
0,4
0,2
0
0
10
12
14
16
Time t [seconds]
Figure 2:
Example of the response from the PDE(t) evaluation on transition

curves with high lateral acceleration and high lateral jerk. In these
cases, PCT should be evaluated instead of PDE.
611
and a 3-second transition with high lateral jerk. In such cases, the corresponding
PCT value (defined below) will be higher and should be considered the best
quantification of the comfort disturbance, at least when the transition leads to a
higher lateral acceleration.
7 Comfort on curve transitions PCT

The PCT comfort index was derived from the same test runs as the PDE comfort
index. It was found that passenger discomfort occurred on entry transitions,
reverse transitions and transitions with increasing lateral acceleration within
compound curves. Transition curves with decreasing lateral acceleration did not
generate discomfort [3]. It was also found that discomfort was related to
maximum lateral acceleration, maximum lateral jerk and maximum roll velocity
during the transition.
ENV 12299 [1] provided some further definitions for the PCT method. Lowpass filter WP was introduced and procedures using a one-second sliding window
were defined. Within this window, lateral acceleration 1s(t) shall be averaged
according to eqn (6). Roll velocity shall be averaged in the same manner,
eqn (7), and lateral jerk shall be calculated according to eqn (8).
t
1 2*
y1s (t ) yWp
( )d
T T
t
1
T
T
2
*
1s (t ) Wp
( )d
y1s (t )
(6)
(7)
T
t
2
T
T
1
y1s (t ) y1s (t )
T
2
2
(8)
where T = 1 second.
From each of these three time series, maximum absolute value should be
selected within a certain time window before, during and/or after the passage of
the transition curve. For lateral acceleration, the evaluation time starts at the
beginning of the transition and ends 1.6 seconds after the end of the transition.
Roll velocity should only be evaluated during the transition and lateral jerk
should be evaluated from 1 second before the start of the transition to the end of
the transition. These three time windows are difficult to handle in practice and
require manual handling of the evaluation at the various transition curves. Also,
the method for identification of the starting and ending points of the transition
curves given in ENV 12299 [1] has been found inaccurate [7] and was deleted
from EN 12299 [4].

The local maxima of the absolute values are used for calculation of PCT for
standing and seated passengers according to eqns (9) and (10), respectively.
PCT max 28.54

y1s
max
20.69
y1s 11.1); 0 ,
( 27 .36 1s max ) 2.283
PCT max (8.97

y1s
max
9.68
y1s
max
(9)
5.9); 0 ,
(15 .56 1s max )1.626
(10)
Since the procedure with the three time windows is cumbersome in practice,
Working Group CEN/TC256/WG7 made certain experiments with an automatic
procedure with a running PCT(t). A possible function to replace the manual
analysis with eqn (9) is given by eqn (11).
PCT (t ) max 0; ( 28 .54 y1s (t ) ,
20.69 max sign(

y1s (t ))
y1s ( ), t TA 2.6s, t ,
(27.36 max 1s ( ) , t TA 1.6s, t ) 2.283
(11)
The parameter TA (seconds) should be chosen large enough to allow high

lateral jerk and high roll velocity to affect the PCT evaluation even if they occur
in the beginning of a long transition curve, but small enough in order to exclude
these values when they do not belong to the same transition as the lateral
acceleration at the time t. Due to lack of experiences of the applications of an
automatic procedure, it was not included in the standard EN 12299 [4].
8 Vehicle assessment with respect to ride comfort

The purpose of the standard EN 12299 [4] is primarily to define how to quantify
ride comfort, independent of the cause(s) of any comfort disturbances (such as
track irregularities, variations in track stiffness, vehicle design, maintenance
status of the vehicle, interaction with adjacent vehicles, running speed, etc.).
However, even though the Mean Comfort Standard Method is sensitive to more
or less exceptional values (as discussed in Clause 3), it is often used for vehicle
assessment with respect to ride comfort. In such application, some further
specifications are necessary and modifications may be needed. These alterations
are specified in an annex to the standard.
Assessing vehicles with respect to ride comfort implies that it must be
possible for the vehicle contribution to the ride comfort to be separated from the
total ride comfort. However, the acceleration levels are highly correlated to the
track features and track quality, which means that a few local disturbances, such
as passing a turnout or a level crossing, may result in a higher comfort index.
Hence, selecting the test sections becomes a critical process ensuring that
613
operating conditions are representative of the tested vehicle. Test sections shall
also be selected in such a way that the track quality corresponds to the one
specified for the running speed required. Keeping the speed constant during the
test zones of five minutes is a third requirement on test sections. Finding test
sections meeting all these requirements may be very challenging in some
countries and the new standard EN 12299 [4] is therefore suggesting a few
modifications to the Continuous Comfort in case of vehicle assessment:
a. The acceleration values may be calculated over track sections of certain
length instead of five-second periods.
b. The samples may be taken from a non-continuous measurement and
grouping data as proposed in the European standard EN 14363 [7].
These modifications, together with the acceptance to use the same
accelerometer positions as proposed in EN 14363 [7], will simplify
homologation of vehicles as the same test sections and the same accelerometers
may be used for ride comfort as for running behaviour.
9 Discussion and conclusions

The new standard EN 12299 [4], as well as the previous prestandard ENV 12299
[1], defines methods for comfort evaluation which were originally developed by
Office for Research and Experiments of the International Union of Railways
(ORE) and British Rail Research (BRR). The methods are well established and
have been used for many years.
However, there are still some missing links to an overall comfort evaluation
which can be used to optimise ride comfort against for example travel time.
While a lot of research has been conducted in order to make a monetary
assessment of travel time, comparatively little has been conducted in the field of
monetary assessment of ride comfort, even though there are some studies, such
as [8]. There is also lack of knowledge in the field of motion sickness [9].
The NMV, NVA and NVD methods are believed to be valid on fairly straight
lines, but have certain dubious characteristics, such as neglecting 98.3% of the
measured rms vibration values and combining horizontal, lateral and vertical
vibration values from three different 5-second intervals. Furthermore, there is no
guidance for how to combine several 5-minute periods from the same test run
into a single comfort index.
In addition, the PCT and PDE methods have certain weaknesses. The PCT
method has been validated for clothoids and linear cant transitions only. The
application of the PCT method may also become dubious if transition curves are
separated by very short straight lines or circular curves: How long must an
intermediate straight be in order to divide a reverse curve into two separate
curves? (The same question arises for circular curves within compound curves.)
It should also be noted that the PCT and PDE functions are derived from the
same test runs, with the same subjects and the same voting. The PDE functions
take into consideration 2-second average lateral acceleration and peak-to-peak
acceleration within a 2-second window. The PCT functions take into account 1second average lateral acceleration and a change of lateral acceleration over one

second, plus a minor influence of the roll velocity which is believed to have been
(close to) zero on track segments where the PDE functions were derived. Perhaps
it would be possible to merge the two functions into a more general P function,
applicable on all types of alignment elements.
Hence, an important conclusion is that even if a new European standard has
been published, there is still room for further research in the area of ride comfort
evaluation.
Acknowledgements
The authors activities as convenor and secretaries in CEN TC256 WG7 have
been funded by Banverket and Bombardier, respectively. The authors thank
Banverket, Bombardier, the Swedish Standards Institute (SIS) and European
Committee for Standardization (CEN) for permission to publish this paper.
References
[1] CEN. Railway applications - Ride comfort for passengers - Measurement
and evaluation. ENV 12299:1999, European Committee for Standardization,
Brussels.
[2] ORE. Application of the ISO 2631 standard to railway vehicles. ORE Report
B153 Rp18, Office for Research and Experiments of the International Union
of Railways, Utrecht (1989).
[3] Harborough, P.R. Passenger comfort on high speed curving analysis and
conclusions. BRR TR DOS 018. British Rail Research, Derby (1986).
[4] CEN. Railway applications - Ride comfort for passengers - Measurement
and evaluation. EN 12299:2009, European Committee for Standardization,
Brussels.
[5] ISO. Mechanical vibration and shock Evaluation of human exposure to
whole-body vibration Part 1: General requirements. ISO 2631-1,
International Organization for Standardization, Geneva.
[6] Kufver, B. Optimisation of horizontal alignments for railways - Procedures
involving evaluation of dynamic vehicle response. PhD thesis, TRITA-FKT
Report 2000:47, KTH, Stockholm (2000).
[7] CEN. Railway applications Testing for the acceptance of running
characteristics of railway vehicles Testing of running behaviour and
stationary tests. EN 14363:2005, European Committee for Standardization,
Brussels.
[8] Mkel, K. & Lampinen, A. Monetr vrdering av kkomfort. (Monetary
evaluation of driving comfort) VTT Meddelande 476, Technical Research
Centre of Finland (1985).
[9] Persson R: Motion sickness in tilting trains, Description and analysis of the
present knowledge. ISBN 978-91-7178-680-3. KTH, Stockholm (2008).
615
Latest development on the simulation of

rolling contact fatigue crack growth in rails
L. Zhang, S. Mellings, J. Baynham & R. Adey
C M BEASY Ltd, UK
Abstract
The two main causes of railway replacement are wear and rolling contact fatigue.
Rolling contact fatigue has been a critical problem on UK railways. This paper
describes recent developments in the modelling of cracks in rails, which
incorporates in the model the contact between the crack faces during calculation
of the Stress Intensity Factors (SIFs). This data is then combined with the SIFs
caused by contact loading to provide a more realistic simulation of the crack
growth. The way the methodology can be applied is described, for example using
point loads to represent non-conforming contact to obtain the interaction
between the wheel and the rail. The process of the wheel rolling over the crack
can be modelled by moving the so called contact patch along the rail. Various
conditions can be applied to the crack, including frictionless contact between
opposing surfaces, or frictional contact. In addition, pressure can be applied to
the crack surfaces to take into account the water trapped inside the crack as the
wheel rolls over. An example is given at the end of the paper to illustrate the
advantages of the improved model.
Keywords: rails, rolling contact fatigue, contact, crack growth, boundary
element method (BEM).
1 Introduction
The rolling contact fatigue has been a major issue for the British rail industry
after the fatal derailment at Hatfield in 2000. On inspections across the national
railway system, it was discovered that the rolling contact fatigue was more
widespread and serious than previously thought. As a result, the track
maintenance practices were modified, urgent rail replacement was undertaken
and speed restrictions were imposed [1, 2].
doi:10.2495/CR100571

The aim of this paper is to provide a better understanding of the contact
rolling fatigue and resulting crack growth by simulating crack growth in a fullscale rail. A 3-D dual boundary element model has been created using BEASY
fracture software. For the dual boundary element method the general
displacement integral equation and traction integral equation are given by:
cij x ' u j x ' Tij x ', x u j x dT x Uij x ', x t j x dT x (1)
1
t j x ' ni x ' Skij x ', x uk x dT x
2
ni x ' Dkij x ', x tk x dT x
where Tij x ', x , U ij x ', x
(2)
represent, respectively, the traction and
displacement fundamental solutions of Kelvin. u x and t x denote the

displacements and tractions. The DBEM model is composed of discontinuous
and continuous elements, which can be seen in fig.1.
The current study is based on the original work carried out by Smith [4]. The
original model includes a rail and a circular crack initiated from the surface of
the rail. The effects of rail surface and crack surface friction on the crack growth
were taken into consideration. The improved model developed by the authors is
more efficient and realistic in terms of the modelling of the rail, as there are
fewer restrictions on the definition of boundary conditions. Friction and contact
conditions between crack surfaces can be readily modelled. The improved model
can be applied to study the relationship between the crack orientation and the
fatigue growth path, and can also be used to predict the fatigue life of the rail,
whereby an optimal inspection and maintenance procedure can be worked out.
Figure 1:
Crack modelling with discontinuous and continuous elements [3].
617
2 Rail model and contact pressure

The rail chosen for the modelling is a simplification of an EN60E1 (UIC60) rail
(fig. 2). This rail has been used in the refurbishment of the West Coast Mainline
[2]. The wheel-rail contact is a non-conforming contact where two bodies contact
over an area known as the contact patch as shown in fig. 3. A circular contact
Hertzian pressure distribution has been chosen to represent the contact loading.
The pressure distribution can be obtained through:
P P0 1
x2 y 2
a 2 b2
(3)
where a and b are half widths of the contact patch. p0 is the maximum
Hertzian pressure which is given by:
p0
3 p
2 ab
(4)
where p is the total load on the contact. The contact patch is further divided
into very fine grids and the pressure within each grid is integrated giving the
total force applied over each grid. The forces over the grids are then applied to a
large number of load points and the resulting load can be directly applied on
the surface of the elements representing the rail in the model.
Figure 2:
Figure 3:
Wheel-rail contact (Smith [4]).
Hertzian elliptical contact pressure [4].
3 Development of an improved rolling contact fatigue (RCF)

model
The RCF in rails can be divided into two categories according to Grassie and
Kalousek [5], i.e. cracks initiated at or beneath the rail surface (surface cracks
and embedded cracks respectively). The rail failure due to crack propagation
can be seen in fig. 4. In this study, the surface cracks in the rail are investigated.
The main mechanism for crack growth under investigation is dynamic shear
loading (fig. 5) arising from the interaction between the wheel and the rail each
time the wheel rolls over the crack mouth.
As the wheel rolls over the crack, the stress field surrounding the crack
changes significantly. A series of contact patches as seen in fig. 6 are used to
capture such changes. The contact patches are evenly distributed along the
direction of the motion of the wheel by a certain distance. The load history of the
Figure 4:
Figure 5:
Rail failure as a result of RCF (Cannon et al. [6]).
Shear mode crack growth, accelerated by reduction of friction

between the crack faces (Fletcher et al. [7]).
Figure 6:
619
Schematic representation of the RCF model developed by Fletcher

et al. [7].
rail can then be obtained by solving each individual problem. The resulting
maximum and minimum stress intensity factors can be used to compute the crack
growth angle and the fatigue life of the rail.
The original RCF model developed by Fletcher and Kapoor [8] has certain
limitations. Firstly, in their model the crack growth trajectory is predefined
implying the crack can only grow along the predefined crack surface. Secondly,
the rail must be divided into multi-zones to simulate the contact between the
crack faces. This entails a significant modelling effort to create the model.
Finally, the crack cannot automatically propagate in the rail as the region
surrounding the crack needs to be remeshed after each crack growth step.
However, the latest development of BEASY fracture software enables the user to
solve such a complex practical problem with ease. There is no need to define an
artificial surface along which the crack can grow as the contact between crack
faces is automatically simulated by the software. The benefit is obvious in that
the user interaction with the software during analysis is kept to a minimum while
the simulation results such as the stress intensity factor, the crack propagation
direction and the contact conditions can be more accurately computed. Fig. 7
shows a comparison between the two models where the new simplified crack
modelling can be clearly seen.
Both ends of the rail are fixed in the length direction and the bottom of the
rail is fixed in all directions, as its movement is restricted. The crack growth rate
follows the Paris equation and the maximum tangential stress criterion has been
utilised to predict the crack growth direction. Following each crack growth step a
new crack is inserted to the rail and the region surrounding the crack is
automatically remeshed. This process repeats automatically until the crack
reaches the required size or the failure criteria are met.
Figure 7:
A) The original symmetric model; and B) the improved 3D BE rail

model developed in the current study.
4 Example
In this section, a sample problem is solved to illustrate the advantages of the
improved approach in solving the rolling contact fatigue problem. The contact
pressure, which is similar to the loading used in the original work conducted by
Smith [4], has been applied to the surface of the rail.
4.1 The rail
The rail chosen for the modelling is a UIC60 rail as shown in fig. 8. A 3-D BE
model has been created based on the geometry. The rail section under investigation
is 400mm long. The dynamic friction coefficient of the rail d=0.1. The youngs
modulus and the passion ratio for the rail are 210GPa and 0.3 respectively.
4.2 The crack
A thumbnail crack has been inserted to the rail as seen in fig. 9. Such a
configuration means a small crack has been initiated at the surface of the rail as a
result of a combination of high normal and tangential stresses between the wheel
and rail. It is expected that the stresses surrounding the crack will change
considerably as the wheels roll over the region near the crack, thus causing the
crack to propagate. The initial length and the depth of the crack are 20m and
10mm respectively. The angle between the rail surface and the crack faces is 30
degrees. The static friction coefficient for the crack surfaces is s=0.3.
Figure 8:
Figure 9:
621
Simplified UIC 60 rail section (unit: mm).
A thumbnail surface crack inserted into the rail model.
4.3 Boundary conditions and loading

The boundary conditions are as same as those described in section 3. The
displacement for both ends of the rail in the length direction is restrained and the
base of the rail is fixed. The maximum contact pressure is 1750MPa. The contact
profile is defined as such that parameters a and b in equation 2.1 are both set
equal to 9.5mm. Twelve load patches have been used to simulate the wheel
rolling over the rail. The first path is position 25mm to the left of the crack i.e.
before the wheel rolls over the crack and the last contact patch is positioned
30mm to the right of the rail. One complete load cycle consists of the twelve
load cases. The load spectrum file, which is used by the BEASY solver to
perform fatigue calculation, follows the format as follows:

LOAD CYCLE LOADING FILEz
NUMBER CYCLES FOR THIS LOAD GROUP 10000000
GLOBAL LOAD FACTOR 1.0
ANALYSIS USING: MAX TO MIN VALUES AT EACH MP
LOAD CYCLE DEFINITION: LOAD AND FACTOR LISTS
LOAD AND FACTOR: 1 1
END OF LOAD CASES
END OF FILE
Figure 10:
Internal points used to evaluate the J-integral.
The stress intensity factors (Mode I, II, III) along the crack front are
computed using a J Integral calculation and used to compute the full mixed mode
3D growth of the crack. Fig 10 shows the model of the crack and some of the
locations of the points used to evaluate the J Integral.
4.4 Results
4.4.1 Stress intensity factors along the crack front for crack growth step 0
(i.e. the thumbnail crack of the original depth and length)
Fig. 11 shows the evolution of the stress intensity factors at the crack tip for
crack step 0 as the wheel rolls over the rail. Mode III stress intensity factor is
nearly zero as there is no tearing at the crack tip. However, mode I and mode II
stress intensity factors vary considerably as the crack surfaces slide against each
other.
623
The SIF values have been plotted against the relative positions of the mesh
points along the crack front.
4.4.2 Crack growth in the rail
Fig. 15 shows the crack surfaces after five crack growth increments. It can be
seen that the crack growth direction changes dramatically after the first growth
step largely due to the sliding of the crack surfaces. The crack then continues to
1.40E+08
Stress intensity factors (MPa*sqrt(mm))
1.20E+08
K1
K2
K3
1.00E+08
8.00E+07
6.00E+07
4.00E+07
2.00E+07
0.00E+00
-2.00E+07
-4.00E+07
-6.00E+07
-25
-20
-15
-10
-5
10
15
20
25
30
Center of the contact area with regard to location of the surface crack (mm)
Figure 11:
The variation of the SIFs at the crack tip; crack growth step 0.
6.00E+07
K1 JINTMP LC1
K1 JINTMP LC2
5.00E+07
K1 JINTMP LC3
K1 JINTMP LC4
4.00E+07
SIF (MPa*sqrt(mm))
K1 JINTMP LC5
K1 JINTMP LC6
3.00E+07
K1 JINTMP LC7
K1 JINTMP LC8
2.00E+07
K1 JINTMP LC9
K1 JINTMP
1.00E+07
0.00E+00
0
0.2
0.4
0.6
0.8
-1.00E+07
-2.00E+07
-3.00E+07
Relative position along the crack front (mm)
Figure 12:
Mode I SIF along the crack front; crack growth step = 0.
1.2
1.40E+08
K2 JINTMP
K2 JINTMP
K2 JINTMP
K2 JINTMP
K2 JINTMP
K2 JINTMP
K2 JINTMP
K2 JINTMP
K2 JINTMP
K2 JINTMP
K2 JINTMP
K2 JINTMP
1.20E+08
1.00E+08
SIF (MPa*sqrt(mm))
8.00E+07
6.00E+07
LC1
LC2
LC3
LC4
LC5
LC6
LC7
LC8
LC9
LC10
LC11
LC12
4.00E+07
2.00E+07
0.00E+00
0
0.2
0.4
0.6
0.8
1.2
-2.00E+07
-4.00E+07
-6.00E+07
Figure 13:
Mode II SIF along the crack front; crack growth step = 0.
5.00E+07
K3 JINTMP
K3 JINTMP
K3 JINTMP
K3 JINTMP
K3 JINTMP
K3 JINTMP
K3 JINTMP
K3 JINTMP
K3 JINTMP
K3 JINTMP
K3 JINTMP
K3 JINTMP
4.00E+07
3.00E+07
SIF (MPa*sqrt(mm))
2.00E+07
1.00E+07
LC1
LC2
LC3
LC4
LC5
LC6
LC7
LC8
LC9
LC10
LC11
LC12
0.00E+00
0
0.2
0.4
0.6
0.8
-1.00E+07
-2.00E+07
-3.00E+07
-4.00E+07
-5.00E+07
Figure 14:
Mode III SIF along the crack front; crack growth step = 0.
1.2
Figure 15:
625
Crack faces after five growth steps.
grow along the crack surfaces. This indicates that the initial crack orientation
specified was not exactly correct but the model has automatically reoriented the
crack to reflect the actual stress field.
5 Summary
This paper introduces an improved version of the rolling contact fatigue rail
model. A complete 3-D BE model has been created to simulate the crack growth
in a rail which is subjected to rolling contact. The friction between the crack
faces and the friction between the wheel and the rail can also be taken into
account during simulation. Additional loading can be applied to the crack faces if
more detailed analysis is required. The new techniques used not only simplify
the modelling process but also improve the accuracy of the results.
Acknowledgement
The authors would like to thank Dr. David Fletcher from Sheffield University for
assistance with details of the rail model used in reference [4].
References
[1] S. L. Grassie, Rolling contact fatigue on the British railway system:
treatment, Wear 258 (2005) 13101318.
[2] Network Rail Route Plans 26 Strategic Routes, March 2005
[3] A. Portela, Dual Boundary Element Analysis of Crack Growth
[4] Lindsey Smith, Rolling Contact Fatigue in Wheel-Rail Contact, PhD thesis,
University of Newcastle Upon Tyne 2007.
[5] S.L. Grassie, J. Kalousek, Rolling contact fatigue of rails: characteristics,
causes and treatments, Proceedings of the Sixth International Heavy Haul
Railway Conference 1997, pp. 381404.

[6] Cannon, D, F, Edel, K, Grassie, S, L, Sawley, K, Rail defects: an overview,
Fatigue Fract. Engng. Mater. Struct. 26, (2003) 865-887
[7] Fletcher, DI, P. Hyde and A. Kapoor, Modelling and full-scale trials to
investigate fluid pressurisation of rolling contact fatigue cracks, Wear 265
(2008) 13171324
[8] Fletcher, DI, and Kapoor, A (2006), Rapid method of stress intensity factor
calculation for semi-elliptical surface breaking cracks under threedimensional contact loading, Proceedings of the institution of mechanical
engineers, Part F, Journal of Rapid Rail and Rapid Transit, 220 (3): 219-234
Section 10
Operations quality
629
Disruption handling in large railway networks

F. Corman1 , A. DAriano2 & I. A. Hansen1
1 Department
of Transport and Planning,

Delft University of Technology, The Netherlands
2 Dipartimento di Informatica e Automazione,
Universit degli Studi Roma Tre, Italy
Abstract
Railway traffic is operated according to a detailed off-line plan of operations,
specifying for each train its path through the network plus arrival and departure
times at its scheduled stops. During daily operations disturbances perturb the plan
and dispatchers take actions in order to keep operations feasible and to limit delay
propagation. This paper studies how to support dispatchers in the management
of infrastructure disruptions in a large network divided into dispatching areas of
limited size. We consider seriously disturbed traffic conditions on double track
railway lines where some block sections of one track are unavailable for traffic,
e.g., due to a temporary track blockage. We start from a given set of disruption resolution scenarios, computed off-line. Disrupted train services are either cancelled,
rerouted in the disrupted dispatching area or rerouted in other areas while still
with the same origin and destination. Given a disruption resolution scenario, we
adopt an advanced decision support system, ROMA (Railway traffic Optimization
by Means of Alternative graphs), in order to compute efficient train schedules at
the level of signal control, along with detailed performance indicators. Alternative
dispatching solutions are computed in a few minutes. The dispatcher has to choose
one schedule for implementation, with a trade-off between minimizing delays of
all trains running in the network and limiting the cancellation of disrupted train
services. A test case is evaluated on a large Dutch railway network with heavy
traffic and strong disorder. We compute dispatching solutions for a given set of
scenarios and evaluate them in terms of travel times, waiting times and train delays.
Keywords: railway traffic management, disruption, microsimulation.
doi:10.2495/CR100581
1 Introduction
Train services are planned in detail, defining several months in advance the train
order and timing at crossings, junctions and platform tracks. A robust timetable
is able to deal with minor perturbations (i.e., few minutes of delays) occurring in
real-time by using smart planning rules and time reserves. However, no reasonable
railway plan is robust or reliable enough in the case of large delays or the
blocking of some tracks. Despite the great effort spent, technical failures and
other disturbances (such as train delays, reduced operating speeds, bad weather
and temporary unavailability of some routes) can be considered as disruptions [2],
since they may influence seriously the running times, dwelling and departing
events of trains. In fact, trains may be required to stop in front of crossings or
junctions, causing non-scheduled waiting times and longer running times due to
slowing down and subsequent re-acceleration. Due to the interaction between
trains, such disturbances can propagate as knock-on delays to other trains in the
network. Hence, the railway system is vulnerable to disruptions and railway traffic
has to be rescheduled in real-time. The management of a disruption requires the
modification of train services, making alterations to the train travel times and
routes due to the temporary unavailability of one or more block sections. Multiple
timetable modifications are thus required in order to recover the feasibility of
disrupted operations.
Operational traffic management is mainly directed towards recovering from
disruptive events as quickly as possible. The train operating companies adjust, in
a short time, the personnel and rolling stock plan in order to be compliant with the
actual traffic situation, avoiding imbalances that may result in the unavailability of
train units or crews. The dispatchers then manage the train traffic under shortage of
spare capacity and several delayed trains. Experienced dispatchers have developed
strategies allowing them simply to foresee possible disruptions well in advance
and to take compensatory control actions based on local information. Delays are
experienced in a first instance by the passengers and goods being transported.
However, dispatchers only reschedule the route setting plan when trains have a
considerable delay, and become active only when train traffic is already highly
disrupted.
In The Netherlands, so called emergency timetables are used as a response to
disrupted operations. The dispatchers apply predetermined if-then measures in
order to determine an alternative train path until the next station and keep the
(network) traffic control center informed. The intention is to limit modifications
of the rolling stock and crew plan as much as possible. However, in case of
disruptions some of the original services can be cancelled or some trains can be
rerouted. Emergency timetables cover every possible infrastructure malfunction.
As the variety of possible disruptions is very large, some of them are grouped
together in classes, so that the amount of emergency timetable is limited (now
there are around 1200 emergency timetables). Figure 1 shows a practical example
of emergency timetable. The disruption under discussion is reported graphically in
terms of the infrastructure unavailability, namely a block on the upper track from
631
Figure 1: Example of emergency timetable in The Netherlands (source: ProRail).
Delft (right) to The Hague (Gvmw, left). The modifications to the services are
reported on the lower part of the figure (here, the Dutch words blijft rijden mean
that the service is kept running, while opheffen means that the service 5000 is
cancelled between the stations of Den Haag HS and Dordrecht).
Post-eventum analysis is used to analyze the causes of disturbances and to compute pro-actively emergency timetables. In this context, Wiklund [13] proposes a
useful tool to analyze disruption handling strategies in Sweden. A framework is
given to quantify the effect of disturbances by looking at simple indicators like the
amount of traffic mileage that is actually accomplished in the timetable put into
operations. Simulation tests analyze different timetables for application during a
serious disruption due to adverse weather conditions.
With regards to the recent literature on rolling stock balancing and crew
scheduling, Jespersen-Groth et al. [9] present a detailed report on models and
procedures used to manage disruptions in Denmark and in The Netherlands.
Nielsen et al. [10] also address rescheduling of railway crew plans when these
are unfeasible due to disrupted traffic. An online setup solves iteratively a linear
programming model for crew assignment in limited time horizon. The procedure
is repeated when new data about the expected disruption duration is collected. The
main assumption is that a feasible train timetable for the disrupted operations exists
when a solution to crew rescheduling is computed.
Concerning train rescheduling during disrupted operations, Hirai et al. [8]
propose a train dispatching algorithm with a train rescheduling pattern language
processing system. In case of severe traffic disruptions, caused by accidents that
may require the suspension of some train line, the algorithm is helpful for the
preparation of practical rescheduling plans. Based on actual train schedule data of a

Japanese railway network, the authors report that the approach works satisfactorily
even if only local modifications are applied to the original schedule.
Differently from the previous approach, Takagi et al. [11] perform numerical
optimization on a rail junction when the service is disrupted. In the optimization
routine, a genetic algorithm is used to improve the order of route setting, i.e., to
minimize a weighted sum of times. When a route setting decision has been taken,
the signaling system is automatically set. The object-oriented multi-train simulator
has been tested on metro lines and suburban lines.
In the current traffic control practice, dispatchers have a limited view on the
possible actions to undertake, and the existing dispatching systems are only used
to monitor a disrupted situation rather than to control train traffic. A number
of decision support tools for optimal dispatching in perturbed traffic conditions
have been proposed so far (see the literature reviews in [5, 12]). However,
the dispatching practice still requires further development of Decision Support
Systems (DSS) that are able to compute dispatching solutions for large networks
and serious disruptions at the level of signal control. This is the main reason for the
research proposed in this paper. Furthermore, the dispatching process is inherently
multi objective, since the rescheduling solutions should match the interest of the
different actors involved (dispatchers, train operating companies and passengers).
Decisions are therefore to be supported by a clear vision of the future status of
the network, so that dispatchers can justify quantitatively their decisions against
the conflicting goals of the multiple actors in the railway business. In addition,
managing disrupted traffic requires substantial timetable modifications in terms of
train orders, times and routes, or even cancellation of some train services.
This paper studies how to support dispatchers in the management of infrastructure disruptions in a large network. Section 2 describes an innovative DSS
to handle disrupted traffic in large networks. This system, called ROMA (Railway
traffic Optimization by Means of Alternative graphs) [5, 6], is designed to assist
dispatchers in their tasks. ROMA is able to estimate and control the future
evolution of the railway traffic by considering actual track occupation, signaling
and safety constraints, as well as dynamic train characteristics. The feasibility of
train movements is checked by estimation of microscopic blocking times (see,
e.g., the blocking time theory described in the book of Hansen and Pachl [7]),
while the resolution of potential train conflicts and/or deadlocks is based on
optimal computation of train routes, orders and target speeds. The objective is
to compute a new feasible plan of operations (emergency timetable) for a given
set of disruption resolution scenarios, limiting the propagation of train delays. The
relative improvement of ROMA compared to practical dispatching rules is reported
e.g., in [36].
Section 3 presents a practical test case based on a large Dutch railway network.
Given disruptions such as unavailability of tracks and limited performance of
some train units, we use ROMA to study different alternative disruption resolution
scenarios. In Section 4, performance indicators are given for a number of dispatching solutions, one for each scenario, so that the dispatcher can take an informed
decision based on a quantitative evaluation of their effects.
633
2 Disruption handling procedure

We analyze disruptions (such as a train malfunction or an infrastructure failure) on
double track railway lines, where some block sections of one track are unavailable
for traffic. The available capacity experiences a strong reduction for the long
period of time, from a few hours and up to days, that is required to restore the
infrastructure availability. The time reserves in the timetable are not sufficient to
prevent delay propagation and a new plan of operations is needed to allow feasible
train circulation under the very limited capacity.
The disruption handling procedure considers a given set of disruption resolution
scenarios as input. A disruption resolution scenario is a serious modification of the
original timetable. Disrupted train services are either cancelled (when trains are
short-turned in the vicinity of a disruption and directed towards a shunting area),
rerouted in the disrupted dispatching area (using a locally available undisrupted
track) or rerouted in other areas while still maintaining the same origin and
destination (when there is at least a possibility to bypass a disruption via other
train routes). For each disruption resolution scenario, we assume that feasible
rolling stock and crew management plans are available. In other words, we recover
feasibility of operations by a sequential approach with respect to the rolling stock,
crew and train services. The first level decision is the selection of a set of disruption
resolution scenarios, while the second level decision is the implementation of a
chosen scenario. For the latter decision, we compute a new timetable such all trains
run safely in the network, minimizing the propagation of delays in operation.
The approach to the whole disruption handling problem is presented schematically in Figure 2. A set of disruption resolution scenarios is supplied as input to
the management of a large railway network. We adopt ROMA in order to compute
a feasible plan of operations for each scenario, i.e., the train schedule is compliant
with the railway operating rules of and with the entrance position of each train.
The railway traffic management problem is solved by considering a network
division into local areas of limited size. As shown in Figure 2, each local
Cancel
Services
Reroute
Trains
Disruption
Resolution
Scenarios
Global Coordinator
34
Cancel
Services
Reroute
Trains
Cancel
Services
Reroute
Trains
Feasible
Plan of
Operations
Large Scale Dispatching DSS
Cancel
Services
Reroute
Trains
Local
ROMA
Local
ROMA
Local
ROMA
Local
Area
Local
Area
Local
Area
36
400
Figure 2: Architecture of the multi-area disruption handling approach.

12

area is controlled by a local scheduler (that gives support to the local human
dispatcher) while the overall area is supervised by a coordination system at a
higher level. The global coordinator is asked to repair the situation when there is an
infeasibility involving two or more areas. The feasibility of operations is recovered
by imposing additional constraints to the local schedulers and by computing new
local solutions. In this paper, we use the coordination procedure of Corman et
al. [3] and the local train scheduling procedure of DAriano et al. [4]. The output
of the DSS consists in a set of feasible plans of operations, one for each disruption
resolution scenario, that are represented by time distance graphs and detailed
performance indicators. The local dispatcher has thus to choose a single train
schedule for implementation, with least train delays and cancelled train services.
3 Test case description

This section presents a real-world test case based on a large part of the Dutch
railway network, including the main stations of Den Bosch, Nijmegen, Arnhem
and Utrecht. The railway network under discussion is mostly double tracked.
Figure 3 shows the network division into three local dispatching areas.
Figure 3: The railway network divided into three local dispatching areas.
The general network layout comprises a diameter of about 100 km. In total,
there are more than 1200 block sections and stopping platforms at stations. The
two main traffic directions are served by the line between Utrecht and Arnhem
(towards Germany) and the line between Utrecht and Den Bosch (from Amsterdam
635
towards Eindhoven and the southern part of the country). The reference timetable
is periodic with a cycle time of one hour that schedules around 150 trains.
We consider a disruption located on the line Utrecht - Den Bosch (near Zaltbommel) that blocks one track and reduces the maximum train speed allowed on
the adjacent track (60 km/h instead of 130 km/h). Trains of both traffic directions
have to run on the single track and under the constraints on the maximum allowed
speed for a stretch of around 6 km. In the original timetable, 12 trains per hour (6
per direction) are scheduled on the disrupted line.
In Figure 4, we report the hourly timetable and five alternative disruption
resolution scenarios. Every solid line indicates that there are two trains running
Amsterdam
Amsterdam
Hilversum
Amersfoort
Arnhem
Rotterdam
The Hague
Utrecht
Ede
Rhenen
Hilversum
Amersfoort
Deventer
Winterswijk
Germany
Arnhem
Rotterdam
The Hague
Utrecht
Geldermalsen
Ede
Rhenen
Nijmegen
Den Bosch
Den Bosch
Breda
Eindhoven
Breda
(timetable)
Utrecht
Eindhoven
(12-0-0)
Amsterdam
Hilversum
Amersfoort
Arnhem
Rotterdam
The Hague
Ede
Rhenen
Hilversum
Amersfoort
Deventer
Winterswijk
Germany
Arnhem
Rotterdam
The Hague
Utrecht
Geldermalsen
Ede
Rhenen
Den Bosch
Breda
Eindhoven
Breda
(8-4-0)
Arnhem
Utrecht
Ede
Rhenen
Eindhoven
(8-0-4)
Amsterdam
Hilversum
Amersfoort
Hilversum
Amersfoort
Deventer
Winterswijk
Germany
Arnhem
Rotterdam
The Hague
Utrecht
Geldermalsen
Ede
Rhenen
Den Bosch
Deventer
Winterswijk
Germany
Geldermalsen
Nijmegen
Breda
Winterswijk
Germany
Nijmegen
Den Bosch
Rotterdam
The Hague
Deventer
Geldermalsen
Nijmegen
Amsterdam
Winterswijk
Germany
Geldermalsen
Nijmegen
Amsterdam
Deventer
Nijmegen
Den Bosch
Eindhoven
Breda
(4-4-4)
Eindhoven
(4-0-8)
Figure 4: Available train services for the timetable and for each scenario (color
online only).

per hour per direction on a specific line. Light green lines are local services and
dark blue lines are intercity services. The dotted line represents an international
service scheduled once per hour. The track blockage is represented by the cross
between the stations of Geldermalsen and Den Bosch. The disruption resolution
scenarios are defined by the three field code A B C, where A is the number
of trains locally rerouted to bypass the disruption, B is the number of trains
globally rerouted via Arnhem and Nijmegen, and C is the number of train services
cancelled.
12-0-0 All the trains are scheduled as in the timetable. The only difference is that
the line Utrecht - Den Bosch is served by twelve trains (8 intercity and 4
local trains) per hour running on the same single track.
8-4-0 Four intercity trains (2 trains per hour per direction) and four local trains
(2 trains per hour per direction) are still scheduled on the line Utrecht Den Bosch. The other four intercity trains (2 trains per hour per direction)
are globally rerouted, i.e., change their routes but keep the same origin
and destination stations. The latter trains are rerouted via the line going to
Nijmegen and Arnhem, or vice versa. The running time required for the
alternative trip between Utrecht and Den Bosch is around 40 minutes longer
than the original trip time, which is 30 minutes long.
8-0-4 Here, four intercity and four local trains are scheduled on the line Utrecht
- Den Bosch, while the other four intercity train services are cancelled,
resulting in less trains running in the railway network. The corresponding
trains are thus held in the major stations of Utrecht and Den Bosch, assuming
that there is enough spare capacity at stations yards.
4-4-4 Four local trains are still scheduled on the line Utrecht - Den Bosch, four
intercity trains are globally rerouted via the line Nijmegen - Arnhem and
four intercity trains are held in the major stations of Utrecht and Den Bosch.
4-0-8 Four local trains are still scheduled on the line Utrecht - Den Bosch while
eight intercity trains are held in the major stations of Utrecht and Den Bosch.
The local trains thus serve all passengers.
4 Computational results
This section presents the results obtained by ROMA within 10 minutes of
computation on an Intel Core Duo 1.66 Ghz workstation with 2GB RAM. For
each disruption resolution scenario, Figure 5 reports the blocking time diagram
in the vicinity of the studied disruption. The diagram on the top left side also
shows the original traffic on the same line in absence of disruptions (i.e., the
timetable). This figure focuses on the first 45 minutes of traffic prediction (see
the y-axis), since these are most interesting to understand the short-term effects
of disruption handling. Each blocking time diagram shows the train traffic on the
line Den Bosch - Utrecht, that is around 40 kilometers long (see the x-axis). The
following stations are considered from left to right: Den Bosch (Ht), Zaltbommel
(Zbm), Geldermalsen (Gdm), Culemborg (Cl), Houten (Htn) and Utrecht Lunetten
(Utl).
(timetable)
(12-0-0)
(8-4-0)
(8-0-4)
637
(4-4-4)
(4-0-8)
Figure 5: Blocking time diagrams between Den Bosch and Utrecht Lunetten.
The blocking time diagrams of Figure 5 can be adopted as support to dispatchers

when solving disrupted traffic situations. Comparing the five scenarios, dispatchers
can easily detect the delayed trains by observing the long stretched blocking times,
which represent trains waiting in front of a red signal in order to enter the single
track area. The available spare capacity can be measured as the time lag between
blocking time graphs of two consecutive trains on a block section. When there is
no spare capacity between the passage of two trains on a block section (i.e., the
corresponding time lag is null) the following train may reduce its speed according
to the signalling system in use.
We next report the performance indicators that are used in this paper in order to
assess the quality of each feasible plan of operations for a given scenario:
The travel time reports the time required by the passengers on a train to
travel on a specific corridor. Given two stations delimiting a corridor, this is
the travel time between the first and the last station.

The waiting time is another indicator related to passengers satisfaction. This
time is computed as the average time between two consecutive departure
times at a given station for trains travelling over a given corridor. For a
period of traffic prediction including n trains, the average waiting time is
(i+ 1)
n
tiA ]/n, where i and i + 1 are two consecutive trains departing
i= 1 [tA
from the station A and running on the same corridor.
The generalized travel time is a weighted sum of the two latter indicators.
Given an origin-destination pair, we define this time as 2 * waiting time +
travel time. In this case, we assume that passengers penalize more a long
waiting time at a station rather than a long travel time, as described in [1].
The minimum cycle time is the time required to dispatch all the scheduled
services. We observe that if this time is longer than one hour, there is not
enough capacity in order to include all trains.
The track occupancy is another measure of the capacity required to dispatch
all the scheduled services. This is computed as the ratio between the minimal
time required to run all the trains, without including time reserves, and the
actual plan of operations.
The output delay is the train delay at its exit from the network. In our
experiments the output delays are originated by the disrupted track between
Geldermalsen and Den Bosch, while there are no input delays, i.e., the initial
position of all trains corresponds to the one in the timetable.
Table 1 reports the results for the reference case with no disruption (i.e., the
timetable that is no more feasible, see the first row of the table) and for the
alternative solutions in presence of disruption (i.e., the feasible train schedules
computed for each scenario, see the other rows of the table). The indicators
described above are reported in the table for each plan of operations. Column
1 presents the disruption resolution scenario, Column 2 the average travel time,
Column 3 the average waiting time, Column 4 the average generalized travel time,
Column 5 the cycle time, Column 6 the percentage of track occupancy and Column
7 the average output delay. Columns 2-4 only consider the corridor Den Bosch to
Table 1: Performance of the train schedules computed for each scenario.
Dis. Res.
Travel
Waiting
Gen. Travel
Min. Cycle
Track
Output
Scenario
Time (s)
Time (s)
Time (s)
Time (s)
Occ. (%)
Delay (s)
Timetable
2200
600
3400
3600
57
12-0-0
8-4-0
2713
3537
638
600
4048
4737
4252
4008
118
111
66
89
8-0-4
4-4-4
2457
3741
900
956
4218
5655
3843
3600
106
74
53
74
4-0-8
2709
1800
6309
3600
74
48
639
Utrecht and vice versa. All the indicators but the track occupancy are reported in
seconds.
The results of Table 1 show that dispatchers have five alternative non-dominated
solutions. The solution of scenario 12-0-0, with no train rerouting and no service
cancellation, results in a smaller travel time compared to scenario 8-4-0, with train
rerouting. For these two scenarios, the cycle time and the percentage of track
occupancy can be considered unacceptable, since putting such a kind of scenario
into operations would result in a non-cyclic timetable structure. Differently, the
train schedules computed for scenarios 4-4-4 and 4-0-8 are stable, since their cycle
time is not larger than one hour and the track occupancy is below 100%. However,
the latter two scenarios present the largest generalized travel time compared to the
other scenarios, due to the small number of trains scheduled on the disrupted line.
Concerning the other indicators related to passengers delays, there is a tradeoff between choosing to globally reroute trains (e.g., scenario 8-4-0) and choosing
to cancel train services (e.g., scenario 8-0-4). On one hand, the latter scenario
presents a smaller travel time compared to the other scenarios and a limited output
delay, even if the waiting time for passengers at stations is one half longer than the
one in the original timetable. On the other hand, the former scenario presents no
increase of the waiting time, while the longer travel time is due to the additional
time to run the global rerouting. We observe that the dispatchers decision would
be easier if they know the number of passengers that are travelling for each origindestination pair, since this information can be used to avoid generation of further
delays due to overcrowding at stations and on board trains.
5 Conclusions
This paper applies an innovative DSS to support the dispatching process in case of
disrupted traffic situations. We present an advanced disruption handling procedure
that computes feasible train schedules and evaluates alternative resolutions of
disrupted situations, such as global rerouting or cancellation of train services.
In the computational results, performance indicators assess the negative effect of
disruptions on the quality of the railway services. This would allow the dispatchers
to choose the most effective disruption resolution scenario and the corresponding
microscopic plan of operations for dealing with the disrupted traffic situation.
Future research should address the implementation of a dispatcher user interface, enabling fast and simple communication of key indicators without information overload. Multiple scenarios and dispatching solutions could be automatically
generated on the fly, based on the actual infrastructure availability. Such an
approach could also be used in the planning stage in order to evaluate the feasibility
and performance of alternative timetables. After the timetable assessment, the
rolling stock and crew schedules would also have to be updated accordingly.
Acknowledgements
We thank ProRail managers for providing the examples. This work is partially
supported by the research program TRANSUMO Reliable Transport Chains" and
by the Italian Ministry of Research, Grant number RBIP06BZW8, project FIRB
Advanced tracking system in intermodal freight transportation".
References
[1] Balcombe, R., Mackett, R., Paulley, R., Preston, J., Shires, J., Titheridge, H.,
Wardman, M., White, P. (2004) The demand for public transport: a practical
guide. TRL Report 593, United Kingdom.
[2] Clausen, J. (2007) Disruption Management in Passenger Transportation from Air to Tracks. Proceedings of the 7th ATMOS Workshop, Sevilla, Spain.
[3] Corman, F., DAriano, A. Pacciarelli, D., Pranzo, M. (2009) Centralized versus distributed railway traffic control. Proceedings of the 11th International
Conference on Advanced Systems for Public Transport, Hong Kong.
[4] DAriano, A., Pacciarelli, D., Pranzo, M. (2007) A branch and bound
algorithm for scheduling trains in a railway network. European Journal of
Operational Research 183 643657.
[5] DAriano, A. (2008) Improving Real-Time Train Dispatching: Models, Algorithms and Applications. TRAIL Thesis Series T2008/6, The Netherlands.
[6] DAriano, A. (2009) Innovative decision support system for railway traffic
control. IEEE Intelligent Transportation Systems Magazine 1(4) 816.
[7] Hansen, I.A., Pachl, J. (2008) Railway timetable and traffic: Analysis,
Modelling and Simulation, Eurail Press, Germany.
[8] Hirai, C., Tomii, N., Tashiro, Y., Kondou, S., Fujimori, A. (2006) An algorithm for train rescheduling using rescheduling pattern description language
R. Computers in Railways X, pp. 551561.
[9] Jespersen-Groth, J., Potthoff, D., Clausen, J., Huisman, D., Kroon, L.G.,
Marti, G., Nielsen, M.N. (2009) Disruption Management in Passenger
Railway Transportation. Lecture Notes in Computer Science 5868 399421.
[10] Nielsen, L.K., Kroon, L.G., Marti, G. (2009) A Rolling Horizon Based
Framework for Rolling Stock Rescheduling. Proceedings of the 3rd Internat.
Seminar on Railway Operations Modeling and Analysis, Zurich, Switzerland.
[11] Takagi, R., Weston, P.F., Goodman, C.J., Bouch, C., Armstrong, J., Preston,
J., Sone, S. (2006) Optimal train control at a junction in the main line rail
network using a new object-oriented signalling system model. Computers in
Railways X, pp. 479488.
[12] Trnquist, J. (2005) Computer-based decision support for railway traffic
scheduling and dispatching: A review of models and algorithms. Proceedings
of the 5th ATMOS Workshop, Palma de Mallorca, Spain.
[13] Wiklund, M. (2007) Serious breakdowns in the track infrastructure - Calculation of the effects on rail traffic. Proceedings of the 2nd Internat. Seminar
on Railway Operations Modeling and Analysis, Hannover, Germany.
641
A multi-stage linear prediction model for

the irregularity of the longitudinallevel over
unit railway sections
H. Chang1, R. Liu1 & Q. Li2
1

2
Abstract
Various researchers, both at home and abroad, have developed models to predict
the irregularity of longitudinal level changes, which take into account different
influential factors. In order to help the railway maintenance department to more
accurately grasp the pattern of irregularity of longitudinal level changes, the
present authors have developed a new model that uses historical track geometry
inspection data from track inspection cars to predict the irregularity of
longitudinal level changes for unit railway sections (which are taken as 200
metres long in this paper). Various factors affect the irregularity of the track.
These mainly include train operation factors, track structure and environmental
factors. However, for a certain unit railway section, key consideration may be
given to the impact of passing tonnage on the irregularity of the longitudinal
level. This paper establishes linear regression equations that are only applicable
to each particular unit section to fit the functional relationship between the
irregularity of the longitudinal level and passing tonnage. The linear fit equations
are obtained from standard deviations of inspected track level data at 200
intervals. The change curve of the irregularity of the longitudinal level is divided
into several stages and these different stages are fitted with different linear
regression equations. A multi-stage broken line is thus formed to approximate
the pattern of changes in the irregularity of the longitudinal level. On this basis,
the authors put forward a multi-stage linear prediction model for the irregularity
of the longitudinal level. Finally, we use inspected data collected from the
Beijing-Jiulong Railway Line in 2008 and 2009 to make predictions and validate
the model.
doi:10.2495/CR100591

Keywords: track, irregularity of longitudinal level, linear prediction model.
1 Introduction
Irregularity of the longitudinal level is a measure of railway track irregularity
along the longitudinal direction [1]. With the fast construction of high-speed
railways, the dynamic irregularity of longitudinal level research has attracted
wide attention from researchers. When high-speed trains run on a railway line
with a longitudinal level irregularity hazard, increased impact power will speed
up ballast bed deformation, which in turn accentuates track irregularity and
intensifies locomotive destruction to the railway track, thus forming a vicious
cycle [2]. Research on the pattern of track longitudinal level irregularity changes
can therefore help the railway maintenance department to formulate relevant line
maintenance plans.
Iyengar and Jaiswal [3] have adopted the random process theory to analyze
inspected track data from two railway lines in India and concluded that
irregularity of the longitudinal level may be modelled as a stationary Gaussian
random process. Alfelor et al. [4] have fitted linear equations to the loaded and
unloaded gauge data measured by the Gauge Restraint Measurement System
(GRMS) and used these equations to describe the relationship between the gauge
and each of the several factors affecting it. Hyslip [5] has conducted fractal
analysis of track geometry data and developed numerical indices for assessing
track condition. Kawaguchi et al. [6] at the Railway Technical Research Institute
in Japan have respectively developed degradation models that use standard
deviations of track irregularities to predict the standard deviations of both track
alignment and surface over 100m track sections. Chen [7] at the China Academy
of Railway Sciences has developed an integrated factor method that uses TGCgenerated track waveform data to predict track irregularities at a single mileage
point. Railway experts in Canada have developed a linear prediction model with
TQI as the index. Xu [1, 8] in China has developed a linear fitting model to
predict TQI and a characteristic matrix method-based model to predict the
irregularity of longitudinal level. To make more accurate predictions for the
irregularity of longitudinal level changes on railway lines in China, the present
authors conduct their research on the following two aspects:
(1) Changes in the irregularity of the track are related to track condition,
operational conditions and various other factors. Based on the prediction models
in Xu [1, 8], this paper puts forward a new prediction model for the irregularity
of the longitudinal level. Between two adjacent maintenances, irregularity of the
longitudinal level is mainly affected by train operation conditions, railway track
structure and environmental changes. However, for a specific unit section where
other factors are relatively fixed, passing tonnage exerts the most significant
influence on the irregularity of longitudinal level. We therefore focus our
research on such an impact so as to unravel the relationship between passing
tonnage and local irregularity of the longitudinal level and predict track
longitudinal level changes on unit railway sections.
643
(2) Between two adjacent maintenances, the irregularity of the longitudinal

level on a specific unit railway section shows a pattern of multi-stage changes. In
other words, as passing tonnage increases, the irregularity of the longitudinal
level deterioration rate varies from one period to another within a cycle [9].
Based on the management values as specified in Chinas Railway Line
Maintenance Regulations [10], we divide the irregularity of the longitudinal
level deterioration process into different stages and establish a multi-stage
prediction model.
2 Model building
2.1 Characteristics of track longitudinal level irregularity changes
Minor changes in track irregularity directly affect the operational safety of highspeed railways. Track irregularity is measured by eight indicators, namely gauge,
and surface, left alignment, right alignment, left level, right level, twist and TQI
(Track Quality Index). Track irregularity changes have been shown to exhibit
three major characteristics [9]: periodicity, multi-stage and exponentiality.
Periodicity means that the irregularity of longitudinal level change patterns over
the same unit track section are similar between two adjacent track maintenances.
Fig. 1 shows the change trend diagram of the TQI between two adjacent
maintenances observed on the Beijing-Jiulong Railway Line at
K473+000~K473+200 during a spell of two years. Given such periodic changes,
the authors define the period between two track maintenances as the time period
for studying changes in track longitudinal level irregularity.
Multi-stage and exponential changes refer to that within one change cycle
track irregularity deterioration rate varies from beginning to end and goes faster
as passing tonnage increases (see Fig. 2). On Fig. 2, TLD, i.e. the Y-axis is the
standard deviation of the inspection data of track longitudinal level irregularity.
Given such multi-stage and exponential changes, we divide one irregularity of
Figure 1:
Schematic diagram of periodic changes of TQI on the BeijingJiulong railway line at K473+000~K473+200.

longitudinal level change cycle into several stages and then use different linear
equations to fit each stage. This way, a broken line of track longitudinal level
irregularity changes is obtained and a Multi-stage Linear Prediction Model
(MLPM) is established is to predict the irregularity of longitudinal level changes
over a unit railway section.
2.2 Data sources
GJ-4 Track Geometry Car (TGC) is the most commonly used track inspection
car in China. It is a strap down measuring system and adopts contactless and
gyroscopic measurement technologies. Through its built-in software, GJ-4 TGC
can sample and process track geometry data real time, performs automatic data
modification, filtering and geometrical parameter synthesis, and display
waveform data on a computer screen. Table 1 shows GJ-4 TGCs inspection
items and their measurement accuracy.
GJ-4 TGC generates waveform data, off-limit data and TQI data. Among
them, the TQI data, which include track longitudinal level data (i.e. TLD data),
consists of the following fields: line name, direction, kilometre, metre, length,
inspection speed, line form, eight geometric parameters and date of inspection.
The maintenance department uses these data to formulate a maintenance
operation plan [11]. In this paper, GJ-4 TGC-generated TLD and passing
tonnage data from the Beijing-Jiulong Railway Line at K373+000~K649+000 in
2008 and 2009 were adopted. This railway line section is under the
administration of the Jinan Railway Bureau.
TLD is calculated using eqn. (1):
TLD
Figure 2:
2
1 n 2
( xi x i )
n i 1
(1)
Multi-stage and exponential changes of track longitudinal level

irregularity
on
the
Beijing-Jiulong
railway
line
at
K541+400~K541+600 (one track longitudinal level irregularity
change cycle is divided into two stages: Stage I and Stage II).
Table 1:
645
Track geometrical parameters measured by GJ-4 and their

accuracy.
Item
Measuring Range
Accuracy
Distance
0~2999.9Km
1
Speed
0~160Km/h
0.2Km/h
Gauge
1415~1480mm
0.8mm
Curvature
230/30m
0.050/30m
Level and off-limit
200mm
1.0mm
Surface
60mm
1.0mm
Alignment
100mm
1.5mm
Twist
100mm
1.0mm
Train bodys
0.1 m/s2
9.8m/s2
vibration
acceleration
Axle boxs vibration
980m/s2
9.8m/s2
acceleration
Note: In China, a chord length of 20m is adopted for surface and alignment
measurements.
Table 2:
Various management values for trunk lines at <160Km/h.
Item
Gauge
Level
Twist
Surface
Value
1.6
1.9
2.1
2.2*2
Longitudinal
Level
2.5*2
TQI
15.0
wherein: xi is the randomly sampled level value of Sampling Point i on the unit
track section;
xi
is the arithmetic mean of xi; and

n is the sample size. 4 points are sampled every metre and the total sample
size for 200m is: n=4*200=800.
2.3 Establishment of model
Division of TLD changes into different stages: It is specified in [11] that for trunk
railway lines with a running speed of <160km/h, a TQI value of <15.0 would be
considered as indicating a balanced quality state, while a TQI value of > 15.0 as
suggesting the need to include the concerned lines into the maintenance plan. For
such lines, the TLD management value is set to 2.5 (see Table 2) [11]. Four
dynamic management levels are divided (see Table 3) [10]. These four levels are
respectively Level I, the maintenance level; Level II, the train comfort level,
Level III, the temporary repair level; and Level IV, the speed capping level.
Based on Table 3, TLD is divided into three stages, as shown in Table 4.

Table 3:
Dynamic track management value levels.
Item
Track longitudinal
level irregularity (mm)
Table 4:
Item
TLD
Level I
6
Level II
10
Level III
15
Level IV
20
Division of TLD stages.

Stage 1
0~2.5
Stage 2
2.5~3.0
Stage 3
>3.0
Multi-stage linear fit of TLD: With reference to the different stages in Table 4,
different linear equations are fitted to TLD changes in each stage by the least
square method. Let (n), i.e. TLD= {(n) |n=1, 2, 3}, be the series of the TGCgenerated irregularity of longitudinal level data of the chosen unit track section.
Corresponding to the three stages in Table 4, (n) is split into three stages, as
expressed in eqn. (2):
(2)
(n) ={T0i, T1j, T2k}
where i=1, 2, 3, , j=1, 2, 3, ,k=1, 2, 3, . , T0i is the inspection data of
Stage 1. T1j is the inspection data of Stage 2 and T2k is the inspection data of
Stage 3.
For each stage, TLD is calculated using eqn. (3):
(3)
T n = an + bn * Tn
where n=1, 2, 3... bn is the slope of Line n, an is the intercept of Line n, and Tn is
the total passing tonnage from last maintenance to the present day. Both bn and an
are calculated by the least square method.
Using eqn. (2) and eqn. (3), an MLPM is established. We use the track
inspection data of 2008 and 2009 from the Jinan Railway Bureau to validate the
model.
3 Model validation
We have developed a computer program for the MLPM, and use it to process the
inspection data from the K373+000~K649+000 section which totally 184
kilometres on the Beijing-Jiulong Railway Line.
For the K373+000~K649+000 sections, 10 predictions are made, with stage,
starting date, predicted date and number of days from the predicted date as the
input parameters. For the predictions, the average absolute error is 0.09, and the
average relative error is 6.44%. Figs. 3-6 show the typically predicted results for
September 9, 2009. The waveforms compare the inspected data (grey waveform)
with the predicted data (black waveform), with the X-axis as mileage and the Yaxis the TLD value.
Due to limited space, we only use the K496+000~K496+200 unit section as
an example to validate the model.
647
Figure 3:
The September 9, 2009 waveform for the K491+200~K512+800.
Figure 4:
Figure 5:
Figure 6:

3.1 Model validation with the K496+000 to K496+200 unit section
This selected section runs from K496+000 to K496+200, with a total length of
200m. Table 5 lists some of the passing tonnage data, while Table 6 shows the
inspected data of TLD collected in 2008 and 2009.
The inspected data of this section before 2008 are between 0 and 3.0.
According to Table 4, Stages I and II are chosen to make linear fits and establish
the MLPM for this section, which is shown in eqn. (4).
2 10 8 T0 n 2 . 220 , ( 74558 . 4 T0 n 10471981 )

1 10 7 T1 n 1 . 875 , (10471981 T1 n 12584155 )
(4)
wherein: T0n and T1n are respectively the accumulative passing tonnage from the
inspection date of January 9 2008 in Stage 1 and 2. The linear fitting coefficient
R2 is 0.389 for Stage 1 and 0.53 for Stage 2, while the multiple correlation
coefficients R are 0.6236 and 0.7280, respectively.
3.2 Results analysis
Eqn. (4) is used to predict for the data in Table 6. The predicted results and data
analysis are shown in Table 7.
Table 5:
Table 6:
Passing tonnages through the K496+000~K496+200 section.

Date of
Inspection
Passing
Tonnage
(ton)
Date of
Inspection
Passing
Tonnage
(ton)
20080109
20080305
20080407
20080507
20080521
74558.4
2378465
4763551.2
6941135.2
8051939.8
20080625
20080709
20080808
20080820
20080909
9826317
10471981
11741065
12027468
12584155
Inspected data from the K496+000~K496+200 section.

Date
of Inspection
20080109
20080305
20080407
20080507
20080521
TLD
2.231
2.206
2.299
2.495
2.316
Date
of Inspection
20080625
20080709
20080808
20080820
20080909
TLD
2.336
2.924
3.001
2.935
3.182
Table 7:
649
Absolute and relative errors of predicted TLD.
Date
of Inspection
20080109
20080305
20080407
20080507
20080521
20080625
20080709
20080808
20080820
20080909
Predicted
TLD
2.221
2.268
2.315
2.358
2.381
2.417
2.922
3.049
3.077
3.133
Absolute
Error
0.01
0.062
0.016
0.137
0.065
0.081
0.002
0.048
0.142
0.049
Relative Error
(%)
0.45
2.81
0.70
5.49
2.81
3.47
0.07
1.60
4.84
1.54
The absolute error is between 0.002 and 0.142, while the minimum relative
error is 0.07% and the maximum is 5.49%. The predicted results thus well
approximate to the inspected data.
4 Conclusions
(1) Massive TLD data and passing tonnage data from the Beijing-Jiulong
Railway Line are analyzed in this paper. It is contended that total passing
tonnage should be considered as the main influential factor when predictions are
made irregularity of longitudinal level changes over a specific unit track section.
Given that irregularity of longitudinal level possess multi-stage linear changes,
the authors have developed a multi-stage linear prediction model to make
predictions and provide technical support to the railway maintenance department.
(2) With reference to [10] and [11], the authors have divided into 3 stages
track longitudinal level irregularity changes over the K373+000~K649+000
section of the Beijing-Jiulong Railway Line .
(3) Model validation with inspected data show that the MLPM which we have
developed can make fairly accurate predictions for track longitudinal level
irregularity, with an absolute error between 0.002 and 0.142 for a chosen section
in the Beijing-Jiulong Railway Line.
Acknowledgements
The current research would not have been possible without the comprehensive
technical support from the Railway Engineering Institute of the Jinan Railway
Bureau. The authors deeply acknowledge and appreciate their continuous
support. Meanwhile, this research project is sponsored by the National Key

Technology Research and Development Program in China, under Project
Number 2009BAG12A10.
References
[1] Xu, Y., Forecast Methods of Track Longitudinal Level Irregularity. Journal
of Tonji University (Natural Science), 31(3), pp. 291 -295, 2003.
[2] General editorial committee of China railway encyclopaedia, China
Railway EncyclopaediaVolume on Engineering & Railway Maintenance,
China Railway Publishing House, pp. 153-154, 2004.
[3] Iyengar, R.N. & Jaiswal, O.R., Random Field Modelling of Railway Track
Irregularities. Journal of Transportation Engineering, 121(4), pp. 304-308,
1995.
[4] Alfelor, R.M., Carr, G.A. & Fateh, M., Track Degradation Assessment
Using Gage Restraint Measurements. Transportation Research Record,
(1742), pp. 68-77, 2001.
[5] Hyslip, J.P., Fractal Analysis of Geometry Data. Transportation Research
Record, (1785), pp. 50 - 57, 2002.
[6] Kawaguchi, A., Miwa, M. & Terada, K., Actual Data Analysis of
Alignment Irregularity Growth and its Prediction Model. Quarterly Report
of RTRI, 46 (4), pp. 262 - 268, 2005.
[7] Chen, X., Integrating Factor Method for Predicting the Developing Trend
of Railway Track Irregularity, China Railway Science, 27(6), pp. 27-31,
2006.
[8] Xu, Y., Analysis of Development of Track Irregularities with Linear
Forecast Model. Journal of Shijiazhuang Railway Institute, 18(1), pp. 6-9,
2005.
[9] Xu, P., Research on Characteristics of Track Dynamic Irregularity
Variations on Railway Lines (Master dissertation). Beijing Jiaotong
University, pp. 1-32, 2009.
[10] Ministry of railway of the People's Republic of China, Railway Line
Maintenance Regulations, China Railway Publishing House, pp. 93-94,
2008.
[11] Ministry of Railway of the People's Republic of China, Explanatory Notes
on Articles of Railway Line Maintenance Regulations, China Railway
Publishing House, pp. 203-206, 2008.
651
Systematic analyses of train run deviations

from the timetable
T. Richter
Operations Quality and Monitoring, Rail Net Denmark, Denmark
Abstract
On Rail Net Denmarks network, a Delay Report is created if a train is delayed
more than 4 minutes and 59 seconds. All delayed trains are attached to a Delay
Report describing the cause and consequences of the incident. The Punctuality
Reporting System focuses on the causes of initial delays and much effort is spent
analysing those. However, until now, much less effort has been spent on
systematically analysing the train running themselves, extracting information on
where in the network trains are delayed and which trains are delayed. After a
description of the present delay follow-up system and its systemic weakness
(section 3 and section 4), a toolbox of analytical methods developed to deal with
this weakness is presented. The methods use a percentile approach aggregating
either deviation from the timetable at measuring points or difference in deviation
between measuring points. The aim is to identify the measuring points where the
largest delays occur for individual trains and train systems so that the parties
responsible can act. After a description of the methods (section 5), examples of
the new types of analysis are demonstrated (section 6), e.g. identification of local
speed restrictions which influence the punctuality, the worst performing trains
and reasons for their delays. It is thus shown how new information can be
extracted from the train run history. The percentile approach is orthogonal to the
classical analysis of cause of delay above a threshold and should not be regarded
as a substitute but as a valuable supplement. One of the reasons for the
successful implementation is a general shift in the corporate mindset within Rail
Net Denmark towards a higher KPI focus.
Keywords: railway operations, systematic follow-up, delay, punctuality, service
quality, robustness, realised operations, organisational implementation.
doi:10.2495/CR100601
1 Introduction
The results of measurements depend on how the measuring is carried out as well
as on how data is aggregated. Traditionally, all analysis of train delays within the
Danish railway sector has been based on the notion of affected train, which are
trains delayed more than 4 minutes and 59 seconds or cancelled. This is the
method recommended by UIC [1]. Within this definition, a train is either
affected or it is punctual. Thus lots of information about delays smaller than the
threshold of affected trains has not been systematically analysed - until now.
2 Operation of Rail Net Denmark in brief

As in many other EU countries the railway sector in Denmark has been divided
into separate Infrastructure Managers (IM) and Railway Undertakings (RU). Rail
Net Denmark is the main IM in Denmark and five major passenger RU operate
on the network of Rail Net Denmark. Passenger transport is far more important
than freight transport in Denmark, which is limited to three major freight RU
operating mostly transit trains between Sweden and the European continent.
Figure 1:
Capacity consumption in Denmark in 2008 [2] and in Europe [3].
653
The length of Rail Net Denmarks network is 2,220 km of which 45% are
double or quadruple track. On the mainline network, approximately 1,400 trains
are operated daily of which approximately 70 are freight trains. The length of the
Copenhagen suburban railway network is 169 km and approximately 1,100 trains
are operated daily on this network [4].
The network of Rail Net Denmark is one of the most densely used in Europe
following Switzerland and the Netherlands (cf. figure 1). Using the definitions of
UIC leaflet 406 [5] in Figure 1, the capacity consumption is at the limit or near
the limit on parts of the network. Such intense usage of a railway network makes
it prone to delays and initial delays may very well cause consecutive delays. This
also raises the risk that minor timetabling faults or local temporary infrastructure
shortcomings have larger consequences. Thus detailed and advanced analysis of
train delays are important in order to achieve a reasonable punctuality.
3 Available data: how delays are measured

The backbone of the Punctuality Reporting System of Rail Net Denmark is train
position data from the digital Traffic Management Systems (TMS), which cover
70% of the length of the network. The data collected are arrival times to and
departures time from measuring points, which are stations and halts. The arrival
time is defined as the time when the platform track circuit is occupied and
departure time is defined as the time when the next main track circuit is
occupied. On the parts of the network where older and less capable TMS are
used, arrival and departure times are entered manually and only for the main
stations. Approximately 330 measuring points exist of which 166 automatically
collect data from the TMS. Based on this information as well as the timetable,
RDS creates a train run history (Table 1).
Table 1:
Train run history.
If trains are delayed by more than 4 minutes and 59 seconds at a measuring

point (2 minutes 29 seconds on the Copenhagen Suburban network) the
dispatcher creates a Delay Report in the Punctuality Reporting System
describing the delay in details (Figure 2). All trains delayed or cancelled because

of the incident are then attached to the report, both those initially delayed and
those consecutively delayed. This process is done manually and relies on the
skill and experience of the dispatchers. The trains attached to a report are
described as affected trains.
The Delay Reports are coded similar to the UIC leaflet 450-2 [1] and the
Delay Reports also receive a responsible party, which is the party that could have
prevented the error. Within Rail Net Denmark, the delay code structure is such
that a Delay Report unambiguously can be linked to a business unit.
Time of incident
Incident id
Headline
Station
Cause (code)
Train no
Rolling stock no.
Party responsible
Start time of recovery
In-depth
description
and follow up
Corrective
Maintenance:
Dispatched
Arrived
Figure 2:
Fault corrected
Classification of fault
Delay report.
4 Classical threshold approach to delays analysis

The primary Key Performance Indicator (KPI) for punctuality within the Danish
railway sector is affected trains. Since a responsible party for all affected delays
can be indentified through the Delay Reports, a complete KPI system is formed
on this basis [6]. Each year, targets for the number of affected trains that Rail Net
Denmark is permitted to delay are defined by the Ministry of Transport.
Internally in Rail Net Denmark, these targets are broken down into a Punctuality
Budget which describes how many trains may be affected by each business unit.
This method has been used for many years, has gradually been perfected and
is considered well implemented and well functioning. With some RUs similar
targets have been defined including bonus-malus schemes.
655
Although the system based on affected train is successful, it has some

disadvantages:
If a train has been gradually delayed, it is attached to the Delays Report
describing the cause of and the circumstances surrounding the largest of the
delays. Information about the smaller delays is thus lost.
Minor delays, that never pass the 4 minutes 59 seconds threshold, will go
unnoticed using the method of affected trains.
The focus of the Delay Reports is on where the initial delay occurred and its
root causes. There is no focus on where the consecutive delay occurred.
Thus, systemic minor delays with common causes may never be examined,
just as the vulnerability of parts of the timetable may never be exposed since
there may be many different reasons for the initial delay. Lowering the threshold
for Delay Reports will not solve these problems. This will lower the
consequences, but require an unrealistic amount of manpower from the
dispatchers as well as they may have difficulties determining the actual causes of
smaller delays.
Alternative methods such as delay minutes are not used since sufficient
detailed passage times can only be obtained from parts of the network.
Furthermore, cause of delay is only given to delays of more than 4 minutes and
59 seconds (2 minutes and 29 seconds on the Copenhagen Suburban network).
5 New percentile approach

To harvest the information about delays that the classical threshold method
leaves out, a percentile approach is used on the train run history. For all trains or
groups of trains, percentiles of the timetable deviations are calculated for all
measuring points over a given period of time (example in Table 2).
Alternatively, percentiles are calculated on the timetable deviations between two
measuring points (example in Table 3).
The distribution function for delays of specific train number is given by
F(x r,n) = pr,n
(1)
where r is the measuring point, n the train number

The corresponding p-percentile function is
F-1(p r,n) = xr,n
(2)
The distribution function on group of train numbers is given by

F(x r,ngrp) = pr,ngrp
(3)
where r is the measure point , ngrp the group of trains

The corresponding p-percentile function is
F-1(p r,ngrp) = xr,ngrp
(4)
Since eqn. (1) only calculates the deviation for a specific train at a specific
measuring point over time, input equals output if the function is only run with

dataset of one day. A consequence of additional data on which the percentile in
eqn. (2) is calculated is that if a single train has a large deviation from the other
or if a large deviation exists between the days, this has a greater impact on the
result in eqn. (1) than in eqn. (2).
Table 2:
Example of meridian on delays at measuring points.
Train type
Train
Station
Measurement
EN
IC
IL
K
K
K
P
P
P
P
482
132
16
1345
1345
1345
2046
2046
2046
2046
KH
KH
KH
KH
KH
S
G
KH
SQ
S
Arrival
Arrival
Departure
Arrival
Departure
Arrival
Departure
Arrival
Arrival
Departure
Table 3:
50%
Percentile
-5 min
1,17 min
-3 min
0,17 min
-0,5 min
0,67 min
-0,33 min
0,5 min
0,33 min
0,67 min
Example of percentiles for deviation between two measuring

points.
Train type
IC
Measurement
SG - SG: station
L
IC
L
IC
FJ - SO: line
RG - KY: line
SNO - MD: line
SPR - K: line
50%
0,67
min
1
-1
-0,83
-1
70%
0,83
min
1
-0,83
-0,83
-0,84
Percentile
80%
1
min
1,17
-0,67
-0,5
-0,83
90%
1,17
min
1,17
-0,5
0,17
-0,5
95%
1,66
min
1,34
-0,17
1,33
-0,16
Different percentiles have been used and although all contribute with relevant
information, two have proven to be more useful than others: the 50% percentiles,
since this is the meridian and the 90% percentile since this is the percentile
where the poorly performing trains tend to emerge. Comparing the 90%
percentile with the 50% percentile gives an indication of how much worse the
poorly performing trains run.
For the reportings to yield meaningful data, no significant changes may have
occurred to the timetable during the period of time examined. Thus the longest
period it is possible to examine is the duration of the timetable. If the period
examined is too long, issues that have been solved or become irrelevant may still
be represented in the data and thus divert focus from present issues. If the period
is too short, single events may have too much influence on the result. A
guesstimate for the minimum period is a month depending on the number of
trains examined and the aim of the analysis. For the majority of the reportings
implemented, the optimal time period of evaluation is judged to be one month
due to the operational environment that they are being used in.
The percentile approach requires accurate passage times with a high
resolution at many measuring points. For many usages, the percentile approach is
657
thus only applicable on the parts of the network with automatic collection
passage times.
6 Reportings and results

Based on the percentile approach, a number of reportings have been developed.
They are all based on aggregation of the percentile values using common
averages. Common to all these reporting is that they highlight areas which
should be analysed in depth by other means before corrective actions can be
taken. In many cases, the issues found are well known problems for which no
easy solutions are available. The reportings do however quantify the operational
impact of the issues found in relation to each other.
6.1 Worst performing trains
The best implemented reporting is the list of Worst Performing Trains (Table 4).
In this reporting, trains are sorted after their worst meridian for measuring points.
Since neighbouring measuring points also tend to have similar values, the 10
worst measuring points are listed in descending order. Only trains where the
meridian for the worst measuring point shows a delay of more than 4 minutes
and 59 seconds are included. Since the threshold for Delay Reports also is 4
minutes and 59 seconds, it is thus possible to find the reasons for most delays
through the Delay Reports. The typical period of time examined is a month and
only trains which have been operating on minimum 50% of the days during the
period are included.
Table 4:
Worst performing trains.
NR TRAIN
TYPE
TOP_01
TOP_02
TOP_03
TOP_04
TOP_05
RESPONSIBILITYLASTDELAYREPORT
1
2
3
4
5
6
7
8
9
10
11
12
13
14
15
16
17
18
19
20
21
22
23
24
25
26
27
28
HG
HG
GD
GD
GD
GD
GD
GD
GD
GX
EN
GD
GD
GD
GD
G
IE
GD
GK
GD
GD
IC
G
M
G
R
IE
R
REG:178,17
PHMG:119,33
VKG:91
TRKG:73,33
CPHG:72,5
TEG:64,33
VKI:61,83
VKG:41,5
RQG:35
PAI:30
KAG:27
PAU:27
FJG:25
PHMG:20,83
TTG:20,33
BOG:14,67
RFI:12
MVG:11,5
PAI:11
VKG:10,33
TEG:9,33
KNU:9,17
HTI:8,83
CPHI:8,5
FAU:8
KNU:8
OJG:7,5
KNU:7,5
KLVG:177,67
TRKG:110,83
PAI:90
ROG:72,17
VMG:67,83
OJG:64
VKU:60,5
PAI:40
TEG:33,67
SOG:6
EBI:26
TEI:19
SOG:24,67
CPHI:19,67
KLVG:20
SOG:14,33
RFU:10
UVG:10,83
RQG:2,83
OJG:10
VKI:8,5
KHI:9
GLI:6
TTG:7,5
BKG:3,33
KNI:7,33
TEG:6,83
KKI:6,67
HTI:166
HHG:110,17
OJG:79,33
HHG:71,67
FZG:67,5
RQG:63,83
OJG:60,33
TEG:39,5
VKG:33,5
RGI:6
MDG:26
OJG:17,33
RGG:24
TTG:18,83
CPHI:19,67
KYG:14,33
NFI:8
JUG:10,33
TLI:2
TEG:10
VKU:6,83
KNI:8,17
TRKG:5,33
KLVG:6,83
BETG:,83
KKI:7
VKI:6,33
KHI:6,5
HIFG:160
CPHG:110,17
TEG:78,83
BOG:71,5
LKG:67
SSTG:63
TEG:60
KG:39,17
PAI:32
FJG:5,5
KDI:25,5
RQG:16,33
SGG:23,83
KLVG:17,83
IGG:19
VYG:14
TRKG:3,17
NGI:10
KDG:2
RQG:9,83
PAI:6
KHU:8
ROG:4
KHU:6
VJI:,17
HGLI:5,5
SSTG:6,17
KHU:6,5
GLG:160
ROG:110
FZG:78,83
VYG:71,33
KDG:66,17
VKI:62,5
SSTG:60
RQG:38,5
SNOG:30,5
SGG:5
KDU:24,33
SSTG:16
FOG:23
IGG:15,17
TRKG:18,83
RGG:14
NFU:3
ODG:10
VMG:2
SSTG:9,33
SSTG:5
KKI:8
RGU:4
Ekstern:16
Ekstern:12|HECTORRAIL,Hectorrail:3
Ekstern:16|RAILION,Railion:4
Ekstern:13|RAILION,Railion:4|BANE,Proje
Ekstern:10|RAILION,Railion:2|BANE,Sikrin
Ekstern:18|RAILION,Railion:4|BANE,Proje
Ekstern:10|BANE,Sikring:1|RAILION,Railio
Ekstern:11|RAILION,Railion:4|DSB,Passag
Ekstern:13|RAILION,Railion:3|BANE,Fjern
Ekstern:12|RAILION,Railion:1
Ekstern:19|DSB,Drift:1|RAILION,Railion:1
Ekstern:9|BANE,Projekt:6|RAILION,Railio
Ekstern:15|RAILION,Railion:2|BANE,Spor
Ekstern:12|RAILION,Railion:5|BANE,Sikrin
Ekstern:9|RAILION,Railion:4|BANE,Projek
RAILION,Railion:10|DSB,Ffst:2|BANEP,T
Ekstern:18|DSB,Ffst:1|DSB,Togst:1
Ekstern:7|RAILION,Railion:3|BANE,Projek
Ekstern:10
Ekstern:6|BANE,Projekt:5|RAILION,Railio
Ekstern:5|RAILION,Railion:5|BANE,Sikring
DSB,Passager:4|Ekstern:4|BANE,Sikring:3
RAILION,Railion:10|BANE,Sikring:2|CFLC
DSB,Togst:4|BANE,Spor:2|Ekstern:2|
RAILION,Railion:13
DSB,Togst:3|Ekstern:3|BANE,Sikring:2
DSB,Passager:4|DSB,Togst:4|BANE,Sik
DSB,LokVogne:4|Ekstern:4|BANE,Spor:3
42703
38802
44735
42738
44748
44721
42737
42735
44709
46256
482
44731
44707
44722
44732
9229
33
44718
40008
38851
44737
910
9424
60044
7515
1516
381
2218
HRI:0
KKU:5,5
RQG:5,33
KNI:6,33

Since the summer of 2009, the reporting of the Worst Performing Trains has
been carried out on a monthly basis. The reporting is distributed internally to the
timetabling section, amongst management and externally to RUs with the
expectation that all parties attempt to locate the root causes for the delays and act
accordingly. The list of Worst Performing Train plugs the gap in the Plan Do
Check Act circle. Until this reporting was implemented, there was no formal
systematic feedback loop in the timetabling process [7].
The initial experience is that in most cases, the list reveals no major surprises.
There are in most cases well know explanations for why trains are on the list.
These may be that the trains are freight trains (different nature of operation),
running during the night and technically delayed by planned system possessions
(Rail Net Denmark uses system possessions on the busiest part of the network)
or trains arriving late to the Danish Railway Network from abroad.
Even if there are well-known reasons that are difficult to resolve for the trains
being on the list, the list of Worst Performing Train quantifies the performance
of each train in relation to the other trains as well as in absolute terms. E.g. on
one railway line the 2010 timetable works much better than the 2009 timetable in
terms of systematic delays. This manifests itself by noticeably fewer trains from
that line being on the list in 2010 compared to in 2009.
Even though the list of Worst Performing Trains has been generally accepted,
the implementation and use still merits more analysis and actions. Or as the head
of the timetabling section concluded: The list of Worst Performing Trains
contains lots of yet unharvested information.
6.2 Loss of time on open line
The Loss of Time on Open Line method (Figure 3) is also a well implemented
reporting. Here different percentiles for loss or gain of time on open line are
calculated for a group of trains over a period of time.
Typically the 50%, 70%, 80%, 90% and 95% percentiles are calculated. The
50% percentile in Loss of Time on Open Line reporting is generally either due to
local speed restrictions or technical properties of the measuring points (halts)
while the 90% percentile is where poorly running trains typically begin to create
delay-peaks. Peaks at lower percentiles indicate factors which are common for
all trains, e.g. local speed restrictions whereas peaks at higher percentiles
indicate factors which can be isolated to one or a few trains e.g. timetable
conflicts or train traction power problems.
On top-managerial levels, this reporting has been used to focus the attention
on the reason behind delay or as a senior Rail Net Denmark manager once
concluded if the 50% best running trains can keep the schedule, the problem
cannot be the infrastructure. The Loss of Time on Open Line reporting is used
ad hoc when in-depth analysis is need of lines.
The overall development in the performance of products on a line can be
illustrated calculating the average loss of time between measurement points for
the different percentiles over a given period of time (Figure 4). Such an
aggregation will only reveal information on a much aggregated level, which
allows general trends to emerge.
659
Kbenhavn rhus
July2009 50%percentileforlossoftimeonopenline
1,5
Local speed
restiction
1
Local speed
restiction
Offset inregistration
points(halt)
Offset inregistration
points(halt)
0,5
Local speed
restiction
0,5
KH VAL
VAL HIF
HIF GL
GL HT
HT HH
HH TRK
TRK RO
RO VY
VY BO
BO KY
KY RG
RG FJ
FJ SO
SO SG
SG FO
FO K
K SPR
SPR NG
NG JU
JU UV
UV MV
MV OD
OD HP
HP TP
TP BD
BD AP
AP GD
GD EB
EB NA
NA KA
KA MD
MD SNO
SNO FA
FA BK
BK BET
BET VJ
VJ SD
SD AR
Averagedeviationsforschedualedrunningtime(min)
Timeloss
1,5
Timegain
Figure 3:
Example of loss of time on open line.
Averagelossoftimeforpercentile(allepointsofmeasure(min)
DistributionofpercentileforlossoftimeonopenlineKHAR
FasttrainstowardsKbenhavn
1,6
1,4
1,2
1,0
Reducedtractionduetoleaffall
0,8
Reducedtraction
poweron trainsets
Percentile
95%
90%
80%
0,6
70%
0,4
50%
Trend(95%)
0,2
Trend(50%)
0,0
0,2
Manylocalspeedrestrictions
0,4
Jan. Feb. Mar. Apr. May Jun. Jul. Aug. Sep. Oct. Nov. Dec. Jan. Feb.
2009 2009 2009 2009 2009 2009 2009 2009 2009 2009 2009 2009 2010 2010
Figure 4:
Development in percentile for loss of time on open line.
An aggregated reporting can also be used to evaluate the difference in

performance between different train products. The timetable for the rush hour
train in Figure 5 is very ambitious which clearly shows.

Percentiledistributionoftrainrunsonopenlineforrushhourtrains
andstoptrainsonlinesegmentKHNIonweekdays
100%
90%
80%
Stoptrains,>South
70%
Stoptrains,>North
Therushhour supplementary
trainshaveaclearlyworse
performance thanthenormal
trainsoperating duringrushhour.
60%
Rushhourtrains,>South
Rushhourtrains,>North
50%
Timegain
1,5
Timeloss
40%
1
0,5
0,5
1,5
Averageofpercentilevalue (min)
Figure 5:
Comparison between train products.
6.3 Realised timetable

The newest reporting is the Realised Timetable reporting. In this reporting, the
meridian of the timetable deviation at a number of measure points for trains is
plotted for each train as a realised timetable.
Table 5:
Realised timetable.
MedrianforschedualdeviationforpassagetimesduringMarch2010,weekdays.
Station > HT
Scheduale
Dep HT Headway Train
Arrival
08:43:00
2512
1,0
Dep
-0,7
GL
HIF
VAL
Pass
Pass Arrival
0,2
0,0
-0,3
Dep
-2,0
KH
Arrival
-2,0
Dep
-1,8
KN
Arrival
-1,8
Dep
-2,8
KK
Arrival
-2,0
-1,0
-1,0
-2,3
-1,7
-3,0
-3,5
-4,5
-4,8
-2,2
-2,5
-2,0
-4,0
-2,7
-3,7
-4,0
-0,5
-2,2
-4,7
-2,3
-5,5
-3,3
-6,0
-2,3
-4,0
-2,5
-3,8
-3,7
-3,2
-3,3
-1,7
-3,5
-1,7
-3,0
-3,0
-4,2
-2,7
-3,5
-3,0
0,5
-6,8
-3,0
-3,0
-3,3
-6,0
-1,5
-2,0
-5,2
-9,0
-4,2
-5,2
-3,0
-8,0
-3,5
-5,0
-2,0
-8,2
-3,3
-7,3
-3,0
-9,2
-4,0
-8,0
-3,0
-8,0
-3,2
-7,0
-0,2
-1,0
-1,8
-4,0
-2,3
-3,2
-0,2
-3,0
-1,3
-4,0
-2,2
-3,7
-1,2
-6,2
-6,5
-3,0
-3,7
-3,7
-3,2
-3,8
-2,8
-4,0
-0,8
-3,7
-4,5
1,8
-3,0
-6,0
1,0
-1,7
-7,0
0,3
-2,7
-6,5
0,8
-1,5
08:48:00
08:50:00
5 min
2 min
1512
4210
-0,2
-0,2
-1,0
-0,8
-0,2
0,0
0,3
0,3
08:53:00
08:58:00
09:00:00
09:06:00
3
5
2
6
44718
8114
4112
108
-2,3
-2,5
-2,2
-1,2
-1,0
-4,0
-2,3
-2,3
0,7
-2,5
-1,7
-1,5
1,3
-2,3
-2,0
-1,5
09:10:00
09:13:00
09:17:00
4 min
3 min
4 min
10
4514
8214
-2,2
-0,7
-2,7
-3,5
-2,2
-3,3
-2,5
-1,5
-2,7
-2,2
-1,5
-3,0
09:23:00
09:28:00
6 min
5 min
8314
16
-3,7
-1,7
-3,8
-0,5
-4,3
0,2
09:30:00
09:35:00
09:43:00
09:48:00
2
5
8
5
min
min
min
min
4114
910
2516
1516
-2,7
-2,7
1,2
-0,3
-3,0
-3,7
-1,0
-1,5
-2,2
-3,0
-0,3
-0,5
-2,7
-3,5
-0,2
-0,3
09:58:00
10:00:00
10 min
2 min
1218
4116
0,0
-0,8
-1,0
-2,0
0,0
-0,7
-0,2
-1,0
10:06:00
10:10:00
10:13:00
6 min
4 min
3 min
114
14
4518
-1,2
0,0
-1,5
-2,3
-1,0
-2,5
-1,3
0,2
-2,0
-3,2
0,5
-1,7
-1,2
-3,2
-3,0
-2,8
10:17:00
10:30:00
10:35:00
4 min
13 min
5 min
2218
4018
812
-3,7
0,2
-0,2
-4,3
-0,7
-1,3
-3,3
0,3
-0,7
-4,0
0,2
-1,5
-3,0
1,0
-0,8
-4,3
-0,5
-2,5
min
min
min
min
0,7
-1,0
-1,0
-2,2
-1,8
-4,7
0,2
661
This reporting is used to do an in depth analysis of a network section. The aim

is to illustrate which trains often run late and whether this causes consecutive
delays to other trains. E.g. in Table 5, train 8114 leaves HT with a delay of 5
minutes or more during more than half the days, which causes consecutive
delays for the next 6 trains. Train 2218 seems also to be performing poorly, but
since there are no trains scheduled to run just after this, this trains does not cause
consecutive delays to other trains. An in-depth analysis of the neighbouring
network sections is to be carried out to determine where in the network the
delays of train 8114 originate.
This reporting is currently being used to analyse the traffic around
Copenhagen where there are problems with consecutive delays due to dense
traffic.
6.4 Perspective and results obtained
The percentile approach has been used for around a year and has yielded new
information in new reportings. The reportings presented in this paper are the
most successful in Rail Net Denmark to date but more will be developed
depending on the demands.
Fundamentally, four different methods can be used when aggregating the data
Isolating the trains or groups of trains
The list of Worst Performing Trains is an example of this (Table 4).
Isolating the geography
The Loss of Time on Open Line is an example of this (Figure 3).
Isolating the time period
Isolating the percentile
The methods may be combined depending on the requirement. The realised
timetable (Table 5) and the two distributions of percentiles (Figures 4 and 5) are
examples of combinations of these different aggregations.
An issue to be investigated is at what percentile, the poorly performing trains
begin to emerge, how constant this value is and what information can be
deducted from these analysis. Presently, it appears that this happens around the
90% percentile. Examination of the distribution of delays versus percentiles
should also be carried out to yield information on what is best practice and
what can be considered as poor performances. An academic vision is to develop
a timetable quality measure describing the trains ability to stay punctual and the
ability to recover after disruptions.
7 Organisational implementation
Though successful, the percentile approach cannot replace the present affected
train KPIs, and should not be considered as a replacement either. The approach is
orthogonal yielding new additional information. The approach is not an
advanced theoretical statistics approach either but a hands-on approach born out
of requirements from an operations environment.

The development and implementation process can be described as a push-pull
approach. Pull because there has been a general company-wide requirement for
more information describing performance shortfalls and push because no-one
had previously requested reportings based on a percentile approach.
The success experienced with the percentile approach is due to more
advanced analysis being able to deliver answers to questions already posed in the
organisation. The success is also due to the top management being very data- and
KPI oriented and thus promoting a corporate mindset welcoming more advanced
reportings.
8 Conclusion
Analysing all timetable deviations with a percentile approach and not only those
above a predefined threshold yields valuable new information. The delay
percentiles can be aggregated on train numbers (or groups of trains), geography
(measuring points), time period, percentile or as a combination. A number of
reportings have been developed helping Rail Net Denmark locate systematic
causes for delays. These can be used to achieve a better punctuality.
The percentile approach is orthogonal to the classical analysis of cause of
delay above a threshold and should not be regarded as a substitute but as a
valuable supplement.
The organisational implementation and acceptance is essential. The success of
the percentile approach is amongst others an emerging need for more advanced
analysis as well as a general shift in the corporate mindset towards a higher KPI
focus.
References
[1] UIC, Assessment of the performance of the network related to rail traffic
operation for the purpose of quality analysis delay coding and delay cause
attribution process (UIC leaflet 450-2), International Union of Railways
(UIC), Paris, France, 2009.
[2] Rail Net Denmark, Network statement 2010, 2009.
[3] Landex, A. Methods to estimate railway capacity and passenger delays,
Ph.D. thesis, DTU Transport 2008.
[4] Homepage of Rail Net Denmark, www.bane.dk, 1/5/2010.
[5] UIC, Capacity (UIC leaflet 406), International Union of Railways (UIC),
Paris, France, 2004.
[6] Richter, T. A better railway through higher delay data quality (En bedre
jernbane gennem hjere datakvalitet), Annual Transport Conference at
Aalborg University 2008. (In Danish).
[7] Schittenhelm, B., Richter, T., Railway Timetabling Based on Systematic
Follow-up on Realized Railway Operations, Annual Transport Conference at
Aalborg University 2009.
663
A novel peak power demand reduction strategy

under a moving block signalling system
Q. Gu, L. Pei, F. Cao & T. Tang
Abstract
The Moving Block Signalling (MBS) system is a system where the tracking
target point of the following train is moving forward with the leading train. In the
MBS system, a dense queue of trains starting (or re-starting) in very close
succession would cause an overload of the substations. The time delay and
acceleration rate limit are introduced in the traditional approaches to solve this
problem. However, such approaches increase the travel time between the
successive stations, and the service quality decreases. In this paper, a novel
approach Service Headway Braking (SHB) is proposed based on some
knowable extra station dwell time. It can efficiently avoid the peak electrical
demand problem without increasing the time delay. The simulation result shows
that, with flexible adjustment of the start (or restart) time and velocity, the
passenger waiting time can be shortened while considering energy saving.
Keywords: peak power demand, moving signalling block system, station time
delay, energy saving.
1 Introduction
Moving-block signalling (MBS) was proposed a few decades ago [1] to reduce
headway among successive trains in a track line. Theoretically, two successive
trains are separated by a distance equivalent before the braking point of the
following train to brake to a complete stop from its current speed, as well as a
safety margin. The separation can be reduced and changed with the limit for the
given operating speed and train characteristics, such as train length and braking
rate.
doi:10.2495/CR100611

In moving block signalling system, successive trains in a line with maintain a
safety stopping points, when a leading train stops for a long time, the following
trains will stop at the tail of the leading train. When the leading train re-starts, the
following trains will start almost simultaneously, this will cause further
synchronization of the peak demand of each train and increase the total peak
power demand significantly. This could lead to overload of the nearby
substations and how to reduce it is called Peak Demand Reduction problem in
this paper.
There are two kinds of traditional PDR techniques, one is called STD, which
introduce a Starting Time Delay to each of the following train and the other is
called ARL, which means the acceleration of the following trains are limited to a
certain extent (or different extents). H. Takeuchi and his patterns discuss these
techniques in [2-4]. Simulation results show that the graded Acceleration Rate
Limit technique is the best solution to reduce the peak power demand.
In the traditional techniques, time delay is introduced and quality of service is
degraded. T.K. Ho and K.K. Wong use an expert system [5] to help the operators
for decision making, and it is focuses on the balance between time delay and
peak power demand.
In this paper, for some knowable extra station dwell time, we propose a novel
approach, Service Headway Braking (SHB). Considering energy saving and
passenger waiting time minimization, nonlinear programming is used to model
the problem and the simulation results shows that, compared with the best
traditional PRD techniques the new approach can achieve the same performance
of the peak power demand reducing without increasing arrival time delay.
2 Novel peak demand reduction techniques

2.1 Tracking model in a moving block system
Under MBS, the tracking target point of the following train moves forward
continuously as the leading train travels. The instantaneous distance ( Lz (t ) ) of
two successive trains could be calculated by eqn (1),
Lz (t ) S leading (t ) S following (t )
where
S leading (t ) is the position of the leading trains head;
S following (t ) is the position of the following trains head.
(1)
The distance intervals between two successive trains will not less than safety
margin at any moment even if the leading train comes to a sudden halt, so we
have
Lz (t ) Lsafe Lt
V following (t ) 2
2b
where
Lt is the length of the train;
Lsafe is the length of safety margin;
(2)
665
V following (t ) is the instantaneous velocity of the following train;
b is deceleration rate.
Based on eqn. (1), eqn. (2) can be derived as:
Sleading (t ) Lsafe Lt S following (t )
Vfollowing (t )2
(3)
2b
and from eqn. (3) the instantaneous velocity and position of the following train
should obey eqns. (4) and (5).
(4)
V following (t ) 2 b (Sleading (t ) S following (t ) Lsafe Lt )
S following (t ) Sleading (t ) Lsafe Lt
V following (t ) 2
2b
(5)
2.2 Reasons for the peak power demand problem
The reason for the peak power demand is re-starting of the dense queue and there
are two main reasons of formation of the dense queue.
(1) Feathers of moving block signalling system. (Two trains will start
simultaneously if the distance interval between them is Lsafe Lt )
(2) Extra dwell time in station.
In daily railway operation, there may be some exceptions, such as a passenger
may shut in the door or a short-term surge in passenger flow (the end of a
football game). In these circumstances, adjusting the whole timetable is not
convenience, because the circumstances only exit in a short period. So we will
arrange the train to stay a little longer. In this case, we can know the extra station
dwell time. Based on these kinds of knowable extra station dwell time, we could
reduce peak power demand by avoiding the formation of the dense queue. In
order to achieve this goal, we should analysis the relationship between extra
dwell time and the number of delayed trains.
2.2.1 Station delay propagation model
In this section, we focus on the relationship between the delay time and the
number of delayed trains. Generally speaking, each train at a station has a
required dwell time. If the train stops longer than the required dwell time, we
could call the extra time delay time. In moving block signalling system, the
delay time may impact the following trains and cause a dense queue. Fig. 1
shows the operation intervals among trains.
Figure 1:
Formation of a dense queue.

As it is shown in Fig.1, there are m trains in the track: train 1, 2, ,m. Train 1
is the leading train and it stops in station A. the position of station A is S1 . The
dwell time of station A in the timetable is Tdwell . According to the normal
condition, each train arrives at station A and stops for Tdwell and then starts to
run.
When train 1 starts, the positions of following trains are: Si ( i N , i 2 ) and
the tracking time interval between two successive trains is ttracking . However,
the following trains may become a dense queue if train A does not run
immediately after Tdwell . Defining Tdelay is the delay time of the leading train
after Tdwell and n is the total number of the delayed trains caused by Tdelay ,
n N , n 2 . Based on eqn. (5), train i which is delayed should stop at point Si' , in
other words, Si' is the stop position of the ith train in the dense queue. Defining
ti is the running time that train i arrived at S 2' . Based on eqn. (2), we have:
'
'
S1 S 2' Lt SM , S1 S3 2( Lt SM ) , S1 S 4 3( Lt SM ) ,,
S1 S n' (n 1)( Lt SM )
and
t2 ttracking Tdwell
Lt SM ,
L SM ,,
t3 2ttracking Tdwell 2 t
v
v
tn (n 1) ttracking Tdwell (n 1)
Lt SM
v
Let T d e la y t n , we have
Tdelay (n 1)ttracking Tdwell (n 1)
Lt SM
v
(6)
then we could get n through eqn. (6) and the final formation is:
Tdelay Tdwell
( L SM )
ttracking t
(7)
2.3 Peak power demand reduction technique
From the analysis above, we know re-start of the dense queue in a small area
leads to peak power demand and both of the two traditional PDR techniques are
carry out after the formation of the dense queue. In this section, we propose a
novel operation strategy to reduce the peak power by avoid the formulation of a
dense queue.
667
2.3.1 Tracking dynamics in a moving signalling block system

In order to analyze the two successive trains tracking dynamics when the leading
train starts to move while the following train triggers the brake profile, a
simulation is done as follows:
Lt 140 (m), Lsafe 50 (m). The Leading train stops at Station A where the
position is 400 m. Sleading (0) 400 (m). Let the following train starts from the
point in braking profile, the velocity and position of the following train is
calculated by eqn(4) or (5), the results are in the table 1.
From table 1, we can see the running times of following train arriving at
Station A have little difference when the following train starts from the braking
profile. That means if the following train triggers the brake profile when the
leading train starts to move, the following train will not brake immediately but to
move forward with the leading train by following eqns. (4) and (5), and it is
more important that, this can staggered the time points when the two trains reach
the highest velocity and avoid the peak power demand moment of the two trains.
In order to show the trend of the running process, figure 2 gives the v-t profile
when the starting velocity is 8 m/s and starting point is 198m.
Running time of the following train.
Table 1:
Sleading (t ) m
V following (t )
S following (t )
m/s
16
12
8
4
0
82
138
178
202
210
400
400
400
400
400
Running time of train

2 arrives station A
(s)
40.26
39.82
39.5
39.42
39.38
12
10
speed (m/s)
Figure 2:
10
15
20
time (s)
25
30
35
40
v-t profile of the following train starts form the braking profile.
vi 3
v1
vi 2
Figure 3:
vi 4
v1
v22
v23
v24
Operation strategy of SHB.
2.3.2 New operation strategy analysis

Based on the above analysis, a new operation strategy is proposed as follows.
As shown in figure 3, the target velocity of the trains in track line is v1 , the
leading train (trian1) has an extra dwell time, which is Tdelay . If Tdelay is long
enough to cause a dense queue with n trains, then, After Tdwell , let train
vi 2 (the position at this

time is Si1 ), if vi 2 0 , then stops for ti 2 at Si 2 , then accelerate to vi 3 with
i(i=2,3,,n) brake with service braking deceleration b to
service acceleration a (the position at this time is Si 2 ), and then reduce traction
force and keep the train moving with a constant deceleration b to vi 4 (the
position at this time is Si 3 ). At this time, trains i-1 re-start, and then train i starts
to track with train i-1 according to the moving block tracking distance interval
until it arrives at station A. In other words, the running time of train i between Si
and Pi 3 is equal to Tdelay .
In this new strategy, the other trains are slowdown when one train re-starts, so
the re-start time of the following trains are staggered and the peak power demand
is avoid.
2.3.3 New operation strategy modelling
In this section, we built the mathematic model of the operation process. From the
above section, we know if the train could follow the new operation strategy, the
time points when the trains reach the highest velocity could be staggered and the
peak power demand could be reduced. In this situation, we want to minimize the
energy consumption and improve the ride comfort, so we hope the traction phase
and waiting time period could be as short as possible. At the same time, in order
to stagger the re-start time of the trains and arrive station A as soon as possible,
we hope vi 4 could close to vref . vref is chosen from table 1. In order to avoid
increasing time delay and stagger the peak power demand time of the train, it is
suggest choosing v1 / 2 .
The train operation process before triggering the braking profile could be
divided into 4 stages: 1 represents braking, 2 represents traction, 3 represents
669
slowdown, 4 represents braking to stop. Stage 4 is only for calculation but not
exist in operation.
Based on the analysis above, the problem could be seen as a nonlinear
programming problem as follows:
(8)
min f vi 3 ti 2 (vi 4 vref )
when i 2 :
s.t.
vi 2 vi 3 0
vi 4 vi 3 0
vi 2 , vi 3 , ti 2 0
vi 4 vref
Ti1 ti 2 Ti 2 Ti 3
(9)
v v
v v
v12 v11
ti 2 13 12 14 13 Tdelay
b
a
b'
Si1 Si 2 Si 3 Si 4
vi22 vi21 vi23 vi22 vi24 vi23 vi24
S1 Si SM Lt
2b
2 a
2b' 2b
when i 3, i 3, 4..., n
s.t. vi 2 vi 3 0
vi 4 vi 3 0
vi 2 , vi 3 , ti 2 0
vi 4 vref
Ti1 ti 2 Ti 2 Ti 3
vi 2 vi1
v v
v v
ti 2 i 3 i 2 i 4 i 3 Tdelay Tdwell Ti 1
b
a
b'
Si1 Si 2 Si 3 Si 4
vi22 vi21 vi23 vi22 vi24 vi23 vi24
S1 Si SM Lt
2b
2 a
2b ' 2b
where:
, are penalty factors, , 0 ;
vij is the status switching velocities of the i-th train, i=2,,n, j=1,2,3,4;
Sij is the position of the i-th train in
vij , i=2,,n, j=1,2,3,4;
ti 2 is the waiting time of the i-th train in Si 2 , i=2,,n;

Tij is the running time of the i-th train in stage j, i=2,,n, j=1,2,3;
Sij is the running distance of the i-th train in stage j, i=2,,n, j=1,2,3,4.
Ti 1 is the running time of the (i-1)-th train from S(i 1)3 to S1 , i=2,,n.
(10)

2.3.4 Power demand and energy consumption calculation
The power demand for the i-th train ( Pi (t ) ) is calculate by eqn. (11)
(11)
Pi (t ) Fi (t ) vi (t )
where
Fi (t ) is instantaneous traction force of the i-th train;
vi (t ) is instantaneous velocity of the i-th train.
The total power demand ( Ptotal (t ) ) is calculate by eqn. (12)

n
Ptotal (t ) Pi (t )
(12)
i 2
where
n is the number of delayed following trains.
The energy consumption of the i-th train ( Ei (t ) ) is calculate by eqn. (13)
(13)
Ei (t ) Pi (t ) t
where
t is running time of the i-th train;
The total energy consumption ( Etotal (t ) ) is calculate by eqn. (14)
n
Etotal (t ) Ei (t )
(14)
i2
where
n is the number of delayed following trains.
3 Simulation and discussion

In this section, a simulation is used to test and verify the new strategy. The
length of train ( Lt ) is 140 (m), safety margin Lsafe is 50 (m), service tracking
headway is 120 seconds, dwell time ( Tdwell ) is 10 seconds, target velocity ( v1 ) is
16 m/s, service acceleration rate a is 1m/s2, service barking deceleration
rate b is 1 m/s2.
In order to choose b ' , we analyze the practical data of coasting phase from
Dalian Fast Track. Because the velocity in coasting phase declines very slowly,
Table 2:
Velocity range (km/h)
37-31
41-40
43-42
54-48
60-59
62-61
79-75
Measured value of the coasting data.

Slop (m/s2)
-0.0147
-0.0125
-0.0147
-0.0213
-0.0237
-0.0210
-0.0315
Average error (m)

0.0227
0.0361
0.0364
0.0236
0.0296
0.0301
0.0237
671
so the profile of velocity-time could be seen as a straight line and he slope of the
line could be seen as the deceleration rate of coasting phase. We use least-square
procedure to fit the velocity-time date sectional and the results are in table 2.
From table 2, it is clear that the higher of the coasting starting velocity, the
higher of the deceleration rate. In order to keep the train moving in a constant
deceleration b while supply traction force as low as possible, we choose
b ' 0.01 m/s2 is appropriate.
If Tdelay is 250 seconds, according to eqn (7), 3 trains will be delayed
(including the leading train). Based on eqn (8)-(10), we have:
For train 2:
min f v22 5000 t22 5000 (v24 8)

s.t. v22 v23 0
v24 v23 0
v22 , v23 , t22 0
v24 8
2 v22 101 v23 100 v24 t22 234
2
2
2
2 v22
101 v23
100 v24
2948 0
For train 3:
min f v32 5000 t32 5000 (v34 8)

s.t.
v32 v33 0
v34 v33 0
v32 , v33 , t32 0
v34 8
2 v32 101 v33 100 v34 t32 283.5 0
2
2
2
2 v32
101 v33
100 v34
6788 0
and the results are:
v22 0, v23 9.57, v23 8, t22 65.66 .
v32 13.043, v33 13.043, v33 10.08, t32 0 .

Fig. 4 to Fig. 7 and table 3 show the simulation results.
From fig. 4, we can see the two following trains are starting simultaneously
from 250 s, so they reach the highest velocity at the same time and the peak
power demand is 25.1 kw/t. The arrival time of train 2 and train 3 are 289.38s
and 338.76s respectively.
Fig. 5 shows the performance of graded ARL technique. The acceleration rate
of rain 2 and train 3 are 0.5 m/s2 and 0.3 m/s2. By applying different acceleration
rate, the time points when the two trains reach the highest velocity are staggered,
so the peak power demand is reduced to 22.07 kw/t, however, the time delay is
increased. The arrival time of train 2 and train 3 are 297.78s and 400.36s
respectively.

16
25
Train 2
Train 3
14
20
12
15
P(t)/m (kw/t)
s pe ed (m /s )
10
8
10
6
4
2
0
50
100
150
200
250
300
0
250
350
260
270
280
290
300
time (s)
time (s)
Figure 4:
310
320
330
340
v-t profile and peak demand profile without the PDR technique.
16
25
Train 2
Train 3
14
20
12
P (t)/m (k w/t)
s p e e d (m / s )
10
8
6
15
10
4
5
2
0
50
100
150
200
250
time (s)
300
350
400
450
16
300
320
340
time (s)
360
380
400
420
16
Train 2
Trian 3
14
12
12
10
10
8
6
8
6
50
100
150
200
250
300
Train 2
Train 3
14
s p e e d (m /s )
s p e e d (m / s )
280
v-t profile and peak demand profile with the graded ARL
technique.
Figure 5:
260
350
500
1000
1500
time (s)
Figure 6:
2000
distance (m)
2500
3000
v-t and v-s profile with the SHB technique.
3500
4000
673
14
12
P(t)/m (kw/t)
10
0
250
Figure 7:
Table 3:
Non
PDR
Graded
ARL
SHB
260
270
280
290
300
time (s)
310
320
330
340
Peak demand profile with the SHB technique.

Cooperation of the PDR techniques.
Arrival
time of
train 2
(s)
Arrival
time of
train 3
(s)
Peak
power
demand
(kw/t)
Energy
consumption
kwh
289.38
338.76
25.1
297.78
400.36
289.5
339.16
Passenger
waiting time (s)
Train
2
Train
3
15.9137
130
43.75
22.07
46.3402
130
43.75
13.42
10.5016
65.66
The performance of applying SHB technique is shows in fig.6 and fig. 7. As

we see, train 2 has a waiting time of 2048m, which is 65.66s, the time points
when the two trains reach the highest velocity are staggered, so the peak power
demand is reduced to 13.42 kw/t. The arrival times of train 2 and train 3 are
289.5s and 339.16s respectively.
Table 3 shows the result data of the simulation. Graded ARL technique can
reduce the peak power demand but the arrival times of the two trains are delayed
significantly. SHB technique has great advantages. From table 3, the delayed
times of the two train are very short and the energy consumption is also reduced
to a low level, even less than value without any PDR technique.
4 Conclusion
A new Peak Demand Reduction technique is proposed. Based on the extra
station dwell time, nonlinear programming approach is used to model the
operation strategy. Compared with the traditional PDR techniques, the new one
has the best performance. It can reduce the peak power demand significantly
without increasing the arrival time delay while shorten the passenger waiting
time and reduce energy consumption.
Acknowledgements
This work is support by the State Key Laboratory of Traffic Control and Safety
under the National Science Foundation No. 60634010, RCS2008ZQ003, and
W08J0270, and the Major Program of the Beijing Municipal Science &
Technology Commission Comprehensive research and core technology
development to improve the mass rail transportation efficiency.
References
[1] Pearson, L.V.: Moving Block Railway Signalling. PhD thesis,
Loughborough University of Technology, UK 1973.
[2] Takeuchi, H., Goodman, C.J., and Sone, S.: Peak demand reduction
techniques when starting under moving block signalling. Proceedings of
IEE International Conference on Developments in mass transit systems,
London, UK, 2&23 April 1998, pp 280-285.
[3] Takeuchi, H., and Goodman, C.J.: A simulation study of peak demand
reduction strategies when starting under moving block signalling.
Proceedings of the 5th International Conference on Computer aided design,
manufacture and operation in the railway and other advanced mass transit
systems, Comp Rail., Berlin, 1996, vol.2, pp.187-196.
[4] Takeuchi, H., C. J. Goodman, et al. (2003). "Moving block signalling
dynamics: performance measures and re-starting queued electric trains."
Electric Power Applications, IEE Proceedings - 150(4): 483-492.
[5] Ho, T. K. and K. K. Wong (2003). "Peak power demand reduction under
moving block signalling using an expert system." Electric Power
Applications, IEE Proceedings - 150(4): 471-482.
Section 11
Monitoring and maintenance
677
Development of an ES2-type point machine

(monitoring of point machine)
N. Obata1, T. Ichikura1, H. Narita2 & H. Tanaka3
1
Technical Center,
The Research and Development Center of JR East Group, Japan
2
Quality Control Department, Railway Signal Division,
3
Signal Systems Third Designing Department, Railway Signal Division,
Abstract
The existing monitoring system for switch-point machines was introduced in
order to inform dispatchers and maintenance staff when there is a breakdown or
a decrease in the functioning of signal equipment. Past monitoring has been
limited to the locking error detector. When the ES-type point machine with a
servo-motor was introduced in 2002, it became possible to monitor other
information, such as voltage, switching time, stroke, and torque. The next step
was development of the ES2-type point machine, an improved ES type with
greater stability.
In the future, trouble with the turnout mechanism will also be monitored
through techniques now under research. We will also research how to find signs
of trouble before there is a breakdown.
Keywords: point machine, monitoring, maintenance.
1 Introduction
Recently the number of signal devices has been increasing. When signal
equipment breaks down, this has a major impact on railway transportation. The
existing monitoring system was introduced in order to inform dispatchers and
maintenance staff if the functioning of signal equipment has decreased or there is
a breakdown. In Japan, point machines have an indirect lock system. Monitoring
of the point machine in the past has been directed toward locking errors. In the
doi:10.2495/CR100621

ES-type point machine, which recently was developed, the functions that can be
monitored include not only the lock, but also the torque, stroke, voltage and
other factors. The ES2-type point machine was developed by improving the
ES-type point machine to increase its reliability.
In this paper, the function of monitoring by the ES-type point machine is
described, and the capabilities that are improved with the ES2-type point
machine are also described.
2 Summary of the existing monitoring system

The existing monitoring system was introduced so that dispatchers and
maintenance staff would be aware of any breakdowns or decrease in function of
signal equipment. It consists of:
(1) Sensor devices that measure the operating condition of the equipment and
various other data
(2) A control and display unit that indicates and accumulates the information
from each sensor
(3) Transmission devices that transmit information between the sensor devices
and the control display.
The system requires communication from the control and display unit to the
sensor devices, and the answers from the sensor devices to requests are returned
to the control and display unit. The transmission device provides this
telecommunication link.
An example of the display control is shown in figure 2. Each time that a
breakdown occurs or recovery is made, the system indicates and records date and
time, location, sensor name, object equipment, type of breakdown, and whether
Figure 1:
System structure of the existing monitoring system.

Date,
Time
Location
Figure 2:
Date,
Time
Location
Sensor
Name
Object
Equipment
Type of
Breakdown
679
Occurrence
or
restoration
Example of the display control.

Sensor
Name
Object
Equipment
Type of
Breakdown
Occurrence
or
restoration
Major failure
Minor failure
In maintenance
Major failure in maintenance
Minor Failure in maintenance
Minor failure
Minor failure
Figure 3:
Example of the route map.
it is an occurrence or a restoration. When a breakdown or a recovery occurs, the

display control also gives a warning sound.
When a breakdown occurs somewhere, it is possible to show the location of
the fault on a route map, where it can easily be seen and identified.
3 Summary of locking error detector

In Japan, point machines have an internal locking mechanism. With this indirect
lock system, the tongue rails are locked into position by the lock rod through its
connection with the connect rod and the front rod.
Figure 4:
Figure 5:
Detection range.
Structure of the locking error detector.
A locking error detector is provided to detect displacement of the mechanism

before it leads to point failure. The locking error detector is installed in the point
machine, and detects displacement from the change in the LED light, which
passes through the slit. If this displacement becomes more than 1.3 mm, an error
alarm is sent to the control and display unit of the existing monitoring system.
4 Summary of ES-type point machine monitoring

4.1 Constitution of the monitoring device of an ES-type point machine
A breakdown of a point machine has a major impact on train operation.
Therefore, it is important to monitor not only locking errors but also various
other information.
The ES-type point machine that was introduced in 2002 uses a servo-motor.
With that change, we were able to monitor various kinds of information such
as voltage, switching time, stroke, and torque. That information is sent to the
681
control and display unit of the existing monitoring system by the monitoring
device of the ES-type point machine. The constitution of the monitoring device
of the ES-type point machine is shown in Figure 6.
4.2 The recording function for items monitored
Monitored items are as shown in Table 1.
The monitoring device can record the switching data a maximum of 10,000
times in every switching machine. An example of the switching data is shown in
figure 7. Torque value is indicated in brown. The limiting value is set lower than
Figure 6:
Constitution of the monitoring device of the ES-type point

machine.
Table 1:
Items monitored by the monitoring device of the ES-type point

machine.

the breakdown level. When it exceeds limiting value, information about the
abnormality is sent to the control room and maintenance office. In addition, by
accumulating data from many switching operations, when a breakdown occurs,
we can find the cause quickly by comparing data from the abnormal situation
with this accumulation of data from normal operation.
4.3 Indication of trends
Trend indications can be displayed, based on switching data retained. Trend in
torque is illustrated in Figure 8. The maximum, mean, and minimum values of
Figure 7:
Figure 8:
Example of switching data.
Indication of trends in torque.
683
torque in one day are drawn in this graph. Changes in torque can be verified from
this graph.
By checking the difference between the trend values and the limiting value, it
is possible to judge whether it is necessary to go to the field location and make
adjustments to the point machine. Trends in lock deviation can also be displayed.
Trends can be indicated for every switching, every day, and every month.
4.4 Function that retains a history of breakdowns
The monitoring device can record history of breakdowns. When a breakdown
occurs and when a recovery is made, date, time and switching machine name,
breakdown type and occurrence of recovery are recorded. An example of the
history of breakdown is shown in figure 9.
5 Changes incorporated in the ES2-type point machine

More than 200 ES-type point machines were introduced beginning in 2002, with
the result that other data could be monitored, along with lighter weight of the
equipment. After introduction, the ES-type point machine was improved in both
hardware and software. However, there were problems in resistance to lightning
and water, and there were limits on the required environmental conditions; for
example, it could not be used in cold areas or in AC-electrified sections. Then
we developed the ES2-type point machine that uses the concept of the ES type
but also improves its features.
The development concept of the ES2-type point machine was as follows.
Figure 9:
Example of the history of breakdowns.
Figure 10:
ES2-type point machine (new).
Equipotential bar
Lightning-proof transformer
(Built-in)
Figure 11:
Improvement of lightning surge resistance.
5.1 Assuring safe and stable operation

a)
b)
c)
d)
e)
f)
Ability to ensure that there is no current in the circuit when the motor
power source is turned off.
Built-in lightning-proof transformer and built-in safety device.
Improvement of lightning surge resistance (ES type: 9kV -> ES II type:
30kV).
Improvement of water-tightness (ES type: Spray water -> ES2-type watertightness) were achieved.
Adopting a switching and lock mechanism that is resistant against
breakdowns.
Opening direction indicator output at time of control failure. Adoption of
point control relay and circuit control device.
Torque securing tolerance for turnout displacement.
5.2 Simplification of installation and maintenance management

a)
b)
c)
Reduction of spare parts by permitting interchangeability between left-side

and right-side uses.
Elimination of wiring work inside the switch.
Monitor unit that can be shared with ES type.
685
5.3 Designs for longevity and environmental considerations

a)
b)
Make covers that can open and close and make it possible to replace each
part individually (see figure 12). Reduce downtime and cut cost.
Ability to do overhauling at the manufacturers workplace.
5.4 Expansion of area where it is used

a)
b)
c)
d)
Operating temperature -20~+60 deg C.

Reduce switching time (6 seconds -> 3.5 seconds).
Motor power supply from 200V+-10% to 105V+-20%.
Can be used in cant sections and AC-electrified sections.
5.5 Revised characteristics of the monitoring device

The revised characteristics of the monitoring device are as follows.
a) Records the turning angle of the switching roller in ES2 type so that the
position of the switch rod and lock rod will be known.
b) Monitoring device can be used by both ES2 type and ES type.
c) When a switching order is given but the points do not switch, the switching
data are recorded.
An example of the switching data is shown in figure 13.
Figure 12:
Figure 13:
Point machine with the cover open.
Example of the switching data (applies to both ES2 type and ES

type).
6 Future research topics

The ES-type point machine, for which a servo-motor was adopted, made possible
the supervision of various items, recording of data and analysis of breakdowns.
However, a switch consists of both the turnout and the switching machine, and
the cause of failure to change can be the turnout itself. The turnout is inspected
periodically, but is not monitored at all times. Torque values recorded with the
monitoring device have been utilized to investigate the cause of breakdowns.
In the future, trouble with the turnout will also be monitored, using techniques
now being researched. In addition, we will do research on how to know the signs
of trouble before there is a breakdown.
7 Conclusion
When the ES-type point machine with a servo-motor was introduced in 2002, we
could monitor not only the lock, but also the torque, stroke, voltage and other
information. The next step was development of the ES2-type point machine, an
improved ES type with greater stability. In the ES2-type point machine,
monitoring device could be used by both ES2 type and ES type. Furthermore, it
could record the turning angle of the switching roller in ES2 type.
In the future, trouble with the turnout mechanism will also be monitored
through techniques now under research. We will also research how to know
signs of trouble before there is a breakdown.
References
[1] Gregor, Treeg, and Sergej, Vlasenko, Railway Signalling & Interlocking,
pp.165-166, 2009.
[2] Kazue, Yasuoka, et al., Practical application of the developed new pointmachine, International Symposium on Speed-up and Service Technology
for Railway and Maglev Systems (STECH06), 2006.
[3] JR Higashinihon Shingosetubi (jou) [JR East Signal Equipment (Upper
Volume)], JR East General Education Center Electric Group, pp.10-25 - 1040, 2001. (in Japanese)
[4] Tentetsu-souchi [switch-and-lock movement apparatus], Japan Railway
Electrical Engineering Association, pp.62-66, 1998. (in Japanese)
687
A heuristic approach to railway track

maintenance scheduling
L. M. Quiroga & E. Schnieder
Institute for Traffic Safety and Automation Technologies,
TU Braunschweig, Germany
Abstract
Travelling safely and comfortably on high speed railway lines requires excellent
conditions of the whole railway infrastructure in general and of the railway track
geometry in particular. The maintenance process required to achieve such excellent
conditions is largely complex and expensive, demanding an increased amount of
both human and technical resources. In this framework, an optimal scheduling
of maintenance interventions is an issue of increased relevance. In this work
a method for optimization of the tamping scheduling is presented. It is based
on a heuristic algorithm, which finds a very detailed tamping schedule where
each planned intervention is fully specified. The algorithm tries to maximize an
objective function, which is a quantitative expression of the maintenance processs
objectives defined by the railway company. It first finds an upper bound for the
objective function value, and then returns the best feasible solution found. The
method is validated by means of a case study based on real data of the 240 km
track of a French high speed TGV line. The results presented show that the value
of the best solution found is very near to the upper bound (the difference is smaller
than 1%), with a calculation time of under 1 second using a standard computer, so
we think the heuristic has a great performance potential.
Keywords: track maintenance, heuristics, tamping, scheduling.
1 Introduction
Measuring and keeping railway geometry under control are fundamental tasks of a
railway infrastructure maintenance process. Railway geometry is representative of
the travelling comfort and the derailment risk, so if its deviation exceeds a certain
limit value, the travelling speed on that sector must be reduced. Therefore, railway
doi:10.2495/CR100631

geometry is both a measure of travelling quality and safety. For these reasons the
French railway operator SNCF has been measuring periodically the geometrical
characteristics of its high speed network since its commissioning, i.e. for more
than 20 years now. Figure 1 shows the measurements of the longitudinal levelling
(in French Nivellement Longitudinal, NL) for a 1 km track sector for the last 20
years. The NL parameter is the longitudinal mean deviation of rails in respect
to the ideal position, and it is considered representative of the general railway
geometry deterioration [1]. By default the deterioration grade increases with
time, reflecting the track geometry deterioration. Due to confidentiality reasons,
the measurement units are not shown. Degradation decrements take place only
when some maintenance intervention is performed. In figure 1 the maintenance
activities most relevant for track geometry are included: tamping interventions.
In the figure, the bar heights represent the fraction of the railway sector affected
by the maintenance activity. Tamping yields a visually obvious effect, yielding a
sudden drop in NL.
The figure shows some very interesting behaviour: in the autumn of 2001 a
tamping action has taken place. However, afterwards, an extremely fast degradation of the NL has set in. Some possible reasons for such counterproductive interventions are water under ballast, adverse weather conditions, or poor
intervention quality (operator incompetence). This is a good demonstration of
the stochastic characteristic of the ageing and restoration process. The effect of
these characteristics on the proposed process model is that both the NL value
after a tamping intervention (equation 1) and the degradation speed coefficient
(equation 3) are modelled as normally distributed variables. Furthermore, in 2005
the NL improved several times (measurement line with negative gradient) but
no tamping action was registered. Possible reasons for negative increments on
NL without interventions are measurement errors, mainly offset errors, i.e. NL
is not always measured on exactly the same 200 mts. Eventually, it could also
1
Tamping
Measurements
0.9
0.8
NL
0.7
0.6
0.5
0.4
0.3
0.2
1998
1999
2000
2001
2002
2003
2004
Time[Years]
2005
2006
2007
2008
Figure 1: Course of longitudinal levelling degradation for a railway sector.

689
be that interventions are not registered in the database. The details of how this
influences the model can be found in [2]. It can be shortly described as the addition
of stochastic noise to represent the measurement errors, and the assumption of
interventions when the negative increment is greater than a certain threshold.
Technical and human resources required for performing tamping interventions
are a major cost factor in high speed railway systems [3]. Furthermore, due to high
logistic costs constraints, most track geometry maintenance activities need to be
planned up to one year in advance.
In this context, a crucial question to be answered is the following: with the
available human and technical resources, and considering the current track railway
geometry deviation, when and where should tamping interventions be performed?
This paper presents a method for answering this question. It consists of two main
components: a track geometry deterioration forecasting method, and a heuristic
for interventions scheduling. Additionally, it needs a series of input data, such us
a database with the available track geometry measurements, some characteristics
of the tamping machines available, and the topology of the railway network to be
maintained.
Section 2 presents the proposed forecasting method, section 3 describes the
heuristic algorithm used for schedule generation, and in section 4 the method is
validated be means of a case study with real data of a French high speed line.
Finally 5 presents some concluding remarks.
2 Railway track geometry forecasting

2.1 Row data preprocessing
Railway geometry is measured periodically by means of special measuring
coaches equipped with mechanical and/or electrical sensors. As it can be observed
in figure 1, the periodicity of the measuring runs has been irregular since line
commissioning, so the first problem for forecasting railway geometry deviation is
the irregular sampling rate. To overcome this, we interpolate the measured points
using splines, and then resample with the sampling rate of the last years. This
is a compromise solution minimizing information loss in the last measurement
years and keeping the addition of artificial measurements in the first years at an
acceptable level. The resampled data is then used to tune the forecasting algorithm.
2.2 Process model
The process model used for forecasting is the one presented in [2]. It relies on 2
assumptions, namely:
1. The degradation value NLinitn achieved after the nth tamping intervention
can be described as a normally distributed stochastic variable, i.e.
NLinitn N (NLinit (n), NLinit (n)).
(1)

2. The evolution of the degradation value between two tamping activities can
be described by an exponential function of the form
NLinitn ebn
ttn
(2)
where n is the number of cumulated tamping interventions since track

renewal, tn is the time at which the nth tamping activity has taken place,
and bn is a is a normally distributed stochastic variable, i.e.
bn N (b (n), b (n))
(3)
The first assumption relies on the study on the effects of tamping interventions
on high speed railway lines presented in [1]. The second assumption is based on
the model presented in [4], which postulates that geometry degradation grows
exponentially between tamping interventions. According to these assumptions,
for the model to be applied we would need to find expressions for NLinit (n),
NLinit (n), b (n), and b (n). To obtain these functions, we need a database with
track geometry measurements on many railway sectors for many years, including
tamping activities performed. For each of the sectors recorded in the database,
the curve NLinitn ebn ttn that best fits, i.e. minimizes the quadratic error
for the measurements between the nth and the (n + 1)th tamping interventions,
for n 1, . . . , Nmax , where Nmax is the number of tamping interventions
performed in the lapse of time recorded in the database for that sector. In doing
so it must be taken into account that it is known that track geometry exhibits
a transient behaviour in the first months after a tamping intervention, so we do
not consider measurements taken in the three first months after an intervention.
Doing this at each sector available in the database, the mean value and variance of
NLinitn and bn can be estimated. Furthermore, it is common knowledge that the
degradation of NL depends on the annual track load rather than on time. In case
that the track load had changed within the time period registered in the database, a
transformation could be used to standardize the data, i.e. to unmake the effects of
the track load modification, basing on the results presented in [5]. The next step is
to find the functions NLinit (n), NLinit (n), b (n), and b (n) which best fit the
estimated values.
2.3 Forecasting algorithm
To describe the forecasting procedure, a few definitions are necessary:
Defining NL(t + h) as the forecast of NL at t + h with the information available
at time t the algorithm can be described as follows:
1. If the time elapsed since the last tamping intervention is longer than
TIME_MIN and there is no intervention planned before time t + h, then find
the function of the form of equation 2 which best fits the degradation curve
since the last tamping intervention, and obtain NL(t + h) by extrapolation.
2. If the time elapsed since the last tamping intervention is shorter than
TIME_MIN and there is no intervention planned before time t + h, then
691
consider equation 2 with b = bn , where n is the current cumulated number of

tamping interventions, i.e. the mean value of b after n tamping interventions.
3. If a tamping intervention is planned before time t+h, then consider equation
2 with b = bn , where n is the current cumulated number of tamping
interventions, i.e. the mean value of b after n + 1 tamping interventions.
Summing up, the algorithm looks for the curve best fitting the geometry
degradation course since the last tamping intervention, but if this was too recent
it just takes the mean curve for the current number of accumulated tamping,
according to the model of section 2.2. The same happens if a tamping intervention
is planned within the forecasting horizon. For the parameter TIME_MIN a value
of one year seems to be reasonable. For a more detailed description of the
forecasting method see [6].
3 Interventions scheduling method

3.1 Problem definition
In order to formalize the problem definition, we model the railway net as a graph.
The edges are the railway tracks and the nodes are the railway switches. The edges
are in turn divided into sectors of 200 m. Then a criteria has to be established to
assess the benefit of performing a tamping intervention at each of the sectors. In
3.2 some possible objective functions are presented. Furthermore, the following
constrains has to be taken into account for scheduling tamping activities:
1. Tamping interventions take place in the night service interruptions, i.e.
approx. 4 to 5 hours per night are available.
2. The number of tamping machines for the whole railway net is limited, so at
each line the tamping machines are available for a limited number of nights
per year, i.e. N nights. These nights are in general consecutive, so we call
a tamping campaign the set of N consecutive nights at which a tamping
machine is available for a given line or net.
3. Each tamping machine has limited travelling speed ST rav and tamping
speed ST amping .
4. TSetUp is the preparation time needed between arrival at the starting sector
and the intervention start time and TT akeDown the time needed between
finalization of the intervention and departure to the end depot.
5. For tamping on and near switches special machines are needed. Furthermore
the first and the last 200 m of a tamping intervention are transient sectors
used to smooth the transit from a probably deteriorated sector to a fleshly
tamped one. According to expert opinion, the number of transient sectors
should be kept low. This leads to a further constraint: to minimize the
number of transient sectors, each night tamping interventions can only take
place in contiguous sectors, and they all must belong to the same edge
(switches can not be tamped).

6. In order not to disturb normal train operations, the tamping machine must
be allocated at a side track, the so called depots, before the first scheduled
train runs. Additionally, on the fist intervention night the machine has to be
picked up from a specific depot, and after the last intervention it has to be
given back also at a specific depot.
The problem the heuristic scheduling algorithm solves is to find a feasible
solution consisting a set of N interventions (one per night) which maximizes
the defined objective function, which should be a mathematical representation
of the railway operators objectives. An intervention consists of the following
elements:
An intervention number i, i 1, .., N
Start depot Di and end depot De
Start tamping sector Si and end tamping sector Se
Furthermore, for an intervention to be feasible, the inequality
TSI (Dist(Di , Si ) + Dist(Se , De ))/ST ravel + TSetUp
+TT akeDown + Dist(Si , Se )/ST amping
(4)
must hold, where TSI is the night service interruption time, Dist(Di , Si ) is the
distance between initial and end depot, Dist(Si , Se ) is the distance between initial
and end intervention sectors. What inequality 4 expresses is that the blocking time
must be enough for the maintenance team to travel with the machine to the intervention start sector, get ready to start working (duration of the procedure to block
the track, TSetUp ), perform the intervention, get ready to leave the track (duration
of the procedure to unblock the track, TT akeDown ) and travel to the end depot.
For the interventions to be unambiguously defined, an arbitrary sense is assigned
to each edge, and the sectors are numbered in the sense of the edge. According to
this sector enumeration, a further constraint can be set for an intervention to be
valid: Si Se .
3.2 Objective function
The objective function is a key part of the whole scheduling method. It should
express the objectives of the railway track maintenance process, which may vary
significantly from one company to another. Next three possible implementations
are presented.
Total reduction track geometry deviation. The benefit of a tamping intervention is directly proportional to the current geometry degradation NL. This
means that the degradation speed, i.e. NL
t , is not taken into account. This
is the approach used in [7].
Expected time to failure. The benefit of a tamping intervention is inversely
proportional to the time it is going to take to reach the maximal allowable
693
geometry degradation value NLmax . This time to failure can be estimated

using the forecasting method presented in section 2.
Expected NL at next campaign. Let h be the time between campaigns (in general one year, eventually six months). Suppose we are interested in finding
out the optimal schedule for a campaign starting next week, i.e. at time
t = t . Then an estimate of the value of NL at time t = t + h, i.e.
NL(t + h), could also be a measure of the benefit of tamping it. The
more NL(t + h) exceeds NLmax , the more value it would have to perform
tamping next week. Likewise, the more NLmax exceeds NL(t + h), the
lesser it is worth to perform an intervention on that sector next week. The
punctual forecasting NL(t + h) represents the expected value. However,
being the process model stochastic (see section 2.2) a confidence interval
could also be included in the objective function.
In the case study presented in section 4 we use the expected NL at next
campaign to enunciate the objective function.
3.3 Heuristic as an optimization method
In general, to find a solution for an optimization process a process model is used.
When the model is highly complex and there is no standard optimization method,
like in this case, there are two possibilities: to adapt the model for it to fit to a
standard optimization method, or to adapt or create a new method to fit to the
model.
In the literature some approaches to the railway track maintenance scheduling
problem can be found, e.g. [79]. What [7] and [8] do is to adapt the process model
by relaxing some constraints and then apply commercial linear programming
optimization packages, as illustrated by approach B in figure 2. Our approach is
more similar to [9]. We take the model as described in 2.2 and apply a heuristic
algorithm, i.e. approach C in figure 2. The heuristic returns two results: an upper
bound for the total solution value, and a feasible solution, namely the best one
it has been able to find. The upper bound is a value which is guaranteed to be
equal or greater than the optimal feasible solution. The results presented in section
4 show that the value of the best solution found is very near the upper bound
(the difference is smaller than 1%), which gives us a hint of the heuristics great
performance potential.
3.4 Heuristic
According to the problem definition in 3.1, the heuristic can be described as
follows:
1. Let an intervention be Maximal if it is feasible, i.e. equation 4 holds, and
changing its Se for the next sector, i.e. Se would turn the intervention
into infeasible, i.e. inequality 4 would no longer hold. The first step of
the heuristic is to find for each edge i the set of all maximal interventions
and calculate for each of them its value according to the objective function

Complex model
Model
simplification
Heuristic
Simplified model
(sub)optimal solution
of the complex model
Optimisation
Approach A
Approach B
Approach C
optimal solution
of the simplified model
Figure 2: Some possible approaches to complex optimization problems.
described in 3.2. Remember that as stated in 3.1 all interventions must start
and end in the same edge, i.e. in the same track, so the correspondence is
unambiguous.
2. Let im be the number of edges of the graph representing the network. The
second step is to find, for each edge i 1, . . . , im and each n 1, . . . , nmi ,
where nmi is the number of interventions needed to tamp the whole edge
i, the set Mi,n consisting of n maximal interventions in edge i which
maximizes the objective function. To put it in a nutshell, Mi,n is the optimal
solution if we only consider edge i and exactly n interventions are to be
scheduled. This is the part of the heuristic requiring the most computational
power, because at each edge i the set Mi,n0 may not be the set Mi,n0
plus some other intervention, but a completely different set, so for each
n 1, . . . , nmi all possible combinations have to be explored. However,
the fact that interventions are not allowed to have common sectors (that
would mean performing an intervention twice in the same sector) keeps the
number of combinations within an acceptable bound, even for edges with
300 sectors, as shown in the case study in 4.
3. The third step is to find the set of sets of maximal interventions L = Mi1 ,n1 ,
Mi2 ,n2 , . . . , Mim ,nm contained in the sets Mi,n found in step 2, that
maximizes the objective function, under the constrains that each set belongs
to a different edge, i.e. ij = il j, l 1, . . . , m, and the total number of
interventions is equal to the number of interventions to be scheduled N , i.e.
695
m
k
nk = N . This step is quite straightforward, because in this case it

holds that the solution for n days is contained in the solution for n + 1 days.
The set L is the set of disjointed (i.e. with no common sectors) feasible
interventions which maximizes the objective function. The only additional
requisites it has to fulfil to be a feasible solution is that the start depot of the
first intervention and the end depot of the last intervention coincide with the
specified ones (see 3.1), and that the end depot of each day equals the start
depot of the next day, i.e. Di (j) = Di (j + 1) j 1, . . . , N 1.
4. Let us define bridge interventions as interventions for which the start depot
is not equal to the end depot, i.e. Di = De . Because of the procedure used to
calculate it, the solution L does not include any bridge interventions. Then
the conversion would consist in finding a set of bridge interventions such
that the start depot of the first intervention and the end depot of the last
intervention are as specified, and that all depots included in solution L are
visited at least once. This is nothing but the well-known travelling salesman
problem. But a necessary condition to solve this problem it to know the
cost of going from one node to another. To calculate this cost in this case
is very difficult, because the number of possible combinations is enormous,
so we choose to perform a local search. To assess the cost of introducing
a bridge intervention from edge j to edge k, we do the following: for each
Mi,n L, consider the n different sets which result of subtracting one
single intervention to Mi,n . Then add the best possible bridge intervention
from j to k to each of them. This will result in n different sets, each of
them containing a bridge intervention from j to k. After doing this for all
edges, the best solution, i.e. the one that maximizes the objective function, is
chosen and the cost of going from depot j to depot k is the decrement of the
objective function generated by the introduction of the bridge intervention.
Being the described process merely a local search, we can not guarantee that
the costs calculated are the minimum possible, but in practice this drawback
is minimal, as illustrated in 4.
5. The fifth and last step of the heuristic is to convert the solution L into a
feasible solution by solving the travelling salesman problem posed in step
4. This is done by means of the bench and bound method. This method has
the advantage of finding the optimal solution without necessarily exploring
the whole search tree. However, as the costs calculation described in step 4
may not be optimal, the solution achieved may as well not be optimal. But
we can easily calculate how much better the solution could potentially be,
because the objective function value of the solution L is an upper bound
for all feasible solutions.
4 Case study
In this section we present an example of how the proposed scheduling method can
be applied in reality. The problem characteristics are next described. Furthermore,
the network is depicted by figure 3.

60 Km
120 Km
Figure 3: Railway network used for the case study.
The modelled railways network consists of 120 km double way track, i.e. a
total of 240 km track, with 3 double switches which divide the network into
8 tracks of about 30 km each.
The network has 2 depots (secondary tracks where tamping machines are
stationed during the day), being the distance between each other 60 km.
Depot 2 must be the initial depot of the first intervention as well as the end
depot of the last intervention.
One tamping machine with a travelling speed of 80 km/h and a tamping
speed of 1.4 km/h will be available for 20 nights.
We have a database with track geometry data from the last 15 years for each
track sector of 200 m, so we consider a total of 1200 sectors.
According to the problem definition in 3.1, the solution space can be calculated
as
SolSpace = (NDepots NSectors )NN ights
= (2 240 5)
10
(5)
This should clarify that exploring the whole solution space is simply out of the
question.
The first step of the scheduling method is to define the objective function
which best expresses the railway company interests. Therefore let S be a set of
N scheduled interventions, and TS = {TS , TS , . . . , TSmax } the set of sectors
included in S, i.e. the sectors for which a tamping intervention is scheduled. Also
let f be the objective function. Then the objective function evaluated for S, f (S)
is defined as
TSmax
f (S) =
NL(t + h)
(6)
TS1
where NL(t + h) is the expected NL at next campaign as defined in 3.2. In our

case study, tamping campaigns take place once a year, so h = 1 year.

1.8
Estim NL(t0+h)
1.6
1.4
NL
1.2
0.8
0.6
0.4
0.2
20
40
60
80
100
120
140
Sector number
Figure 4: Expected one-year-ahead NL for one railway track.
Table 1: Obtained interventions schedule for the whole network.

Interv. Id
1
2
3
4
5
6
7
8
9
10
11
12
13
14
15
16
17
18
19
20
Track Id
1
1
2
2
5
5
5
6
3
3
3
3
4
4
4
7
8
8
8
3
Di D e
1
1
1
1
1
1
1
1
1
1
1
1
1
1
1
1
1
2
2
2
2
2
2
2
2
2
2
2
2
2
2
2
2
2
2
2
2
2
2
1
Total value
Si
1
29
196
236
626
664
700
864
339
366
394
422
451
493
531
919
1093
1123
1160
313
Se
25
54
223
262
654
690
725
892
363
392
421
450
480
520
557
949
1118
1149
1188
337
Length
25
26
28
27
29
27
26
29
25
27
28
29
30
28
27
29
26
27
29
25
Value
7.8
8.56
7.79
9.39
8.14
7.72
6.54
8.26
8.47
8.49
11.8
13.43
7.93
9.99
10.46
8.99
7.01
8.66
9.77
10.72
179.92
697

The estimation NL(t + h) is calculated by applying the forecasting method of
section 2 to the database. Figure 4 shows the interpolated values of the estimation
NL(t +h) for the 150 sectors of one track. The curve is so irregular that significant
differences can be appreciated even between contiguous sectors.
The interventions schedule obtained can be found in table 1. Di and De are the
start and end depots, respectively, and Si and Se are the initial and end intervention
sectors, respectively. The length is expressed in sectors (each sector is 200 m long),
and the value is calculated according to equation 6. In bold are the two bridge
interventions, namely interventions 9 and 20. The reason why some interventions
are longer than others (lengths vary between 25 and 30 sectors) is that some sectors
are nearer to the depots than others, so the travelling times are shorter and then
longer time is available for the tamping interventions themselves.
The best solution found has a value of 179.92, while the upper bound for
the solution value was 180.18. This means that in the worst case our solution has
0.14% lesser value than the optimal solution. The heuristic has been implemented
in C++ language, under the GNU/Linux operative system. The calculation time
is under 1 second using a desktop PC with Pentium IV processor and 1 GB RAM
memory.
5 Conclusions
In this work a heuristic based method for railway track tamping interventions
scheduling has been presented. To our best knowledge, it is an innovative approach
which goes beyond the state of the art both by incrementing the precision of
the obtained interventions schedule and reducing dramatically the calculation
time. This makes it possible to fine tune the maintenance strategy by evaluating
the benefits or drawbacks of potential modifications in the maintenance process.
Furthermore, the presented method could also be used to optimize the tamping
in such a way that NL values are nowhere higher than a given NLmax . In
fact this could be achieved by setting a non-continuous objective function, with
a step at NL = NLmax . Future work includes the development of a Monte
Carlo simulation environment for the railway ageing and restoration process, for
integrated optimization of planning and scheduling of railway track maintenance
processes.
References
[1] Meier-Hirmer, C., Mod`eles et techniques probabilistes pour loptimisation des
strategies de maintenance. Application au domaine ferroviaire. Ph.D. thesis,
Universite de Marne-la-Vallee, 2007.
[2] Quiroga, L. & Schnieder, E., Monte carlo simulation of railway track geometry
deterioration and restoration. Proceedings of the European Safety and Reliability Conference, ESREL 2010, 2010.
[3] Esveld, C., Modern railway track. MRT-Productions, 2001.
699
[4] Veit, P., Track quality - luxury or necessity? Railway Technical Review
Special: Maintenance & Renewal, 2007.
[5] Ubalde, L., Lopez Pita, A., Teixeira, P., Bachiller, A. & Gallego, I., Track
deterioration in high-speed railways: influence of stochastic parameters. Proceedins of the Railway Engineering 2005, 8th International conference and
exhibition, 2005.
[6] Quiroga, L. & Schnieder, E., Modelling high speed railroad geometry ageing
as a discrete-continuous process. Proceedings of the Stochastic Modeling
Techniques and Data Analysis International Conference, SMTDA 2010, 2010.
[7] Oyama, T. & Miwa, M., Mathematical modeling analysis for obtaining an
optimal railway track maintenance schedule. Japan journal if industrial and
applied mathematics: JJIAM, 23(2), pp. 207224, 2006.
[8] Oh, S., Lee, J., Park, B., Lee, H. & Hong, S., A study on a mathematical model
of the track maintenance scheduling problem. Computers in Railways X, pp.
8597, 2006.
[9] Lake, M., Ferreira, L. & Murray, M., Minimising costs in scheduling railway
track maintenance. Computers in Railways VII, pp. 895902, 2000.
701
Track test monitoring system using a

multipurpose experimental train
H. Matsuda1, M. Takikawa1, T. Nanmoku2 & E. Yazawa2
1
2
East Japan Railway Company, Japan

Railway Technical Research Institute, Japan
Abstract
In order to inspect the condition of tracks, which support railway cars, track
irregularity is measured four times a year along conventional lines by track
inspection cars, called East-i. Track irregularity and the track materials that
cannot be inspected with the track inspection car are regularly inspected by track
patrolling on foot and/or using hand-held type inspection instruments. With the
purpose of reducing track patrol labor and maintenance costs, as well as to
improve inspection quality, we have been developing a track monitoring system
that is installed on a commercial car and monitors the track with greater
frequency. This paper provides the outline for a track measurement device that
uses the inertial mid-chord offset method and a track-material monitoring device,
both of which have been developed to monitor the track, and presents the results
of installing these devices on the multipurpose experimental train (called MUETrain) on conventional lines.
Keywords: track monitoring system, inertial mid-chord offset method, trackmaterial monitoring device, multipurpose experimental train.
1 Introduction
Tracks are composed of rails, sleepers, ballast, and other materials. Track
irregularity advances and track material deteriorate as a result of repeated car
load and severe environmental conditions. So, it is important to monitor, inspect
and understand track irregularity and the degree and process of deterioration of
track materials.
In order to inspect track conditions, track irregularity is measured four times a
year along conventional lines in East Japan Railway Company by track
doi:10.2495/CR100641

inspection cars called East-i. Track irregularity and the track materials that
cannot be inspected with the track inspection car are regularly inspected by track
patrolling on foot and/or using hand-held type inspection instruments. However,
this is time-consuming and labor-intensive when inspecting over long distances.
So, an efficient inspection method is needed to reduce time and cost. Moreover,
it is necessary to maintain a continuous awareness of track conditions, and to
know about potential problems to improve efficiency of inspection.
We have been developing a track monitoring system, which is installed on a
commercial car and monitors the track with greater frequency. This paper
provides the outline for a track measurement device that uses the inertial midchord offset method (hereinafter referred to as IMOM) and a track-material
monitoring device, both of which have been developed to monitor the track, and
presents the results of installing these devices on the multipurpose experimental
train called MUE-Train on conventional lines. MUE-Train is a test train
converted from former Keihin-Tohoku line 209 series cars to be used to test and
develop new technology for use on future trains.
2 Track measurement device using the IMOM

2.1 Outline of a track measurement device using the IMOM
The track measurement device using the IMOM is composed only of a sensor
box under the car-body and a small equipment box on board which together
collect data which can measure track irregularity (e.g., gauge, alignment,
longitudinal level, cross level, twist) [1]. The current track inspection car is a
complex and large device with a two-bogie measurement system and rail
displacement sensors mounted on all the axle boxes. Consequently, it cannot be
installed on a commercially used car. The track measurement device using
IMOM was selected for its compact size and ease in mounting.
With this device we measure the track irregularity using IMOM. The
displacement of the device is obtained by measuring the acceleration of the car
body and integrating it as well as using two axis rail displacement sensors to
measure relative displacement between the device and the rail, measured by
laser. It is possible to downsize and lighten the device, and reduce its cost from
the current one that occupies a single car since track irregularity is determined by
measurement at a single point. Moreover, the current track inspection car
involves the dismantling of related parts installed together with the axle box
when inspecting it in the car factory and the reassembly after the inspection is
finished. However, dismantling and the assembly operations became
unnecessary for the new device as it is external.
2.2 Development of a body-mounted device using the IMOM
This device has already been used, mounted on a bogie, by Kyushu Shinkansen
[2]. However, it would be difficult to mount on certain bogies due to dimensional
constraints. So, we developed a body-mountable device with fewer restrictions to
Figure 1:
703
Composition of a body-mounted device.
Figure 2:
MUE-Train and device.
mounting positions (Figure.1). In this case, the device is somewhat away from
the rail, thus necessitating a wider measurable range, resulting in the possibility
that foreign objects might also be caught within its range. It is thus important to
make improvements so that the object being measured can be properly
ascertained.
2.3 Outline of the test measurement
We have been implementing running tests of the MUE-Train mounted with this
device in the metropolitan area since January 2009 to check its measurement
precision and durability. Figure 2 shows the installation of MUE-Train and the
device. MUE-Train is a 7-train set, and this device is mounted as shown in
Figure 2 near the bogie on the car 6 side of the car 7. The total mileage was
about 12,000 km as of the end of April in 2010. Up to now, no trouble has
occurred with this device, and it does its job well.
2.4 Reproducibility of repeated measurement
Accuracy in reproducibility of repeated measurements along the same section
has been verified. Figure 3 shows the 10 m-chord longitudinal level irregularity,

while Figure 4 shows the 10 m-chord alignment irregularity. The same section
was measured seven times along the same section about every 40 days. is the
standard deviation of the reproducible error in a section concerned when based
on the waveform of the highest rung. The standard deviation of the reproducible
error of repeated measures is intended to be smaller than or equal to 0.3 mm for
Shinkansen, and for conventional lines smaller than or equal to 0.5 mm.
As seen in Figure 3, 10 m-chord longitudinal level irregularity reproducible
error measurement precision proves to be under 0.3 mm in all cases. Moreover,
velocity dependency is not seen. Next, as seen in Figure 4, the reproducible error
of 10 m-chord alignment irregularity is 0.32 mm maximum, a level of accuracy
sufficient for practical use along conventional lines. Velocity dependency is also
not seen in 10 m-chord alignment irregularity. The accuracy of the optical-fiber
gyroscope greatly influences the accuracy of alignment irregularity as shown in a
67km/h
Reference
92km/h
=0.30mm
44km/h
=0.25mm
85km/h
=0.17mm
50km/h
=0.21mm
105km/h
=0.28mm
103km/h
=0.21mm
2mm
Figure 3:
50m
Reproducibility of 10 m-chord longitudinal level irregularity.
66km/h
Reference
67km/h
=0.30mm
89km/h
=0.32mm
48km/h
=0.32mm
72km/h
=0.26mm
77km/h
=0.25mm
87km/h
=0.32mm
2mm
Figure 4:
50m
Reproducibility of 10 m-chord alignment irregularity.
705
curve section of this device. Therefore, further accuracy improvement can be

expected by additionally adopting a gyroscope of higher accuracy.
2.5 Consistency with the current track inspection car
By comparing the results of measurement using this device and those of the
current inspection car, data integrity was verified. Figure 5 (upper) shows 10 mchord longitudinal level irregularity, while Figure 5 (lower) shows the 10 mchord alignment irregularity. The results from this device show the value
measured three days after the measurement of that of the track inspection car, the
measurement speed of both being about 60 km/h.
In 10 m-chord longitudinal level irregularity, the waveform of this device is
identical to that of the track inspection car. In 10 m-chord alignment irregularity,
both shape and amplitude correspond roughly to each others waveforms, though
small differences in detail can be seen due to difference of detection method and
the rail side positioning. It one can see that in both longitudinal level and in
alignment, results are consistent with the current track inspection car.
3 Track material monitoring device

3.1 Outline of track material monitoring device
The purpose of the track material monitoring device is to take images and
automatically detect abnormalities: missing fishplate bolts, loosened rail
fastening, shifted rail pads, metal flow at glued-insulation rail, etc (Figure 6).
10 m-chord longitudinal level irregularity
Current track
inspection car
Device using
IMOM
2mm
Current track
inspection car
50m
10 m-chord alignment irregularity
Device using
IMOM
Figure 5:
Comparison with current track inspection car.
(a) Missing fishplate bolt
(b) Loosened rail fastening
(c) Shifted rail pad
(d) Metal flow at gluedinsulation rail
Figure 6:
Examples of abnormality of track material.
This device, which takes images of the track material with a line sensor camera,
has already been put to practical use both domestically and abroad. However, not
many cases have been seen regarding its function of automatically judging
abnormality in track material. If it could photograph abnormalities with greater
frequency and could judge automatically, the reliability of the track equipment
would improve and it would reduce the labor of track patrol.
The device is composed of two cameras: 1) a line sensor camera for taking
pictures of the track material: and 2) a device for acquiring altitude information
(three-dimensional image) in the vicinity of the rail. As part of this development,
we plan to utilize altitudinal information to conduct automatic judgments on
abnormalities.
3.2 Outline of running tests
The track material monitoring device has been installed on the MUE-Train, and
data collected along the Tohoku and Nikko lines since January 2009. Figure 7
shows the device installed on the MUE-Train. During this time, the device was
installed on only one side of the rail.
Figure 7:
707
Track material monitoring device installed on the MUE-Train.
Figure 8:
Examples of photographic image.
3.3 Test results

Figure 8 shows a photographic image of track material. Figure 9 shows a three
dimensional image of track material around the rail. In this figure, higher areas
are shown as white, while lower areas are black. However, the top of rail was not
considered at this time. The cross section along the line is showed on the screen
below. In this test, the altitude information in the vicinity of the rail were
measured to an accuracy of 1 mm up to 110 km/h. Tightness of the rail fastening
can be evaluated by means of measuring the height of the upper spring crip with
respect to the rail foot.
Cross section
Top surface of bolt
Fastening (X=6mm)
Figure 9:
Top surface of bolt
LooseningX=9mm
Examples of three-dimensional image of track material.
4 Conclusion
For the track material monitoring device, we obtained measurements to an
accuracy of 1mm for altitude information in the vicinity of the rail up to 110
km/h. At present, an automatic judgment function is not included in this device,
but with the accumulation and verification of data, it is to be included in the
future. On the other hand, the track measurement device using IMOM achieved
the high level of accuracy required for practical use. Moreover, it will continue
to be put to use and its durability will be tested. Eventually, the on-board portion
of the device should be made more compact for efficient use on commercial cars
in the future.
References
[1] Yazawa, E. & Takeshita, K., Development of Measurement Device of Track
Irregularity using Inertial Mid-chord Offset Method. QR of RTRI, Vol.43,
No.3, pp.125-130, 2002
[2] Moritaka, H., Matsumoto, T. & Yazawa, E., Measurement of Track
Irregularity using Kyushu Shinkansen Cars. Shinsenro, Vol.63, No.12,
pp.26-28, 2009 (in Japanese)
Section 12
Safety and security
711
Verification of quantitative requirements

for GNSS-based railway applications
H. Mocek, A. Filip & L. Baant
Railway Infrastructure Administration, LIS, Czech Republic
Abstract
The objective of this paper is to verify whether requirements for GNSS-based
railway telematic applications are met through GNSS Safety of Life (SoL)
services. Measurement methodology was developed for this purpose. An analysis
of the achievement of railway requirements was subsequently performed. This
technique represents a contribution to the certification process of the GNSS
system, which must prove that the required parameters are fulfilled. The analysis
consists of: 1) evaluation of static measurements to verify GNSS system
behaviour under standard conditions of GNSS Signal-In-Space (SIS) reception,
and 2) analysis of dynamic tests focused on train position and protection level
determination under variable conditions of GNSS SIS reception in a real railway
environment. Experimental tests have been carried out using GPS/EGNOS
receivers that meet requirements for the SoL service according to the RTCA
DO-229D standard.
Keywords: GNSS, Signal-In-Space, certification, EGNOS, non-precision
approach, Rayleigh distribution, overbounding, reliability, availability, SIRF III.
1 Introduction
Certification of European navigation satellite system Galileo must be carried out
before this GNSS system can be used in railway applications, especially in
safety-related ones. A contribution to the certification process was previously
performed by determining the minimum quality requirements for GNSS-based
railway applications (Mocek et al. [1]). The next step in the certification process
should be the verification that the proposed requirements are fulfilled. This paper
evaluates the fulfilment of railway requirements on the basis of experiments with
GPS/EGNOS receivers that meet requirements for the SoL applications
doi:10.2495/CR100651

according to the RTCA DO-229D standard [2]. Significant improvements of SIS
reception and availability of position determination are demonstrated by means
of SIRF III technology.
2 Railway requirements for GNSS

While in non-safety related applications it is possible to consider the fulfilment
of requirements through GNSS SoL services, such as EGNOS Precision
Approach (PA), Non-Precision Approach (NPA), Galileo SoL Level A/ B, in
safety railway applications it is obvious that the GNSS SoL service cannot meet
the demanding requirements of railway safety and dependability. This is evident
from: 1) requirements for the functional and technical safety included in railway
safety standards, e.g. EN 50129, and 2) interpretation of the Galileo SoL quality
measures in terms of RAMS (Filip et al. [3]). Therefore, the following text will
deal with the analysis of requirements for non-safety related applications.
Requirements for four selected applications are summarized in table 1. These
requirements were derived on the basis of methodology developed in Mocek
et al. [1]. From table 1 it is obvious that the first three applications have similar
requirements for horizontal positioning accuracy, horizontal alert limit and
maximum standard deviation, but different requirements for update time interval.
The last application Diagnostics of infrastructure has completely different
Table 1:
Non-safety
railway
application
HAmax
HAL
max
PTPL,ff
Kmin
t
max
MTBFmin
MTTRmin
MDTmax
MUTmin
Amin
Pfm,max
Requirements for GNSS-based railway applications.
Application 1:
Performance
charging of
railway
infrastructure
8.6 m
22 m
3.5 m
1-3.8x10-17
8.7
10 min
4.17x10-2 h-1
24 h
0.19 h
70 h + (1ASIS)Ty
ASIS Ty 70 h
99.2% - (1ASIS)
5.42x10-7 year-1
Application 2: Application 3: Application 4:

Position
Fleet
Diagnostics of
monitoring of management infrastructure
trains / wagons
10 m
8.6 m
5.7x10-3 m
25 m
22 m
0.01 m
4m
3.5 m
0.0035 m
1-6.3x10-22
1-3.8x10-17
1-10-4
9.9
8.7
4.291
30 s
5 min
30 min
1.39x10-2 h-1
1.39x10-2 h-1
2.08x10-2 h-1
72 h
72 h
48 h
0.25 h
0.25 h
0.22 h
30 h + (130 h + (139 h + (1ASIS)Ty
ASIS)Ty
ASIS)Ty
ASIS Ty 30 h ASIS Ty 30 h ASIS Ty 39 h
99.7% - (199.7% - (199.6% - (1ASIS)
ASIS)
ASIS)
7.63x10-9 year-1 1.9x10-7 year-1 1.4x10-4 year-1
713
requirements for these quality measures. Therefore, the analysis of the proposed
requirements will be summarized together for the first three applications and
performed separately for the last application.
With regard to various railway environments, the value of Horizontal Alert
Limit (HAL) can be increased to 50-100 m for many railway applications,
including safety-related ones. This should have a positive impact on the
reliability of the GNSS position determination.
Horizontal Accuracy
Horizontal Alert Limit
Estimated standard deviation of the model cumulative
max
distribution function that overbounds the GNSS position
uncertainty along semi-major axis of the error ellipse in xy plane
Update time interval
t
Probability of correct position determination of the Train
PTPL,ff
Position Locator (TPL)
Confidence coefficient
Kmin
Failure rate
max
Minimum value for required Mean Time Between Failure. In
MTBFmin
practice, the actual MTBF is much higher.
Mean Time to Repair
MTTRmin
Repair rate
max
SIS availability on the track
ASIS > 1%
Mean Down Time
MDTmax
Mean Up Time
MUTmin
Minimum service availability
Amin
Maximum probability of major failures
Pfm,max
Time interval (1 year)
Ty = 8760 h
HAmax
HAL
3 Evaluation of static measurements

Static measurements were performed in the laboratory at the known position of
the GNSS antenna. The aim of these experiments was to evaluate the correctness
of calculation of GNSS data that will be further used to verify the dependability
requirements of railway applications. The determination of dependability from a
railway user point of view means the evaluation of the reliability and availability
of GNSS position determination. Since the attributes of dependability primarily
depend on the accuracy of GNSS positioning and GNSS position error is
unknown for the user, it will be necessary to deal with the evaluation of
probability distribution of position error and find out whether this distribution
satisfies the assumptions given in [4].
Fig. 1 shows the record of static measurement from the GPS/EGNOS receiver
PolaRx3 in the SBAS (Space Based Augmentation System) En-route/ NPA
mode. The duration of this measurement is 26 375 s (7.3 hours). The elevation
mask was set to 5 degrees and with a recording time interval of 1 s. Fig. 1 shows
the time dependence of the Horizontal Protection Level (HPL), the real

Horizontal Position Error (HPE), the estimated maximum standard deviation max
and the number of received satellites (SV). The reference antenna was situated in
a stationary point with good visibility to satellites. The minimum number of
visible satellites was 6 and the average number of received satellites was 8.6.
During these tests, under very good SIS reception conditions, the values of
horizontal positioning error HPE were less than 2.7 m. For the calculation of
GNSS integrity risk it is supposed [4] that the horizontal position error is
chi-square distributed and the integrity risk in the horizontal plane is calculated
on the basis of the Rayleigh distribution with parameter max. The GNSS receiver
estimates the standard deviation max in each epoch of measurement (fig. 1).
Values of max are used to calculate the horizontal protection level HPL with a
probability of missed detection PMD = 5x10-9 and the corresponding coefficient
KMD = 6.18 [2].
For a verification of assumptions in [4] it was necessary to carry out more
detailed analysis of HPE probability distribution. The histogram of HPE is
shown in the fig. 2(a) bar graph. In order to investigate the characteristics of the
probability distribution of HPE, the position errors xerror, yerror in orthogonal
directions x, y were tested for the hypothesis that both variables have Gaussian
probability distributions. Based on the results of the Jarque-Bera test, Liliefors
test, chi-square goodness-of-fit test and analysis of the curves of Q-Q plots, see
fig. 2(b) and fig. 2(c), Gaussian distributions can be assumed for these errors
with the following parameters: xerror ~ N(x = 0.308 m, x2 = 0.08 m2), yerror ~
N(y = 0.91 m, y2 = 0.14 m2). Then the resulting horizontal position error HPE
has two-dimensional normal probability distribution with the probability density
16
HPL
HPE
max
HPL [m], HPE [m], max [m], SV
14
SV
12
HPL
10
SV
6
HPE
max
0.5
1.5
Time [s]
Figure 1:
2.5
4
x 10
Time dependency of measured data from the receiver PolaRx3 in

En-route/NPA mode.
Probability density (pdf)
(a)
715
Histogram of horizontal position error / Probability density
1.4
rel. hist HPE

pdf N(HPE, HPE)
1.2
1
N( HPE, HPE)
0.8
0.6
pdf Rayl(min(max))
Rayl(min(max))
0.4
0.2
0
0.5
1.5
2.5
HPE [m]
QQ plot of xerror vs. standard normal
QQ plot of yerror vs. standard normal
3
Quantiles of yerror
Quantiles of xerror
1.5
1
0.5
0
-0.5
-1
-1.5
-5
Figure 2:
2
1
0
-1
-5
Standard normal quantiles
Standard normal quantiles
(b)
(c)
Histogram of horizontal position error and Q-Q plots of orthogonal

position errors xerror, yerror versus standard normal (colour online
only).
f ( x, y )
1
2 x y 1
where is correlation coefficient
2 1
x 2
x x y y y y
x
2
x y
y2
x
, (1)
xy
.
x y
The probability that the HPE exceeds the horizontal alert limit HAL (the
double integral cannot be expressed explicitly) corresponds to the failure of
position determination (Mocek et al. [1]), which is considered as horizontal
integrity risk in [4]:
P HPE HAL H 0 1 PTPL , ff 1

2
f ( x, y)dxdy .
2
(2)
x y HAL
The resulting error in the horizontal plane generally does not have the
character of the Rayleigh distribution, since conditions for such distribution are
not fulfilled: 1) errors in the orthogonal directions must be normally distributed,
2) they have to be independent, 3) they have zero mean values and 4) they have

the same variances. From eqn. (2) it can be derived that the failure of GNSS
positioning corresponds to the Rayleigh distribution only under these conditions:
P HPE HAL H 0 , 0, x y 0, x y
e
HAL2
2 2
1 cdf Rayleigh HAL, Pfail ,Rayleigh .
(3)
However, not all of these conditions are fulfilled in the case of given static
GNSS data. Two-dimensional normal distribution of HPE can be approximated
by normal distribution instead of Rayleigh: HPE ~ N(HPE = 1 m,
2
= 0.13 m2). The probability density of this normal distribution is depicted
HPE
with the blue solid line in fig. 2(a). The red dashed line shows the probability
density of the Rayleigh distribution with the smallest standard deviation
min(max) = 1.3 m. Normal distribution very well matches to the HPE, as is
evident from figs. 2 and 3, and this was also demonstrated by the numerical
integration of eqn. (2) for several values of HAL.
The probability distribution of the GNSS positioning error is supposed to be
bounded by the Rayleigh distribution with parameter max. Since the probability
distribution of HPE is approaching the Gaussian distribution, the probability
distribution of the position error has to overbound to this Gaussian distribution,
as is illustrated in fig. 3.
10
10
1 - PTPL,ff
10
10
10
Probability |HPE| > HAL
Pfail,Rayleigh
Pfail,HPE
-5
Pfail,Gauss
-10
-15
-20
Pfail,HPE(HAL)
10
10
Pfail,Gauss(HAL,HPE, HPE)
-25
1-cdfRayleigh(HAL,min(max))
-30
0.5
1.5
2.5
3.5
4.5
HAL [m]
Figure 3:
Failure probability of position determination:

static
measurement,
Gaussian distribution,
considered Rayleigh
distribution from GNSS.
717
By using inequality (4) it is possible to prove that the normal distribution is in

this case bounded by the Rayleigh distribution, given that max 0.87 m:
erfc( x)
ex
x x
2
(4)
We want to prove that
Pfail ,Rayleigh Pfail ,Gauss HAL, HPE , HPE ,
(5)
where
Pfail ,Gauss HAL, HPE , HPE 1 cdf Gauss HAL, HPE , HPE
cdf Gauss HAL, HPE , HPE
Lets use a custom substitution of x
HAL HPE
1
erfc
2
2 HPE
(6)
.
HAL HPE
. After substitution of
2 HPE
eqns. (3) and (6) to eqn. (5), and applying inequality (4) we get
max
HPE 2 HPE x
max
0.87 m. (7)
4
2
2
2 x ln ln x x

This overbounding is valid from the specific alert limit exceeding value of
HALmin. The dependence between parameter max and HALmin can be derived on
the assumption that the probability Pfail , Rayleigh is equal to the Pfail ,Gauss . After
using eqns. (3) and (6) we obtain
max
HALmin
1
HALmin HPE
2 ln erfc
2
2
HPE
(8)
HALmin value cannot be explicitly expressed from eqn. (8). It must be

determined by numerical iteration. For min(max) = 1.3 m the value of HALmin =
0.46 m can be obtained. Since the minimum standard deviation also satisfies the
condition given by eqn. (7), the probability of failure of GNSS positioning is

always considered higher for horizontal alert limit greater than HALmin. Rayleigh
distribution very well overbounds calculated Gaussian distribution, especially for
higher values of HAL. This is also valid for all Rayleigh distributions supposed
during the whole measurement.
After verification of behaviour of the GNSS system with regard to the
positioning accuracy, we can proceed with the analysis of requirements for
railway applications. For the first three applications, the maximum position error
does not exceed the estimated maximum standard deviation max. Horizontal alert
limit in the range of 22 m to 25 m fits well with the use of the protection level of
the EGNOS system with regard to the occurrence of major failures. The real
position error does not exceed HAL or HPL. Reliability and availability of
GNSS positioning for the given static measurement is 100%.
Regarding the last application Diagnostics of infrastructure there is not
possible due to its character to make a significant change of acceptable value of
HAL. Horizontal accuracy of the EGNOS system was identified as 1.6 meters in
95% of cases. This value is much higher than desired HAL of cm level.
Requirements for this application cannot be met by means of EGNOS system.
Other GNSS systems or future Galileo system will be also unable to meet such
stringent accuracy requirement, because the accuracy of SBAS differential
systems is in the range of meters. Since the application does not require frequent
sending of position information (30 min) and the probability of occurrence of
major failures is much lower in comparison with the other applications, the
solution for this application could potentially be the usage of the GNSS RTK
mode (cm level accuracy) in combination with longer static measurements.
4 Dynamic performance verification

4.1 Experiments carried out on the track
Experimental dynamic verification with the GNSS receivers PolaRx3 in Enroute/ NPA mode was realized with a mobile robot on the test track Pardubice Nemoice. Another measurement was carried out with the measuring rail vehicle
on the track Pardubice Brno Stelice. The purpose of these tests was to verify
position and protection level determination with respect to dynamic behaviour of
the GNSS receiver in real conditions on the track. Dependability attributes for
each application have been also derived.
Static measurement described in the previous chapter was characterized by a
very good SIS reception. Position and protection levels were continually
computed and provided from the GNSS receiver. The situation is completely
different for dynamic measurement under real railway conditions, when the
GNSS position and protection level determination are influenced by different
availability of SIS due to local obstacles along the track. GNSS receiver does not
determine its position or protection level in some cases of partial or full SIS
blocking. However, the greatest influences on the positioning have the transition
states characterized by intermittent reception of SIS, see fig. 4. HPL values can
719
then reach several tens of meters. This reduces the possibility of using such
information. Nevertheless, if continuous SIS reception is guaranteed for a
sufficiently long time after the transition state, soon there is a significant
reduction of HPL to an acceptable value that is lesser than the alert limit of the
application.
Dependability attributes depend on mutual relationship between protection
level, alert limit and position error. The availability of position and HPL
determination based on SBAS En-route/ NPA mode is ASIS = 91.4% (TSIS 8 h).
These values have been determined for the entire track with consideration of 1
second GNSS update rate. However, applications can obtain information with
the longer time interval t. Cases where the position is not determined or the
alert limit is exceeded during the time interval t occur only for the second
application. Availability requirements with using GNSS SoL service are met,
since the actual availability for all applications is higher than the required
availability, see values of Amin in table 2. Reliability of correct position
determination and probabilities of different failure modes (safe, dangerous,
detected, undetected) are also shown in table 2. Minimum reliability Rmin during
the time interval TSIS is calculated on the basis of term Rmin (TSIS ) e maxTSIS .
Based on the numerical values in table 2, requirement for Rmin is fulfilled for 1
second update time interval from GNSS receiver.
100
HPL [m]
80
60
40
20
0
0.2
0.4
0.6
0.8
1.2
1.4
1.6
1.8
100
2
4
x 10
max [m]
80
60
40
20
0
0.2
0.4
0.6
0.8
1.2
1.4
1.6
1.8
SV
15
2
4
x 10
10
5
0
0.2
0.4
0.6
0.8
1.2
1.4
Time [s]
Figure 4:
1.6
1.8
2
4
x 10
Time dependency of the measured data on the track.

Table 2:
Dependability attributes for railway applications.
Application no.
Availability of position and HPL on the track
Amin required
Amin real
Rmin(TSIS)
Reliability (correct position determination,
i.e. no failure)
HPE HPL HAL, R(TSIS) =
Safe undetected failure
HPL < HPE HAL, PFSU(TSIS) =
Dangerous undetected failure
HPL HAL < HPE, PFDU(TSIS) =
Safe detected failure, i.e. false alarm
HPE HAL < HPL, PFSD(TSIS) =
Dangerous detected failure, i.e. true alert
HAL < HPL < HPE, HAL < HPE < HPL,
PFDD(TSIS) =
1
2
3
ASIS = 91.4%, TSIS = 7.9
h
90.6% 91.1% 91.1%
100% 96.7% 100%
71.9% 89.6% 89.6%
95.7% 96.2% 95.7%
0%
0%
0%
0%
0%
0%
3.9%
3.4%
3.9%
0.4%
0.4%
0.4%
4.2 Significant limitation of satellite signal reception

To analyze the usage of GNSS SoL service in adverse SIS reception conditions a
lot of dynamic measurements were performed with a car in pre-selected critical
areas. SIS reception was often insufficient and mentioned transition states have
occurred very frequently in these areas.
Numerical values of dependability attributes from one specific experiment are
expressed in table 3. The availability of positioning and protection level
determination was only 47% during this measurement under very limited SIS
reception conditions. Availability requirements are met, but reliability
requirements are not met. This is caused by frequent occurrence of false alarms.
The number of false alarms much exceeds that of true alerts. The reason for the
occurrence of so many false alarms is that the protection levels in such adverse
conditions of SIS reception do not reach the values smaller than the proposed
alert limit of the application. No case of undetected failures was found.
Reliability could be only achieved by increasing of HAL to a tenfold value,
which cannot be accepted for these applications. Viable solution for the usage of
GNSS for railway applications in such critical environment can bring integration
of GNSS with other sensors.
4.3 Availability of GNSS navigation modes
Improvement of availability of EGNOS NPA and PA navigation modes has been
demonstrated in area of limited SIS reception by means of SIRF III technology.
Table 3:
721
Typical dependability attributes for the environment with adverse

reception of SIS.
Application no.
Availability of position and HPL on
the track
Amin required
Amin real
Rmin(TSIS)
Reliability R(TSIS) =
Safe detected failure, PFSD(TSIS) =
Dangerous detected failure,
PFDD(TSIS) =
Table 4:
Satellites
0
13
46
>6
1
2
3
ASIS = 47%, TSIS = 26
min
46.1% 46.6% 46.6%
100% 75.7% 100%
98.2% 99.4% 99.4%
54.8% 58.0% 54.8%
44.4% 40.4% 44.4%
0.8%
1.6%
0.8%
Availability of GNSS navigation modes.
SIRF III
receiver
1%
0%
1%
98%
PolaRx3: NPA
mode
50%
0%
15%
35%
PolaRx3: PA /
autonomous
22%
4%
32%
42%
Table 4 shows that the receiver SIRF III receives mostly more than 6 satellites
regardless of the adverse SIS reception conditions. It is obvious that the number
of received satellites from SIRF III receiver is much higher in comparison with
PolaRx3 receivers. The first receiver PolaRx3 was set in the NPA mode, while
the second PolaRx3 receiver was configured in the PA/ autonomous mode.
Table 4 also shows that availability of EGNOS SBAS navigation modes depends
on the reception of SIS from geostationary satellites. The SIS reception of SBAS
mode is available only from 3 geostationary satellites. For this reason, the NPA
mode is unavailable for more than 28% of PA/ autonomous mode. The future
Galileo system will receive SBAS signal from all satellites that will also increase
the availability of GNSS position determination and related quality measures.
5 Conclusion
This paper deals with the practical analysis of quantitative requirements for
quality indicators of selected railway applications using GNSS SoL services.
This analysis represents a part of the certification process of the GNSS system.
Since the GNSS system is unable to meet demanding requirements for railway
safety-related applications, the analysis was carried out only for non-safety
related railway applications.
First of all, static measurements were performed and assumptions of the
GNSS system behaviour under standard conditions of SIS reception were
verified. Dynamic tests were then realized for subsequent analysis of vehicle

position and protection level computation in adverse conditions of SIS reception
in real railway environment. Experimental tests were carried out using
GPS/ EGNOS receivers that meet requirements for the SoL applications.
In order to use GNSS system in railway safety-related applications, there is
necessary to determine dependability attributes of the GNSS system and
subsequently use them for design and verification of a safe train position locator
consisting of several diverse sensors. Dependability assessment of the EGNOS
system is the subject of our current research. It is particularly based on long-term
experimental measurements and subsequent evaluation of measured data using
the theory of random processes in time and frequency domains.
Acknowledgement
This work was supported by the Ministry of Transport of the Czech Republic
under contract no. CG743-037-520.
References
[1] Mocek, H., Filip, A. & Baant, L., Galileo Safety-of-Life Service Utilization
for Railway Non-Safety and Safety Critical Applications. STECH'09,
Niigata, Japan, June 16-19, pp. 148-149, 2009.
[2] RTCA DO-229D. Minimum operational performance standards for GPS
WAAS Airborne Equipment. RTCA, Inc., Washington, D.C., 2006.
[3] Filip, A., Beugin, J., Marais, J. & Mocek, H., Safety Concept of Railway
Signalling Based on Galileo Safety-of-Life Service. COMPRAIL 2008,
Toledo, Spain, Sept 15-17, pp. 103-112, 2008.
[4] Galileo Integrity Concept. ESA document no. ESA-DEUI-NG-TN/01331,
2005.
723
Modelling and design of the formal approach

for generating test sequences of ETCS level 2
based on the CPN
X. Zhao1, Y. Zhang1, W. Zheng2, T. Tang1 & R. Mu2
1

2
Abstract
ETCS Level 2 (European Train Control System Level 2, ETCS-2) has drawn
particularly attention from researchers and industries. A new CPN model-based
formal approach for test cases and sequences generation is proposed in this paper
to increase the test automation degree of the ETCS-2 system and subsystems.
In this paper, a set of modelling rules is presented firstly to make the
Coloured Petri Net (CPN) model more suitable for test generation. Then, an
automated test approach is described in detail, which includes an automatic test
case generating algorithm and a type of automatic test sequence searching
algorithm. The generated set of test cases satisfies specified coverage. The test
sequence searching algorithm guarantees the results satisfying the minimum
number of test sequences covering all test cases. The output of this approach is a
set of well-formed XML (Extensible Markup Language) file to increase the
automation degree of the test executing process. Finally, a partial model of
ETCS-2 On-Board subsystem is built and analysed using the CPN Tools as a
case study. The model-based formal approach is implemented on this model and
the test cases and test sequences are all generated in a form of XML. The
conclusion show that the CPN-model based testing approach can be used to
improve the automation of the testing procedure and the generated test cases can
meet the relative requirement.
Keywords: ETCS-2, CPN, test generation, formal method.
doi:10.2495/CR100661
1 Introduction
In recent years, the safety-critical system has been come closer to peoples` life.
Safety critical system (SCS) is a computer, electronic or electromechanical
system whose failure may cause injury or death to human beings as in Chen [1].
ETCS-2 is a typical SCS. In order to ensure the correctness of its behaviour
function, there are two commonly used techniques: validation and testing.
Testing is the only method which can be used to verify the dynamic behaviours
of SCS in running time as in Wegener et al. [2].
With more and more attention has been paid to the testing automation of the
Safety-Critical System. How to improve test automation and testing efficiency,
and reduce testing costs and risk factors of the testing process has increasingly
become the focus and hot spots of the research in the testing field. Model-based
testing (MBT), which is to compare the I/O behaviours of a valid behaviour
model with that of a system to be tested (the system under test, SUT), has been
closely watched in recent years.
Model based test generating, which is a method to generate the test cases and
test sequences according to the formal model of SUT, is the most important
content of MBT. Since 1970s, there had been many test generating methods
based on variety of models, such as U-method in Chan and Vuong [3], D-method
in Sidhu and Leung [4] and Wp-method in Fujiwara and Bochmarm [5]. But
these methods cannot describe the time constraints. Since the 1990s, with the
gradual maturity of many formal modelling theory, such as the Temporal logic in
Lamport [6], Time Input/Output Automata (TIOA) in Alur and Dill [7] and
Timed transition system in Henzinger et al. [8], many Model based test
generating methods based on these models has been presented, including Test
time Automa in Badban et al. [10] and TIOA based testing method in Hessel et
al. [9] etc. However, most of these methods can not describe the Concurrent
behaviours of the SUT, also the test cases and sequences generated through these
methods are too abstract to be executed, and the generating process is not
automatic. Kim et al. generate the test cases separately according to the control
flow and data flow on the basis of UML state charts model in Kim et al. [11].
However, its limitation on describing the communication between the numbers
of objects causes the low test generating coverage. Nogueira et al. [12] and
Helke et al. [13] did the test sequence generation based on the Communication
Sequence Process (CSP) model and Z model, but these models are too abstract
which makes the generating result more unexecutable.
Table 1 is simply comparing among the formal modelling languages which
have been used in test generation.
According to these advantages of CPN described in Table 1, this paper
presents a test cases and sequences generating approach on the basis of CPN, and
applies this approach to the ETCS-2 system testing. The paper is organized as
follow. In Section 2, we define the test case, test subsequence, test sequence and
test coverage degree in a formal way according to the CPN definition. In
Section 3, we describe the test generation method, including the test case
generating method, the test subsequence generating method and the test sequence
Table 1:
Formal
Language
TIOA
UML
CSP
Z
CPN
725
Compare among the modelling languages.
Modelling
Level
Abstract
Abstract/Concrete
Abstract
Abstract
Abstract/Concrete
Verification
capability
Strong
No
Strong
Strong
Medium
Executable
No
Yes
No
No
Yes
Modelling
process
Easy
Easy
Hard
Hard
Easy
Data
Type
Medium
Rich
Simple
Simple
Rich
generating method. In section 4, a XML format for describing test cases and test
sequences is proposed. In Section 5, together with the example of On-Board
subsystem in ETCS-2. Finally, we evaluate the whole method and discuss
possible improvements in the future.
2 CPN based modelling method for test generation

2.1 Coloured Petri Net and relative definitions
Coloured Petri Nets (CPN) is an extended Petri Nets which is a graphical and
mathematical modelling tool proposed by Kurt Jensen. And it can be used to
model systems with complex procedures as in Jensen [14] and applicable to
describe many types of systems. The locations that can be used to carry
information in the graph element of CPN are showed in Fig. 1.
Figure 1:
Information Location in CPN graph element diagram.
In Fig. 1, the INIT MARK location in (i) carries the initialized data; the
PLACETYPE location in (i) carries the colour types information; the
ACRVAR location in (ii) carries the name of the variable to be passed; In (iii),
the GUARD location carries the data selection and comparison information;
the TIME location carries the time restriction information; while the ACT
location carries the data computing information. In the following part, these
locations are used to be searched for information that needed by test data
generation process.
On the basis of the definition of CPN in Jensen [14], some relative formal
definitions will be introduced and these will be the foundation of the following
work.
Definition 1. Test Case Based on the CPN
A Test Case Based on the CPN is an eight-tuple TCCPN = {IA, ID, OA, OD, SC,
SCD, EC, ECD}, where:

IA is a finite subset of input ports, I A PN and n I A :[ PT (n) in] .
OA is a finite subset of output ports, OA PN and n OA :[ PT (n) out ] .
IA and OA must be in the same subpages: I O Ps, s S
ID is a set of the input data, and corresponding with the IA.
OD is a set of the output data, and corresponding with the OA.
SC {GFSC , IFSC , IP} represents the start condition, and is a finite set of
fusion places and internal input ports.
EC {GFEC , IFEC , OP} represents the end condition, and is a finite set of
fusion places and internal input ports, where:
GF , IF FS ,[f GF , FT ( f ) globle] [f IF , FT ( f ) page]

IP, OP PN ,[p IP, PT ( p) in] [p OP, PT ( p) out ]
Both in SC and EC, the GF set and IF set can not be empty at the same time,
and the situation (GFSCGFEC) (IFSCIFEC) should not exist in one test
case.
SCD is the data set of the start condition corresponding to SC, and ECD is the
data set of the end condition corresponding to EC.
Definition 2. Test Subsequence
A test subsequence is a six-tuple TSsub = {SS, SCSS, SCD, ECSS, ECD, w}
where:
SS is a finite set of test cases which are in order, and the order reflects the
sequence of the test cases to be executed in the subsequence. Here, tc1 represent
the first test case to be executed and tcn represents the last test case to be
executed in the subsequence.
SCSS is a finite set of the start conditions, SCSS {GFSC , IPtc1} , where
SS
GFSCSS GFSCtci ,1 i | SS | which means that the start condition set GFSCSS is
the combination of the start condition; the start condition of a test subsequence
IPtc1 is the same with IP set in the first test case in the subsequence.
ECSS is the set of end condition: ECSS {GFEC , OPtc } , where
SS
n
GFECSS GFECtci ,1 i | SS |
SCD and ECD is the data set corresponding to SCSS and ECSS separately.
Note: For each subpage S, there is a test case set TCS corresponding to it. If
TC
TC
sub
S makes the
there is a subset
tci , tc j TCsub [ IFSCi IFSCj IFECi IFECj ] (0 i j<|TCsub |)
coming into existence, then we can get a corresponding test subsequence, and
then get the executing order of the test cases in the SS set according to the IFD
information of each test case.
w=|SS| is the number of the test cases in a test subsequence, which represents
the weight of the test subsequence and contributes to the optimizing of the test
sequence.
727
Definition 3. Test Sequence

Test sequence is a five-tuple {TSSCSSSCD, ECSS, ECD}, where:
TS is a set of test sub sequences and test cases, which is an ordered set. The
order reflects the executing order of the test cases and the test sub sequences.
Here, tc1 represent the first test case to be executed and tcn represents the last test
case to be executed in the subsequence.
SCTS is the start condition set which is a finite set of global fusion places. If
the first one to be executed in the test sequence is a test case, then
SCTS GFSCtc1 ; else if the first one to be executed in the test sequence is a test
subsequence, then SCTS SCSStc .

1
ECTS is the end condition set which is a finite set of global fusion places. If
the first one to be executed in the test sequence is a test case,
then ECTS GFECtc ; else if the first one to be executed in the test sequence is a
1
test subsequence, then ECTS ECSStc .
n
SCD and ECD is the data set corresponding to SCSS and ECSS separately.
Definition 4. Test cases Coverage Criteria All-Edge Coverage
A test case set satisfies all-edge coverage means that if we execute all test
cases on system CPN model, all arcs will be passed at least once. For the nonarchitecture CPN model S {, P, T , A, N , C , G, E , I } , the all-edge coverage
E ( S ) can be defined as: arc A arc E ( S ) .

Definition 5. Test sequences Coverage Criteria All test cases Coverage
All test cases coverage means that the test sequences set should cover each
test case in the test cases set at least once.
Definition 6. Test sequences Coverage Criteria All Path Coverage
According to the start condition and end condition of every test case, we can
represent the relationship using a Directed graph. All path coverage means that
the test sub-sequences set should cover all edge in the test cases set at least once.
2.2 Rules of CPN based modelling for test generation
The definitions 1 to 3 can be the generting targets. And in response to these

generation targets 12 rules are presented in this section to regulate the
modeling process, and cover all of the information:
Rule 1: Using hierarchical modeling approach to build a three-tier model,
including System level, Senario level and Function level, to make the model
clearer and easier to manage. Moreover, this will make the input/output type and
the port information available.
Rule 2: In the model, the ports between different object must have INPUT or
OUTPUT option; It is not allowed that the port with I/O option existing in the
model.
Rule 3: The data processing-related functions, such as data decomposition,
data restructuring and data searching, must be implemented with the use of
Meta-Language (ML).

Rule 4: The Branch selection structure like: if/else and case/swich, should not
be described by the ML languange, these should be modeled using places and
transitions.
Rule 5: All of the judgment of the data content should be reflected in the
GUARD location, and the Color name should be reserved.
Rule 6: In the internal of the third level sub-pages, use Partial Fusion Places
to reflect the order information, and use nature number N to express the order.
Rule 7: In the third level, use Global Fusion Places and Internal Ports to
reflect the relationship between sub-pages for test sequence generation.
Rule 8: In the whole model, the color definition, the variable naming the
place naming should obey a unify rules.
Rule 9: Exept for the arcs connected with the fusion place, the variables on
the other arcs should be belonged to the color set defined globally.
Rule 10: The definition of the color sets should separates the input color set,
the output color set and other type of color set; So that we can recognize the
input port and output port in the model.
Rule 11: The Fusion places is only allowed to be exsiting in the third level
model.
Rule 12: During the color set definition, the variables should be defined with
the value range according to the specification.
3 Test sequence generation method

In this section, we first describe the integrated structure of the overall test
generating method. There are three phases: modelling, test case generating and
test sequence generating. The overall block diagram is shown as Fig. 2.
In the modelling phase, the model must conform to the System Requirement
Specification and also satisfy the modelling rules presented in section 2, and
some model checking based verification methods are used here to make sure the
correctness and conformance of the model.
Figure 2:
Overall block diagram of test generation.
729
3.1 Test case generation
Based on the definition of Test Case given in section 2, the generation process
can be divided to 3 steps: (1) Generation of input ports set IA and output ports set
OA; (2) Generation of start condition SC and end condition EC; (2) Generation of
ID OD SCD and ECD (Test Data Generation)
The main idea of the test case generating method is described as follows: In
each non-hierarchical CPN model, we first specify all input ports in the model as
a starting set and all output ports in the model as an ending set, then make use of
the APBTN algorithm to get all possible paths between these two sets to form
the path set PATH1. Second, a Path optimizing algorithm is proposed to select
valid paths and combine invalid paths into valid paths, and obtain the valid path
set PATH2. Third, an order information adding algorithm is used to add start
condition information and end condition information to PATH2. For each path in
PATH2, the start condition is the fusion places or internal input ports which can
reach to the path through a sub path, and the end condition is the fusion places or
internal output ports that can be reached from any node in the path. Then, we can
get the complete valid path set PATH3. Forth, a input and start condition data
searching algorithm is used to get the input data and the start condition data of
each path in PATH3. At last, making use of the dynamic executing property of
CPN model and the interfaces with programming languages supplied by CPN
Tools, we can get the expected output data and the end condition data.
Until now, through the generation of IDSCDECD and OD, we can get all
the test cases of the CPN model.
3.2 Test sub-sequence generation
The test cases generated last section includes the start condition and end
condition. On the basis of this information, this section and the next section will
introduce the test sub-sequence generating method and the test sequence
generating method.
First, we explain the reason for generating sub-sequence.
As shown in Fig. 3, we assume that the Scenario I includes eight test cases. In
the SC of TC1, the GF or IP is not empty which means that the start condition of
this case is a global one that coming from another scenario. In the EC of TC6
and TC8, the GF or IP is not empty which means that these test cases can lead to
other scenario. In the SC of the other five test cases in Scenario I, the GF and IP
is empty, so that these test cases have no information helping to organize them
directly into test sequence. But the IF of SC in these test cases is not empty and
can help to organize them into sub sequence in the internal of Scenario I, and the
sub-sequences have the information that can contribute to generating test
sequences, such as sub-sequence TC1TC2TC7TC8. Simply to say, the
target of test sub-sequence generation is to connect the test cases in each scenario
and make them having the information that can help to organizing them into test
sequence.
Sometimes, we only need that every test case is executed just once; but
sometimes, we need that each possible path in the scenario must be executed. For
Figure 3:
Relation between test cases and sub-sequences.
the two situations, two different algorithms are proposed to get different subsequence sets.
3.3 Test sequence generation
On the basis of the start condition, end condition and weight information
supplied by test sub-sequences. We proposed a test sequence generation method.
The generating target is:
a. The least number of test sequences;
b. The least repeat of test cases;
c. All test sub-sequences covered = all test cases covered;
Through this approach, we can obtain a complete test sequence set. But this
set is not the unique one. According to different requirements, we can get
different test sequence sets. For example, when first test the system, there may
be many errors existing in the system, if the test sequence is too long, it may
cause the test sequence can not be executed fully. So under this situation, the
requirement may be to generate test sequences with suitable length. For different
requirement, the algorithm can be adjusted.
4 XML based test description method

According to the generating result of section 3, the information required in the
definition of test case and test sequence has already been included. But they can
not been executed directly yet, we need an efficient description method to make
the test cases and test sequences more executable.
XML (Extensible Markup Language) is a very suitable language for test
description which has many advantages:
Structured, expandable, platform-independent

language for the description of data;
and
standardized
731
Good and suitable for formal data format for the representation of tests
and their reference data;
Equally readable and interpretable for humans and software
applications.
Based on these advantages, this paper proposes a XML format for test case
and test sequence, shown as Fig. 4.
This XML format has been used as the target of the test case generating and
test sequence generating.
(i) Test case format

Figure 4:
(ii) Test sequence format
ML format for test case and test sequence.
5 Case study
In this section, we will apply the whole approach. First, according the modelling
rules presented in section 2.2 and the ETCS system requirement specification
Subset 026 (SRS), we finished the model in System level and Scenario level,
and the function model of the Registration and Start Scenario (R&S), On Sight
mode Running Scenario (OSR) and the Logout Scenario (LO) in Functional
level.
The result of test case generation for each scenario is shown below:
Table 2:
Scenario
R&S
OSR
LO
Places
Number
48
18
25
Transition
Number
61
15
16
Test case generating result.

Test case
Number
48
11
14
Coverage
Criteria
All-Edge
Coverage
Test case
Cover
51
21
6
Test case
uncover
3
0
0

The Test case cover column and the Test case uncover column in the
table represent the comparing result between the generating result and the
ERTMS/ETCS SUBSET 076-5-2:Test cases related to features (SUBSET076-52). From the table, we can see that the generating result of On Sight Scenario and
Logout Scenario has covered all corresponding test cases in SUBSET076-5-2,
and there are only three test cases in SUBSET076-5-2 have not been covered in
Registration and Start Scenario. They are:
(1) The On-board sub system should show driver the SB mode when it is in
SB mode;
(2) The On-board sub system should show driver the ETCS level 2 when it is
in ETCS level 2;
(3) When the received message has conformance error, the On-Board
subsystem should send error report to Radio Block Centre subsystem.
Through analyzing, we found that because the functions corresponding to
these three uncovered test cases are not only belonging to one scenario, and we
modelling these functions into a separate scenario model. That is to say, these
test cases can be covered by another scenario test generating result.
According to the test case generating result, we generate the sub-sequences
and test sequences. The result is shown in table 3 and table 4.
Table 3:
Scenario
R&S
OSR
LO
Test case
Number
48
11
14
Table 4:
Scenario
Sequence
1. R&S
2. OSR
3. LO
Test sub-sequence generating result.

Coverage
Criteria
All Test cases
Coverage
Subsequence
Number
11
6
6
Test sequence generating result.
Subsequence
Number
11
6
6
Coverage
Criteria
Subsequence
Number
All Test cases

Coverage
11
The generating result shows that it satisfies all executing requirements,

because it has all test information and test data which is needed by the executing
process.
6 Conclusion
This paper has proposed a new type of model-based formal approach for test
cases and sequences generation and applied it to ETCS-2 system and
subsystems. This approach ensures the availability from three aspects. First, the
modelling rules make the system model containing all the information that
testing process needs. Second, the test cases generating method and test
733
sequences generating method make the generating process more automatic.

Third, the XML test description form helps to increase the executable degree of
the test cases and test sequences. The case study shows that this method has a
high coverage and test generating automation degree.
Acknowledgements
We wish to acknowledge the support of the National High-Technology Research
and Development Program ("863"Program) of China No. 2009AA11Z221,
National Science & Technology Pillar Program of China No. 2009BAG12A08,
and the Fundamental Research Funds for the Central Universities
No. 2009YJS013.
References
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System Based on Timed Automata. Journal of Software, 18(1), pp. 62-73,
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[2] Wegener J., Sthamer H., Jones B.F., & Eyres D.E., Testing real-time
systems using genetic algorithms. Software Quality Journal, (6), pp. 127l35, 1997.
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procedure based on UIOS. Proc. on Communications Architectures&
Protocols, eds. Landweber LH, Symp. ACM Press: New York, pp. 283294, 1989.
[4] Sidhu D., & Leung T., Formal methods for protocol testing: A detailed
study. IEEE Trans. on Software Engineering, 15(4), pp. 413-426, 1989.
[5] Fujiwara S., & Bochmarm G.V., Test selection based on finite state models.
IEEE Trans. on Software Engineering, 17(6), pp. 591-603, 1991.
[6] Lamport L., The temporal logic of actions. ACM Trans. on Programming
Language and Systems, 16(3), pp. 872-923, 1994.
[7] Alur R., & Dill D., A theory of timed automata. Theoretical Computer
Science, l26(2), pp. 183-235, 1994.
[8] Henzinger T., Manna Z., & Pnueli A., Timed transition system. Proc. of the
Real-Time Theory in Practice, REX Workshop, eds. J.W.D. Bakker,
C.Huizing, W.P.D. Roever, G. Rozenber, LNCS 600, Springer-Verlag:
Berlin, pp. 226-251, l992.
[9] Hessel A., Larsen KG., & Mikucionis M., (eds). Testing real-time systems
using UPPAAL. Lecture Notes in Computer Science, v4949 LNCS, pp. 77117, 2008
[10] Badban B., Franzle M., & Teige T., Test Automation for Hybrid Systems.
Proc. of the Third International Workshop on Software Quality Assurance,
pp. 14-21, 2006.
[11] Kim Y.G., Hong H.S., & Bae D.H., (eds). Test cases generation from UML
state diagram. IEEE Proceeding-Software, 146(4), pp. 187-192, 1999.

[12] Nogueira S., Sampaio A., & Mota A., Guided Test Generation from CSP
Models. Theoretical Aspects of Computing - ICTAC 2008, Lecture Notes in
Computer Science, Springer-Verlag, pp. 258-273, 2008.
[13] Helke S., Neustupny T., & Santen T., Automating Test Case Generation
from Z Specifications with Isabelle. ZUM 97: The Z Formal Specification
Notation, LNCS 1212, eds. J.P. Bowen, M.G. Hinchey and D. Till,
Springer-Verlag: pp. 52-71, 1997.
[14] Jensen K., Coloured Petri Nets. Basic Concepts, Analysis Method and
Practical Use (Vol.1-3). Monographs in Theoretical Computer Science,
Second Edition, Springer-Verlag, 1997.
735
The experimental evaluation of the EGNOS

safety-of-life services for railway signalling
A. Filip, L. Baant & H. Mocek
Railway Infrastructure Administration, LIS, Pardubice, Czech Republic
Abstract
This article describes the theoretical and experimental investigation of the
satellite navigation based Safety-of-Life (SoL) services intended for railway
safety-related applications. Main attention is paid to the EGNOS Precision
Approach (PA) and Non-precision Approach (NPA) navigation modes, which
were mainly designed according to the specific aeronautical requirements.
Two basic research approaches have been used: 1) a recently developed
methodology for the description of the GNSS quality measures in terms of
railway dependability attributes, and 2) an operational EGNOS system with SoL
receivers. The practical results include the theoretical analysis of the EGNOS
SoL services for railway signalling and the experimental evaluation of the
EGNOS PA and NPA operational modes in the laboratory and trial area.
Keywords: GPS, EGNOS, RAMS, RAIM, SBAS, Galileo Safety-of-Life Service,
integrity risk, satellite navigation, railway safety, signalling.
1 Introduction
Global Navigation Satellite Systems (GNSS), such as the US Wide Area
Augmentation System (WAAS) [1], the European Geostationary Navigation
Overlay System (EGNOS) [1], the Japanese MSAT and the future Galileo with
its Safety-of-Life services [2], have been mainly designed according to the
International Civil Aviation Organisation (ICAO) safety requirements. In order
to use this promising technology in the railway domain and develop new GNSS
based safety-related applications, the dependability attributes of real GNSS SoL
services in accordance with the CENELEC railway safety standards are needed.
Generally, it has been assumed that railway signalling could utilise SoL
services, such as the Galileo Level A or EGNOS Precision Approach mode.
doi:10.2495/CR100671

These services are dedicated to the precision approach of airplanes, where the
integrity risk (probability of dangerous undetected failure) is scaled by the time
interval of 150 s. In the case of EGNOS, a great deal of the integrity risk is
allocated to the vertical position, since it is critical for airplanes. However, for
railways the mainly interest is in determination of the dangerous undetected
failure rate (per 1 hour) of the computed horizontal position and other
dependability attributes.
Therefore, our attention in this paper is mainly focused on investigation of
SoL services originally intended for aeronautical operations, ranging from the
En-route to Non-precision Approach, where the integrity risk is allocated to the
horizontal position and is scaled by 1 hour. The presented experimental results
describe the real behaviour of the EGNOS PA and NPA modes in static and
dynamic conditions.
2 Rationale for the SBAS PA and NPA mode specifications

When a railway user starts to use for the first time a so called Satellite Based
Augmentation System (SBAS) receiver, such as WAAS, MSAT or EGNOS SoL,
which is compliant with the standard DO-229D [1], he/she has to decide which
of the two navigation modes to select: the PA or the NPA mode. The problem is
that none of the navigational modes was designed for railway safety-related
applications. In the following paragraphs rationale and background for derivation
of the navigational mode integrity requirements are outlined and the main
differences between the PA and NPA modes are described.
2.1 Protection levels calculation and the integrity risk allocation
The main differentiator between the standalone GPS and SBAS system is that
the SBAS receiver provides to a user the vertical and horizontal protection levels
(VPL and HPL) for each computed position, e.g. every 1 second. The protection
levels (in meters) bound the provided position with the given integrity risk. In
the case of the PA mode the acceptable Signal-In-Space integrity risk is
maximally 2x10-7/150 s and in the case of NPA the total integrity risk should not
exceed 1x10-7/1 hour. The calculated values of the protection levels are
proportional to the maximal estimated standard deviation max of the error model
and the integrity requirement is implemented to the protection level by the
scaling coefficient K. The coefficient K is derived from the cumulative
probability distribution function (e.g. Gaussian, Rayleigh) corresponding to the
specific aeronautical operational requirements. For example, the HPL equation
[1] can be written as follows
HPL K H H , max K H f ( satellite geometry, residual errors of diff . corrections ) (1)
2.1.1 PA mode
In Figs. 1 and 2 there are outlined the integrity risk allocation trees for the SBAS
PA and NPA modes, respectively, which result from aeronautical requirements.
In the case of the PA mode, the total integrity risk of 2x10-7/150 s is equally
Figure 1:
Figure 2:
737
Integrity risk allocation tree for the precision approach.
Integrity risk allocation tree for the non-precision approach.
divided between the integrity risk of the system (EGNOS ground segment,
satellites) and the so called fault-free integrity risk, which is induced by the
measurement noise of the ground segment and algorithmic processing.
As is evident from Fig. 1, most of the fault-free integrity risk is allocated to
the vertical position and only a minimal value of the risk (2x10-9/150 s) is
allocated to the horizontal position. The position guarantee in the vertical
direction is much more important for the PA mode. Further, the guarantee of
position in the horizontal lateral direction only (i.e. one-dimensional) is required
for the precision approach with vertical guidance. No two-dimensional guarantee
in the horizontal plane is needed. Finally, aviation requires a position guarantee

for PA operations within the time interval of 150 s. Only one independent
sample (measurement) is needed during this exposure interval. What is behind
the interval of 150 s is not important for the PA mode. Due to the above reasons,
the PA requirements are not applicable for railway safety-related applications.
2.1.2 NPA mode
In the case of the aeronautical requirements for the NPA mode, the entire SIS
integrity risk of 1x10-7/1 hour is allocated to the position in the horizontal plane.
In this case, the time scale of 1 hour is also acceptable for land applications. As
is evident from Fig. 2, the total integrity risk is equally allocated between the
fault-free case (0.5 x10-7/1 hour) and faulty case (0.5 x10-7/1 hour). Then the
coefficient KH in the HPL equation (1) can be derived as follows. It is assumed,
that 10 independent samples exist per 1 hour. Thus, the fault-free integrity risk
per one independent sample is 0.5 x10-8/1 hour. Since the position determination
requirement for the NPA mode is a two-dimensional problem, then the KH, NPA
coefficient can be derived from the Rayleigh probability distribution as
K H , NPA Rayleigh cdf 1 (1 Pmd ) Rayleigh cdf 1 (1 5 x10 9 ) 6.18
(2)
where Pmd means the probability of missed detection. It seems that the SBAS
NPA mode much more meets railway needs than the PA mode. However, to be
really sure that the NPA mode could be applied for railway safety-related
applications, it is necessary not only to determine the error decorrelation time
(number of independent measurements) in a real SBAS system, but also to check
the algorithms for the calculation of the position and the protection levels. All of
these topics will be briefly discussed in the following paragraphs.
2.2 Influence of decorrelation time on protection level and failure rate
Recently, a conversion of the GNSS integrity and continuity risks from the time
basis of 150 s (15 s) to 1 hour scale has been done [3, 4]. In the case of the
Galileo SoL service - Level A and its integrity risk, it was assumed that the time
between independent samples exceeds 150 s. Thus, the cumulative probability
principle was employed for the failure rate estimation on a 1 hour basis.
In case of SBAS (see section2.1.2), it is assumed that the decorrelation time
of SBAS errors is 360 s (10 independent samples per 1 hour). However, as
results from our recent experiments and preliminary conclusions, the
decorrelation time of SBAS errors is several times higher than the decorrelation
time used for derivation of the KH, NPA coefficient. It is clear that the decorrelation
time value influences determination of the protection levels (xPL) and failure
rate of the SBAS system. Therefore, this topic will be investigated in detail in
near future.
Railway standards require specification of the SBAS dangerous undetected
failure rate per 1 hour. With respect to the strong correlation of the measurement
errors in the SBAS system, the SIS integrity risk per 150 s is not simply
convertible to the failure rate per 1 hour. These conversions should be done by
739
means of experiments and subsequent probabilistic evaluation. The operational

EGNOS system with SBAS SoL receivers can be used for this purpose.
2.3 Differences between SBAS PA and NPA receiver modes
The estimation of xPLs by the SBAS SoL receiver depends on selection of the
navigation mode. In the following paragraphs the differences between the PA
and NPA modes implemented in the SBAS receiver are described.
2.3.1 PA mode
The PA navigation mode is enabled when the position fix computation meets the
DO-229D [1] criteria for the precision approach: 1) all satellites used for ranging
are SBAS healthy, 2) all satellites are not GPS unhealthy due to a failure of
parity or due to default navigation data, 3) all satellites used for ranging have
UDREI (i.e. User Differential Range Error Indicator) < 12, 4) all satellites used
for ranging have an elevation angle above 5 degrees, 5) SBAS fast corrections
are applied to all satellites used for ranging, 6) SBAS long-term corrections are
applied to all GPS satellites used for ranging, 7) SBAS range-rate corrections are
applied to all satellites used for ranging, 8) all satellites used for ranging have
SBAS ionospheric corrections applied, 9) all used SBAS integrity and correction
data was obtained from a single SBAS GEO, and 10) at least 4 satellites meeting
the above conditions are available for position fix computation.
2.3.2 NPA mode
The NPA mode is still enabled though the following PA mode conditions (see
2.3.1) are not fulfilled: 1) ionospheric corrections are not all the time required,
and 2) it is not mandatory to receive the integrity and correction data from the
same SBAS GEO. When the SBAS ionospheric corrections are not available, the
standard GPS ionospheric model will be used. In the NPA mode, longer
degradation (time-outs) for fast corrections is also allowed. Both the absence of
the SBAS ionospheric corrections and the longer fast corrections time-outs can
cause larger error in the horizontal position (HPE) and in HPL calculation.
However, as it will be experimentally demonstrated in the next paragraph, such
HPE and HPL degradations havent been observed. Even if this case would
happen, these undesirable errors can be detected by means of a build-in
diagnostic and compensated by means of additional sensors based on physically
diverse principles. In spite of less demanding aeronautical requirements for NPA
mode, this navigation mode seems more acceptable for railway safety-related
applications than the PA mode.
3 Experimental results: PA versus NPA modes

An example of the measured data by the SBAS receiver PolaRx3 (Septentrio) in
the NPA mode with known position of its antenna is illustrated in Fig. 3. The
data was recorded every 1 second in the period from Sept. 19 to Sept. 22, 2009 in
our laboratory. The length of the record is 3x105 s (~3.5 day). As it is evident
from the graph in Fig. 3(a), the magnitude of the horizontal protection level

(HPL) is usually in the range from 10 to 12 m, but it also several times reaches
values above 15 m. The absolute horizontal position error (HPE) outlined in
Fig. 3(d) doesnt exceed values of 2 m or 3 meters. Both HPL and HPE depend
on a number of the GPS satellites used in the position calculation (Fig. 3(b)) and
on the geometric factor HDOP (Fig. 3(c)). However, as results from the
additional measurements (not presented in this paper), HPL can also very
(a)
(b)
(c)
h,max
(d)
HPE
Figure 3:
The static measurements by means of the PolaRx3 receiver in the

NPA mode: (a) the horizontal protection level (HPL), (b) number
of GPS satellites, (c) the horizontal dilution of precision (HDOP),
(d) the horizontal position error (HPE), and the estimated standard
deviation H of the horizontal position error - i.e. the major semiaxis of the error ellipse.
741
PA, NPA
(a)
(b)
PA, NPA
(c)
PA
(d)
NPA
Figure 4:
Dynamic measurements performed by means of two PolaRx3

receivers: (a) the velocity of movement (two overlapped curves),
(b) the difference between the corresponding positions provided by
two PolaRx3 receivers set up in different navigation modes - PA
and NPA, (c) horizontal dilution of precision (HDOP), (d) the
number of GPS satellites used in position calculation in the
PolaRx3_1 and PolaRx3_2 receivers.

occasionally, usually for the time interval of a few or tenths of seconds, achieve
magnitudes of 60 ~100 m or more. These short-term outliers are currently under
investigation. The results of the dynamics measurements performed by using a
car with a velocity up to 140 km/ hour are depicted in Fig. 4. The test was
performed by means of two identical PolaRx3 receivers. The first PolaRx3
receiver was adjusted in the PA mode, and the other one in the NPA mode. In
Fig. 4(a) there is depicted the time dependence of the measured velocity (two
identical curves in one). The difference between two corresponding positions
provided by both PolaRx3 receivers is shown in Fig. 4(b). It is evident that the
difference between the corresponding positions calculated by the PolaRx3
receivers in diverse navigation modes (PA and NPA) usually doesnt exceed
value of 0.5 m. The maximum value of the difference is 2 m. This result is
acceptable for railway applications.
4 RAIM for railway safety-related applications?

The Receiver Autonomous Integrity Monitor (RAIM) is based on processing of
the redundant GPS signals. This technique is usually mentioned as a protection
against local effects (multipath, EMI, etc.) that EGNOS is not able to detect.
Under normal conditions, when signal from five GPS satellites is received,
RAIM is able to detect a failure in the computed fix. When signal from 6 or more
satellites is received, then RAIM is able to identify a failure (faulty GPS signal).
As it is evident from the diagram in Fig. 5, the horizontal external reliability
level (HERL) values provided by the RAIM algorithm are usually larger than the
horizontal protection level (HPL) calculated by means of the EGNOS data. The
HERL values strongly depend on HDOP see the corresponding HDOP values
HERL
HPL
Figure 5:
Horizontal protection level (HPL) provided by EGNOS versus

horizontal external reliability level (HERL), calculated by the GPS
RAIM algorithm in the PolaRx3 receiver.
743
in Fig. 3(c). Finally, RAIM doesnt work when less than 5 satellites are used in
the position calculation. The RAIM based on a single constellation navigation
system is not efficient for railway applications.
5 Determination of EGNOS dependability attributes

The aeronautical requirements for the SBAS PA and NPA services [1] cannot be
directly used for design and development of railway safety-related applications
GNSS based since they do not reflect railway needs. These aeronautical
requirements are written in a different language coming from the safety
philosophy that differs from the railway one. The already available translated
SBAS quality measures into the railway RAM attributes [3, 4] can be only used
for a rough estimation of the SBAS application potential to railway environment.
These translated RAM attributes are not fully applicable for design, validation
and certification of a land safety-related system.
However, the operational EGNOS system exists and it can be used for its
dependability determination on an experimental basis in attributes (i.e. failure
modes and the corresponding failure rates, reliability and availability
corresponding to Alert Limits) conformable with the standard EN 50126
(RAMS) see Fig. 6.
The initial activities concerning the EGNOS dependability determination for
land safety-related applications have been already started in the SDC
Figure 6:
Determination of EGNOS dependability for land applications.

Laboratory of Intelligent Systems. They have been mainly focused on acquisition
and validation of the relevant data. Data from the redundant SBAS receivers are
recorded (two PolaRx3 and GG-12W receivers) and there are also processed by
the PEGASUS software receiver (EUROCONTROL) in order to avoid possible
failures in the user segment. The checked data are evaluated by means of the
relevant probabilistic and signal processing methods in order to determine the
EGNOS dependability attributes according to the EN 50126 standard.
6 Conclusion
In this paper, the EGNOS Non-precision and Precision Approach modes (NPA
and PA) for intended railway safety-related applications have been analysed.
This investigation was supported by long-term static and dynamic measurements
by means of the EGNOS Safety-of-Life receivers. In spite of the fact that none of
the above navigation modes was designed according to railway needs, it has been
found that the EGNOS NPA navigation mode seems more feasible for land
safety-related applications than the PA mode because of the NPAs horizontal
integrity risk allocation (not vertical as in the PA mode) and the horizontal
integrity risk definition on 1 hour basis (not on 150 s basis as in the PA mode).
However, the final statement whether the NPA mode is really applicable for the
railway safety-related applications and how EGNOS should be exactly
implemented into safety-related systems will result from the detailed long-term
experimental NPA mode observation and from its statistical and probabilistic
evaluation. The determination of the EGNOS dependability attributes in terms of
failure modes, failure rates (on 1 hour basis), reliability and availability is needed
for design, validation and certification of the land GNSS based safety-related
systems. It is the current research interest of the authors.
Acknowledgement
The work was supported by the Ministry of Transport of Czech Republic under
contract no. CG743-037-520.
References
[1] RTCA DO-229D Minimum operational performance standards for GPS
WAAS Airborne Equipment. RTCA, Inc., Washington, D.C., 2006.
[2] Galileo Integrity Concept, ESA document no. ESA-DEUI-NG-TN/01331,
(2005).
[3] Filip, A., Beugin, J., Marais, J. and Mocek, H.: Interpretation of the Galileo
Safety-of-Life Service by Means of Railway RAMS Terminology.
Transactions on Transport Sciences, vol. 1, no. 2, 2008, pp. 61-68.
[4] Filip, A., Beugin, J., Marais, J.: Safety Concept of Railway Signalling Based
on Galileo Safety-of-Life Service. COMPRAIL, Toledo, Spain, Sept 15-17,
2008, pp. 103-112.
745
[5] Filip, A.: Safety Integrity and Dependability of the EGNOS and Galileo
systems. 4th conference - Signalling and Telecommunication Systems on
Railway, SDC, esk Budjovice, Nov 10-12, 2009, pp. 62-65 (in Czech).
747
System safety property-oriented test sequences

generating method based on model checking
Y. Zhang1, X. Q. Zhao1, W. Zheng2 & T. Tang1
1

2
Abstract
In this study, model checking is used to generate a suite of test sequences to
validate whether the System Under Test (SUT) satisfies the defined safety
properties. Firstly, a Coloured Petri Net (CPN) model is abstracted and derived
from the system requirement specification of the SUT with a hierarchical
modelling approach. A state space analysis is used to verify the model with
respect to a set of correctness criteria that include the absence of deadlocks and
livelocks. Secondly, some system safety properties defined by the experts are
described with a non-standard query and extended computation tree logic.
Finally, based on the model without deadlocks and livelocks, the negation of
safety properties could be checked by analyzing the occurrence graph and the
strongly connected components graph of the model. If the model does not satisfy
the specified property, the process of model checking could return some
counterexamples. From these counterexamples, the nodes and directed arcs that
include the interface information are picked out as the interface messages, which
are used to construct a test sequence. A case study of using this method on a
railway control system is presented, where the CPN Tools is used to model and
generate test sequences. All reachable states are analyzed to detect violations and
generate the safety related test sequences, which include the required data to be
executed on the SUT. The result shows this method is time-saving, labour-saving
and can guarantee the conformance between the SUT and the safety properties.
Keywords: model checking, test sequence generation, CPN, railway control.
doi:10.2495/CR100681
1 Introduction
In the computer science sense, safety is defined as nothing bad happening [1].
Safety requirements are those properties that none of the paths in a model satisfy.
To check a model for the absence on all paths of specific behaviour means that
effectively all paths in the model have to be explored. In order to check for the
absence of a property, exhaustive testing of all paths for a safety property is
necessary but often infeasible [2]. It is better to verify these properties using model
checking [3]. In another sense, safety is defined as freedom from unacceptable
levels of risk of harm. As a safety critical system, the railway control system
demands greater safety and reliability than other control systems and should not
contribute to hazards [4]. Hazard analysis is used to identify hazards and their
causes in the safety life-cycle. We can get some failure modes that may cause
accidents by Failure Mode Effects Analysis (FMEA) [5]. We want to increase the
level of railway system safety by testing the systems ability to defend failure
modes, which are called safety properties in this study.
The use of model checkers for automated testing was originally proposed by
Callahan et al. [2] and Engels et al. [6], and since then several different methods
to create test sequences with model checkers have been proposed. There are two
main categories of approaches to test sequence generation with model checkers
[7]: the first category uses special properties that are intended to be violated by a
model [810]. These properties are called trap properties, and express the items
that make up a coverage criterion by claiming that these items cannot be reached.
For example, a trap property might claim that a certain state or transition is never
reached. A resulting counterexample shows how the state or transition described
by the trap property is reached. This counterexample can be used as a test
sequence. The second category of test sequence generation approaches uses
mutation to change a model such that it violates a given specification [1113].
Here, the model checker is used to illustrate the differences between changed
models and the original model.
The model checkers of Cad SMV, NuSMV, NuBMC and SPIN have been
used to generate the test sequence [7, 8, 11, 12, 14, 15]. To the best of our
knowledge, CPN Tools have not been used in this area, one main reason is that
the latest version of the CPN model checking tool can only determine the
correctness of temporal logic formulas, and no counterexample is available. Men
and Duan [16] extended the CPN Tools, and made it possible to give the
counterexample of the model checking result.
2 Approach description
Normally, a model checker is used to analyze a finite-state representation of a
system for property violations. If the model checker finds a reachable state that
violates the property, it returns a counterexample, a sequence of reachable states
beginning in a valid initial state and ending with the property violation. We base
our method on two ideas. The CP-net is used to compute expected outputs and
construct the test sequence.
Figure 1:
749
The test sequence generation process.
The general test sequence generation method is shown in fig.1. Given a

specification, it is first translated into the model of CPN. A set of test predicates
is then picked out from the specification depending on the coverage criterion.
These test predicates are generated from safety properties. The negation of a test
predicate is called a trap property. CPN Tools is run on the model to see if the
negations of test predicates are ever violated. If some of the test predicates are
violated then the corresponding counterexample, produced by the model checker,
can be used to generate a test sequence. Those test sequences compose one test
suite and are guaranteed to cover the corresponding test predicate in the
specification. Our target is to construct a suite of safety property test sequences,
where a test sequence is a sequence of inputs and outputs In the following we
present a summary of our test generation approach.
2.1 Step 1: Safety properties description using ASK-CTL
FMEA is widely used to get system failure modes [5]. These failure modes may
cause accidents, which may do great harm to human beings. System safety
property test sequences are used to test whether the system can avoid getting into
these failure modes. For example, one of the potential RBC failure modes is that
RBC does not terminate a communication session after receive the massage 156
(Communication session termination) from onboard. Its related safety property is
that RBC terminates a communication session after it receives the massage 156.
Generally, trap properties can be converted to Computation Tree Logic
(CTL), Linear Temporal Logic (LTL) or other format depending on the model
checker used. CPN Tools use ASK-CTL, which is a CTL-like temporal logic.
The logic is an extension of CTL [17] which is branching time logic. Ammann et
al. [11, 18] described safety properties with CTL following a format of
AG(SafetyInvariant), where SafetyInvariant is a safety invariant. Then two broad
categories of mutation operator are used to generate failing tests and passing test.
In this study, trap properties are used to construct safety property test
sequences. Similar with Gargantini and Heitmeyer [8], we use a safety property
P to describe a predicate. The predicate can be a failure mode state that cannot be

got into after some conditional events happen. Because our goal is not to verify P
but to construct a test sequence from P, we should translate the negation of Ps
premise into ASK-CTL into the format of M , S0 | Inv(not ( P )) , which means
that it start form the initial state, and the safety property P will never happens.
All the safety properties P can be written in the following format:
INV(OR(NOT(Condition)), EV(Safe state)). It means that it is always true that if
the condition event happens, then a safe state will eventually be reached.
2.2 Step 2: SUT model and its environment models
Train control system consists of some subsystems, such as Radio Block Centre
(RBC), Onboard and Interlocking. Anyone of them could be the SUT and its
environment systems include all of the sub-systems which have Input/Output
(I/O) interface with SUT. Every environment model can read its script file and
get the input messages set of SUT. An environment model can input an unfixed
sequence of input messages to SUT. When an environment model receives a
message from SUT model it can send confirm message automatically if it is need
to be confirmed. The SUT model described complexly using CPN, begins
execution in some initial state and then responds to each input message in turn
by changing state and by possibly producing one or more output messages.
Every message in an input message set of SUT is made up by some variables.
Values of these variables should be abstracted, for example, a variable named
D_LRBG described in [19] means the distance between a Last Relevant Balise
Group (LRBG) and an estimated front end of the train. The length of variable
D_LRBG is 15 bits. It has a continuous integral value from 0 to 32767. If we
need to test four different situations, its value set can be {0, 50, 32766,
32767}, which means 0m, 50m, 32766m and unknown, when its scale is set to
be 1m. Given a message Mi, we should get a message set SMi = {mi1, mi2, ,
mij} ( 0 j SM i ). /SMi/ means the number of elements in SMi. And mij is a
possible combination of values of all the variables in Mi. SMi covers all the
combinations of values of all the variables in Mi. Suppose a scenario includes N
kinds of input messages M1, M2, M3,, MN, we need to get SM1, SM2, SM3,,
SMN and create the set of INF = {inf1, inf2, inf3,} for all possible input script
files. For example, one script file in INF could be inf1 = {m13, m22, m31, , mN3},
and formula (1) means the number of all the possible files.
N
INF SM i
(1)
i 1
2.3 Step 3: Deadlocks and livelocks analysis

Regarding the analysis below needs to prove system correct termination, all the
deadlocks and livelocks in model should be detected. The finding of self-loop
terminal markings is crucial for correctly expressing the CTL-based formulae
used to verify the safety properties. In Occurrence Graph (OG), dead markings
include system correct termination or deadlock states. Deadlocks states should be
751
checked out from dead markings. A livelock is detected, when the state space
contains a cycle that leads to no markings outside the cycle. In this case, once the
cycle is entered it will repeat forever. A convenient way to check the absence of
livelocks is to study an automatically generated Strongly Connected Components
Graph (SCCG) with the method given by Katsaros [20].
2.4 Step 4: Counterexample generation via state space
The latest version of CPN model checking tool can only determine the
correctness of temporal logic formulas, and not counterexample is available. In
CPN Tools, there are two model checking functions: eval_node and eval_arc,
which is used to verify state formulas and transition formulas. Men and Duan
[16] extended the CPN Tools, and made it possible to give the counterexample
of the model checking result. Another method to get special counterexample for
trap property P mentioned above is to analyze the state space using ML
language. If the model checking result of trap property M , S0 | Inv(not ( P )) is
violated, we can find its counterexample in the state space which satisfy safety
property P = INV(OR(NOT(Condition)), EV(Safe state)). Firstly, we can find out
all the condition states which satisfy Condition, and all the safety states which
satisfy Safe state. Secondly, we need to find a route R2 from a condition state to a
safety state. If R2 is found, then the route of R1 + R2 is the counterexample,
where R1 is the route from the start state to the condition state.
2.5 Step 5: Test suite creation
Suppose a safety property was got in step 1, a SUT model and a set of INF =
{inf1, inf2, inf3,} were got in step 2. Each time, we choose an infi from INF, and
implement step 3 and step 4. If the trap property is violated, the counterexample
can be got. If the loop executes |INF| times, the trap property is satisfied and the
counterexample cannot be got, the test sequence for this safety property cannot
be generated. All the states in a counterexample should be scanned in sequential
order. Some of these states include some I/O messages of SUT. I/O messages
should be written into a file, which will be used to generate test sequence. After
we get a set of safety properties, we can generate a suite of test sequences. For
each safety property that it processes, we should check whether the property is
already covered by one or more existing test sequences. If so, it proceeds to the
next property. If not, we should transform the counterexample generated into a
test sequence. If we find that a new test sequence t2 covers all sequences
associated with a previously computed test sequence t1. In this situation, the test
sequence t1 is discarded because it is no longer useful.
3 Case study
To evaluate the correctness of a railway control system implementation in new
lines, black-box testing could be used to determine whether the implementation,
given a sequence of system inputs, produces the correct system outputs.

However, these function test sequences do not concentrate on testing the safety
properties of the SUT. Therefore, a safety property-oriented test sequence
generating method is required. In this case study, RBC is chosen as the SUT and
the scenario of Start of Mission is chosen as the example scenario.
3.1 Safety properties in the scenario of start of mission
Suppose we got four potential RBC failure modes in the scenario of Start of
Mission using FMEA. Four corresponding safety properties which need to be
tested are listed as follow:
1. RBC should terminate a communication session after it receives the
massage 156.
2.
After RBC receives the valid position report from onboard, and there is not
trains LRBG in its recorded balises list. RBC should send the message 24
(general message) to the onboard, in which the packet 24 (session
management packet) is used to terminate communication session.
3. If RBC receives a position report and the position is unknown. RBC should
send message 24, which includes position unknown to onboard.
4. If RBC receives a valid position report from onboard, and there is a trains
LRBG in its recorded balises list. However, there are some points between
the LRBG and the estimated front end of the train. RBC should send
message 24, which includes position unknown to onboard.
These safety properties need to be described by ASK-CTL following the
specification formats: INV(OR(NOT(Condition)), EV(Safe state)), where
Condition and Safe state can be described complexly using ML language. For
example, for the safety property 1, Condition is that RBC receives the message
156 (Communication session termination) and Safe state is that RBC terminates
the communication session.
3.2 CPN model for a railway control system
CPN extended the function of PN, inducing data structure and hierarchical
decomposition with ML language, used for modelling the behaviour of
processes, systems and components. CPN serves data indicating colour on every
token. The arc in it should be with an arcinscription, defining the transform
condition between place and transition. Schulz et al. [21] defined four different
types of nets construct railway control system model. As shown in fig. 2, we
defined three types of nets, context net, process net and function net. Context net
describes the system architecture and is depicted on the uppermost level. The
next level is formed by the process net. This level defines what functions can be
passed in what sequence. Function nets are depicted on the lowermost level and
implement the function modules in the process net. Fig. 3 presents the top level
CP-net that includes substitution transitions of all the three sub-systems. This net
corresponds to the representation of the system architecture.
Figure 2:
753
The hierarchical structure of CP-net.

k1In
k2Out
TG
RU
RBC
Onboard
Interlocking
RBC
Onboard
k1Out
k2In
TG
Figure 3:
Interlocking
RU
Context net level of CP-net.
We just build the environment sub-systems which exchange information with

RBC in the scenario of Start of Mission. For example, if there is no information
to be exchanged with neighbour RBC in the scenario of Start of Mission, the
neighbour RBC model does not need to be built. RBC is the SUT sub-system.
Interlocking and Onboard are the environment sub-systems. Places between the
SUT sub-system and the environment sub-systems represent the I/O interfaces of
RBC. On this level, all the interfaces are defined as uni-directional channels.
Environment sub-systems just need to read the script file and get the input
messages set of SUT at the very beginning. It should send a message when a
stimuli message needs to be inputted into the SUT. For example, after an
environment sub-system received the message from the SUT, it chooses
randomly a message from the input messages set and send it to the SUT. The
function of environment models is not complex, it does not need the function net
for an environment sub-system and all of its functions can be described in a
process net. In the scenario of Start of Mission, we modelled totally seven kinds
of messages, which need to be sent to RBC from onboard. For example,
{MS=155,VRS=[{V_N="NID_ENGINE",V_T="201"}]} means message 155
(initiation of a communication session), which can be written into onboard script
file, where the variables of L_MESSAGE and T_TRAIN were omitted.
Because our RBC model does not judge message length and time stamp and
we assume they are always right. The value set of variable NID_ENGINE was
abstracted to be {201} with only one possible value. Interlocking sends routing
ConSt
ConSt
st
RAppTg
Out
ENCONST if judge_mess(tg,st_old) then 1`tg
else empty
TG
R1M156
if (#MS tg = 156 andalso judge_st(tg,st_old) )

TG
then 1`tg
In
tg
else empty
TG
input (tg,rbcInf);
output (stg);
tg
action
R1RcvTg
R1M159
input (tg,st_old);
(
output (st);
(generate_tg(39,rbcInf))
TG
action
);
then 1`tg
(
tg
else empty
change_conSt(tg,st_old)
R1GenerateTerminateSessionACK
);
then 1`tg
else empty
R1GenerateGeneralMessage
stg
RbcInf
R1M155
input (tg,rbcInf);
rbcInf
RBCINF
output (stg);
TG
RbcInf
rbcInf
action
tg
st_old
RRcvTg
rbcInf
R1GenerateSyetemVersion
rbcInf
rbcInf
rbcInf
R1RbcInf1
stg
RBCINF
R1RbcInf
rbcInf
ROutToK1
Out
rbcInf
(
(generate_tg(24,rbcInf))
);
R1RbcInf2
input (tg,rbcInf);
output (stg);
action
(
generate_tg(32,rbcInf)
);
rbcInf
stg
RBCINF
rbcInf
TG
R1RbcInf3
RBCINF
Figure 4:
Function net of the communication session management module.
and point information at the very beginning, these information are changeless.
Using the method mentioned in step 2, we got 18 possible script files for onboard
and 1 possible script file for interlocking.
The SUT model needs to describe the complex behaviours. It is hard to
describe all of the functions in only one net. So the functions of SUT model
should be described by two levels, process net level and function net level.
Process net of SUT defines what functions can be passed in what sequence and
function nets implement the function modules. For example, fig. 4 shows a
function net, which describes the communication session management function
of RBC. RBC will receive three main communication messages, which includes
message 155, message 156, message 159 (session established). After RBC
receives the communication messages, it should change the communication state
recorded in the communication state list (in the place of ConSt) and output some
messages according to [18]. After a communicate session is established, it is
allowed to give messages to application via the place of RAppTg.
3.3 Counterexample and test sequence generation
All the experiments were performed on a 2.4 GHz Pentium 4 processor, with 512
MB of main memory. This computer is good enough to generate a full state
space. Its state space size was related with the environment script files when the
CP-net is fixed. The biggest OG has 33690 nodes and 123774 arcs. It spent 627
seconds to generate the biggest full state OG and 10 seconds to generate the
SCCG. The deadlocks and livelocks analysing is crucial for correctly expressing
Figure 5:
755
Model checking trap property process of safety property 1.
the CTL-based formulae. Before model checking, deadlocks and livelocks

should be detected using the method given in step 3. Then all the safety
properties should be translated to the trap properties and be verified by model
checking. Fig. 5 shows the whole process of model checking trap property
translated from safety property 1. ConSTlist is used to return the communication
state list, which records some train identifiers and their communication states.
select_v can select a variable in a message by variable name and return its value.
findSnMess can judge whether RBC receives a specific message with both a
given train identifier and a given message identifier. DisConnect can judge
whether the connection session is disconnected. Operator NF(rcv disconnect
message, rcvDisCon) is used to describe the condition of safety property 1.
Operator NF(change to init state, DisCon) is used to describe the safety state
of safety property 1. The trap property 1 can be described using trapPro. Model
checking is performed by eval_arc and the result is false. If the trap property is
violated, we can get a counterexample using the method mentioned in step 4.
Fig. 6 shows the process of selecting I/O messages in counterexample, which can
be used to construct test sequence. In an acquired message, some variables were
omitted. These variables need to be added manually to construct test sequence.
For example, the variable of T_TRAIN in the first message M0 should be assigned
with a random value t0. We can get formula of ti t0 T i, (0 i ) , where ti is
the value of T_TRAIN in Mi, and T means a communication cycle.
3.4 Test suite generation
Repeating this process for all trap properties and calling the model checker only
on those trap properties that are not covered we derive the reduced test suite
Figure 6:
Process of getting the I/O messages of trap property 1.
Table 1:
no.
1
2
3
4
Test sequences created when monitoring trap properties.

input number
4
6
5
5
output number
3
4
4
4
covers
1
1,2
3
4
given in Table 1. The table lists for each test sequence the safety property it was
created for as well as all other safety properties that were covered. The I/O
number is given as the number of I/O messages in a counterexample. As the
example shows, the counterexample created for the second trap property also
covers trap property 1. As mentioned in step 5, the counterexample 1 should be
discarded. The reduced test suite includes test sequence 2, 3 and 4, which still
covers all the safety properties.
4 Conclusion
This works contribution is a systematic approach in the safety property test suite
generation for railway control system using CPN tools. We proposed a notion of
safety property P with respect to a failure mode. We developed safety property
757
coverage criteria based on failure modes and operators from ASK-CTL. To the
best of our knowledge, the model checking ability of CPN Tools was firstly
applied in generation of safety property test sequence suite. We showed how to
use CPN to generate test sequence suite that satisfy a given safety property
coverage criterion. Finally, we demonstrated the feasibility of our method via
application to an example. These early results demonstrate both the methods
potential efficiency and its practical utility.
Acknowledgements
The authors wish to thank the anonymous reviewers for the discussions and the
help. This paper is sponsored by the National High-Technology Research and
Development Program ("863"Program) of China No. 2009AA11Z221, National
Science & Technology Pillar Program of China No. 2009BAG12A08, and the
Fundamental Research Funds for the Central Universities No. 2009YJS013.
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759
Scenario-based modeling and verification of

system requirement specification for
the European Train Control System
W. Tang, B. Ning, T. Xu & L. Zhao
Abstract
The high quality System Requirement Specification (SRS) is at the heart of the
design and development of the European Train Control System level 2 (ETCS
L2) with high safety and efficiency. However, the SRS, written in natural
language with a shortage of rigorous mathematic foundation, makes it difficult to
meet the high quality attributes of SRS, such as correctness, completeness and
consistency. In order to tackle the above problems, the integration of a scenariobased model with a formal method, which is recommended to model and verify
safety critical system (e.g., train control system), is proposed to improve the
quality of the SRS for ETCS L2. First, the relevant operational scenarios are
extracted from the SRS, then the corresponding UML sequence diagrams are
constructed and finally the sequence diagrams are verified by the formal analysis
tool (i.e., NuSMV) through a series transformation rules from UML sequences to
NuSMV. The output analysis results facilitate improvement of the SRS qualities.
Within the above modeling and verification process, the key mapping
relationship is presented to ensure the consistency and traceability between the
UML sequence model and the NuSMV specification.
Keywords: European train control system, modeling and verification, scenario,
sequence diagram, model checking.
1 Introduction
The European Train Control System (ETCS) is a signaling, control and train
protection system currently used by European railways. The ETCS can be
configured to operate in a certain level. In this paper we take level 2 (ETCS L2)
doi:10.2495/CR100691

as a research background, which is a radio based train control system used as an
overlay on an underlying signaling system. It is not easy to analyze the ETCS
because the system is very complex and is required to satisfy different kinds of
critical properties. The System Requirements Specifications (SRS) of the ETCS
L2 are written in natural language with a shortage of rigorous mathematic
foundation, which makes it difficult to meet the high quality attributes of SRS,
such as correctness, completeness and consistency. In order to tackle the above
problems, the integration of a scenario-based model with a formal method, which
is recommended to model and verify safety critical system (e.g., a train control
system), is proposed to improve the quality of the specifications.
At present, scenario-based approaches have become a popular practice in
some areas (such as business, industry, biology, etc. (De Backer et al. [1],
Theien et al. [2], Fisher et al. [3], Kahyaolu-Koraina et al. [4])), especially in
safety critical areas. It is a simple and intuitive way to describe a system by
listing various examples or scenarios of its intended behavior. The scenariobased approaches mitigate the processes of development, testing, validation and
verification of the safety critical systems. Many notations are used to describe
the scenarios; Liang et al. [5] and Amyot and Eberlein [6] listed and compared
dozens of scenario notations in their works. Generally, the most popular
notations are Message Sequence Charts (MSCs), Use Cases, Statechart
Diagrams, Life Sequence Charts (LSCs) and Petri nets. As for the application of
the scenario-based approaches, the predecessors have done a lot of work.
Palshikar and Bhaduri [7] presented HMSC templates to specify interaction
scenarios and discussed efficient algorithms for verifying them. Lee et al. [8]
used time Petri-nets to verify the acquired scenarios. Fahland [9] presented a
novel, operational, formal model for scenario-based modeling with Petri nets.
Autili et al. [10] proposed the Property Sequence Chart (PSC) notation to specify
temporal properties, and defined the precise semantics of PSC. Mkinen and
Syst [11] discussed the MAS algorithm, which is an interactive algorithm that
synthesizes UML statechart diagrams from sequence diagrams, and shows its
practical implementation in modeling. However, the consistency between models
and scenarios still cannot be guaranteed, and the properties abstraction form
specifications are not specified. Our approach is to tackle the two problems.
Having surveyed all of these scenario notations, considering the efficiency
and expressiveness, we adopted the UML sequence diagram to model the
operational scenarios of the ETCS L2 SRS. It is a semi-formal modeling method
expressed by graphic notation. Compared to MSCs, the sequence diagram is less
expressive because of the lack of explication as MSCs with Z.120 ITU-T [12],
but it is powerful enough to model the operational scenarios. We do not need the
complex algorithms of MSCs, and just reserve the benefits of describing the
interactions, the time orders and single traces. As for LSC and PSC, they are
extensions of MSC for specified usages. Additionally, all of these extended
graphical notations are subsets of UML 2.0 interaction sequence diagrams, but
they are not as general as the sequence diagram. So we use the sequence diagram
to model for its universality and its powerful expressiveness in describing
761
interactions. Moreover, the correctness and consistency are guaranteed during

the modeling process.
There are different attempts for verifying the systems rigorously and
completely, such as model checking or theorem proving. Theorem proving
requires a solid mathematical background for the verification teams to reason
and proof, so it is impractical for most practitioners. Conversely, model checking
can be fully automated and has been successfully used in the verification of
practical applications. The model checker SPIN (Holzmann [13]) is well known
in verifying the properties expressed in Linear Temporal Logic (LTL) formulas.
Another model checker is NuSMV (Cimatti et al. [14]) (a modified version of
the original SMV), which has useful features like branching time logic (CTL) for
expressing properties. In this paper, we adopted CTL to describe the properties,
so the NuSMV model checker is employed. If the properties are not satisfied,
NuSMV may give counterexamples to demonstrate and trace the errors. The
analysis of the verification is on the basis of the model checking results. The
traceability and completeness can be assured in this stage.
The remainder of the paper is structured as follows. Section 2 introduces the
conception of scenario and summarizes the operation scenarios of the ETCS L2
SRS. We provide a typical operational scenario to demonstrate the process of
scenario extraction. Section 3 expatiates on the steps of scenario-based modeling
and illustrates the graphical notation of the sequence diagram. The mapping
relationships between scenarios and models are interpreted by a case study of the
shunting scenario in ETCS L2. Section 4 is dedicated to verifying the properties
abstracted from the ETCS L2 SRS using the NuSMV model checker, and briefly
analyzes the results of the verification. Finally, we present the conclusion and
future work in Section 5.
2 Scenario extraction
2.1 Scenario definition
Since the 1980s, scenarios have been used in system development, and many
definitions are given by practitioners. For example, in Weidenhaupt et al. [15],
where the authors make an investigation to the current practice of scenarios in
system development, it states that scenarios present a possible way to use a
system to accomplish some desired function. Rolland et al. [16] propose a
scenario classification framework to consider scenarios along four different
views. Others focus on the behaviors, functions or interactions expressiveness,
and divide scenarios into global and local, positive and negative, etc. (Uchitel et
al. [17] Bai et al. [18]). According to their works, as well as relating to the
characteristic of the ETCS L2, we define scenarios as follows.
Definition (Scenario): the scenario is a sum of the interactions and behaviors
of the system and its intra components, which are exhibited in operations.
The mediums of scenario description are numerous, including natural
language text, graphics, images, videos or designed prototypes. Generally, the
methods that describe scenarios in specifications are text and graphics, while

those that describe software testing are software prototypes. Sometimes, photos
and videos may be used to interpret the scenarios of requirements for better
communication between developers and users.
Furthermore, the modeling language for scenarios may be provided in semiformal or formal notations. However, descriptions can also be informal as they
are expressed using concrete terms of the reality.
2.2 ETCS L2 operational scenarios overview
The ETCS L2 SRS define procedures, entities and states that compose the
operational scenarios. The procedures focus on the required changes in status and
mode of the described ETCS entities. There are 12 procedures that are necessary
for interoperability within the scope of ETCS Level 2. According to these
procedures, we elicit typical operational scenarios as follows.
Start of Mission
Level Transitions
End of Mission
Train Trip
Shunting Initiated by Driver
Change of Train Orientation
Entry in Shunting with Order
Train Reversing
from Trackside
Joining/Splitting
Override EoA
RBC/RBC Handover
On-Sight
All of the operational scenarios are typical and important. Considering
complexity and entity inclusiveness, we take the Shunting Initiated by Driver
scenario as case study, which is one of the basic operations of train movement.
2.3 Typical operational scenario extraction
Informal descriptions of the procedures are presented in natural language text
and graphics. We remove the specialized terminologies and narrate the
procedures in common terms, so that nonexperts can understand. For example,
the Shunting Initiated by Driver scenario is narrated as follows.
The driver selects Shunting while the train is at standstill and the ETCS onboard equipment is in one of the following modes: FS, OS, SR, UN or SB. The
on-board equipment checks the current ETCS level of operation. If it is level 1,
the transition to SH mode shall be made. Then the End of Mission procedure is
executed on entering the SH mode. While the ETCS level is 2, the ETCS onboard equipment sends the Request for Shunting message to the RBC, together
with a position report (with special value position unknown if the position is
not known). The on-board equipment indicates to the driver, through the DMI,
that a SH permission request to the RBC is pending, and awaits the SH
permission. When the Request for Shunting message is received, the RBC will
send SH permission to the on-board equipment if the schedule permits, otherwise
the SH refused message will be sent. If the on-board equipment receives the
SH permission from the RBC, transition to the SH mode shall be made and the
mode change shall be reported to the RBC. Then the End of Mission procedure
is executed on entering the SH mode. While the on-board equipment receives the
Figure 1:
763
Graphic description for the shunting scenario.
information from the RBC SH refused, an indication shall be given to the

driver through the DMI, showing that SH permission was refused by the RBC.
The narrative text description is detailed, but very redundant and not intuitive
enough, so have given the graphic of the scenario in Fig. 1 as supplementary
information.
3 Scenario-based modeling
3.1 Mapping rules
It is very important to guarantee the correct models and ensure consistency
between scenarios and models. This is the key point of our work. Therefore, we
construct a one-to-one mapping between scenarios and UML sequence diagrams.
The rules of mapping are enumerated as follows.
Rule 1:
Rule 2:
Rule 3:
Rule 4:
Rule 5:
An entity of the scenarios is a participant of the sequence

diagram.
An event occurrence of the scenarios is a message (event) of the
sequence diagram.
Operations of the scenarios are messages (function) of the
sequence diagram.
The time order of cascading events in the scenarios is
interpreted by the life line of the sequence diagram.
Selections in the scenarios are translated by the alt operator of
the sequence diagram.

Rule 6:
Rule 7:
Conditions in the scenarios are presented by the opt operator

of the sequence diagram.
Concurrent scenarios events are depicted in parallel combined
fragments with operator par of the sequence diagram.
3.2 Modeling
In the modeling stage, we are concerned with the behaviors and interactions of
the system. UML sequence diagrams are behavioral diagrams with the simple,
expressive, intuitive, graphical and standardized notations used to specify
interactions among system entities in many different situations (Lima et al. [19]).
Our scenario-based model is presented in semi-formal notation. According to the
semantics of UML 2.0 interaction diagrams, efficient algorithms may be applied
as well. However, it is beyond the scope of this paper, so we do not discuss this
here.
The scenario-based modeling process contains all the steps from scenario
extraction to model construction. We will explain the steps as clearly as we can
by modeling the Shunting Initiated by Driver operational scenario. To ensure
the consistency between the model and the system, we employ the mapping rules
to translate the operational scenario into a standard UML sequence diagram. The
concrete steps are listed as follows:
a)
Scenario extraction. Extract operational scenarios from the
specifications, and depict them in an understandable way using the medium
mentioned in section 2.1;
b)
Modeling elements collection. Sort out the entities and their
behaviors, the events, time order and other elements we are concerned with from
the operational scenarios;
c)
Mapping. Map the basic elements of the scenarios to the sequence
diagrams using the mapping rules presented in section 3.1. Construct a
relationship table for modeling needs.
d)
Model construction. Construct the sequence diagram model
according to the mapping relationship. Check the consistency between the
scenarios and the sequence diagrams.
Following the listed steps, we construct the sequence diagram model of the
Shunting Initiated by Driver scenario. The first step has already been done in
section 2.3. In the rest of the steps, we sort out the modeling elements as follows:
Entities: On-board, RBC, Driver
Event Occurrences: (i). Select Shunting; (ii). Send/receive the
Request or Shunting message; (iii). Indicate that a SH permission
request to RBC is pending, and await SH permission; (iv). Send/receive
the SH permission; (v). Report the mode change; (vi).
Send/receive/indicate the SH refused message
Operations: Transition to SH mode
Selections: Level 1 or Level 2, received the SH permission or not
Conditions: Train is at standstill and the Driver selects SH
The Conditions are considered as default satisfied. The mapping relationship
between the scenario and sequence diagrams is listed in Table 1.
Table 1:
765
The mapping relationship between the scenario and sequence

diagrams.
Scenario/Sequence Diagram
Entities/Parti
cipants
On-board
RBC
Driver
Event Occurrences or operations
Messages
select Shunting
Shunting
Transition to SH mode
EnterSHMode
Send/receive the Request or
RequestForShunting
Shunting message
Indicate that SH permission request to
RBC in pending, and await SH
WaitForSHPermission
permission
Send/receive the SH permission
SHPermission
Report the mode change
Send/receive/indicate the SH refused
message
Figure 2:
ModeChange
SHRefused
The sequence diagram of the Shunting Initiated by Driver

scenario.
Table 1 lists the mapping relationships of basic elements, but selections and
conditions are not enumerated. According to the mapping rules, selections are
corresponding to the alt operator in the sequence diagram. Since the conditions
are default satisfied, we omit them. Finally, the sequence diagram is constructed
as Fig. 2.

In Fig. 2, in the alternative combined fragments, the alt operator is
represented as an if condition; only the true condition branch will be executed.
The fragment named End of Mission Procedure quotes other sequence
diagrams that may model the End of mission operational scenario. It does not
affect our approach elaboration, so its detail will not be discussed here.
4 Verification
The formal verification of the specifications aims at improving the quality of the
specifications, checking whether the SRS meets the design intent or not. For
instance, verifying that desired behaviors have not been ruled out by overconstraining the requirements, while the undesired behaviors have been ruled out
by under-constraining the requirements.
4.1 Properties
As mentioned in section 1, ETCS SRS is requested to be high quality, which
embodies the properties of the 3Cs (Correctness, Completeness and
Consistency). We specify these properties concretely and classify them as
Domain-independent features and Domain-dependent features. The former
covers all the basic characteristics of safety-critical system requirements, while
the latter presents the special properties of railway domain system requirements.
4.1.1 Domain-independent features
Domain-independent features do not require any domain knowledge, such as
logic consistency and realizability. They are listed as follows:
1) Reachability, to check the completeness of states. It can be used to
deduce the sequential relationship of system operation.
2) Transition, to check the transitivity between states.
3) Deadlock, describes a state wherein a process is waiting for some event
that will never happen.
4) Mutual exclusion, multiple situations should not occur simultaneously
in a system.
5) Definitiveness, to check the synchronization of the states.
4.1.2 Domain-dependent features
The domain-dependent features are the safety and non-safety functions or
properties related to the specific areas. The railway domain-dependent features
can be divided into safety properties and liveness properties. Meanwhile,
scenario compatibility is added in for the purpose of enhancing the consistency
of the ETCS SRS. The definition and description of these properties are listed as
follows:
6) Safety. This means that nothing bad can occur. The system should be
safe and reliable.
7) Liveness. This means that the required events will occur eventually. The
functions of the ETCS should be satisfied.
767
8) Scenario compatibility. This check aims at verifying whether a scenario

is possible, or if the scenarios are consistent or not.
4.2 Translations
From modeling to verification, we translate the sequence diagram into a program
that may import to the model checker NuSMV. The translation rules can be
found by referring to Tanuan [20]. The specified properties are stated by CTL
notations. Generally, CTL notations contain path quantifiers (A, E) and temporal
operators (X, F, G, U). For the path quantifiers, A means For all paths and E
means A path exists. For temporal operators, X means Next time, F means
Eventually (or in the future), G means Globally (or Always), and U means
Until.
According to the classification of the properties in section 4.1, we abstract the
verifying properties from the specified scenario item by item. Table 2 lists the
properties with their corresponding CTL notations.
The representative properties abstract from the Shunting Initiated by Driver
scenario are presented as follows.
1)
Reachability. The onboard equipment can enter the SH mode.
CTL: SPEC EF(onboard.in_SH)
2)
Transition. The driver selects Shunting while the train is at a
standstill and the ETCS is operating in level 2. When the onboard equipment
received the SH permission from the RBC, the transition to the SH mode shall be
made. Considering the driver as the environment of the ETCS system, we change
the name of driver actions into external_Event.
CTL: SPEC EF((train.in_Stop & external_Event.env_SelectSH & (level
= 2) & RBC.ev_SHPermission) & EX(onboard.in_SH))
3)
Definitiveness. The train should not be controlled by ETCS L1 and
ETCS L2 simultaneously.
CTL: SPEC !AG(in_Level2 <-> in_Level1)
4)
Mutual exclusion. The train should not move when the onboard
equipment is waiting for SH permission.
CTL: SPEC !EF(train.in_Moving & onboard.in_WaitForSHPermission)
5)
Liveness. The onboard equipment can transfer to SH mode
eventually.
CTL: SPEC AG(EF(onboard.in_SH))
Table 2:
The properties and their CTL notations.
Properties
CTL formulas
Reachability
EF(state=s1|state=s2)
Transition
Deadlock
Mutual exclusion
EF(state=s1 &
EX(state=s2))
AG(EX(state = s1))
!EF(state=s1 &
state=s2)
Properties
Definitiveness
CTL formulas
!AG(state=s1 <->
state=s2)
Safety
AG(!C)
Liveness
AG(EF(state=G))
Figure 3:
The properties verification results.
6)
Safety. If received the information SH refused from RBC, the
onboard equipment should not switch to SH mode.
CTL: SPEC AG(!(radioblockcentre.ev_SHRefused & onboard.in_SH))
4.3 Check and analyze
Using NuSMV to verify the properties presented in section 4.2, we obtained the
verification results as shown in Fig. 3.
In Fig. 3, only the first three properties are satisfied. However, the model
checker is able to provide a counterexample for each of the remaining properties.
We present the failing trace related to the verification of each property as
follows.
The forth property counterexample: When the onboard equipment
switches to OS mode before the acceptance of shunting, the train is
moving. This error may be caused by the interruption of radio
communication with RBC or the message delay.
The fifth property counterexample: The onboard equipment is locked in
the state WaitForSHPermission, because the model does not consider
the situation when no SH permission message is received from the
RBC.
The sixth property counterexample: If the ETCS L1 is controlling the
train, the SH Refused message from RBC is not considered. So the
onboard equipment does not switch to SH mode when receiving the
SH Refused message.
The counterexamples show the traces of errors. The errors may arise from the
translations, the models or the specifications. We should check whether the
semantics of the CTL formulas comply with the properties described by natural
language or not, and modify the models that are built incorrectly. Moreover, the
realizability of the specifications should be considered. If the specifications are
proved to be defective by the verification, we should provide the proof of errors
and propose an amendment to the domain experts.

In this paper, we propose an integration of scenario-based approach with a
formal method to model and verify the SRS for ETCS L2. The significant
advantage of the proposed method is that (a) the scenarios modeled by sequence
diagram facilitates the communication between the domain experts and the
designer, because UML is a de facto in the software industry; (b) differently
from the testing and simulation, the formal method allows the analysis of all the
769
possible scenarios that ETCS L2 can possible generate, which assures the
correctness, completeness and consistency of SRS for ETCS L2; (3) the mapping
rules from the scenario to sequence diagrams and the formal method ensure the
consistency between the SRS and the formal model. In the verification phase, the
classification of properties and precise semantics of the temporal formulas
specify the extensions and steps of model checking. The methods and steps
stated in the paper give instructions regarding modeling and verification for
specifications, and they can be used to other systems besides ETCS.
However, two problems are still unsolved. One is the simulation of a
concurrent event when verified in the model checker NuSMV, and the other is
the modeling of the continuous variable. Our future work is solving these two
problems. Additionally, modeling and verifying the entire ETCS system are also
the task of the future.
Acknowledgements
This work is supported by National High-Technology Research and
Development Program ("863" Program) of China No. 2009AA11Z221, National
Science & Technology Pillar Program of China No. 2009BAG12A08, State Key
Laboratory of Rail Traffic Control and Safety Autonomic Research Project
Under grant No. RCS2008ZZ005, and AnXing Project of Beijing Jiaotong
University.
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771
ROSA a computer based safety model

for European railways
J. Schtte1 & M. Geisler2
1
2
Dresden University of Technology, Germany

Deutsche Bahn AG, Frankfurt, Germany
Abstract
On the basis of the European Safety Directive 2004/49/EC, the recently created
European Railway Agency (ERA) elaborates currently amongst others a scheme
for Common Safety Methods (CSM) for European Railways, as well as first
definitions of Common Safety Targets (CST) and Common Safety Indicators
(CSI).
In order to support this work of the ERA, the German and French Ministries
for Research supported a larger project, involving Deutsche Bahn AG (German
Railways), SNCF (French Railways), INRETS (French National Institute for
Transport Research) and the TUD (Dresden University of Technology), to
develop a computer based environment to analyse and optimize Safety
Characteristics and Safety Indicators of railways. This ROSA (Rail Optimization
Safety Analysis) has concluded at the end of 2009 after three years of research
with a first complex ROSA toolset and analysis results.
The ROSA model and toolset, as well as first applications and an outlook,
will be presented in this paper.
Keywords: railway safety, hazards analyses, barrier model, safety UML model,
computer based quantified safety analysis, common safety targets, common
safety indicators.
1 Background to and outline of the ROSA model

After several harmonization activities in the European railway domain
(Technical Specifications of Interoperability, High Speed and Conventional
Railway Packages, ERTMS) the European Commission had published the socalled European Safety Directive for Railways [1, 2] in 2004 with the ultimate
doi:10.2495/CR100701

objective of defining safety characteristics of railways and streamlining
(harmonizing) safety key features amongst the European member states
railways [6]. In order to pursue this and other tasks, a European Railway Agency
(ERA) was founded in Valenciennes in France in 2007.
A set of first tasks of the ERA was the definition of common key elements:
Common Safety Methods (agreed and published in the meantime), Common
Safety Targets (currently elaborated) and Common Safety Indicators (currently
defined). In particular, the questions related to the Common Safety Targets and
Indicators were debated in Europe under diverse aspects, such as
o Metric (safety measured per train kilometre? train hours? passenger
hours? safety measured in number of safety equipments or only by
accident database entries? etc.)
o System and operations (separate targets for high speed systems,
conventional systems, low speed regional trains, etc?)
o Safety measures/indicators (may investments in staff training be
considered alternatives to technical investments? should only
global targets/indicators be considered? per accident category? etc.)
o Should the targets/indicators be mandatory? What if they are not
respected?
o Should even best in class railways improve permanently?
In order to support the debate and to prepare larger railway networks, the
French and German research ministries decided to support a larger project
(ROSA Rail Optimization Safety Analysis) conducted by the Deutsche Bahn
AG, French Railways (SNCF), the French National Institute for Transport
Research and the Technical University of Dresden, Germany.
While for components and subsystems have clear standards that had evolved
over the recent decades [35], no clear prescription had been found for complex
complete railway networks. Therefore, the intention of the ROSA-project was to
analyse for the first time, for a complete large network (like in Germany, about
35.000 km of track) at a higher level, where safety is actually coming from, what
mechanisms, processes and subsystems are sensitive to safety, and how the
global safety features would be impacted by modifications. It relatively quickly
became clear that such a complex enterprise can only adequately be approached
by means of computer based models and tools that support large amounts of
diverse data. Two models turned out critical in this respect. The establishment
and modelling of a complete list of Starting Point Hazards (SPH), including their
development into consequences by an Event Tree Analysis, and the
establishment of a Barrier Quantification Model (BQM) that limits the potential
hazards.
2 Approach of the ROSA model

In order to remain independent from national particularities, but being still able
to draw some conclusions from the analysis, the elements below had been found
to be adequate:
773
1.
A complete Railway System is first described through parameter lists

(e.g. track kilometres, number of switches, trips, signals passenger
flows, operating modes, civil structures, level crossings, etc.).
2. In further analysis, the unprotected system is considered in order to
estimate where possible hazards can lead to without any safety measure
and then to see how todays and future safety elements (barriers) limit
the dangerous development of the hazards into accidents. As starting
points of these analyses, so called Starting Point Hazards had been
derived from a complete Preliminary Hazards Analysis. It shall be noted
that the unprotected system (sometimes called basic system)
represents for a certain mode of operation todays operation, including
correct train densities, etc.
3. For every Starting Point Hazard, the development of further
consequences is modelled through Event Tree Analyses.
4. The chain of these events in the trees is then reduced stepwise by the
barriers, where barriers may be of technical or procedural nature. In
addition to these barriers, other risk neutralizing factors (lucky
circumstances) and reduced exposure to the risk (e.g. empty train) had
been taken into account to correctly reproduce reality.
5. The modelling and quantification of the barriers had been performed in
a separate tool. The resulting reduction factors are transferred into the
Event Trees after their calculation.
6. As for other tools of this nature, statistical and other assumptions have
to be made. It has been checked, however, that reasonable assumptions
lead to plausible results.
Figure 1 below shows the overall described logic of the model elements.
3 System definition, system hazards analysis and

event tree analyses
The ROSA analysis was intended as a global analysis for a complete national
railway, remaining applicable, however, to any national railway (the model
Figure 1:
Overall flow chart of the ROSA model.

toolset is generic). Before application of the ROSA model to a network, first
some definitions are (were) required:
3.1 Accident Categories
Accident Categories had been used similar to respective definitions of the ERA.
o Rear End, Head On and Flank Collisions, Shunting Collisions,
Collisions with other railway/non-railway objects on the track.
o Derailments (derailments as a consequence of collisions not in this
category, re-railments are taken into account).
o Level Crossing Accidents (collisions with individuals, vehicles,
objects).
o Personal Damages inside of moving vehicles).
o Fire, others.
Suicides had not been taken into account.
3.2 System boundary
While for most typical railway subsystems, such as overhead lines, tracks or
signals, it is intuitively clear that they form part of the considered system, it is
less clear for some civil structures and interfaces. Therefore, the following
structures had been taken out of the scope in the ROSA project:
o (Non-railway) Bridges under/over railway line. In addition, pedestrian
bridges are excluded, except track change bridges for passengers as
common in some countries.
o Interlocking Building and other civil structures that contain railway
equipments but are not accessible for passengers.
o Yards.
o Station Areas not directly adjacent to railway tracks (e.g. shopping
area).
Figure 2 shows an example of the system boundary definition.
3.3 Risk groups
For the risk groups in ROSA, the ERA definition of passenger group had been
precised due to differences in the passenger definitions in Germany and in
France.
o Passengers in the train and passenger exchange areas with low risk
control (platform)
o Passengers in areas with higher risk control (e.g. crossing station tracks
for train change)
o Staff (wayside/onboard)
o Persons on level crossings
o Unauthorized trespassers in the track area.
o Others (accompanying/escort persons, sales personnel in station, etc.)
Figure 2:
775
Example of the system boundary definitions.
3.4 Operations
With respect to operations, the ROSA project had tried to organize the different
operational concepts (or, in Germany, track categories), such that the complete
national traffic flow can be configured as easily as possible by respective
weighting of the categories. Since every individual operational category/track
category is not only reflected by particular equipments, but requires also
different consequence analyses, every operational category fixes the respective
barrier model, as well as the Event Tree Analysis.
It turns out, however, that for example categories like Main and
Secondary Tracks, Category P160, etc., as used in Germany, are not (even)
compatible whatsoever with the categories used in France. The model had
therefore been structured in one overcomplete tree and barrier model, such that
by activating (or not) the individual elements of the tree a certain configuration
of the operational/track category is generated. This shall assure usability by
different diverse networks.
3.5 Hazards analysis
Critical for the ROSA model is a complete, but still generic, identification of all
hazards that members of the above risk groups may be exposed to within the
system boundary. Several available hazards analyses of the partners had
therefore to be combined into a fault tree structure within a total of

Advanced generic safety functions
Basic System Model

(BSM)
Starting
Risk Control Model

(RCM)
Point
Hazards
(SPH)
Barrier
Quantification
Model
(BQM)
Figure 3:
Neutralising Factors NF
Causes
Safety
requirements
Accidents / Consequences
Basic generic safety functions
Double pyramid representation.
approximately 1.000 hazards, which is considered complete at this time. Since

proceeding further at too low a level (e.g. Measured distance between too low
due to odometry failure) turned out to be impractical and hazards at too a high
level (vehicles too close) appeared too close to the Accident Categories, an
intermediate level of hazards was selected as Starting Point Hazards. The
intermediate character of the hazard also offered the possibility to remain within
the double pyramid model that is often used to define Tolerable Hazard Rates
(see Fig. 3).
The list of the approximately 60 selected Starting Point Hazards (see Fig. 4)
had been checked for completeness and mutual exclusivity (as much as
possible), meaning that there is no hazard in the overall fault tree that does not
lead to any of the SPH (cause) or is not a later consequence of any SPH and
that the SPHs do not follow from each other in the tree.
3.6 Event Tree Analysis
As previously mentioned, an event tree at the generic level has been developed in
ROSA from each of the Starting Point Hazards. The tool FaultTree+ (Isograph
Ltd) was utilized to formally store the trees. In order to show a more complete
image of the typical tree content, Figure 5 shows another (PowerPoint)
representation of an example tree of less complexity; larger trees, such as SPH13
(Wrong Route), are difficult to read in paper presentations.
The typical quantitative estimation to calculate the event trees includes the
Starting Point Hazards rate, split factors into different branches of the tree,
reduction factors and the barrier efficiencies that are imported from another part
of the model (Barrier Quantification Model). By quantification, every tree leads
into some contributions to a vector of accidents; compiling all accident
contributions shall lead to a reproduction of an accident database.
Figure 4:
Figure 5:
777
List of ROSA starting point hazards.
Lower complexity event tree example, here in a PowerPoint

representation.
4 Barrier quantification model

Besides the FaultTree+ Event Tree Model, the Barrier Quantification Model
(BQM) is the second major model part. Since for every generic barrier of the
event trees a variety of technical or operational realizations may be used and in
turn for every individual realization multiple types may exist, the BQM is
organized into several levels as indicated by the example Track Vacancy
Detection in figure 6.
Figure 6:
Figure 7:
Example of the BQM (here track vacancy detection).
Example screenshot of the BQM input mask.
In order to characterize a full network, the analyst is requested by particular

Graphical User Interfaces (GUI) to input with what percentages what specific
Barriers are implemented on the network. In addition, new barriers or
implementations may be added, as well as dependencies between barriers,
procedural or human barriers and the safety efficiency of each barrier type. Other
features, such as maintenance state impacts or costs, are prepared but had not
been fully implemented into this first model. Fig. 7 shows a screenshot of the
GUI of the BQM.
Once the input has been completed, the MS ACCESS based BQM can
calculate the resulting rates for each barrier at the appropriate level, which is in
turn transferred to the FaultTree+ Event Trees.

SPHR=2,49*106 a-1
SPH 52:
Possibility of
train moves
during
passenger
exchange
SPHR=2,88*102 a-1
NF: no
exposure
of person in
hazardous
area
Barrier:
Dependence of
door closing
and train
movement
Fred=0,99
Fred=1,17*10-4
Figure 8:
(1)
A
B
C
D
E
F
Accident Rate
29 a-1
Barrier:
Prevention
of falling of
person
Accident:
Others
Fred=1*10-1
Quantitative estimation example.
Name
Average number of stations where a train run stops
Number of train runs long distance trains
Number of train runs local trains
Number of station stops
Probability, that train moves during passenger exchange
Number of train runs that moves during passenger exchange
Figure 9:
Jerk on
train
during
passenger
exchange
779
Unit
Calculation rule
per day
per day
per year 365A(B+C)
per year DE
Example
13
2.500
50.000
249.112.500
0,01-0,001
2.491.125-249.113
Starting Point Hazard Rate estimation example.
Example: train moves during passenger exchange
In order to illustrate the above texts, figure 8 shows the summary numbers of the
examples, where a passenger train starts to jerk/move during passenger
exchange.
The ROSA tool requires the quantified estimations for the various elements,
such as the Starting Point Hazard Rate, Neutralizing Factors and Barriers.
5.1 Starting Point Hazard Rate Moving Train at Passenger Exchange
Based on statistical data of operated trains, stations and network parameters, the
total number of raw Starting Point Hazards was estimated for the reference
system to approximately 2,5 million per year. It shall be noted that this rate is
based on the estimation, which without any further reducing elements every
100th to 1000th train may show any move during passenger exchange in the
basic unprotected system.
5.2 Neutralizing factors and barriers estimation
The generic event tree of the respective hazard shows two Barriers and one
Neutralizing Factor. For the Neutralizing Factor No Passenger Exposed to
Hazard, a percentage of approximately 99% was assumed. For the first Barrier
Dependency between Door Closing and Train Movement different weighted
implementations of the reference system and their safety efficiency are input to
ROSA (see Fig. 10), including Manual Door Closing before Train Departure,
Time Interval Controlled Door Locking, Speed Dependent Door Locking,
Figure 10:
Barrier quantification example.
Dependency between Immobilization Brake and Door Lock Status, Zero Speed
Detection (Brake Initiation). The properly weighted reduction factor is then
correctly generated by the tool.
Similarly, the impact of a second barrier (Mechanical Preventions from
Falling Out of Open Doors) had been estimated and the rates were transferred to
the FaultTree+ Model that resulted in the final accident number estimation.
Although the example is presented for illustration only, it shows, however,
how a large estimated number of hazardous situations is ultimately reduced by
independent estimations of the active barriers to a comparably low number (here
28) that are compatible with the field data of such a reference system.
6 Summary and future aspects

The ROSA project has established for the first time a consistent computer based
Framework and Analysis Scheme that may permit the estimation of the safety
characteristics of a complete railway network. The first utilization steps of
ROSA show, as expected, that the objective requires confinement to a quite
generic and higher level of detail and also the estimation of most of the rates
requires separate analyses. The verification examples in the project show,
however, that the tool delivers plausible results and that it remains complete in
the sense that all relevant sources of safety (or respectively residual non-safety)
even in a complex railway system (such as that of Germany).
781
One aspect for future work appeared early in the project, but has not been
implemented due to time constraints. If approximate cost estimation for every
barrier is input into the model, it should be possible to compare at a complete
railway system level all relative prices/costs for safety. Although agreement
was found in the project that the objective of such an analysis cannot consist in
pure Cost Efficiency aspects for Safety, it is still anticipated that such future
work may contribute to high level cost benefit analyses, in particular for newly
introduced safety systems.
References
[1] 2004/49/EG European Railway Safety Directive
[2] Progress report on the implementation of the Railway Safety Directive
(Directive 2004/49/EC)and of the Railway Interoperability Directives
(Directives 96/48/EC and 2001/16/EC), Brussels 2009
[3] IEC 61508-1 Functional safety of electrical / electronic / programmable
electronic safety related systems Part 1: General requirements, 1st ed.
(1998)
[4] IEC 61508-1 Functional safety of electrical / electronic / programmable
electronic safety related systems, Part 1: General requirements, Committee
Draft For Vote (CDV) (2008)
[5] EN 50129 Railway applications Communication, signalling and
processing systems Safety-related electronic systems for signalling (2003)
[6] SAFE 2005, "Derivation of Common Safety Targets for European
Railways", J. Schtte, TU Dresden, Rome, Italy 2005
783
An IP network-based signal control system

for automatic block signal and its
functional enhancement
K. Hayakawa1, T. Miura1, R. Ishima1, H. Soutome2, H. Tanuma3
& Y. Yoshida4
1
East Japan Railway Company, Japan

Hitachi Ltd., Japan
3
Toshiba Corporation, Japan
4
Daido Signal Ltd., Japan
2
Abstract
Conventional signalling systems for automatic block signals have several
problems, such as the complicated wiring work for relays and unreliable simplex
devices. We developed an IP Network-based Signal Control System for
Automatic Block Signal. A Logic Controller (LC), placed in a signal house,
integrates several control logics of signalling field devices. A Field Controller
(FC), placed near each automatic block signal, electrically controls the signalling
field devices. The LC and FCs exchange the control data through an IP network,
the connection of which is simpler than conventional relay circuits. In order to
enhance maintainability and transport stability in introducing this system into
service, the following new functions have been developed. A diagnostic function
enables the FCs to recognize where a malfunction of field devices or cables has
happened, by means of current sensors added in the FCs. It is also possible to
maintain train operations, even in the case of a malfunction of track circuits, by
tracing train movements around the track circuits concerned. These new
functions are expected to contribute to quick restoration at the breakdown in the
signalling devices and the stable transport. We have carried out field tests to
confirm their functionalities and characteristics in the wayside environment. This
paper describes the above-mentioned functional enhancement and its field test
results as well as an outline of an IP Network-based Signal Control System for
Automatic Block Signal.
doi:10.2495/CR100711

Keywords: IP-network, PON, automatic block signal, track circuit, current
sensor, maintainability.
1 Introduction
Between stations we have many signalling devices such as block signals, track
circuits and balises of ATS-P (Automatic Train Stop with Patterns, which is
Automatic Train Protection). Each signal device is different in structure and has
individual functionality. Those devices are connected with each other through
relay contacts and signal cables to exchange status/control data (Figure 1 (a)).
This system structure of conventional signalling systems has the following
issues.
(1) Huge amount of signal cables and wiring work
(2) Complicated relay circuit logic
(3) Simplex system (no backup in case of equipment failures)
(4) Insufficient information on maintenance and failures from distant locations
To deal with (2), (3) and (4), we introduced a signalling system, of which all
control units are duplex and placed in a signal house with good environment, to
the Chuo line between Tokyo and Takao (the Chuo-line system Figure 1 (b)).
The system, however, controls each signalling field device placed along the
wayside directly from the central signal house through enormous number of
metal cables, which require high cost and much construction work. The cables
are still simplex, while all control units are duplex.
In order to cope with those issues, we started with the development of a
NEtwork-based Signal Control System for Automatic Block Signals (NESCSABS) [1] on the basis of a signalling system that controls the field devices in a
station yard through an IP network [2]. NESCS-ABS (Figure 1 (c)) aims at
reducing cables and interface relays as well as improving the availability and
maintainability of signalling systems.
Signal
Each devices
are simplex
Signal house
Each device
is duplex
ATS-P
Signal control
Train detection
Relay condition
sending
ATS-P
ATS-P
ATS-P
Signal control
Insulated track
circuit
Train detection
serial
transmission
(b) Chuo-line system
(a) Conventional Signalling System

Signal house
Train detection
Logic Controller
ATS-P
Signal control
Train detection
Non-insulated track circuit

Huge amount of signal cables are simplex
Terminal 1
Terminal 2
ATS-P
Signal control
Field
Controller
(FC)
Optical cable (duplex)

Centralization
(c) Network-based signal control system for automatic block signals
Figure 1:
Comparative system.
785
2 Overview of the NESCS-ABS

Figure 2 illustrates the system configuration of the NESCS-ABS. The system
mainly consists of a LC, FCs, an optical network and a remote monitoring
system. Devices are connected with each other by an optical network, and data is
transmittal by IP communication. The system including the optical cables has a
duplex structure for reliability improvement.
In signal house
Interlocking
device
Input
Output
LC
System 1
FC(FCBO)
FC
1
FC
2
LC
System 2
L2SW
L2SW
L3SW
L3SW
PON
OLT
PON
OLT
Dispatchers
office
Ethernet cable
Remote
monitoring
system
Block signal
Maintenance
center
Block signal
ATS-P balise
FC box
(FCSG) FC
1
FC
2
FC
1
Block signal
ATS-S balise
FC
2
Track circuit
transmission
Track circuit
reception
FC
1
FC
2
Optical cable
Figure 2:
System configuration of the NESCS-ABS.
2.1 LC
LC is equipment that centralizes control logic of signalling devices for automatic
block signals, and is placed in the signal house of a station. It determines the
specific control of each signalling device on the basis of the information from
FCs and the interlocking device, and it sends the command data to FCs via the
optical network. It is built in a duplex structure with fail-safe control devices.
Main functions of the LC are as follows;
(1) Determination of occupancy of track circuits
(2) Determination of aspects of block signals, including repeat signals and
distant route indicators
(3) Determination of the code information of ATS-P balises
Even in the case of a malfunction of track circuit, train operations are possibly
by the newly-developed function for LC, which is discussed in 3.2.2.
2.2 FC
FCs are installed at each block section. The FC transforms command data from
the LC into electric signals, and it controls signals, track circuits and ATS-P.
They also transform the information of train detection by track circuits and other
operation status of equipment along the tracks from electric signals into feedback
data, and they transmit that to the LC via the optical network.

As signalling devices to be controlled are concentrated around each block
signal, the NESCS-ABS controls them by the FC which is installed for each
signal block. FCs have a duplex structure with fail-safe control devices as LC do.
Figure 3 shows a connection of signalling devices to the FC. They are
connected by metallic cables with connectors. It uses non-insulated track circuit
to detect a train, and a transmitter and a receiver for that are also built in the FC.
Non-insulated track circuit
FC box
Power
supply
Optical terminal box

Optical cable
branching coupler
FC
FC
Terminal 1
Terminal 2
PON
ONU
Repeating signal
FC Terminal
Figure 3:
ATS-S balise
Receiver
MT
ATS-P balise
Transmitter
MT
FC
sensor
Protector
IF relay
etc.
Branch
optical Power line
cable
(To next field controller)
(central power transmission type)
Power supply
*Duplex system
Transfomer
etc
Main optical cable
Power
supply
Color light signal
Connection
by connectors
Main optical cable

(To next field controller)
Connection of signalling devices to the FC.
2.3 Optical network

LC, FCs and other devices are connected via optical cables to reduce huge
amount of cables. For the transmission method between LC and FCs, we have
adopted the PON (Passive Optical Network) method that is a universal
technology used for FTTH (Fibre To The Home) because PON is good in terms
of ease of installation and maintainability and is well suited for laying along the
tracks by the following reasons;
(1) With time-division multiplexing, PON can secure many lines to reduce the
number of core wires.
(2) Optical cables of PON can be multi-branched by using couplers without
power supply.
PON consists of an Optical Line Terminal (OLT) and Optical Network Unit
(ONU). In our system, we set up the PON OLT in the signal house and place the
PON ONU in the FC boxes along the tracks. Furthermore, individual network
devices (PON OLT, L2SW and L3SW) and optical cables are multiplexed.
2.4 Remote monitoring system
The remote monitoring system (Figure 4) is a system to remotely obtain
information on wayside signalling devices and to provide it at the dispatchers
office and the maintenance centre as detailed as in the signal house. It also
enables resetting of devices for recovery from obstructions etc. at the
dispatchers office. The remote monitoring system consists of remote monitoring
server, remote control server and remote monitoring terminals.
LC
LC
System 2
L2SW
L2SW
L3SW
L3SW
PON
OLT
Connection to existing
stationary monitoring system
Remote monitoring system
LC
System 1
PON
OLT
L2SW
L3SW
L2SW
L2SW
L3SW
L2SW (not always connected)
Maintenance terminal
PON
ONU
FC
FC
Terminal 1
Terminal 2
Remote
Monitoring
terminal
Remote control server
Remote monitoring
server
FC box
PON
ONU
Figure 4:
787
L2SW
Firewall
Preprocessor
Dedicated line
WAN
Remote monitoring
Remote monitoring
terminal
terminal
Dispatchers office
Maintenance section
Remote monitoring system.
3 Development of practical system

In order to enhance maintainability and transport stability in introducing this
system into service, we have improved and developed new hardware and
functions on the basis of the issues found in the prototype system development.
3.1 Development of hardware
3.1.1 Improvement of FC box
We downsized the FC box taking into account the limited installation space
along the tracks. But, as a result, problems remained in ease of installation at
setup and maintainability at parts replacement due to internal parts being too
closely packed.
Thus, we have enlarged the size of the box slightly and improved the
component arrangement. Specifically, we have improved the arrangement to
enable operation check and replacement of individual components from the front
side of the FC and wiring from the rear side for better ease of installation and
maintainability. And we have further modified the component structure of the
FC to allow replacement for each internal unit.
Upon consideration of cases where a FC is installed on elevated sections and
other places with heavy vibration, we have enhanced vibration isolation structure
of the FC box. That lowers the vibration of the FC and other components to the
specified level or less for vibration at 2G (double of the previous spec).
3.1.2 Development of the FCBO (FC for system BOundary)
In order to put this system into practical use, it has to have a serial interface with
interlocking equipment and a transmission interface with ATS-P encoders, in
addition to the relay interface, at the boundary with other systems. We have thus
developed the FC for system BOundary (FCBO) that has those interfaces.
For example, the information required to control ATS-P over the system
boundary is transmitted between the conventional ATS-P encoder and FCBO.

3.2 Development of block section extension in track circuit failures
3.2.1 Overview
When a track circuit for automatic block signals is failures, we currently secure
train operation by non-block operation with full attention.
But that limits the number of train services, seriously affecting stable
transport. We have thus developed a function for extending a block section to
maintain train operations without non-block operation with full attention by
specifying the faulty track circuit.
In the development of the practical system, we have developed the following
basic functions for that.
(1) Function to control occupancy or clear of the section with faulty the track
circuit by tracing train movement around the track circuits concerned.
(2) Function to set the function in (1), above, by a remote monitoring terminal.
3.2.2 Vision for the extension of block section
When a track circuit unit of a FC is breakdown, the LC judges its track circuit as
occupancy, and controls the stop aspect. If a dispatcher designates the faulty
track circuit by remote monitoring terminal and the first train goes through that
by the dispatchers operation, the LC judges that as clear and controlled the
7th signal
proceed
6th signal
stop
5th signal
proceed
4th signal
proceed
7th signal
proceed
6th signal
proceed
5th signal
proceed
4th signal
proceed
First train
7th track()
6th track()
4th track()
5th track()
The track circuit of 6th FC is breakdown.

(a)
7th track()
6th track()
(b) The process of the extension of block section
The breakdown occurred.
6th signal
proceed
5th signal
proceed
4th track()
The LC judges 6th track circuit as clear,

when first train goes through.
The extension of 6th block section

7th signal
stop
5th track()
4th signal
proceed
Check-in
7th signal
proceed
6th signal
stop
5th signal
proceed
4th signal
proceed
Second train
7th track()
6th track()
4th track()
5th track()
th
Control 6 block signal as the proceed aspect
7th track()
6th track()
th
5th track()
4th track()
th
When 7 track circuit is clear, 6 track circuit is occupied.
(c) The occupancy timing of 6th track circuit
Check-out
7th signal
proceed
7th track()
6th signal
stop
6th track()
5th signal
stop
Check-out
4th signal
proceed
5th track()
4th track()
th
6 track circuit maintain occupancy state,

though the train leaves from 6th track circuit.
(d) Control of track circuit, when the train leaves
Figure 5:
7th signal
proceed
6th signal
proceed
7th track()
6th track()
5th signal
proceed
4th signal
stop
5th track()
4th track()
6th track circuit is clear, when 5th

track circuit is clear.
(e) The clear timing of 6th track circuit
Vision for the extension of block section.
789
block signal as the proceed aspect. After the second train, in order to detect the
train on the faulty track circuit, the LC judges that state by tracing train
movements around the track circuits concerned. When outside track circuit of the
faulty track circuit changes from occupancy to clear, the LC judges the faulty
track circuit as occupancy (check-in). Next, when inside track circuit of the
faulty track circuit changes from occupancy to clear, the LC judges the faulty
track circuit as clear (check-out). We illustrate an example of the movement on
Figure 5.
(a) When the track circuit unit in 6th FC is breakdown, 6th track circuit is
occupancy and 6th block signal is stop aspect. But, when a dispatcher
checks no problem for the rail state and designates 6th track circuit by
remote monitoring terminal.
(b) After first train goes through 6th and 7th track circuit by a dispatchers
operation, the LC judges 6th track circuit as clear and controls the 6th block
signal as the proceed aspect.
(c) When 7th track circuit changes from occupancy to clear by tracing second
train movements, the LC judges the faulty 6th track circuit as occupancy,
and controls 6th block signal as stop aspect. The occupancy timing of 6th
track circuit delay by comparing normal track circuit state. This is no
problem; because we allow only one train to occupy one section, and the
train cant proceed into the next section with occupancy.
(d) The train leaves from 6th track circuit and is only on the 5th track circuit,
but 6th track circuit maintain occupancy state.
(e) When the train leaves from 5th track circuit and it changes from occupancy
to clear, the LC judges 6th track circuit as clear and controls 6th block signal
as proceed aspect. The clear timing of 6th track circuit delay by comparing
normal track circuit state. This is no problem; because 6th block signal
changes from stop aspect to proceed aspect after the train leaves from inside
5th track circuit.
We describe that as check-in and check-out method by the extension of block
section. As respects this function at a failure of the track circuit detector, we
develop the basic control logic of the track circuit state at a failure. But in
preparation for the practical operation, we need to decide the confirmation
method of the setup procedure, the rail state and the presence of a train for the
broken track circuit unit of a FC. Forward we need to develop the further
function.
3.3 Development of the practical system in the remote monitoring system
3.3.1 Function of identifying the faulty part in device failures
When a device failure occurs once by conventional signal equipment, great time
is needed for the identification and restoration, because a candidate for the faulty
part covers a wide range. In order to control various devices by FCs of the
NESCS-ABS, when a failure occurred to FCs and signalling devices, it's
necessary to identify the faulty part promptly with pinpoint accuracy and be
restored by a short time. So we improved to indicate a faulty part to remote
monitoring terminal. The FC combines the plural sensor information and the

judgment logic, and identifies the faulty part, the degradation of the device and
the operation state of each unit in the FC. We describe the mechanism of a main
sensor in the FC and specification of a faulty part.
3.3.2 FC sensor
A FC sensor checks a driving current (DC) of the output relay controlled by the
FC and the temperature inside the FC box. As FCs consist of electronic devices
in the FC box, it's necessary to cool by fans and heat sinks, so that the
temperature in the FC box will be also below the fixation temperature at the time
of hotness in the most heat time of year. When a FC sensor detects that the
temperature inside the FC box is beyond the preset temperature, a FC sensor
controls fans. Fans are diagnosed by comparing their control and actual
operating states.
3.3.3 Sensor for power source
Power supply line systems along the tracks are duplicated, but there is no
monitoring mechanism which system actually provides power with field devices.
A sensor for power source performed the voltage monitoring at power supply
lines of 2 ancestries and the output end and watched normal operation of power
supply, as shown in Figure 6.
Power source
Line1
Line2
V
V
Switching
device
Sensor for
power
source
Field devices
Figure 6:
Sensor for power source.
3.3.4 Current sensor of the signal lamp

A signal lamp consists of a lot of LED balls, and when each LED balls break
with the passing years, consumption current gradually reduces. On the basis of
LED
signal
FC
trans
logic
Signal Lamp
Direct
Output
Current
Sensor of
the Signal
Lamp
Figure 7:
No
judgment standard
The part of
traouble
Current value
presence/none
Threshold
amount
Presence
Above
normal
Presence
below
breaking of LED
ball
None
Cable
disconnection
Current
value
Current sensor of the signal lamp.
791
this characteristic, the FC detects the LED problem when the current gets below
a certain threshold amount, which enables to exchange the signal lamp before it
completely breaks. When the current value is none, the FC decides on the cable
disconnection between the FC and signal lamp. Thus a faulty part of the breaking
of signal lamp or cable disconnection is identifiable, by combining a certain
threshold amount for the current value with a presence of the current value
(Figure 7).
3.3.5 Sensor for track circuit
The track circuit, which detects a train, consists of a sending unit and a receiving
unit in the FC, rails and cables connecting them. The FC can detect its own
problems by self-diagnosis, but when problems occurred on the outer side of the
FC, it is not possible to specify where they actually occurred.
MT-W
MT-W
Cable for receiving
Separate of
trouble place
MT-W
FC box
FC
logic
TD-R
MT
R)
TD-S
MT
S)
FC box
Cable for sending
Sensor
for track
circuit
Figure 8:
Cable for
monitoring
Sensor for track circuit.
To cope with this situation, a wayside transformer (MT), which is inserted at

the end of rails, is made use of (see Figure 8). The FC can distinguish the
problems of the cables from the problems beyond the MT (i.e. the problems of
wayside connections, rails, etc.) by checking a signal obtained by an additional
sensing coil to the MT.
The output level of the transmission unit is set appropriately so that the input
level of the reception unit is not influenced by weather, by monitoring its input
level.
3.3.6 Sensor for ATS-P
ATS-P is a train protection system, and train control data is transmitted from the
grand to trains through balises. As shown in Figure 9, the transmission current
from the FC to the ATS-P balises monitored. The FC distinguishes the problem
parts by checking the monitoring results and the feedback data from the ATS-P
balise. Figure 9 indicates its diagnostic criteria.
3.3.7 Use of the monitoring data for the preventive maintenance
The monitoring data of each device acquired by the NESCS-ABS is accumulated
and the average, the greatest and the minimum value on the 1st are calculated in
a remote monitoring server. These data is taken out from a remote monitoring
server by need and the monitoring data of each device is displayed at the remote
FC
ATS-P power
Control signal
ATS-P
device
ATS-P
balise
logic
Current value
Feedback signal
Sensor for
ATS-P
No
Figure 9:
Judgment standard
The part of trouble
Current value
presence/None
Feedback
signal
Presence
Normal
Normal
Presence
Abnormal
The transponder
failure
None
Cable disconnection
Sensor for ATS-P.
monitoring terminal by graph. The user acquires the tendency by the date of each
device, and utilization to preventive maintenance is expected.
4 Test of the practical system

We have carried out stand-alone and combination functional tests of each device,
field tests and operation environment checks of the NESCS-ABS.
4.1 Field tests
We have set up the developed practical system between Mabashi and KitaKashiwa stations near Kita-Kogane station on the Joban rapid line for the field
tests. In those tests, we have evaluated the control performance, the transmission
performance, and the reliability and environment resistance of the system in the
long-term operation in the on-site environment. The field tests started in June
2008.
4.1.1 System configuration
Figure 10 illustrates the field test system configuration. The LC was installed in
the former signal house of Kita-Kogane station. Six FCs (five FCSG and one
FCIF) were installed in a total of five block sections: outbound No. 2 and No. 1
between Mabashi and Kita-Kogane and inbound No. 1, No. 2 and No. 3 between
Kita-Kogane and Kita-Kashiwa. In order to input the aspect information of the
entry signals with the existing interlocking device, we have installed two FCBOs
as the interlocking equipment interface. The remote monitoring system is in the
former signal house of Kita-Kogane station. We have built an optical network
between those to control the FC and simulated signalling devices for automatic
block signals (block signals, repeating signals, track circuits, ATS-P and distant
route indicators). In the field tests, we are making comparisons of the operation
between the practical system and the existing system.
In order to verify the validity of the system in the actual train operation in the
field tests, the system imports the conditions of the existing devices at relay
contact points to compare the control details and control timing of the existing
devices and the network-based signal system.

(Shin-Matsudo)
(Mabashi)
Outbound No2
Outbound No1
Musashino line
Kita-kogane station
(Minami-Kashiwa)
ATS-P balise
Track
circuit
(send)
FC
SG
FC
Track
circuit
(receive)
FC
SG
793
Joban rapid li
Inbound No1
FC
SG
Signal house of Kita-kogane station
Existing interlocking device

FC BO
FC
SG
Distant
route indicator
FC
SG
Inbound Inbound
No2
No3
ATS - S
Color light signal
FC BO
Repeating signal
Optical cable
Former signal house of Kita-kogane station

(where network devices are located)
Operation information
of existing
signalling devices
Comparison
device for
field test
LC(1)
Monitoring server
Control server
Monitoring terminal
Transmission
between LCs
Remote monitoring terminal
Optical cable
Figure 10:
LC(2)
System configuration of the field test.
4.1.2 Evaluation
Evaluation items in the field tests are reliability and performance. The number of
train runs in the field test section is approx. 200 a day each for inbound and
outbound lines.
The evaluation criterion of reliability is whether or not any device failure
occurs (if any, whether or not the cause and the countermeasure are specified).
Failures occurred at some devices, but we found the causes and took
countermeasures, after which the system has been operating normally. We have
found no further failures and operation stops of field devices due to external
environmental causes such as high temperature in summer and electromagnetic
noise.
The evaluations of performance are as follows, proving that the required
performance is met.
(1) Non-insulated track circuit: We checked the position of the boundary
between adjacent track circuits, short-circuit sensitivity, train detection and
other performance items, and found that the specified train detection
performance is met.
(2) ATS-P: We confirmed that functions such as control code encoding and
onboard code reception are equal to the existing ATS-P.
(3) Signal aspect control, output etc.: We confirmed that those correspond to
existing control. In some cases those did not correspond, but the cause was
the difference of the train detection timing. That occurred because this
system used electronic track circuits while the existing system uses relay
track circuits. We proved that there were no problems with the logic
processing of the LC.
(4) Transmission: We measured no errors of networking devices.
(5) Remote monitoring server, remote monitoring terminal: We confirmed that
those could detect device failures and output warnings.

4.2 Environment-resistant test
As we install the FC using electronic devices along the tracks, we defined the
minimum values of each environmental-resistance which the FC box must have,
referring to IEC (International Electrotechnical Commission) and JIS (Japanese
Industrial Standard) for conventional signal field devices. We designed the FC to
cope with those conditions. Table 1 shows the main environmental conditions of
the FC. Concerning the condition of EMC, we refer to IEC 62236-4, applicable
to signalling and telecommunication apparatus which is installed in the railway
environment. As for Impulse surge voltage, we defined 30kV for power port and
20kV for I/O port. We performed the environment-resistant tests for the FC box
based on the defined environmental conditions at testing sites. The FC has
passed all the environment-resistant tests for the FC Box based on the defined
environmental conditions at testing sites. The FC has passed all the
environment-resistant tests and satisfied those environmental conditions.
Table 1:
Internal temperature
Vibration
Water-proof
Electro Magnetic
Compatibility (EMC)
Impulse surge voltage
Main environmental-resistant of the FC.

-10 to 60 C
10 to 500 Hz (over 1G) by JIS E3014 type-2
JIS E3017 R2
IEC 62236-1, 4
30kV for power port
20kV for I/O port
5 Conclusion
We have made improvements and addition of functions that would be helpful to
more stable transport and higher maintainability and ease of installation. We are
now working to determine the final specifications.
For the future, we plan to further preparations to put the system into practical
use in the greater Tokyo area.
References
[1] R. Ishima, Y. Fukuta, M. Matsumoto, N. Shimizu, H. Soutome, M. Mori A
New Signalling System for Automatic Block Signal between Stations
Controlling through an IP Network, WCRR, May.2008.
[2] Y. Hirano, Takashi. Kato, T. Kunifuji, T. Hattori, Tamotsu Kato,
Development of Railway Signalling System Based on Network
Technology, IEEE SMC, Oct.2005.
795
The improvement of the safety-case process

in practice: from problems and
a promising approach to highly automated
safety case guidance
J. R. Meller1, W. Zheng2 & E. Schnieder1
1
Institute for Traffic Safety and Automation Engineering,

Technical University of Braunschweig, Germany
2
Abstract
The European project called INESS Integrated European Signalling System
aims at defining and developing specifications for a new generation of
interoperable interlocking systems suitable to be integrated in ERTMS systems,
with the objective of making the migration to ERTMS more cost-effective. The
Technical University of Braunschweig is leader of the part of INESS that deals
with the safety case process. The aim of this essential subproject is to reduce
time and money for the development of the safety case in industry, i.e. operators
as well as suppliers, by avoiding unnecessary or redundant procedures. In this
workstream a dozen European partners have contributed to the results.
Keywords: INESS, safety case, interlocking system, interoperability.
1 Introduction to the INESS project

1.1 Railway signalling systems transitioning from traditional national
solutions towards ERTMS compliance
Today there are over 20 rail signalling and speed-control systems operating in
Europe, all of which are completely incompatible with each other. This
doi:10.2495/CR100721

complexity leads to additional costs and increased risk of breakdowns. Promoted
by the European Commission and driven by the need for interoperability,
opening of procurement markets, increase of efficiency and harmonising of
safety in the European railway system, the European Rail Traffic Management
System (ERTMS) aims to remedy this lack of unification in the signalling and
speed control.
The convergence of the ERTMS vision in the railway sector, with the
accompanying European Train Control System (ETCS) and Global System for
Mobile Communications Railways (GSM-R) standards, has brought about a
degree of cross border co-operation not previously seen. Railway Operators and
Infrastructure Managers are now engaging with a united supply industry to
achieve the common goal of an interoperable system, within the framework of
European legislation, which potentially forms a set of legal obligations all have
to comply with. A set of standards has been created within these obligations but,
as with any standardisation process, joint efforts are needed from all parties to
translate such work into tangible results.
Furthermore, the new Technical Specifications for Interoperability (TSI)
related to Command/Control/Signalling for Conventional Rail foresees that
ERTMS will be rolled out over international corridors covering initial inception
kernels (as well as on many other projects outside these kernels). The European
Commission, the European Railway Associations together with the Railway
Supply Industry have agreed to work closely together to define a realisable
migration strategy for ERTMS. This unique co-operation has offered the
possibility to co-ordinate the implementation of the constituent parts of ERTMS
the traffic-management layer, the train communication and train control
system.
Further momentum can be added by ensuring that the most significant subsystems of railway command and control systems, such as interlockings (which
are at the heart of traditional signalling subsystem by which commands can be
issued to control devices and information can be obtained about the status of
those elements with a defined level of safety) are developed in line with this
programme.
1.2 The importance of interlockings: huge potential market for new
interlockings
In many European railway networks, there is a huge potential need for renewal
of heritage signalling installations and the interlockings on which they depend.
However, economical analysis of several railways shows that a renewal at
current cost levels is becoming increasingly more difficult to justify in costbenefit terms.
One important method for reducing the costs of signalling renewal is
considered to be the introduction of a greater degree of standardisation, both in
terms of determining the functionality of signalling systems, and in terms of
enabling a more modular approach to the various parts of the signalling
797
subsystems and enabling renewals to better take into account the differences in
the life expectancy of the various in- and outdoor devices including cabling,
point operating equipment etc.
For this reason, both UIC and UNIFE consider that it is now opportune to
address these aspects within the context of the present INESS project.
The INESS project, aims at contributing to the above mentioned European
initiatives by defining and developing specifications for a new generation of
interoperable interlocking systems suitable to be integrated in ERTMS systems,
with the objective of making the migration to ERTMS more cost-effective. This
approach is believed having the potential to reduce costs, speed up the migration
to ERTMS and therefore, help increasing the competitiveness of the railway
transport.
Railway Operators, Infrastructure Managers and the signalling supply
industry agree that the key scope of the INESS project should be exploring and
standardising the interfaces between interlocking systems and the adjoining
command and control sub-systems such as centralised traffic control,
neighbouring interlockings and ETCS Radio-block centres and possibly
depending on the economic justification, outdoor devices.
1.3 Scope of the safety case workstream
One of the main scientific and technological objectives of the INESS project is to
identify an efficient way for an interpretation of the safety case process
according to the relevant CENELEC standards and to develop improvement
strategies coherent with the yet to be harmonised requirements of the various
National Safety Authorities thus reducing time and money for the Safety Case in
industry by avoiding unnecessary or redundant procedures. This activity has the
potential to lead, in addition, to the facilitation of the development of a
harmonised approach by all such authorities.
2 Experiences of the practitioners the basis to improve the

safety case
The collection of the practitioners experiences and interpretation of the norms,
the time and money consuming tasks as well as proposals for the support of the
safety case process in practice were of main concern.
To collect the users experiences of railway operators and suppliers with the
CENELEC development process in general and in its safety aspects in particular,
interviews with the project partners have been held. With the intention of finding
requirements for a future tool, the problems as well as promising approaches for
solving problems in practice were brought into focus. Possible ideas for desirable
functions of a future tool were collected. Existing tools used by the partners were
also kept in mind as a future tool will not be allowed to interfere with them.
The task of interviewing the partners was performed mainly by the
researchers from the Technical University of Braunschweig; this, because the

partners had to speak openly and had to admit where they had problems and saw
difficulties. Thus, it had to be clear and assured that such an interview was not
mixed up with an audit. In addition, the partners had to trust the interviewer that
their reputation would not be damaged.
3 The improved safety case process

3.1 What is the safety case?
Before improving the safety case process, one has to agree on what the safety
case actually is. Many definitions can be found in the literature:
In the EN 50129 [1], a safety case is defined as [] the documented
demonstration that the product complies with the specified safety
requirements.). This definition is regarded as only of little help as it does not
state how to demonstrate that the system complies with the requirements.
Odd Nordland defines in [5]: The safety case is a line of argumentation, not
just a collection of facts. This definition at least gives information what a safety
case is not: a collection of facts.
The most reasonable definition has been formulated by the British defence
ministry [6]. They define a safety case as a structured argument, supported by a
body of evidence that provides a compelling, comprehensible and valid case that
a system is safe for a given application in a given environment. In this
definition, the distinction between the argumentation and the evidences is
emphasised. From a logical point of view, this distinction corresponds to the
distinction between rules and facts.
During the interviews, it turned out that some partners had very good
experiences with this approach: The distinction between the safety
argumentation and the evidences led to an improvement of the readability of
safety cases and to an improvement of the discussions with the legal authorities.
3.2 The transparency of the safety argument
Starting from a set of requirements, the strategy to demonstrate the safety of a
product is to be developed and graphically described (see Fig.1). In general, the
fulfilment of each requirement will be shown by a tree of argumentation. The
leaves of these trees specify the corresponding evidences (e.g. test results or
analysis results). These evidences have to be documented and the corresponding
documents accrue during the corresponding phases of the CENELEC
development process described in the EN 50126.
It turned out, that such graphical argumentation structures ease the
discussions with the legal authorities as they achieve the essence of the
argumentation strategy in a very short time. In addition, through referencing the
corresponding documents in the leaves of these trees, information retrieval is
strongly supported.
Workflow according
to CENELEC
Safety
Documentation
Safety
Evidence
Safety Argumentation
Goal: System is
safe
Requirement 1
Requirement 2
Argument 1
Argument 2
Subgoal 1
Subgoal 2
Subgoal 3
Subgoal 4
Evidence
1
Evidence
2
Evidence
3
Evidence
4
Docu-1:
Docu-2:
Management Safety
Structure
Plan
Docu-n:
...
Workflow Workflow
1
2
Phase 2
Phase 1 System
Def. &
Concept
App.
Condition
Figure 1:
799
Docu-14:
Disposal
tasks
Workflow
14
Phase 14
Decomissioning &
Disposal
Safety argumentation versus safety evidence.
4 Improvement by automatisation
4.1 The improved safety case process
The definition of an improved safety case process is the result of the
shortcomings and promising approaches of the safety case process in practice.
The improved safety case process consists of
1) the normative safety case processes (EN 5012x),
2) the tasks that improve these processes,
3) and the knowledge that is the basis for the improving tasks of 2.).
The normative safety case processes have been modelled with event-driven
process chains [4]. The result is a transparent and easy to understand
visualization of the sequential and parallel processes interacting with each other
within the overall normative CENELEC safety case framework. Within this
model it is possible to identify by just one look in which phase, which
requirements are to be complied with and which documents are to be developed
etc.
Figure 2:
Structure of the improved safety case model.
The model of the improved safety case process consists of several layers,
allowing the strict separation of the normative development processes and the
support functionalities. The structure of the improved safety case model is
depicted in Fig. 2.
The support functionalities encompass tasks related to the improving of the
process knowledge as well as tasks improving the process itself.
4.2 The automation of the improved process
According to the results of the interviews, it became clear, that most problems to
be solved are related to the realm of workflow and document management. Many
of the desired functions have already been implemented in freely available open
source applications. Therefore, it was agreed to use the advantages of open
source software: In that way, a lot of desired functions come for free, thus
offering more benefit for less cost. On the basis of freely available tools, the
processes are currently being automated. To be able to do so, it is presupposed
that various sources of information are available (see Fig. 3):
1) It is assumed, that the documents that are to be produced during the
development process are stored in a database (DB please note, that database
in this context only means stored in an appropriate manner it may be an
electronic folder as well).
2) The requirements have to be made available in an adequate, traceable
manner.
3) In the Process DB the normative processes are represented by
workflows. These workflows represent the core of the automatisation and control
the process workflow.
801
4) In the Role & Verification DB, information about project members, their
responsibilities and rights within the project is stored.
5) In the Knowledge DB, nation specific requirements, lessons learned etc.
are stored. Some of the interview-partners even store the specific interests of
certifiers, to be able to align the certification-discussions to the corresponding
specific expectations.
4.3 A generic workflow
Assumed, that during the development process a document has been uploaded to
the document DB with a changed status, e.g. the status has changed from draft
to approved (1), then through linking the argumentation tree with the
document DB (2a), the argumentation tree is updated automatically and it is
indicated that the corresponding requirement has been met (see Fig.4). The
uploaded document may in addition indicate the achievement of a milestone and
therefore trigger according to the normative description of the processes a
next task (2b). If so, a skeleton of a new document is being generated with the
corresponding information, e.g. the responsible project member (3) and
information from previous projects concerning this document is made available.
Accordingly, uploading this new document to the document DB (4) leads to its
modification. Finally, the responsible person for this new document / tasks is
automatically being informed (5).
Figure 3:
Using various sources of knowledge to automate the safety case

processes.
Goal: System is
safe
Argument 1
Argument 2
Subgoal 1
Subgoal 2
Subgoal 3
Subgoal 4
Evidence
1
Evidence
2
Evidence
3
Evidence
4
Docu-1:
Docu-2:
Management Safety
Structure
Plan
Docu-14:
Disposal
tasks
Docu-n:
...
Goal: System is
safe
Argument 1
Subgoal 1
Subgoal 2
Subgoal 3
Subgoal 4
Evidence
1
Evidence
2
Evidence
3
Evidence
4
Docu-1:
Docu-2:
Management Safety
Structure
Plan
Figure 4:
Argument 2
Docu-n:
...
Docu-14:
Disposal
tasks
High level tracing of requirements in the argumentation tree.
Figure 5:
803
Estimated expected economical benefit.
5 Results: the estimated economical benefit

Within the INESS project, there is a subproject that deals with the life-cyclecosts of interlocking systems (see Fig. 5). Here, the costs to develop according to
CENELEC have been subsumed to the labour costs. Fig. 5 depicts roughly the
fraction of these costs in a development process. Conservative estimations
assume that at least 10% to 15% of the CENELEC related costs can be saved.
Other estimations assume this fraction to be up to 50%.
The reasons for the difference between these two estimations are the
following: First of all, there were no figures available about the costs of a safety
case. None of the project partners could give more than just rough estimations. In
addition, it is assumed, that the costs vary significantly with the complexity and
duration of a project: If project members are replaced during the project time, the
new members need to get an overview over possibly hundreds of documents.
The structured argumentation and a concise versioning, document history and
referencing is of great importance and help and in this respect saves time and
money. Another reason for the different estimation lies in the variety of projects:
Development or software projects have a huge fraction of CENELEC costs,
whereas implementation projects do not.
References
[1] EN 50129: Railway Applications Communications, Signalling and
Processing Systems - Safety Related Electronic Systems for Signalling,
1999.
[2] Odd Nordland: Safety Case Categories Which One When?, Redmill F.,
Anderson T.(Eds.):Current Issues in Safety-critical Systems, Proc. Of the
11th Safety-critical Systems Symposium, Springer-Verlag London Ltd:
Bristol, UK, February 2003.
[3] Safety Management Requirements for Defence Systems; Defence Standard
00-56 (Issue 4), U.K. Ministry of Defence, 2007.
[4] Keller, G., Nttgens, M., & Scheer, A.W., Semantische Przessmodellierung
auf
der
Grundlage
Ereignisgesteuerter
Prozessketten
(EPK).
Verffentlichungen des Instituts fr Wirtschaftsinformatik, Heft 89 (in
German), University of Saarland, Saarbrcken, 1992.
805
State-based risk frequency estimation

of a rail traffic signal system
Y. Zhang, J. Guo & L. Liu
School of Information Science and Technology,
Abstract
The rail traffic signal system is a safety-related system. According to the strict
requirement of safety, the use of international safety standards it requires in order
to carry out the systemic safety assessment. Risk frequency estimation plays a
key role in the process of risk-based safety assessment. Thus in this paper,
firstly, the existing risk frequency analysis methods are studied, then a statebased fault tree model based on the original fault tree model and Markov
stochastic process model is proposed. After that, the state-based risk frequency
estimation flow of the rail traffic signal system is summarized. Lastly, we give
an example of the micro-computerized automatic block system between railway
stations with the wrong cancelling block. Then the state-based fault tree model is
established and its risk frequency quantitatively calculated. The method can
analyse the risk frequency of rail traffic signal systems scientifically and
accurately and solve the quantitative analysis issues of risk frequency in dynamic
random systems effectively.
Keywords: state-based, risk frequency, rail traffic signal system, fault tree
model, Markov stochastic process model.
1 Introduction
The rail traffic signal system is a safety-related system [1] and it takes charge of
the safety of rail traffic system operation. The traditional method to guarantee the
safety of the rail traffic signal system is based on technique specifications and
safety design, which have played a positive role. However, with the development
of high-speed railways and the microelectronics, computers, communications
and other modern information technology that is widely used, the traditional
doi:10.2495/CR100731

method has some problems in guaranteeing the safety of the rail traffic signal
system systemically and effectively. The international standard commission has
made a series of safety standards (Yan and Tang [2], Gao [3]), such as IEC61508
and EN5012X. Moreover, it has formed a scientific system of safety assessment,
accreditation and management, which is more systemic, comprehensive and
effective than the traditional method. Nowadays, the risk-based safety
assessment is one of the most important means to achieving security control in
many fields, such as rail traffic, the nuclear industry, chemical industry, oil
pipelines and so on, which use the systemic, comprehensive risk identification,
analysis and control technology. It proves to be more scientific and effective in
the protection of the safety. In terms of risk frequency estimation, it plays a key
role in the process of risk-based safety assessment. Through the establishment of
a safety analysis model and appropriate techniques, the risk frequency can be
analyzed qualitatively or calculated quantitatively. In the field of system safety
analysis, there are many techniques, tools and methods that can be applied to
analyze the risk frequency (Zhang and Guo [4]), such as the expert scoring
method, fault tree analysis (FTA), event tree analysis (ETA) and so on.
However, the existing risk frequency analysis methods have a common
problem; they do not take the changes of system states into account carefully and
cannot analyze the risk frequency of a dynamic stochastic system accurately.
Specifically, in rail traffic signal systems, such as the micro-computerized
automatic block system between railway stations, the system states change in
real-time. Besides, the system risk is different in various working states. Thus,
taking the system dynamic characteristics into account will make the risk
analysis more effective and accurate. This paper proposed the state-based fault
tree model based on the original fault tree model and Markov stochastic process
model. Taking the micro-computerized automatic block system between railway
stations with the wrong cancelling block as an example, the paper established the
state-based fault tree model and calculated its risk frequency quantitatively.
2 The micro-computerized automatic block system between

railway stations
The micro-computerized automatic block system between railway stations is
based on axle counter technology, section block technology, a computer network
and modern control technology (Zou et al. [5], Guo [6]). It integrates the separate
section block equipment and the axle counter equipment into the same system to
realize joint operation control of station interlocking, section block and the
section occupation/clearing. The micro-computerized automatic block system
between railway stations can improve transport efficiency and protect the safety
of the rail traffic system further. It is important to improve the modernization and
information level of Chinas rail traffic signal equipment and the development
direction of the single-line railway. The structure of the micro-computerized
automatic block system between railway stations is shown in figure 1.

RAD protocol switch
Communication
interface
Router
2M fiber channel
807
To nearby
station
Switcher
LAN
Block host
computer A
485 Bus
Block spare
computer B
Axle
counter
4050I/O
Consolebuttons+indicator lights
Figure 1:
Monitor
computer
14520
14520
Relay combination
The structure of the micro-computerized automatic block system

between railway stations.
3 Safety analysis model

3.1 Fault tree analysis (FTA)
The fault tree [7] is one important kind of graphical interpretation method for the
quantitative safety analysis of complex systems and it is used to model the
logical interrelationships between numbers of events that could combine in
sequence to give rise to a particular undesirable outcome. FTA begins with a
single undesired top event and provides a method for determining all the possible
causes of that event. A correctly constructed fault tree is a graphical and logical
model of the various parallel and sequential combinations of events that will
result in the occurrence of the top event. The system is analyzed, from the
identified top events, in the context of its hardware, software, environment,
human factor and modes of operation, to find all credible causal events. The fault
tree is made up of gates, which serve to permit or inhibit the flow of fault logic
up the tree. The gates show the relationship of lower events the inputs to the
gate needed for the occurrence of a higher event the output of the gate. The
fault tree is used to produce the minimal cut sets the minimum combination of
independent base events that, if they occur or exist at the same time, will cause
the top event to occur. The minimal cut sets provide the basis for both the
qualitative and quantitative analysis of the system. It can calculate the frequency
of the top event with the minimal cut sets and the basic failure data. Taking the
micro-computerized automatic block system between railway stations as an
example, here the paper first uses the BlockSim 7 of the American Reliasoft
company to establish the fault tree model of the wrong cancelling block without

consideration of system states changing. The fault tree model is shown in
figure 2.
The failure data of basic events in the fault tree model of the wrong cancelling
block are shown in table 1.
It can calculate the risk frequency of the wrong cancelling block using the
failure data of basic events and the fault tree model. The result is 0.91 times/y.
Figure 2:
The fault tree model of the wrong cancelling block.

Table 1:
Number
Event1
Event2
Event3
Event4
Event5
Event6
Event7
Event8
Event9
Event10
Event11
The failure data of basic events.
Basic event
The software of block host computer failed
The software of axle counter failed
Wrong operation
Electromagnetic disturb
4050 module 1 failed
The state information of relay is wrong
The transmission signal break
The information repeat communication with
The message is wrong
Failure frequency
SIL4
SIL4
0.5 times/y
0.1 times/y
0.05 times/y
0.05 times/y
0.05 times/y
0.1 times/y
0.02 times/y
0.02 times/y
0.02 times/y
809
3.2 Markov stochastic process model

The Markov stochastic process model (Li [8]) is widely used in modern control
theory. Supposing that{X(t), tT} is a stochastic process and E is its states space,
if for any n1, any t1<t2<<tn<tT, any x1,x2,,xn,xE, and it satisfies eqn (1).
P X ( t ) x X ( t n ) x n , ..., X ( t1 ) i1 P X ( t ) x X ( t n ) x n
(1)
Then {X(t), tT} can be called the Markov process. The state of stochastic
variable X(t) is only related with the state of X(tn) and has nothing to do with its
previous state. This can be called the Markov characteristic. In the familiar
stochastic process, the independent stochastic process and the independent
increment stochastic process all meet the Markov characteristic. It can calculate
the steady probability of system states using the Markov stochastic process
model and the detailed approaches are summarized as follows.
Define the Markov stochastic process {X(t), tT} and its state space E.
Establish the system state transition diagram.
According to the system state transition diagram, establish the P matrix and
the system state transition probability matrix A. A=P-I (I: identity matrix).
Calculate (sI-A) and (sI-A)-1, and establish the system initial state P(0).
According to the P(0) and (sI-A)-1, calculate the P(s).
P( s) P(0)(sI A)1
(2)
Then, perform the Laplace transform separately on both sides of eqn (2). This
can acquire the instantaneous probability of system states. P(t) = [P1(t) P2(t)
P3(t)].
According to P(t) = [P1(t) P2(t) P3(t)], it can calculate the steady
probability of system states (t), P() = [P1() P2() P3()].
4 State-based risk frequency analysis

This analysis can establish the system Markov model and calculate the steady
probability of system states through analyzing the rail traffic signal system.
Based on the primary fault tree model and system states, it can establish the
state-based system fault tree model. The overall flowchart of state-based risk
frequency quantitative estimation is shown in figure 3.
4.1 The Markov state transition model of the micro-computerized
automatic block system between railway stations
There are five kinds of states in the micro-computerized automatic block system
between railway stations. The definition of system states are as follows: 0-Reset;
1-Request block; 2-Establish block; 3-Block; 4-Train arrived. Defining X(t)=j,

Start
Define structure, boundary and
states of system
Establish system state-transfer Markov model
and calculate the steady probability of all states
Select the system risk as the top event of fault tree model
Confirm the system states that the risk is likely to
happen and use the system states as the
embranchment of the fault tree model
YES
Establish system state-based fault tree model

from top to bottom
Use components failure or software
invalidation as the bottom events of fault tree
model
According to failure data of bottom events and state-based
fault tree model, calculate the failure frequency of top
event from bottom to top
Whether to calculate next

system risk frequency or
not ?
NO
End
Figure 3:
The flowchart of state-based risk frequency quantitative estimation.
the system is in the state j when at time t, jE={0,1,2,3,4}; E is the system state
space. The system state transition diagram is established through analyzing the
micro-computerized automatic block system between railway stations. (Suppose
that the transit ability between two stations is 50 pairs one day.) The system state
transition diagram is shown in figure 4.
According to the system state transition diagram, the P matrix can be
calculated as
0
0
0.208 0.792 0
0.026 0.014 0.96 0
0
P 0.046 0
0.014 0.94
0
0
0
0
0.556
0.444
0.792 0
0
0
0.208
811
0 .0 4 6
0 .0 1 4
0 .2 0 8
0 .7 9 2
0 .9 6
0 .0 1 4
0 .0 2 6
0 .9 4
0 .7 9 2
0 .2 0 8
4
0 .4 4 4
3
0 .5 5 6
Figure 4:
The state transition diagram of the micro-computerized automatic

block system between railway stations.
According to the P matrix, it can calculate the system state transition probability
matrix A.
0
0
0.792 0.792 0
0.026 0.986 0.96 0
0
A P I 0.046 0
0
0.986 0.94
0
0
0.444 0.444
0
0.792 0
0
0
0.792
The initial state of system is reset, so P(0) = [1 0 0 0 0].

The detailed approaches to calculate the system states steady probability are
summarized as section 3.2 and it can use MATLAB to calculate. The steady
probabilities of system states are: P0()=0.194, P1()=0.155, P2()=0.151,
P3()=0.321, P4()=0.179.
4.2 State-based fault tree model
In order to analyze the risk frequency of the dynamic stochastic system more
scientifically and accurately, one can combine the primary fault tree model and
the system states to establish the state-based fault tree model. Taking the microcomputerized automatic block system between railway stations as an example,
here the paper uses the BlockSim 7 of American Reliasoft company to establish
the state-based fault tree model of the wrong cancelling block. The fault tree
model is shown in figure 5.
The failure data of basic events in the state-based fault tree model are the
same as table 1. According to the failure data of basic events, the steady
probability of system states and the state-based fault tree model of the wrong
cancelling block, it can calculate the risk frequency of the wrong cancelling
block. The result is 0.455 times/y.
Figure 5:
The state-based fault tree model of the wrong cancelling block.
Comparing the state-based fault tree model with the primary fault tree model,
it can be seen that the state-based fault tree model is more scientific and accurate
than the primary fault tree model in analyzing the risk frequency of the dynamic
stochastic system.
5 Conclusions
Through studying the risk-based safety assessment theory and technology in the
field of rail traffic signal systems, this paper proposed the state-based fault tree
model to calculate the risk frequency based on the primary fault tree model and
Markov model. In addition, taking the micro-computerized automatic block
system between railway stations as an example, the paper established the
primary fault tree model and state-based fault tree model of the wrong cancelling
block. Comparing the state-based fault tree model and the primary fault tree
model, it can be seen that the state-based fault tree model is more scientific and
accurate than the primary fault tree model in analyzing the risk frequency of the
dynamic stochastic system. In addition, it can guarantee the safety of the rail
traffic signal system more effectively by adopting the state-based fault tree
model.
813
References
[1] EN 50129, Railway Applications-Safety related electronic systems for
signaling, 2003.
[2] F. Yan & T. Tang, Research and Development of Safety Technology in
Signaling System of Rail Transit. China Safety Science Journal, 15(6), pp.
94-99, 2005.
[3] C. Gao, Study on Safety Assessment of Rail Traffic Signaling System.
China Safety Science Journal, 15(10), pp. 74-79, 2005.
[4] Y. Zhang & J. Guo, Risk-based Safety Management on Railway System.
International Conference on Transportation Engineering 2009, ASCE:
Chengdu, pp.2839-2844, 2009.
[5] S. Zou, J. Guo & Y. Yang, Research on Micro-Computerized Automatic
Block System between Railway Stations. Journal of Southwest Jiaotong
University, 38(4), pp.418-422, 2003.
[6] J. Guo, Design of Micro-computerized Dual-Computer Redundant
Automatic Block System between Railway Stations. Journal of Southwest
Jiaotong University, 40(4), pp.484-487, 2005.
[7] IEC61025, Fault tree analysis (FTA), 2006.
[8] Y. Li, Stochastic Process, National defence industry Press: Beijing, pp.219263, 2008.
815
Use of model transformation for the formal

analysis of railway interlocking models
T. Xu1, O. M. Santos2, X. Ge2 & J. Woodcock2
1

2
Department of Computer Science, University of York, UK
Abstract
Model transformation is at the heart of Model-Driven Engineering (MDE). In
MDE, the system model is specified using a modelling language, such as UML
(Unified Modelling Language) or a DSL (Domain-Specific Language). Once a
model is specified, executable code for a computing platform can be
automatically generated by means of model transformation (code generation).
Besides the support for incremental model development, MDE also enables the
formal verification of system properties. In the context of safety-critical systems,
such as railway interlockings, the system model (e.g., specified in terms of
UML) can be translated to a formal (mathematical) language more amendable to
rigorous analysis. This paper presents a model transformation that takes a
railway interlocking model (specified in Executable UML (xUML)) as input and
outputs a formal model that can be mathematically analysed. This can potentially
bridge the gap between well-known modelling languages (such as xUML) and
formal languages, which facilitates the systematic development of safety-critical
systems in terms of MDE. A small xUML railway interlocking model is used to
illustrate the proposed method.
Keywords: railway interlocking systems, model driven engineering (MDE),
executable UML (xUML), formal languages, formal analysis.
1 Introduction
Railway interlocking plays a very important role in establishing high safety for
train operations in a railway system, and protecting passengers and equipment
from damage. Due to its life-critical application, a rigorous verification phase is
doi:10.2495/CR100741

required to ensure the correctness of the interlocking system. Among the most
common verification methods (including simulation and test) used in the
verification phase, formal methods are often recommended for modelling and
verifying interlocking systems [1]. Differently from testing and simulation,
formal verification allows the analysis of all the possible scenarios that a system
can possibly generate. For instance, in terms of railway interlockings, it can
check all the possible executable combinations for a given track layout.
However, compared with the use of testing and simulation for the analysis of
modelling languages, such as the Unified Modelling Language (UML) or
Domain-Specific Languages (DSL), the use of formal verification requires a lot
of mathematical expertise from software engineers. In this sense, Model-Driven
Engineering (MDE) [2] paves a solid foundation in the use of automatic formal
verification for railway interlocking systems by means of model transformation.
In this approach, the model of a railway interlocking can be defined using a
modelling language, such as Executable UML (xUML), and automatically
translate that to the input language of a formal verification tool. The
effectiveness of this approach depends on two important aspects, related to the
use of: (a) a tool for automating the model transformation and (b) a target formal
language with enhanced tool support.
Firstly (a), several model transformation tools can be found in the literature,
such as ATL [3] and graph-based model transformation [4], which have gained
widely use in MDE. Amongst them, the Epsilon model management framework
[5], built on top of the Eclipse platform [6], supports a collection of
transformation languages. Including ETL (Epsilon Transformation Language)
for model-to-model transformation and EGL (Epsilon Generation Language) for
model-to-text transformation.
Secondly (b), tool support for the formal analysis includes several technologies,
including: (a) finite-state model checkers; and (b) theorem provers. Examples of
such languages and tools include CSP [7], B [8], Alloy [9] and Promela/SPIN [10].
However, due to the required expertise for using them, these languages are not
widely used by engineers compared to modelling languages like xUML. In
particular, this work focuses on the use of (a) finite-state model checkers. In this
formal verification approach, the tool (model-checker) generates and analyses all
the possible execution paths, for a given scenario of the model, against a system
property. For example, a safety property in a railway interlocking model would be
that trains never collide due to a signal error in the interlocking. This property is
then formalised following the model's definition in the formal language.
In this paper we describe our approach for analysing interlocking models
specified in Executable UML (xUML). xUML has been used for modelling
railway interlocking systems in the context of the INESS (INtegrated Europe
Signalling System) European project (http://www.iness.eu/). In particular, we
show how to translate an xUML scenario representing a track layout for a small
interlocking to the formal language Communicating Sequential Processes (CSP).
This model can be formally analysed using the FDR2 tool [11].
Figure 1 illustrates the framework of the proposed approach. It consists of
several steps, starting from the xUML model of a railway interlocking system to
817
the generation of the CSP code. Then, formal verification takes place using the
FDR2 tool, which is used to detect and show errors of the xUML model
representing the railway interlocking.
1.1 Related work
There is a significant body of work in the literature (e.g., [12, 13]) targeting the
formal analysis of railway interlocking systems. However, the shortage of userfriendly modelling tools (e.g., UML) and the support for the automatic
verification of interlocking models make it difficult to gain wide use in industry.
Regarding the use of model transformation for analysing xUML model, the work
of Treharne et al. [14] is particularly relevant to our work. They present a model
transformation that uses as input an xUML model and output a formal model in
the CSP || B language. Similarly, Hansen et al. [15] describes a formalisation of a
subset of xUML in the formal language mCRL2. Both works also target the
automatic analysis of the xUML models using tool support.
1.2 Organization
The rest of the paper is organized as follows. The next section presents an
overview of xUML, used to model railway interlocking systems, and the formal
language CSP, utilised for the formal verification of these models. The
generation of a CSP models from xUML models is presented in Section 3.
Section 4 shows an overview of the formal analysis the proposed approach.
Finally, we conclude the paper in Section 5.
Figure 1:
Framework for the verification of railway interlocking models in

xUML.
2 Background
2.1 Executable UML for modelling railway interlockings
Executable UML (xUML) [16] is a coherent subset of UML that has been
developed to define the program execution of the model at a higher level of
abstraction. This abstraction leaves open the possibility to generate an
implementation of the system in different target (computing) languages,
including technologies like C, Java and Ada. xUML extends UML with an
Action Specification Language (ASL), providing all the conditional logics and
primitive needed to manipulate xUML objects, which allows the developer to
define the behaviour in sufficient detail so that it can be executed. The other
benefit of using an ASL is the ability to describe a system independent of its
target platform. Typically, xUML supports the following UML diagrams [17]:
Use Case Diagrams to capture the requirement of the system;
Sequence Diagrams to define the interaction among different domains;
Class Diagrams to describe the classes in each domain;
State Machines to specify the behaviour of each class.
In this paper, we focus on the use of class diagrams and state machines, since
these are the main diagrams used to construct the xUML models of railway
interlockings described in this paper. Basically, a class is used to define the
structure of an object (e.g., attributes and associations). Every class has an
associated state machine, which defines the behaviour of the object.
Figure 2 shows the xUML class diagram of a simple interlocking specification
called the Micro interlocking model [15], which has been provided by partners in
the INESS project. It contains five classes, named element, track, point, signal and
route. The class element is a generalisation of track, point and signal. This means
that all the structure and behaviour defined for element will be part of the structure
and behaviour of these classes. An instance of the Micro model is obtained from
the track layout depicted in Figure 3. This small layout consists of three tracks t1,
t2, t3, one point p1, one signal s1 and two routes. The first route r1 requires p1 to be
positioned left and goes from track t1 to track t3. Route r2 requires p1 to be
positioned right and goes from t1 to t2. Both routes have s1 as their entry signal. The
model instances thus contains three track objects, one point object, one signal
object and two route objects. Every component of the layout corresponds to a
particular component of the class diagram.
Figure 4(a) presents the state machine associated to the route class. This
models the main functionality of the Micro interlocking, i.e., route setting and
route cancellation. When a route receives a reserve request, it sends a signal to its
left and right points to move into position. When all points are positioned, tracks
along the route and entry signal are ready, the route becomes ready. When one of
the elements associated with the route is no longer in the required ready state, or
the route is cancelled, the route becomes idle. Figure 4 (b) shows the state
machine associated to the point class. In this state machine, two states normal
and error are used to model the normal and abnormal operations. The
presentation of the other state machines is omitted for simplicity.
Figure 2:
819
Class diagram for the micro interlocking track layout example.

route/id:=pid
route
idle
cancel_route/
reserve_route/
say Request completed
send left_points.to_left;
send right_points.to_right
active
preparing
When(
forall tracks is_true in_state(automatic.ready) and
forall left_points is_true in_state(normal.detected.left) and
forall right_points is_true in_state(#normal.detected.right)
and entry_signal.in_state(#automatic.ready)))/
send entry_signal.set_proceed; say Request completed!
ready
exit/send entry_signal.set_stop
When(
exist tracks is_true in_state(#automatic.ready) or
exist left_points is_true not in_state(normal.detected.left) or
exist right_points is_true not in_state(#normal.detected.right)
and not entry_signal.in_state(#automatic.ready)))/
(a) state machine for route class.
Figure 3:
(b) state machine for point class.
State machines associated to the classes route and point.
2.2 CSP
CSP is a notation for describing concurrent systems whose components, called
processes, communicate with each other and the environment. A process can be
thought of as an independent entity which has interfaces through which the
processes interact with the external environment. A process is defined in terms of
events basic elements of CSP.
CSP-M [18] is a machine-readable version of CSP developed as the input
language of the FDR2 tool. CSP-M extends CSP with a small but powerful
functional language, which offers constructs such as lambda and let expressions.
The language provides a number of predefined data types, e.g., Booleans,
integers, sequences and sets, and also allows user-defined data types. CSP-M is
now the de facto standard of machine-readable CSP.
FDR2 is a model checker for CSP. It allows concrete design description to be
compared with abstract specification in order to check if the refinement
properties are satisfied. If the properties are not satisfied (thus the refinement

Process
+ProcID
+expression
source
StateProc
MsgQueProc
GlobalVarProc
StateProc
EventAction
StateProc
target
*
letProc
Transition
1 states
first
1
StateMachineProc
StateProc
1
mqProc
ClassProcess
StateProc
0..1
StateProc
Input
+SigName
StateProc
Output
+SigName
smProc
* guards
StateProc
Guard
AndStProc
StateProc
ForAllCheckState
StateProc
ExistCheckState
StateProc
DatatypeItemList
StateProc
+name
StateProc
Datatype
+name
first
generation
StateProc
Channel
+name
1
SingleCheckState
StateProc
StateProc
daty ChannelParameter
+name
1
first
chanList
ChannelParameterList
StateProc
+size
*
item
dtItem
*
DatatypeItem
StateProc
+name
Figure 4:
The CSP metamodel.
check fails), FDR2 will generate counter-examples that can be used to pin-point
the error that caused the property to fail.
3 Model transformation (generating CSP from xUML)

In order to use model transformation technology to generate a CSP model,
amenable to formal verification, from the original xUML model, we need to
define a meta-model. Basically, a meta-model defines a structure that models
must conform to. For instance, a correct model representing the transformed CSP
model, must conform to the meta-model (structure) that we have defined for
CSP, which will be detail discussed in the following section.
With a target meta-model specified, we define translation rules that are executed
automatically. These rules are composed of input and output elements. Input
elements correspond to elements found in the xUML model. The output defines
what element this particular input should be transformed to. In particular, we have
used the Epsilon tool-set for implementing the transformation of the model.
In our work, we have used two different types of transformation. Firstly, we
use a model-to-model transformation for generating a target CSP model from the
source xUML model. Secondly, we use the newly created CSP model to define a
model-to-text transformation that generates code, which can be analysed with the
FDR2 model-checker.
821
3.1 CSP metamodel

As described previously, the CSP metamodel is shown in Figure 5. This metamodel bears several similarities to the works of Bisztray et al. [19] and Treharne
et al. [14], in particular the use of the Datatype and DatatypeItemList classes. Like
[14], we model all event and their types, e.g., the event read.ih?x corresponds to an
instance of Input for the channel called read, which has two EventParameters, ih,
and x. Modeling this aspect is especially important for our use which requires
communication of CSP events with different handlers of instance processes. In
addition, the metamodel also contains support for localized definition
(StMachineProc), which is convenient for representing the behaviour of xUML
state machines.
There are however significant differences. A major difference is that the
AndStProc, MsgQueProc, GlobalVarProc classes are employed to describe the
concurrent state machine, message queue and global variables of the class,
respectively. In CSP the process can only refer to its own variables (there are no
shared variables), which results in a lot of difficulties in the transformation of
xUML models with state information. In favour of simplifying the
transformation, the above classes, associated with the global variable and
message queue of xUML classes, are explicitly introduced.
3.2 Transformation rules
Based on the meta-models for xUML and CSP, we construct transformation rules.
The general procedure used for generating CSP models, out of xUML models, is
outlined in Algorithm 1. This basically consists of the following transformations:
Translation of class instances,
Translation of control flow in the state machines,
Translation of the signal queue modelling the external environment,
Translation of global variables for storing state values and attributes of
state machines,
Composition of the all transformed process into the final process SYS
(representing the global execution system).
For the purposes of readability we only discuss the transformation of class
instances and their associated state machines found in the xUML model.
Algorithm1.AnoutlineforgeneratingCSPforobjectinstances.
1forallcinclassofxUMLmodelmdo
2ifchasastatemachinescthen
3<c>_SCTRL(ih)=let/*statemachinebehaviorforinstancehandlerih*/
4forallstates,s,inscdo
5<c>_STATES=receive.ih?x>if(x==trigEvt)then
6elseif
7else<c>_STATES
8endfor
9within/*initial_STATESprocess*/
10<c>_QueueS(ih,s)=(#s<M)&generate.ih?x>/*themessagequeueassociatedwithsc*/
11[](#s>0)&receive.ih!head(s)>
12<c>_GStVar(ih,v)=/*theglobalvariableprocesstostorethestatevalueofsc*/

13<c>_Atribute(ih,w)=/*theglobalvariableprocesstostoretheattributevalueofsc*/
14endif
/*Compositionofallinstancesin<c>_HANDLER*/
{|...|}(|||
15SYS=(|||ih
<c>_SCTRL(ih)){|generate,...|}(|||ih
HANDLER
ih
<c>_GStVar(ih,v)){|...|}(|||ih
HANDLER
<c>_QueueS(ih,s))
HANDLER
<c>_Atribute(ih,w))
HANDLER
3.2.1 Transforming the class instance

A class instance, either active or passive, is translated into a controller process.
In our translation from xUML to CSP, each class becomes a process
specification <c>_SCTRL(ih), as shown in line 3 of Algorithm 1. Each one of
these processes consists of four parallel parts: the first part is the translation of
the state machine associated with class (lines 3 to 9), the second part formalises
the state machine inherited from the superclass (the detail discussion is omitted
here for conciseness), the third part models the message queue associated with
the state machine as an event pool (lines 10 to 11), and the fourth part denotes
the global variables used to store the state location and update the value of the
attribute of the state machine (lines 12 and 13), respectively. Finally, the CSP
code associated with the composition of all instances is given in line 15.
3.2.2 Transforming the state machine
In this section, based on the semantics of the xUML state machine, we design a
transformation of the xUML state machine model to a CSP specification in a
compositional manner. Our transformation rules are designed to inductively
process the three types of state found in xUML: basic states, OR-states and
AND-states. The core transformation rules (defined using the Epsilon
Transformation Language (ETL) of the Epsilon tool) are presented is Listing 1.
1 operation StateMachine2CTRLProcess (sr : UML!StateMachine)
2 : CSP!StMachineProc {
3 var root : new CSP!StMachineProc;
4 root.ProcID := sr.name + '_CTRLS';
5 var states := UML!Vertex.all.select
6
(sm1|sm1.containingStateMachine() = sr);
7 for (st in states){
8
var Cont := st.container;
9
if (Cont.state.isDefined()) {
10
var stProc : new CSP!StateProc;
11
if (Cont.state.isOrthogonal) {
12
SimConcurent2StProc(st, sr, stProc);
13
} else {
14
SimComp2StProc(st, sr, stProc);
15
}
16
root.letProc.add(stProc);
17 }
18 }
19 var startP : new CSP!StateProc;
20 startP := getStartState(sr);
21 root.first := startP;
22 return root;
23 }
Listing 1: Transformation rules for the state machine.
823
The operation StateMachine2CTRLProcess is responsible for transforming

the xUML state machine into a localized (let within) process. In terms of our
CSP metamodel, this mainly involves a creation of new instances of
CSP!StMachineProc. In line 4, we set the name of the name of state machine,
e.g., track_CTRLS. From lines 7 to 18, each of the states of the state machine are
iterated and operations are called to transform the state types.
Note that st, sr, stProc are process parameters and denote the instance of
UML!Vertex, UML!StateMachine and CSP!StateProc, respectively. Each
application of the above operations returns a process instance stProc, which is
added to the localized process by the statement root.letProc.add(stProc).
Finally, we compute the initial state of the class diagram using the
getStartState operation and we link the new process to the original root.
4 Formal analysis of an interlocking model

In this section we exemplify the verification of the xUML Micro interlocking
shown in Section 2.1. Listing 2 illustrates a partial translation of the point state
machine (presented in Figure 4(b)) in terms of CSP. Lines 9 to 18 denote the
process normal_detected_undefined_STATES, which reacts to the external
event tout (modelling the time event after (30)) and reaches the target process
error_STATES.
At
the
same
time
the
concurrent
process
normal_requested_right_STATES, representing the behaviour of concurrent
region request, is terminated by the process STOP (shown in lines 19 to 23). The
resulting process STOP||| error_STATES is equivalent to error_STATES, which is
used to model the transition from state undefined to stop. The synchronization
communication statement envGenerate.ih?ok is used to keep the consistent pace
between the concurrent states, i.e., request and detected.
1 point_CTRLS(ih) = let
2
Initial_0_STATES=
3
normal_STATES
4
normal_STATES=
5
normal_requested_Initial_0_STATES
6
|||
7
normal_detected_Initial_0_STATES
8
9
normal_detected_undefined_STATES=
10
receive_normal_detect.ih?x ->
11
if(x==tout) then
12
write.ih!error_STATE ->
13
envGenerate_detected.ih?ok ->
14
error_STATES
15
else if(x==at_right) then
16
17
else if(x==at_left) then
18
19 normal_requested_left_STATES=
20
receive_normal_request.ih?x ->
21
if (x==tout) then
22
envGenerate_requested.ih?ok -> STOP
23
else if(x==to_right) then
24 error_STATES=

25
receive.ih?x: EVENT ->
26
envGenerate_detected.ih?ok ->
27
envGenerate_requested.ih?ok -> error_STATES
28 within Initial_0_STATES
Listing 2:
Partial CSP code for the state machine point.
The CSP code for the composition of all instances in the Micro interlocking
model is shown below. Here, different instances of track (i.e., t1, t2, t3), route
(i.e., r1, r2), point (i.e., p1) and signal (i.e., s1) are executed in parallel.
SysCTRL =
(point_CTRLS(p1) ||| signal_CTRLS(s1)
|||track_CTRLS(t1) |||track_CTRLS(t2)
|||track_CTRLS(t3)|||route_CTRLS(r1)|||route_CTRLS(r2))
[|{|envGenerate, envGenerate_detected,
envGenerate_requested|}|]
(element_CTRL_point_CTRL(p1)|||element_CTRL_signal_CTRL(s1)
|||element_CTRL_track_CTRL(t1)
|||element_CTRL_track_CTRL(t2)
|||element_CTRL_track_CTRL(t3))
To demonstrate the verification approach, we analyse the model against a

very simple property. Basically, we check if the interlocking model never gets to
a deadlock situation where no routes can be further reserved or cancelled.
Deadlock checking is implemented with respect to the processing of signals in
active objects. For example, we need to check that
SYSLinkSysState
||
|externalGenerate|
ExternalSignals
is deadlock-free. The following partial listing shows the corresponding CSP

process ExternalSignals, which is used to define the property.
External_Point_p1 = externalGenerate.p1!at_right ->
externalGenerate.p1!to_right -> external_Point_p1
The verification results obtained in the FDR2 tool are shown in Figure 5.
Figure 5:
Snapshot of deadlock-free verification in the FDR2 tool.
825
5 Conclusions and future work

Modelling languages, like Executable UML (xUML), can be used for the
definition of railway interlocking systems. In particular, modelling languages
typically use testing and simulation of the analysis of the system. They tend not
to provide analysis based on formal, more rigorous, methods. This is especially
needed for the analysis of safety-critical systems, like railway interlockings.
In this paper, we have presented our approach towards the formal analysis of
railways signalling specified with xUML. Our approach focuses on the use of
model transformation, an integral part of Model-Driven Engineering. Starting
from an xUML model, we translate that to the Communicating Sequential
Process (CSP) language, used as input to the FDR2 formal verification tool. This
enables the formal analysis of the model using FDR2.
Future work will mainly focus on the provision of a transparent verification
methodology. For instance, currently, the verification results of the analysis of
the system are provided in terms of the CSP model. We want to be able to: (i)
specify verification properties in terms of the xUML model; (ii) generate
counter-examples, executions of the model that violate the property, provided by
FDR2 in terms of the xUML model (using sequence diagrams of UML).
Acknowledgements
The research is supported from the National Science Foundation of P. R. China
under grant No. 60634010, the State Key Laboratory of Rail Traffic Control and
Safety of Beijing Jiaotong University within the frame of the project (No.
RCS2008ZZ005) and the Technology Funding Project (Beijing Jiaotong
University, No. 2007RC1012007XM004).
This research is also funded by the European Commission via the INESS
project, Seventh Framework Programme (2008-2011).
References
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Railways Applications: The speciation and demonstration of dependability,
reliability, availability, maintainability and safety (RAMS), 1997.
[2] Jouault, F., Alliaire, F., Bzivin, J., et al., ATL: A model transformation
tool. Sci. Comput. Program, 72(1-2), pp. 31-39, 2008.
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[4] Varr D., Automated formal verification of visual modeling languages by
model checking. Softw. Syst Model, 3(2), pp, 85-113, 2004.
[5] Extensible Platform for Specification of Integrated Languages for Model
management (Epsilon). http://www.eclipse.org/gmt/epsilon
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[7] Hoare, C. A. R., Communication Sequential Process. Prentice-Hall,
Englewood Cliffs, 1985.

[8] Abrial, J. R., The B Book: Assigning programs to meaning. CUP, 1996.
[9] Software Design Group at MIT: Alloy Analyser 4.1.2, 2008.
[10] Holzmamm, G. J., The model checker SPIN. IEEE Transactions on
Software Engineering, 23(5), pp. 1-17, 1997.
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[12] Cimatti, A., Giunchiglia, F., Mongardi, G., et al., Formal verification of a
railway interlocking system using model checking. Formal Aspects
Comput, 10, pp. 361-380, 1998.
[13] Garmhausena, V. H., Campos, S., Cimatti, A., et al., Verification of a
safety-critical railway interlocking system with real-time constraints.
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[14] Treharne, H., Turner, E., Paige, R. F., et al., Automatic generation of
integrated formal model corresponding to UML model. 47th International
Conference, TOOLS EUROPE 2009, pp. 357-367, 2009.
[15] Hansen, H., Ketema, J., Luttik, B., et al., Towards model checking
executable UML specification in mCRL2. Innovation in Systems and
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Executable UML. Cambridge University Press, Cambridge, 2004.
[17] OMG Unified Modeling Language: Superstructure, version 2.0 final
adopted specification, August 2008. http://www.omg.org.
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CSP. PhD thesis, University of Oxford, 1998.
[19] Bisztray, D., Heckel, R., Ehrig, H., Verification of architectural refactoring
rules. Technical report, University of Leicester, 2008.
827
A model-based framework for

the safety analysis of computer-based
railway signalling systems
R. Niu & T. Tang
Beijing Jiao Tong University, China
Abstract
Ensuring safety in railway signalling systems is always considered as significant
as a guarantee of the safe and efficient operation of the whole railway. In fact,
safety analysis of the signalling system with distributed computer technique is
becoming extraordinarily difficult, because of the frequent and complex
interaction between components and the various backup modes. The dominant
approaches are subjective, difficult to reuse and not well structured, thus leaving
the safety analysis process time-consuming and error-prone. This paper develops
a hierarchical methodology for safety analysis based on the failure propagation
model and state-transition model. Unlike traditional safety analyses, the
proposed approach demonstrates more accurate representation of practical failure
behaviour in a computer-based signalling system. Dynamic properties, system
structure and failures at the component level are separately modelled in different
layers, and connected with synthesis laws. The analysis can be easily refined as
the system design progresses and automatically produces safety-related
information to help the engineer in making design decisions. The preliminary
design of the Communication Based Train Control (CBTC) system for the
Yizhuang Line in Beijing is used to demonstrate this approach.
Keywords: signalling system, automatic safety analysis, model-based, FPTN.
1 Introduction
Railway systems have a very low tolerance for accidents, because of the
potentially large numbers of injuries and deaths, huge financial losses and even
worse social effects. Achieving a high degree of safety is one of the most
doi:10.2495/CR100751

important objectives of a railway signalling system. While advanced information
techniques have been widely used in new generation signalling systems, safety
analysis becomes a genuine challenge. Due to the development of automation,
networking and to the general increase of train speed, the number of interacting
components or subsystems has increased drastically over recent decades.
Transplanting the redundant structure and degrade-recovery technique into a
digital system makes the signalling system even more complex (Leveson [1]). It
is not sufficient to comprehend the system in its minute details just depending on
intuition and experience. What is worse, as the functions are much stronger and
the techniques are totally changed, the availability of safety data for the new
computer-based signalling systems, such as accident or incident statistics, is
limited (Vernez and Vuille [2]).
To cope with the increasing complexity of signalling systems, CENELEC,
IEC and many countries have developed several standards and
recommendations. These standards regulate the system development process
(lifecycle) of signalling systems to design for safety, and also give out technical
requirements, such as SIL. Traditional techniques are recommended in the safety
assessment process, including HAZOP, FTA, FMEA/FMECA, etc. These
specific inductive or deductive methods of analysis are used to identify hazard,
trace causation and evaluate their risk at different stages of the lifecycle, and the
results are the main basis for design decisions. This methodology has been used
by most railway equipment suppliers over the last 20 years, although they
obviously lag behind the state-of-the- art engineering practice.
These dominant applied approaches commonly rely on expert opinion. The
analysis models explain accidents in terms of multiple events connected by
causality relationship. The methods just give out a very simple rule (tree
structure or tables) for the description of relationship. There is no limitation for
the category of events, and they could be some type of component failure, human
error, or energy-related event. However, the selection of these events, the links
between the events and even the point of beginning and ending is arbitrary (Khan
and Abbasi [3]). In order to reduce the subjectivity, more experts with different
academic backgrounds are involved and the results need to be reviewed at least
once, which obviously make the safety analysis time-consuming and mentally
intensive. Furthermore, the simple rules of most classic safety analysis are not
well structured. The forward or backward reasoning is carried out with regard to
the hierarchy of failure influences rather than to the architecture of the system
(Vaidhyanathan and Venkatasubramanian [4]). So at each stage, if the design of
the system has changed, many analyses need to start from the very beginning.
Moreover, there are major defects in most traditional safety analysis techniques,
so different techniques are chosen at different stages of the lifecycle, and two or
more techniques are usually employed at one stage to make up the defects of
each other. However, as there is no unifying framework for these techniques, it is
very difficult to relate the results of the various safety studies to each other and
back to the high level failure analysis.
In the past ten years, many researchers have devoted themselves to the
solution to these problems of traditional safety analysis with model-based
829
approaches [510]. They intend to build precise models for the system
architecture and its failure modes, so that computers can help to do the tedious
and error-prone hazard sources tracing and probability calculation. One solution
of model based safety analysis is extending the system development model with
a fault mode. Formal languages are used to describe normal and failure
behaviours of the system, and model checking tools or simulation engines are
used to do automatic analysis. Some commercial safety analysis software
tools/packages based on this idea are available, such as FSAP/NuSMV-SA [5]
and SCADE [6]. However, the major portion of this kind of model is still a
normal process, rather than a failure process. It is very difficult to plug in detail
failure information because of the limitation of model scale from analysis tools.
Another solution is to model the failure propagation behaviour directly. The
Failure Propagation and Transformation Notation (FPTN) described in [7, 8] is
the first component-based failure behaviour model. Kaiser [9] introduced
modular concepts for a basic fault tree to analyze complex component-based
systems. Based on early researches, Papadopoulos et al. [10] proposed a modelbased semi-automatic safety and reliability analysis technique that uses tabular
failure annotations as the basic building block of analysis at the component level,
called Hierarchically Performed Hazard Origin and Propagation Studies (HiPHOPS). This tool can automatically synthesise the component failure modes and
generate a fault tree. However, the model does not work well in describing the
dynamic behaviour of system.
The present study proposes an improved failure propagation approach for the
safety analysis of a computer based rail signalling system. In order to describe
the complex structure and function, the study has developed an output-guided
hazard identification method with a scenario hazard table to ensure the
correctness of system understanding and the completeness of hazard
identification. A kind of simplified state machine model is used to express the
dynamic properties of signalling system structure. The study has also developed
an iterative algorithm to combine the dynamic model with FPTN components
and compute qualitative results automatically.
The rest of the paper is organized as follows: Section 2 is a description of the
dynamics of a computer-based signalling system. Section 3 introduces the
hierarchical dynamic safety analysis framework, including methodology
hypothesis, definitions of each layer, and the synthesis algorithms of different
layers. The case study of a CBTC system in Section 4 demonstrates the
application of this approach. The conclusion is drawn in Section 5.
Dynamics of computer-based signalling systems
Computer-based signalling systems generally adopt a distributed structure,

including a trackside control centre and onboard vital computer systems, which
are connected with a wireless communication network. The trackside equipments
collect the parameters of trains within a certain area and related information from
other trackside systems (such as ATS, interlocking) to compute a safe
unoccupied region for each train. The onboard computer systems are responsible

for keeping train speed within the upper limit computed with the safe region
from the trackside and train parameters from the onboard computer. The
European Train Control System (ETCS) and Communication Based Train
Control (CBTC) system applied in urban mass transit are the representative
computer-based signalling systems.
Traditionally, the logic relations of different scenarios are expressed by the
combination of the trackside discrete electromechanical components, while the
function of each signalling system remains unchanged. In computer-based
signalling systems, trackside equipments are cut down, and their functions are
integrated into onboard computers. In this way, computers should provide
different functions and work with different interfaces under different operation
scenarios. This kind of system is called a phased-mission system (Alam and
Al-Saggaf [11]), which means that the mission served by the system composes of
several distinct phases with different objectives (the phased-mission
characteristic is called behavioural dynamics). In each mission phase, the system
has different service objectives, and therefore the safety constrains may change
from time to time, which make the safety analysis error-prone. For example,
safety engineers often make the mistake of generally treating the measured value
of train distance as greater than the actual value that is safe. In fact, when a train
is moving out of a station or a speed-limit section, see fig. 1, a greater measured
value of distance will make the calculated permitted speed larger than the real
one, which might cause a derailment or train rollover. Not only the structure of
the signalling system, but also the function of the onboard computer is different
when the operation level or mode changes.
Additionally, some safety measures inherited from the electromechanical
system increase the dynamics of the signalling system. In order to apply the
powerful and undependable computer technique into a safety critical signalling
system, redundant structures are used in almost all of the kernel trackside and
onboard processors. Moreover, the control mechanisms and even the whole
architectures are designed to be redundant, which are represented in the form of
backup modes and system levels. For example, the CBTC system used in the
Beijing Yizhuang Line defines three operation levels for the whole system and
Speed restriction
Normal train speed curve
Train speed curve when
measured position is
bigger than real one
POSITION
Figure 1:
Speed curves when a train is moving out of a speed restriction

region.
831
three operation modes for the onboard system. Therefore, the structure of this
subsystem will be changed with time, in case any replications are down.
3 Model-based dynamic safety analysis framework

3.1 Framework for the safety analysis of computer-based signalling systems
The construction of the hierarchical structure approach is shown in Fig. 3.
Hierarchical modelling is used in our framework, as it fits in well with the
system design process and reduces the complexity of system analysis. The
system is successively split into subsystems until the level of the basic
components is reached following a top-down approach. This kind of approach
has been successfully used in recent studies proposed by other authors, such as
the successive modelling approach used in HHM to address large hierarchical
systems [12], and the MFM approach used in the Safe-SADT method [13].
The block at the top in Fig. 2 represents the operation scenarios of the system,
which should be defined at the beginning of its lifecycle. For each scenario, the
states definition and state transition of the system/subsystem can be described by
the state-transition model. For each state, the safe critical functions can be
decided and refined by FPTN models, and it becomes more and more specific
when moving down along the system structure. The safety analysis process can
be divided into the dynamic layer and the failure propagation layer. The dynamic
layer, used to structure and describe the dynamic attributes, is combined with the
scenario lists and the state transition models. The failure propagation layer is
expressed by FPTN language.
System Design
Safety Analysis
SN Item Description
S1
S2
System Definition
.
IL
BL
OC
CB
TC
FPTN Modules
(Subsystem)
2
Subsystem Design
* Subsystems operation
mode Definition
* Subsystem Interfaces
Detail Design
* SW Components
* HW Structure
Subsystem State
Machines
1
FPTN Modules
(Components)
2
Fault Tree Generation

Algorithm
Subsystem Level
CB
TC
Layer Synthesis Algorithm
System Level
Architecture Design
* Subsystems Functional
Definition
* Subsystem Interfaces
* Scenario chart
BL
OC
Layer Synthesis Algorithm
I
L
* Scenario Identification
- operation condition
- system interface
* System operation level
Definition
Pec.
1: Dynaic Layer of Safety Analysis Model

2: Failure Propagation Layer of Safety Analysis Model
Figure 2:
Framework of hierarchical safety analysis.

Ref.
SN01
Scenario
Draw up
at a
station
Operation
Mode
System
Structure
Function
Set
Output
Hazards
CBTCAM
VOBC,ZC,
DCS
0.12
Door open
interlocking
DoorO
SDoorO
DoorO:c
SDoorO:c
Figure 3:
Scenario hazard table.
3.1.1 Output-guided hazard identification

Just like all other safety analysis methods, hazard identification is the first
procedure in our safety analysis framework. Unlike general automatic control
systems, traditional hazard identification methods do not work quite so well for
computer-based railway signalling systems. Firstly, as computers are widely
used nowadays in signalling systems, most vital functions are processed together
by computers and the critical information translation between the trackside and
onboard computers becomes much more dangerous. Secondly, the computerbased signalling system is large scaled and its control logic and interactions
between components are very complex. Traditional brain-storming methods,
such as HAZOP, apparently cannot ensure the correctness and completeness of
hazard identification. Fortunately, in railway systems, the signalling system does
not control the train directly. Instead, it detects the working conditions of the
train, and gives out safe guidance or performs emergency action when necessary.
In the other words, the safety of trains is dependent on the correct and prompt
output of its signalling system. Therefore, in our safety analysis framework,
hazards of the signalling system are defined as abnormalities of system output.
In our output-guided hazard identification process, it is necessary to identify
the abnormal condition of system output in each system state and each operation
scenario, because the output of the system and the safe range of the output value
vary with the scenarios and system states. Information is recorded in the table
shown in fig. 3. Factor is used to synthesis hazard events under different
scenarios in quantitative analysis. This procedure, although a little tedious,
makes it much easier to find out the unexpected system output when the system
working conditions are specified. The completeness of hazard identification can
be ensured as all operation scenarios are analyzed. The synthesized failure
propagation models can decide whether a hazard will or will not be in the hazard
list. However, if there is change in the operation scenarios or the system state
models, the hazard list needs to be regenerated.
3.1.2 State-transition model
Fig. 4 illustrates the five primitive elements of the simplified state machine
notation. In this model, dynamic behaviour is expressed as a set of different
states of the system (operation mode and system level) and a set of transitions
between those states (the mode change condition). State transitions occur for two
reasons: either the state changes are induced by some other events, or are
triggered by the state change in other mode-chart. The mechanism enables a
transition in one mode-chart to trigger other transitions at higher or lower layers
of the dynamic model, which allows us to represent situations where failures of
833
sub-systems may lead to losses of function at system level. It also allows us to

represent situations where a change of function at system level should be
followed by a number of necessary functional or structural transformations at
lower levels.
3.1.3 FPTN
FPTN (Failure Propagation Transformation Notation) modules describe how
failure modes of incoming messages, together with internal faults of the
components, propagate to failure modes of outgoing messages. The basic entity
of the FPTN is a FPTN-module. This FPTN-module contains a set of
standardized sections. In the first section (the header section), for each FPTNmodule an identifier (ID), a name and a criticality level (SIL Safety Integrity
Level) is given. The second section specifies the propagation of failures, the
transformation of failures, the generation of internal failures and the detection of
failures in the component. These failures are denoted as incoming and outgoing
of the FPTN-module. This paper gives out a modified failure categorization for
Figure 4:
Notation of the state-transition model.
Table 1:
Categories
Provision
Failure
Value Failure
Time Failure
Communication
Failure
Handle limit
Failure class definition.
Failure Class
Commission
Omission
High
Sign
c
o
h
Low
Stuck
Delay
Early
Insertion
Masquerade
Corruption
Repetition
Resequence
Deletion
Limit
s
d
e
is
ms
cr
rp
rs
dl
limit
Explanation
Unexpected output
No output
The value is higher or bigger than the
normal range
The value is lower or smaller than the
normal range.
The value is stuck to a certain number.
Later than intended.
Earlier than intended.
Wrong message destination
Wrong message source.
The data is error with uncertain tendency.
Message is send more than once.
The sequence of message is changed.
Message is lost.
Limits of deviation handler.
ID
Rotation Pulse:l
Rotation Pulse:h
Rotation Pulse:o
Speed Detection
SIL
Propagation
Speed:h =Rotation Pulse:h & Redundancy:limit
Speed:l = (Rotation Pulse:l || Rotation Pulse:o)&
Redundancy:limit
Handle
Rotation Pulse:l by [Redundancy] with [0.9]
Rotation Pulse:h by [Redundancy] with [0.9]
Internal
Speed:l
Speed:h
Speed:o
Speed:o Generated by [mechnical failure] with 10E6
Figure 5:
A simplified FPTN-module of the train speed detection

component.
computer based railway signalling systems, in order to include the seven kinds of
threats (deletion, repetition, resequence, delay, corruption, insertion,
masquerade) brought by the general network, see table 1.
Fig. 5 provides an example of a FPTN-module of the train speed detection
component. The incoming failures are Rotation Pulse:l, Rotation Pulse:h and
Rotation Pulse:o, and the outgoing failures are Speed:l, Speed:h and Speed:o.
The propagation and transformation of failures is specified inside the module
with a set of equations or predicates (e.g. for propagation: Speed:h=Rotation
Pulse:h and for transformation Speed:l=Rotation Pulse:l || Rotation Pulse:h).
Furthermore, a component can also generate a failure (e.g. Speed:o) or handle an
existing failure (e.g. Rotation Pulse:l and Rotation Pulse:h). Consequently, it is
necessary to specify a failure cause or a failure handling mechanism and a
probability.
3.2 Safety analysis process
In order to analyze the cause of each hazard, this study designs an algorithm for
automatic fault tree generation. Firstly, the layer synthesis algorithm is used to
integrate the FPTN-modules under different modes. Then, a kind of depth first
search algorithm is used to draw a fault tree for each hazard.
3.2.1 Layer synthesis algorithm
1. Scenario synthesis
The hazard events in different scenarios are generally separated by time and
space, which means they occur in different times and different places. In fact, it
is not necessary to synthesize these scenarios in qualitative analysis. In quantities
analysis, the probability of a hazard event appearing in several scenarios can be
calculated by the weighted summing-up of the number of each scenario with
factor of the scenario hazard table as the weight coefficient.
2. Mode synthesis
The state-transition model and FPTN-modules are synthesized with the
algorithm shown in fig. 6. The E_Transition of the state are added to the FPTNWIT Transactions on The Built Environment, Vol 114, 2010 WIT Press
Figure 6:
835
Layer synthesis algorithm.
modules as the input failures and the cause of the output failures is the
E_Transition AND original Boolean expression. S_Transitions of the state
connect this model with other state-transition models. Find out the E_Transition
of the state indicated by the S_Transition, and run the above steps again.
3.2.2
Fault tree generation algorithm
The synthesis algorithm translates the system (or sub-system) failures to
component failures, and translates the failure propagation formula of the FPTN
module to the Fault Tree. When a sub-system is encountered during the traversal
of the hierarchical model, the causes of its output failure are always traced first at
the sub-ordinate hierarchical level of the design, which describes the architecture
of the sub-system. A simplified pseudo-code representation of the proposed fault
tree synthesis algorithm is presented in Fig. 7.
4 Case study
The Yizhuang line of Beijing is composed of a large number of equipments and
highly interactive subsystems of various natures (see Fig. 9) (electromechanical, electrical, infrastructure, hard-/software, electromagnetic) and
locations (tracks elements, control centre, embarked systems), most of which are
still under development. The signalling system of the Beijing Yizhuang Line
employs the CBTC system design by the Beijing Jiaotong University. The
system consists of a Vehicle On-Board Controller (VOBC), Zone Controller
(ZC) and Data Communication System (DCS). The DCS includes a wired
backbone network and wireless communication between on-board devices and
trackside equipments. The DCS transmits data packages in a manner transparent
to the application. Secure Devices (SD) are installed as the safe guard between
the safety critical part (e.g. ATP) and the non-safety related part (DCS) of the
CBTC.
SynthesisFPTN(sys, op){
module = FindFPTNModule(sys, op);
//Recursive FPTN synthesiser

//Travers the modules within sys and find
//the module with output deviation op.
PropagatonToFaultTree(module, op);
//Transform the propagation bool formula of op to Fault Tree
If leafnode is not (a handler limit) or (a internal deviation) or (a deviation of system input)
SynthesisFPTN(sys, leafnode); //If the leafnode is not a basic event then call the recursive FPTN
//synthesiser
FaultTreeGeneration (scenario, failure){

system = Findstructure(scenario); //Travers the scenario hazard table and find the
//system module array of the scenario
SynthesisFPTN(system, failure ); //Call the recursive FPTN synthesiser
}
Figure 7:
Figure 8:
Fault tree generation algorithm.
Analysis results of the draw up at a station scenario.
4.1 System modelling

The first step in the safety analysis is to identify operation scenarios of a
particular application and elaborate a scenario hazard table of the system. The
table helps to identify the system functions and interfaces in each working
condition. Now 11 scenarios are identified for the whole CBTC system operation
process and 21 system level safety related functions, including 15 functions for
ensuring traffic safety and 6 functions to protect passengers. The deviations of
the system output treated as the hazard events will be used as the top event of the
fault tree (see description in Section 3.2.1).
837
The CBTC system of the Beijing Yizhuang Line defines three operation
levels for the whole system and three operation modes for the onboard system.
The system levels are divided into the CBTC Level (ATP trackside equipments
communicate with onboard equipments using WLAN), the BLOCK Level (ATP
trackside equipments communicate with onboard equipments by balises) and the
IL Level (onboard equipments cannot be controlled by ATP trackside
equipments, safe train separation is protected by interlocking). The operation
modes of onboard system are RM (Restricted Manual) mode, CM (Controlled
Manual) mode and EUM mode (i.e. Bypass mode). The state-transition model of
the Draw up at a station scenario is shown in Fig. 9 as an example.
Starting from the top function for which the system is designed (trains
follow successively their optimal route), the system is successively broken
down into sub functions, individual elements/components, and then the FPTNmodules can be elaborated by analyzing the failure propagation/transformation
behaviour of each module. These modules are connected by component
interfaces.
4.2 Results
For each potential threat, the output deviation of safety related system functions
in every scenario, we have tracked down the causes and evaluated the
corresponding occurrence probability. The results are expressed as Boolean
expressions of component failures as a column of the Hazard Log, and also can
be shown as fault tree figures to make them easier to understand. Thirty seven
FPTN-modules were built and 183 hazard events have been identified, which is
obviously too large to lay out in a single piece. Therefore, this paper only shows
the results of the Draw up at a station scenario as a demonstration.

This study has addressed some of the pitfalls pointed out in the literature (lack of
system overview, conflicting objectives) and offers some solutions to overcome
some of the difficulties. In this study, a hierarchical framework, based on the
Failure Propagation Transformation Notation (FPTN), has been developed to
perform safety analysis and risk management of large and complex computer
based railway signalling systems. This approach is based on the data flow among
components rather than the hardware description of the system, which enables
failure behaviour modelling in various stages of the design lifecycle.
Some further notation developments for FPTN are still needed in this
direction to allow for a better expression of the time properties of failure events.
Enriching FPTN with Temporal Logic is part of our current research. The
Temporal Logic should cover all kinds of sequential relations of failures, and
should not make the model too complex to solve. Another interesting research is
the more accurate description of the deviation of continuous data. These
continuous data are usually affected by several different factors. How to express
the influence of each factor in the failure propagation model and how to decide
the synthetic variation tendency are the problems that need to be solved urgently.
Acknowledgements
This paper is sponsored by the National Natural Science Foundation of the P. R.
China under grant No.60634010, with the title "The Theory and Key Technology
Research of Train Control System", and is also supported by the Urban Rail
Transit Automation and Control Beijing Municipal Government Key Laboratory.
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51st Annual Reliability & Maintainability Symposium (RAMS05), 2005.
[10] Papadopoulos, Y., Mcdermid, J., et al, Analysis and Synthesis of the
Behaviour of Complex Systems in Conditions of Failure. Reliability
Engineering & System Safety. Vol 71, pp. 229-247. 2001.
[11] Alam, M., Al-Saggaf, U. M., Quantitative Reliability Evaluation of
Repairable Phased-Mission Systems Using the Markov Approach, IEEE
Transactions on Reliability, R-35:498-503, 1986.
[12] Bozzano, M. & Villafiorita, A., Integrating Fault Tree Analysis with Event
Ordering Information, Proc. of the ESREL 2003, pp. 247-254, 2003.
[13] Kaiser, B., Liggesmeyer, P., Mackel, O., A New component Concept for
Fault Trees, Proc. of the 8th Australian Workshop on Safety Critical Systems
and Software (SCS03), Adelaide, 2003.
839
A scenario-based safety argumentation for

CBTC safety case architecture
C. Liu1, X. Sha2, F. Yan3 & T. Tang1
1

2
Beijing Traffic Control Technology Co., Ltd, China
3
Abstract
The Communication based Train Control System (CBTC), as a symbol that
China has stepped into the stage of rapid urban rail traffic development, is a
safety-critical system that guarantees rail traffic safe-operating and high
transportation efficiency. The safety case for the CBTC generic product is an
essential justification document to prove the system can be accepted as
adequately safe. To extract safety requirements implicitly illuminated within the
system requirement specification, operational scenarios are widely used to depict
the behaviours and interactions of subsystems and components, which becomes a
challenge when constructing safety case architecture from the aspect of system
function. This paper presents a promising method based on Goal Structuring
Notation (GSN) to establish a composition of safety argumentations for
managing safety cases. The method introduces the concept of safety argument
modules to express rationally encapsulated goal-based safety claim sets that
conform to safety requirements, but are deduced in accordance with hazard
analysis based on the operational scenarios. An example generic modular safety
case architecture for CBTC generic products is presented to illustrate how the
whole safety case architecture is structured to be in line with system
requirements, and the ease with which module updates and reuse, according to
revises for system development, can be performed.
Keywords: CBTC, GSN, safety case, safety argument module.
doi:10.2495/CR100761
Introduction
1.1 CBTC generic product

As key equipment deployed in urban rail traffic systems, the CBTC system is
comprised of Automatic Train Supervision (ATS), Automatic Train Protection
(ATP), Automatic Train Operation (ATO), Computerized Interlocking (CI)
system, and Data Communication System (DCS), and is conducted to guarantee
safe operation and improve the traffic capacity of stations and sections, as well as
realize automatic railway traffic control and high transportation efficiency.
The ATP system is the core of the CBTC system, which dominantly serves to
guarantee safe operation. The ATP system consists of the Vehicle On-Board
Controller (VOBC) and the Zone Controller (ZC), see Fig 1. The VOBC
measures and sends location information to the ZC periodically via both
trackside Access Points and waveguides. Combining train location with line
occupancy supplied by the CI, Database Storage Unit (DSU) and ATS, as well as
other trackside equipment, the ZC calculates movement authority for a specified
train and sends information back to the VOBC in the same way, with which the
VOBC generates service brake and emergency brake profiles to supervise the
train movement. The DCS includes a redundant wired backbone network and
wireless communication between on-board devices and trackside equipments,
both of which can provide protocol-independent data transmission for the
functional application.
As a safety-critical system, the CBTC generic product should be certified to
meet the requirements in railway standards regarding safety related applications,
e.g., the EN5012X series. For specific functional domains, diverse standards are
adopted to achieve design targets, for example the LCF-300 CBTC product
developed by BJTU, MIL-STD-882C, is applied for semiconductor component
Figure 1:
Configuration of CBTC generic products.
841
design, EN50129-2 and IEEE1474.1-1999 are referred for wireless

communication application, etc. However, this paper focuses on CBTC product
safety case development, which mainly consults with CENELEC standards,
namely EN50126, -8, and -9 [13]; other norms are outside the scope of this
paper.
1.2 Safety argument in a safety case
The production of a safety case is an essential part of the safety assessment
process for safety-critical system development. The gist is to communicate a
clear, comprehensive and defensible argument that a system is acceptably safe to
operate in a particular context (Kelly and Weaver [5]).The safety case consists of
three principal elements: Requirements, Argument and Evidence, which are
composed to convince someone that the system is safe enough (when compared
against some definition or notion of tolerable risk). According to the review of
some conventional context based safety cases, a common flaw exists, which is
that the role of the safety argument is neglected and, instead, many pages of
supporting evidence are often presented (e.g. hundreds of pages of fault trees or
FMECA tables), but little is done to explain how this evidence relates to the
safety objectives. Safety arguments aiming to communicate the reasoning
relationship between requirements and evidence are often suggested to be
expressed in well-structured texts; such arguments can be efficient to be
understood by the involved developers of the safety case, but can be ambiguous
and unclear to other engineers who are not familiar with the authors literary
manner. Besides, cross-references are necessarily introduced to argue integrity of
evidences, however, multiple cross-references in text can be awkward and can
disrupt the flow of the main argument. Without a clear and shared understanding
of the argument, safety case management is often an inefficient and ill-defined
activity.
This paper will introduce a structured technique, Goal Structuring Notation
(GSN), to provide an explicit representation of the concepts required to create an
argument and to represent the argument inferences linking the requirements to
the evidence.
1.3 Incremental safety case for railway applications
In order to obtain safety approval for a generic product, safety case need to well
organize the overall documentary evidences to be submitted. Historically, the
production of safety cases has often been viewed as an activity to be completed
to the end of the safety lifecycle. To initiate safety case development at the
earliest possible stage and arrange phrasal evidences incrementally collected in
step with system development, a common approach to managing the gradual
development of the safety case is to submit a safety case at various stages of
project development. For instance, the U.K. MoD Defence Standard 00-55 [7]
talks of formally issuing at least three versions of the Safety Case:
Preliminary Safety Case after definition and review of the

system requirements specification
Interim Safety Case after initial system design and preliminary

validation activities
Operational Safety Case just prior to in-service use, including

complete evidence of having satisfied the systems requirements
The EN50129 [3] also recognizes the importance of recording the relationship
between partial safety cases and overall safety cases that a section of the
recommended safety case structure is reserved for this purpose. As EN50129
talks of safety cases being structure into six parts:
Part One Definition of the System
Part Two Quality Management Report
Part Three Safety Management Report
Part Four Technical Safety Report
Part Five Related Safety Cases
Part Six Conclusions

Part Five of the safety case acts a dual role. Firstly, it should be used to record
references to the safety cases of any subsystems or equipment on which the main
safety case depends. Secondly, it could be used to present an account of the
evidence of satisfying safety conditions from other safety cases, which could
embrace those partial safety case carried forward into the bases of the main
Safety Case.
This paper will emphasize the role operational scenarios play during the
incremental safety case development, and a method upon the scenarios of
establishing the traceability between phrasal safety case and main safety case
2 Goal structure notation
Figure 2:
Principle elements in GSN.
The Goal Structuring Notation (GSN) (Kelly and Weaver [5]) a graphical
argumentation notation - explicitly represents the individual elements of any
safety argument (requirements, claims, evidence and context) and (perhaps more
significantly) the relationships that exist between these elements, see Fig 2.
The principal purpose of a goal structure is to show how goals are broken
down into sub-goals, and eventually supported by evidence (solutions) whilst
making clear the strategies adopted (e.g. adopting a quantitative or qualitative
approach),the rationale for the approach (assumptions, justifications) and the
context in which goals are stated (e.g. the system scope or the assumed
operational role).
Evidence
presented
843
An extension to GSN is an explicit representation of modules themselves.

This is required to be able to represent a module as providing the solution for a
goal. In order to refer to goals defined within other modules, the concept of
away element is introduced (e.g. away goal or away solution), which derives a
vital feature of modular GSN: argument module interfaces. The argument
module interfaces define clearly the visible contents of a argument module
including the Objective addressed by the module, public objectives and
evidences that support to (or from) other argument modules, assumed context
defined within the module together with any dependencies on other cases.
Interfaces are specified to provide other argument module developers with
sufficient information to allow them use a particular argument module.
3 Safety case architecture

Following the definition of software architecture (Bass et al. [8]), Kelly [9]
presents a similar terms of Safety case architecture: The high level organisation
of the safety case into components of arguments and evidence, the externally
visible properties of these components, and the interdependencies that exist
between them. This definition declares equal importance to the dependencies
between safety case modules (or components) as to the components
themselves, which means for the incremental safety case development during
safety lifecycle, an kind of structures that is able to establish clear and seamless
interfaces so that safety case elements can be safely composed, removed and
replaced, should be considered from the very beginning stage of constructing
safety case.
3.1 High level argumentation
Constructing a safety case architecture for CBTC from high-level requirements
during the system development lifecycle allows the low-level requirements for
evidence to be identified. Thus the need for testing, analysis and other evidence
generation approaches can be determined during system design.
EN 50129 [3] supports the principles of establishing multiple related safety
cases in stating a safety case provides evidence that a generic product is safe in a
variety of applications. However, an attempt to enumerate and justify all possible
configurations is unfeasibly expensive; to establish the safety case for a specific
configuration will nullifies the benefit of flexibility (Kelly [10]). A more
promising approach is to attempt to establish a modular, compositional safety
case that has a correspondence with the modular structure of the underlying
architecture (Kelly and McDermid [11]). However, it is more significant that
what aspects of system architecture can be classified as basis of partitioning
argument modules.
Whilst conceiving a complex safety critical system, designers are prone to
scheming safety functionalities that system should achieve rather than
constructing system structure, because the structure is just a specific solution of
all function requirements. Besides, to discuss how one function relies on another

and their interface requirements is more practical than make clear the boundaries
between subsystem structures just after system requirement has been defined.
Hence, constructing modular safety cases in accordance with system
requirements will be easy to operate and make the potential modular change
minimized. In addition, this style has one advantage over the subsystem
decomposition style in that it promises to be more cohesive from a safety
perspective.
3.2 Preliminary safety case
After specifying the system requirements of CBTC generic product, the
Preliminary Hazard Analysis (PHA) can be undertaken in order to identify
hazards related to design and operation and ensure that the preliminary design is
built-in with safety properties from the beginning of the CBTC system
development. Consequently, High level argumentation in Preliminary Safety
Case covers the functional requirements, as well as the specification of all
external interfaces, performance requirements, Electromagnetic Compatibility
(EMC) requirements, and Reliability, Availability, Maintainability and Safety
(RAMS) requirements, all of which form a framework that safety case
architecture has to conform to, see Fig 3.
Next, operational scenarios will introduced to deal with functional division
cutting across subsystem boundaries, also help to collect safety goals supported
by other modules according to the reference relationships indicated in Fig 3.
4 Operational scenarios and hazard analysis

As panoptic view of functional design, operational scenarios aim to reveal
detailed schemes which are constructed by the system designers to fulfil specific
TopLevelArg
CBTC High Level
Argument Module
Argument module over
EMC requirement
Argument Module over

Interfaces requirement
Figure 3:

RAMS requirement

Functional requirements

Performance requirement
Modules in high level argumentation.
845
functionalities, also provide legible process charts for assessors to follow when
identifying latent sub-system hazards. In order to recognize the potential causes
and consequences for each identified hazards, system safety analysts can find
clues referring to the pre-and post-conditions of each step, interactions between
sub-systems during single-step execution, as well as the input and output data of
components which can awake potential chain-reacting fault states in future
interactions.
Fig 4 shows the operational scenario conceived to implement when train
starts up in the depot then departs to operate on the mainline. After system
requirements has defined, it is more feasible in reason for the designers to
decompose function requirements other than deploy subsystem or component,
because it is hard to assign the specific function points to corresponding physical
divisions especially when correlativity between primary functions has not been
clearly discussed yet. Here operational scenarios offer such materials for both
Track
MMI
Driver
On-board
equipment
Selfcheck no
display
Provide
the
storage
battery
Self
check
ZC
ATS
CI
Enter Ready
mode
Start the
workbenc
h
Waiting
for the
wake up
Wake up and
enter into RM
MMI
display
MMI
test
button
Wireless test
and braking
trail
Confirm the
feedback
information is correct
MMI
input ID
Check the
validation and
record
Route Setting
command
Operatio
n plan
The signal
opens
The driver
confirms the
signal display
Start the
departure
request from
the depot
Start up
the
train
Speed
supervision
under RM
Enter train
operation
scenario
Figure 4:
Scenario of the train start-up process.
Set
the
route

designers and assessors to talk through a particular process: firstly, system
designers illustrate their mentalities on the designated function point via each
behaviour (the rectangle with circular on the top right corner) on the thread of
subsystem objects which they consider as possibly contribution to Hazard log of
Train start-up operational Scenario implementation. Secondly, the implementers
can negotiate with designers about the function boundaries as criterion to follow
with when they later define the subsystem. Most important, all participants will
reach an agreement on detailed design, which is of great benefit in case of
necessary modification even on a single function point.
For example, the assessors can easily trace the related behaviour sequence
and evaluate the side effect on the identified hazards, consequently, decide
whether new evidences are needed for this change in relevant phrasal safety
cases.
Take the scenario in Fig 4 for example, which elaborates the three stages of
train power-on, wake-up and start-up. For each behaviour the assessor will use
HAZOP method to question the designers in form of Object (direct or indirect)
+guideword (no, more or less, etc) +parameter (velocity or voltage or data, etc).
Designers will follow these questions to investigate the potential causes and
consequences in case it happened as a hazard. To complete hazard log, designers
need to propose mitigation measures on the purpose of bringing down the risk to
a tolerable level, which are essential to form the safety goals in the
argumentation. Table 1 gives a fragment of Hazard Log of train start-up
operational Scenario, as space is limited, only the reference number and potential
causes are presented to explain how the hazards are identified from scenarios.
5 Safety goals decomposition based on scenarios

As has already been discussed, the mitigation measures against each hazard can
be treated as sub safety goals under a top safety function representing the safety
requirement corresponded with the operational scenario. Before one measure is
taken into account of decomposed safety goals, some reduction strategies below
will be adopted to avoid unnecessarily duplicated argument work:
Combine the hazards with same potential causes, which inevitably

means identical mitigation measures;
For the similar measures in different scenarios, if the same

supported evidences are needed, can be argued as away goal;
Eliminate as agilely as possible the human factor hazards from

technical safety argument into safety management argument, which will be
of great benefit to function argument reuse, as not under all possible
scenarios the same human faults happen.
If one identified hazard serves to be the potential cause of another

hazard, then relevant measure could be the sub safe goal of the upper goals
derived from that hazard.
With these strategies, the measures of all hazards in Table 1 has been
simplified into sub goals which finally construct the whole argumentation under
the top goal Train safely leaves the depot, see Fig 5. Inside this argument, the
Table 1:
Scen-Func
Ref. No.
S1-F1\2
847
Hazard log of train start-up operational scenario.
Hazard Description
Potential Cause
Train cannot supply the

power to the on-board
equipments
On-board equipment
failed to self-check or
check overtime
On-board equipment
failed to wake-up, or
overtime.
1.Driver skills were sufficient

2.Storage battery was depleted/not regularly
maintained/float charged.
1. On-board equipment design deficiencies;
2.VOBC functionally failed;
S1-F8
MMI cannot display

train-borne information
when VOBC powers on
1.MMI powered down;

2.Communication between train-borne and
MMI failed
S1-F9\10
On-board equipment
failed to detect rear onboard equipments.
1.Communication between ends of vehicle

failed;
2.failed to collect data of rear of vehicle
when changing the ends
S1-F11
On-board equipment
incorrectly passed
braking testing.
S1-F12
Driver failed to input

IDs.
1. Train-borne collecting board /collecting

channels failed;
2. Drivers considered the wrong feedback
information is as the normal;
1. On-board equipment failed to query
drivers to input ID;
2.Communication between train-borne and
MMI fails;
3.Drivers make human errors.
S1-F13
On-board equipment did

not check the validity of
drivers' IDs
On-board equipment
failed to enter corrective
mode status which is
selected
On-board equipment
cannot link to wireless
S1-F3\4
S1-F6\7
S1-F15
S1-F14
S1-F15
Signal may not be open

yet when train left depot.
1.Internal communication failed;

2.Drivers did not choose the head of train;
train-borne software fails

1. Mode switches failed.
2. Drivers make mistakes;
3. Mode switch is incorrectly wired during
building process.
1.No wireless signals, DCS fails;
2.Train-borne equipments fail, cannot
receive wireless signals;
3. ZC equipments fail, cannot receive
wireless signals.
1.ATS did not arrange the operation plan or
arrange a wrong operation plan;
2. CI did not arrange routes or arrange
wrong routes due to failures;
3.Communication between CI and signal
failed.

top safety goal is marked as public goal, as it will be representatively cited to
support other argument modules. G2~G11 are sub goals decomposed with the
strategy of all hazards have been handled, namely the safety requirements
separated out from mitigation measures using the strategies mentioned above,
which can be referred in the context of Hazard Log. For those safety goals need
to be supported by specific evidences are presented as undeveloped goals which
will be finished in operational safety case. Particularly, G4 is related to the
RAMS performance of CBTC system, has to gain testimony from argument
module over RAMS requirement, consequently, it is expressed as an away goal.
In order to establish the traceability, an incidence matrix including the
relationship of safety requirements, safety functions in scenarios, hazard Log and
requirement specification is necessary not only for safety argument, but also for
the safety case reuse and maintenance.
As the safety case architecture was built on operational scenarios, the
incidence matrix, also called verification matrix, is designed referring to the
operational scenarios likewise. As a fragment of such matrix listed in Table 2,
one record of a sub goal needs to contain the full information during its period of
validity, that is, how it is generated, what it affects, and where it is stated. In case
that change happened, e.g. designer have to modify his thought, or implementer
have to update the definition of system boundary, the operational scenarios bear
the brunt to recompose synchronously. So it is quite vital to recognize the range
of influences for a single safety goal as well as functional interaction that this
goal will take with other safety goals. To combat this, verification matrix is
created to ensure that function interactions are recorded and considered as a
separate interactions sub safety case, which is obviously less comprehensible
but easier to maintain. For someone wishing to investigate all of the possible
issues surrounding the maintenance of a particular safety goal, they will find
them largely addressed within such a single sub safety case.
Figure 5:
Train start-up safety function argumentation.
Table 2:
Traceability between sub safety goals and migrating measures in

the verification matrix.
Sub
safety
goals
Scen-Func
Ref. No.
Source
Name of
Requirements
G2
S1-F1\2\3\4
HL-029[1]
VOBC Drive
Module Design
Specification
G3
S1-F6\7\8
HL-031[2]
HL-154[2]
VOBC
Subsystem
Requirement
Specification
G4
S1-F8
HL-032[1]
HL-053[3]
HW User
Manual-INC70.xx hardware
manual
7.2Electrical
specification
S1-F14
HL-098[2]
HL-136[2]
HL-149[3]
HL-192[3]
ZC subsystem
architecture
specification
3.2.2.2-Redundancy
design principle
S1-F6\7\8
HL-032 [2]
HL-053 [4]
VOBC
subsystem
architecture
specification
G5
G6
849
No. Requirements in
specification
3.2drvSystemSelfTest
description
3.6drvSelfTestResult
description
3.3.4-Communication
status
check
among
subsystems
9.1.1Information display
function
3.1-Subsystem division
5.2.2-Logical Interface
between ATP and MMI
6 Conclusion
Rather than organizing the safety case architecture in accordance with the
existing system structure, another style is to decompose the case according to
safety functions. This style has one advantage over the subsystem decomposition
style in that it promises to be more cohesive from a safety perspective. This
paper constructs a modular safety case architecture following the system
requirements, then introduces operational scenarios as skeleton to guide the
safety goal decomposition, and records safety argumentation in functionindependent modules with GSN method. With such method, the dependences
between argument modules can be explicitly expressed in module interfaces and
be directly traced in verification matrix, which will obviously bring the potential
benefits of changeability and reusability compared to a monolithic safety case. In
future work, we intent to use the extended GSN concept of safety contract to
record such traceable cross-references between argument modules to preferably
help manage the dependences.
Acknowledgements
The bulk of the work reported here was supported by the project of Natural
Science Foundation of China (NSFC): the basic theory and key technology
research of train operation control and organizations (Ref.60634010).

We are grateful to Beijing Subway Yizhuang Line Project and Department of
safety and quality assurance of Beijing Traffic Control Technology Co., Ltd for
the information and explanations which formed the basis of our case study.
References
[1] EN 50126 Railway Applications - the Specification and Demonstration of
Reliability, Availability, Maintainability and Safety (RAMS) - Part 1: Basic
requirements and generic process. European Committee for
Electrotechnical Standardisation, 1999.
[2] EN 50128 Railway Applications Software for railway control and
protection systems. European Committee for Electrotechnical
Standardisation, 2001.
[3] EN 50129 Railway Applications Safety related electronic systems for
signalling. European Committee for Electrotechnical Standardisation, 2003.
[4] Railtrack: the yellow book: Engineering Safety Management Volume 1 and
2:Fundamentals and Guidance Issue 4, Rail Safety and Standards
Board,2007
[5] Kelly, T., Weaver, R. The Goal Structuring Notation A Safety Argument
Notation. Proc. of Dependable Systems and Networks 2004 Workshop on
Assurance Cases,2004
[6] MoD Defence Standard 00-56 Safety Management Requirements for
Defence Systems, Ministry of Defence.1996
[7] MoD Defence Standard 00-55, Requirements of Safety Related Software in
Defence Equipment, Ministry of Defence.1997
[8] Bass, L., Clements, P. and Kazman, R. Software Architecture in
Practice,Addison-Wesley,1998
[9] Kelly, T. Using Software Architecture Techniques to Support the Modular
Certification of Safety-Critical Systems. Proc. Eleventh Australian
Workshop on Safety-Related Programmable Systems (SCS 2006),
Melbourne, Australia. CRPIT, 69. Cant, T., Ed. ACS. pp53-65, 2006.
[10] Kelly, T. P., Arguing Safety A Systematic Approach to Safety Case
Management, DPhil Thesis YCST99-05, Department of Computer Science,
University of York, UK, 1998
[11] Kelly, T.P., McDermid, J.A., A Systematic Approach to Safety Case
Maintenance, Reliability Engineering and System Safety vol. 71, Elsevier,
pp271-284,2001.
851
The cost benefit analysis of level crossing

safety measures
R. Ben Aoun, E.-M. El Koursi & E. Lemaire
University of Lille North of France, INRETS, France
Abstract
Even though the general safety level of rail transport is quite satisfactory compared to road transport, a problem still persists, that of level crossings (LCs). The
fact is that road users behavior plays a large part in accidents where most of
them do not occur following a failure of the railway system but are due to
individuals behavior. Knowing this, the Rail Optimization Safety Analysis
(ROSA) project intends to identify several safety measures through a cost benefit
analysis (CBA) in order to enhance the safety level at LCs on the French and
German railway systems. The choice of leading a CBA is not random. Indeed, it
allows comparisons between all the possible alternatives to aid the decision
makers to be able to invest in the most profitable safety measure. However, it is
very difficult to include all the effects of all the possible safety options. This is
why the results have to be interpreted with caution.
Keywords: cost benefit analysis, safety measure, railway, level crossing, LC.
Introduction
A cost benefit analysis (CBA) aspires to estimate the profitability of a project

from the whole community point of view by quantifying the willingness-to-pay
or the willingness-to-accept. The willingness-to-pay or the willingness-toaccept is the stated amount that an individual is willing to pay or to accept
in compensation for a loss or a diminution of its utility. For instance, the
willingness-to-pay for human life informs society about the importance that the
governments grant for human life (e.g. Bellavance et al. [3]). In general, a CBA
takes place in four stages: i) the qualitative and quantitative assessment, ii) the
identification of all the possible effects for all the foreseen options and from the
point of view of different groups of concerned individuals, iii) the monetary
doi:10.2495/CR100771

valuation of all these impacts so as to, iv) select the most suited solution for the
community. This last stage is based on three crucial selection criteria: the net
present value (NPV), which is the difference between the updating benefits and
the updating costs; the internal rate of return, which is the rate for which the net
present value is equal to zero; and, the benefit to cost ratio, which is the
discounted benefits divided by the discounted costs.
Within this framework, the actualization is very important in the sense where
it reflects the arbitrary choices between the present and the future generations
which the community makes. Actually, the future costs and benefits have to be
discounted according to a recommended rate (e.g. Rodgers and Leland [23]). To
be consistent and to be able to compare several results from a few CBAs (e.g.
Treasury Board of Canada Secretariat [30]; National Institute of Health [21];
Ministry of the Equipment, the Transport, the Accommodation, the Tourism and
the Sea [20]), several cost benefit analysis guidelines recommend that each CBA
must specify the point of view of the analysis, adopt a standardized step to be
able to compare all the different alternatives by updating the obtained results,
determine the willingness-to-pay or the willingness-to-accept if the market prices
are distorted (or refer to the literature for reference values) and endorse the
results with a sensitivity analysis. This last stage is very important because the
sensitivity analysis indicates if the results are reliable or not. For this, each
sensitivity analysis has to take into account the following guidelines (NIH IT
projects [21]):
A parameter is not considered to be sensitive if it requires a decrease of
50% or an increase of 100% to cause a change in the selected
alternative;
A parameter is considered to be sensitive if a change between 10% and
50% causes a change in the selected alternative;
A parameter is considered to be very sensitive if a change of 10% or
less causes a change in the selected alternative.
Moreover, to be thorough and strengthen the results, the CBA has to take into
account the same parameters for the two different countries. Indeed, one of the
stakes of the CBA is to make a harmonization and to compare the results
between the two countries so that the definitions of parameters are elementary.
Actually, to harmonize the results, the European countries must have the same
definitions in terms of fatality, heavy injury and accident in order to draw the
correct conclusions. For our case study, the definitions of parameters comply
with the Eurostat definitions. Actually, it is supposed that deaths in road
accidents are people who were killed outright or who died within 30 days as a
result of the accident and that a serious injury is an injury for which a person is
detained in hospital as an in-patient or any of the following injuries whether or
not the injured person is detained in hospital but do not involve the death within
the recording period (Odgaard et al. [22]). It should be noted that the analysis
intentionally does not include the net benefits for the avoided slight injuries
because of the lack in the Eurostat and French and German databases. The
following part is dedicated to the presentation of the cost benefit approach in
853
transport. The next one is devoted to the definition of the framework whereas the
last parts outline the whole level crossing case study and the results.
Economics in transport
2.1 The role of the CBA

In transport, a CBA has to emphasize the best alternative to reach the objectives
at lower costs. The difficulty rests on the fact that the decision makers have to
make a selection under uncertainty because a few effects are unpredictable
(Jokung [16]; Laffont [18]). Moreover, a CBA is not always applicable and the
means do not always square with the objectives (Rune [24]). Concretely, the
CBA has to highlight the different choices by supplying an economic evaluation
from a fault tree analysis and clarify all the costs and benefits to focus on the
best option in economic terms. To mint these costs and benefits, two types of
techniques are elaborated, especially for the goods which do not enter the
merchant sphere. The first method is based on a contingent valuation (Terra
[29]), which directly infers a willingness-to-pay or a willingness-to-accept
regarding answers to questions of investigations according to several scenarios.
The second rests on a hedonic method (Gravel et al. [14]), which consists in
observing individual decisions on the market of risk to determine an implicit
value of goods. Thus, these two different methods allow the monetary valuation
of costs and benefits in order to deter-mine if a project is profitable or not. For
the majority of projects in transport, benefits mainly concern avoided accidents
and saved lives or injuries (Carsten and Tateb [7]). Within this framework, it is
important to understand how the value of human life is estimated.
2.2 Monetary valuation of human life
Three methods are used to appreciate the cost of life in transport. Indeed, the value
of human life can be based on the means invested to compensate the effects of an
accident; this is the method of cost compensation. The human capital approach
aims at estimating the updated losses of the society following human damage, and,
the willingness to pay or to accept principle seeks to evaluate the satisfaction levels
for a sample of individuals in order to estimate a mean value. In transport, this
approach can allow the valuation of human life by asking individuals the
maximum amount they are willing to pay to benefit from a better safety level. For
several years, the suggested value of human life to retain for all the European
projects of collective transport has been one and a half million euro (Boteux [6];
Desaigues and Rabil [11]; Odgaard et al. [22]). However, individuals are
considered to be more responsible for their own safety level on roads (LievremontArtinian and Bertel [19]; SNCF [28]), that is the reason why the value of human
life for road transport only represents 66% of the total cost of life, that is to say one
million euro. As the LC case study relies on the French and German railway
systems, it is necessary to compare the values of human life for the two countries
to see if the European common value can be used in the CBA. Thanks to the values

expressed in purchasing power parity in the table below, we can see that the cost of
human life for France and Germany is very close to the European common value,
so it can be used in the CBA. The purchasing power parity unit allows the
conversion between economic indicators expressed in a national currency and an
artificial common currency in order to compare prices between countries.
Table 1:
Estimated values of human damage in France and in Germany.
Country
Fatality
(2002)
Severe injury
(2002)
Fatality
(2002 PPP)
Severe injury
(2002 PPP)
France
Germany
1,617,000
1,661,000
225,800
229,400
1,548,000
1,493,000
216,300
206,500
To comprehend the CBA, the part below is devoted to the presentation of the
context and the stakes of the French and German Rail Optimization Safety
Analysis (ROSA) project (Ben Aoun et al. [5]; Klinge [17]).
Background
The ROSA project evolves within the regulatory framework of the

Interoperability Directives 96/48/EC (Council Directive 96/48/EC [9]) and
2001/16/EC (Directive 2001/16/EC [10]) through the technical specifications for
interoperability (TSI) which claim that each subsystem or part of a subsystem is
covered in order to meet the essential requirements and ensure the
interoperability of the trans-European high-speed and conventional rail systems.
In spite of technical and scientific progress, railway competitiveness and the rail
safety directive 2004/49/CE [8] do not suffice for LCs. Indeed, heavy and
constant safety measures have to be implemented to decrease the number of
accidents and fatalities especially at worrying LCs, i.e. LCs with a high rate of
accidents and/or incidents.
Within this framework and in the continuity of the Safer European Level
Crossing Appraisal and Technology (SELCAT) project, the Franco-German
ROSA project foresees a risk analysis for the two railway systems in order to
identify the safety levels of the new railway safety functions and to quickly
choose the best safety measures to implement. Therefore, the CBA is essential in
the sense that it aims to identify all the possible options and determine the best
alternatives in economic terms. Concretely, the ROSA project serves three
significant aims: improvement of the understanding of railway safety in
Germany and in France, ensuring the profitability of investments, and support
the impact assessments for safety target definitions for the European Railway
Agency. For doing so, the roles of DB AG (German railway undertaking) and
SNCF (French railway undertaking) are vital regarding the definition of safety
targets through the preliminary safety analysis of the overall railway systems.
Concerning safety, the global French and German railway systems are the object
855
of a risk analysis. The aim is to investigate the consequences of the allotment of

railway common safety targets in order to at least maintain or improve the actual
safety level thanks to the best safety investments. This risk analysis has to take
into account the different safety directive groups at risk and introduce, if
possible, a risk aversion factor in the calculations through the value of human
life according to the willingness-to-pay or to-accept.
The level crossing case study
Before presenting the LC CBA, it is necessary to briefly define the functioning

of a LC in France and in Germany. In France, when a train is approaching the
LC, the barriers are supposed to be closed and free of any obstacle. As it is not
always true, a classification of the worrying LC has been done to improve
safety at the most dangerous LCs. In Germany it is different: the train is
supposed to be able to stop before an unprotected LC. This supposes a constant
attention for the train driver and a good visibility on the road when the train is
approaching the LC.
4.1 Presentation
First of all, it should be noted that this particular case study obliges the CBA to
consider all the possible safety measures capable of enhancing safety on road and
on rail. For this, it is necessary to identify the main causes of accidents at LCs, to
estimate the potential reduction of accidents and to integrate the past tendencies
into the calculations in terms of number of accidents, fatalities and heavy injuries
to obtain the correct results. The CBA has to clarify the different technical
solutions in order to specify the most efficient safety measure in terms of
avoided human damage. By doing so, the CBA will compute all the discounted
costs and benefits for all the stakeholders to estimate the three selection criteria
inherent to the CBA and to implement the best safety option. Nevertheless, it is
necessary to determine the current safety level regarding accidents and human
damage in order to compare those data with the estimated ones thanks to linear
regression straight lines.
As previously said, the main profits concern saved human lives. In general
(Boteux [6]), human life is estimated at 1,500,000 for collective transport and
at 1,000,000 for road transport. In the same way, a heavy injury is estimated at
225,000 for collective transport and at 150,000 for road transport. As more
than 98% of accidents at LCs in France and in Germany are due to road users
behavior, the value of human life and of heavy injury to be taken into account are
consequently those regarding road transport. However, let us recall that the
benefits for avoidable slight injuries are not included.
4.2 Data sources and hypotheses
The CBA allowed the identification of four different solutions to reach the
objectives of enhancing safety at LCs:
the half-barrier implementation,

the LC suppression,
radar installations on road, and,
safety campaigns.
According to a SELCAT study, the potential reduction of accidents for a halfbarrier implementation at unprotected LCs is supposed to be 69% for cross bucks
and 45% for LCs with flashing lights and bells. The effectiveness of an LC
suppression is supposed to be 100% for all LCs. The French experimentation
showed that radar implementations between 2003 and 2004 could reduce the
number of accidents by 23% so the effectiveness is supposed to be the same for
the two countries (any kind of radar measure is known for Germany). However,
the European Railway Agency Guidelines (ERA [13]) claim that the hypotheses
have to be checked to maximize the reliability of results. For this reason,
regression linear equations for all the parameters are computed in order to
integrate the past tendencies into the calculations and estimate the real effects of
radars on road. Besides, the CBA is supported to determine the best safety
measure for railway so radars are also supposed to be implemented by
infrastructure managers in order to benefit from the income of fines in the same
time.
This amount is not negligible when we know that the mean cut fine is 90 and
that the mean surcharged fine is 135 in France. According to the
Interdepartmental National Observatory for Road Safety (ONISR) in France, the
mean fine observed in 2007 was 65 for 6,983,650 parking tickets. Thus, the
CBA takes into account two cases for the radar safety option: road responsibility
and rail responsibility. As the apportionment from these fines income is
unknown for Germany, the CBA only considers the first case for Germany, that
is to say road responsibility. According to the action plan for road safety (20032010), safety campaigns could reduce the number of accidents by 2,35% per year
over 7 years. This is the first hypothesis regarding the effectiveness of safety
campaigns.
Regarding the effectiveness of radar implementations, it is not utopian to
think that safety campaigns could also reduce the number of accidents by 23%.
This is the second hypothesis. The last hypothesis is based on a report about
safety measures (Canadian National Institute for Public Health [21]) which
claims that safety campaigns could decrease the number of accidents from 19%
to 26% so the CBA also takes into account these two extremities. Thus, the
economic analysis takes into account the following measures:
Option n1.1: Implementation of a half-barrier (for a potential reduction
of accidents of 69%),
Option n1.2: Implementation of a half-barrier (for a potential reduction
of accidents of 45%),
Option n2: LC suppression,
Option n3.1: Radar installations on road (without correction),
Option n3.2: Radar installations on road (with correction),
Option n3.3: Radar installations if costs and a part of benefits come to
railways (if the mean fine is 65), for France,
857

Option n4.1: Safety campaigns (for a potential reduction of accidents
of 2,35%),
of 19%),
of 23%),
of 26%).
For the calculations of the selection criteria, four updating rates are retained in
order to test the reliability of the results: 3%, 4%, 5% and 8%. 3% is the updating
rate commonly used in Germany, 8% in France, 4% is the reviewed rate in
France (HEATCO [15]) and 5% is the recommended rate for public projects of
investments (European Commission [12]). Most of the physical and economic
data come from the SNCF for France and from the DB AG for Germany.
Tables 2 and 3 give estimations of the profitability of the four safety measures
according to the selection criteria in France and Germany
Results and discussion
The two tables, 2 and 3 shown overleaf sum up the general results of the CBA
according to the three selection criteria. The cells in yellow (shaded) show the
best economic results. The error message means that the internal rate of return is
negative due to the fact that benefits do not cover costs over time. The
senseless message indicates that the calculation of the IRR is not necessary
because there is no cost for railways if radars are implemented on roads. Thus,
any other safety measures could be more profitable for rail transport.
As previously said, the updating rate commonly used in CBAs is 8% in
France and 3% in Germany. Within this framework, a safety measure is
profitable only if the net present values are positive, if the benefit to cost ratio is
higher than one and if the internal rate of return is higher than the updating rate
to be more gainful than a financial investment on the market (Abraham-Frois
[1]). These conditions have to be respected at the same time. At first sight, we
could think that the most efficient option in France is safety campaigns, as the
net present value is widely higher that of the radar option, but the internal rate of
return is far from 8%, which is not the case for radar implementations on road.
From the railway point of view, if we consider that the updating rate to return for
the internal rate of return is the reviewed rate of 4%, the best safety option is still
radar implementations but only if the mean fine is 90 or 135. In the same way,
it seems that the best option is the last one in Germany, but the internal rate of
return is lower than 3%. In this case, the best safety option seems to be radar
installations on roads but, from the railway point of view, investments should be
angle towards safety campaigns.
Estimations of the profitability of the four safety measures according to the selection criteria in France.
Table 2:
Estimations of the profitability of the four safety measures according to the selection criteria in Germany.
Table 3:
859
Conclusion
This paper presents the results of the CBA for LCs within the framework of the
rail optimization safety analysis project. To that purpose, we analyzed the
railway systems in France and in Germany in order to identify the possible safety
options to implement for enhancing safety at LCs. As more than 98% of
accidents at LCs are due the non-respect of the rules of the road, it is not
surprising to notice that the best safety measures are without any doubt those
which directly act on road users behavior, such as radar installations on roads
and on rail or safety campaigns. Nevertheless, it is important to recall that the
aim of the CBA is to determine the best actions to be taken from the railway
point of view. This is the reason why the analysis supposed that radar
installations could be undertaken by railways and that they could benefit from
the same profits as if they were undertaken for road transport.
The economic valuation speaks for itself because one rail radar installation
allows a profit estimated at more than two million euro per year in terms of fine
incomes. In other words, the fact of implementing only one radar per year allows
the saving of one life. However, it is very difficult to include all the effects of a
safety option in a CBA (Andrieu [2]). Thus, the results have to be used with
caution.
Acknowledgements
This study is the result of the work for the Deufrako project financed by the
National Agency for Research and was supported in part by the ROSA partners.
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863
Proposal of the standard-based method for

communication safety enhancement in railway
signalling systems
H.-J. Jo, J.-G. Hwang, B.-H. Kim, K.-M. Lee & Y.-K. Kim
Train Control & Communication Research Division,
Korea Railroad Research Institute (KRRI), South Korea
Abstract
Safety-critical systems related to the railway communications are currently
undergoing changes. Mechanical and electro-mechanical devices are being
replaced by programmable electronics that are often controlled remotely via
communication networks. Therefore designers and operators now not only have
to contend with component failures and user errors, but also with the possibility
that malicious entities are seeking to disrupt the services provided by their
systems. Recognizing the safety-critical nature of the types of communications
required in rail control operations, the communications infrastructure will be
required to meet a number of safety requirements such as system faults, user
errors and the robustness in the presence of malicious attackers who are willing
to take determined action to interfere with the correct operation of a system. This
paper discusses the safety strategies employed in the railway communications
and proposes a security mechanism for the Korean railway communication
system. We present the developed communication safety evaluation tool based
on the proposed security mechanism and also evaluate its protecting capability
against threats of masquerading, eavesdropping, and unauthorized message
manipulation.
Keywords: railway communication, safety evaluation tool, security mechanism.
Introduction
As the conventional mechanical and electronic systems used in communication

for railway signal control are being replaced by programmable electronic
systems that can be remote-controlled through telecommunication networks,
doi:10.2495/CR100781

the safety of railway communication networks have been highlighted. Factors
that may adversely affect safety in railway communication networks include the
faults or failures of system components or software and security issues arising
from conversion to an open system from closed one. In other words, the closed
system uses only physically dedicated wired networks, requiring safety
provisions against failures or faults. However, the open system uses networks
based on wireless communication or Internet technologies, which are not
physically independent, and require traditional safety measures as well as stricter
security provisions against unauthorized access or intentional attacks [13].
With regard to the safety of the communication component in the railway
control system, the EU developed European railway signalling safety standards
(EN 50159-1 (for the closed system) and EN 50159-2 (for the open system), and
IEC 62280-1 (for the closed system) and IEC 62280-2 (for the open system)) to
provide the requirements for communication safety [4, 5]. In this study to
investigate the security issues relating to data transmitted through the railway
signalling communication network, the safety evaluation system for wireless
communication in the railway control system is analyzed and then, approaches,
requirements, and procedures for safety evaluation of wireless open systems are
provided.
Further, requirements for the validation of communication safety and criteria
for the determination of safety are analyzed to suggest potential factors that may
pose risks to the communication networks in the railway control system and
provide recommendations on a secure data link for the communication networks
[6]. Moreover, this study describes the means for safety evaluation of the open
system on the basis of basic design derived from analysis and discusses such
means and their potential applications. In principle, those means are based on the
international standards IEC 62280-2.
Safety evaluation system for wireless communication

networks in railway control system
The open system has network control and management functions that can set
(and dynamically re-set) the message routes according to the program unknown
to users, through arbitrary routes consisting of more than one transmission media
with the characteristics sensitive to external influences unknown to users at both
ends of the system. The open transmission system is not known to the control
and protection system designers and may have other users that send unknown
amount of data in unknown formats. Further, there may be users that may
attempt to access data sent by other users, in order to read or copy data without
authorization from system administrators. Moreover, the open system may be
affected by additional threats of all kinds that may pose risks to the safety-related
data integrity. In addition, the transmission link of the open system consists of all
items (H/W, S/W, transmission media, etc.) between more than 2 pieces of
safety-related equipment connected through the transmission system.
The system reference structure is shown in Figure 1 that uses the open
transmission system connecting safety-related and non-safety-related systems
865
with unreliable transmission systems, irrespective of what kinds of internal

transmission protection approaches are employed. The safety-related
transmission systems relate to the unreliable transmission system and any kind of
safety requirements should not be imposed on the open transmission system.
This structure is based on safety-related transmission functions and safety-related
connection protection functions.
Figure 1:
Structure of safety-related system using a non-trusted open

transmission system.
Confirmation of functional and technical safety regarding the safety-related

transmission function should follow the provisions described in IEC 62280-2.
However, any kinds of safety requirements are not imposed on unreliable
transmission systems, but the safety procedures and safety encryption that
operate inside the safety-related equipment are employed for the safety aspects.
As a result, the safety-related message expression models on the transmission
media are obtained as shown in Figure 2.
In order to evaluate the safety of open communication networks, the hazard
cases encountered in the networks and external environments, relationship with
threats, and provisions for defense are summarized in Table 1. Especially, in
Table 1, the security factors that have to be considered in the open transmission
networks are added to summarizing the hazard cases encountered in the closed
transmission networks. In other words, the disrupters and intruders are added as
hazard factors to the identification of hazard cases in external environments.
Hazard cases that may be caused by disrupters include the taping of

communication lines, damage to or destruction of hardware, and unauthorized
modifications to software. Hazard cases that may be caused by intruders include
picking-up of channels and unauthorized transmission of messages.
Table 1:
Hazardous
events
HW systematic
failure
SW systematic
failure
Cross-talk
Wires breaking
Antennas
misalignment
Cabling errors
HW random
failures
HW ageing
Use of not
calibrated
instruments
Use of not
suited
instruments
Incorrect HW
replacement
Fading effects
EMI
Human
mistakes
Thermal noise
Magnetic storm
Fire
Earthquake
Lightning
Overloading of
transmission
system
Wires tapping
HW damage or
breaking
Not authorized
SW
modifications
Transmission of
not authorized
messages
Monitoring of
channels3)
Defenses
Hazard cases, threats and defenses based on an open transmission

system.
Threats
Resequencing Corruption
Repetition
Deletion
Insertion
x
x
Delay
Masquerade
x1)
x1)
x
x
x1)
x
x
x1)
x1)
x1)
x1)
x1)
x1)
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
-Using
sequence #
-Time stamp
-Using
sequence #
-Source &
destination
identifiers
-Feedback
message
-Identification
procedure
x1)
x2)
x2)
-Using
sequence #
x1)
-Using
sequence #
-Time stamp
-Using safety
code
- Using
cryptographic
techniques
-Time stamp
-Timeout
-Feedback
message
-Identification
procedure
-Using
cryptographic
techniques
1) In this case, a correct message is delivered to the wrong receiver due, for instance, to a misrouting; a possible
countermeasure is the specification of the sender address.
2) In this case, the message is fraudulent from the beginning; a strong defence is needed, for example the use of a
key.
3) It makes sense that there is no threat for the hazardous event monitoring of channels; the secrecy, in fact, is a
system requirement: it has to do with the particular application
Figure 2:
Figure 3:
867
Model of a safety-related message.
Total structure of testing tool for safety evaluation in the open

transmission system.
Means for validation and determination of communication

safety of railway control system
As shown in Figure 3, the basic structure for the realization of a means for safety
evaluation of the open system consists of two modules. With regard to the

safety-related transmission function (IEC 62280-2), it consists of a safety test
function module for the open system and a logic transmission media module
based on the open system replacing the transmission media based on unreliable
open transmission system.
The safety test function module for the open system consists of a sending
component and a reception component and communication is realized through
the underlying logic transmission media module based on the open system.
Figure 4 shows the safety test function module for the open system. This module
(sending component) is the open-type safety function simulation and consists of
Figure 4:
Safety test function module for the open transmission system.
869
the following seven functional submodules; sequence number generation

submodule, time stamp generation submodule, source and destination
identifiers generation submodule, identifiers generation submodule, safety
codes generation submodule, encryption generation submodule, and
modified message combination submodule.
The sequence number generation submodule generates the sequence
numbers to prevent various threats, such as repetition, deletion, insertion, or
sequence rearrangement, in the open-type transmission. The time stamp
generation submodule generates the time stamps for generation of messages to
prepare for various threats, such as repetition, sequence rearrangement, and
delay. The source and destination identifiers generation submodule generates
the identifiers for both source and destination to prepare for insertion threats. The
identifiers generation submodule generates the identifiers for data sources to
prevent insertion and falsity threats. The safety codes generation submodule
generates the safety codes to prevent damage threats. The encryption generation
submodule generates encryption to prepare for falsity threats. Finally, the
modified message combination submodule collects data created by the above
submodules and combines them to make a modified message. Such combined
messages are sent to the underlying logic transmission media module based on
the open system.
Table 2:
Program structure of testing tool for safety transmission and

validation in the open system(JAVA).

Meanwhile, the safety test function module for the open system (receipt
component) is the open-type safety function simulation and consists of the
following eight functional submodules; encryption verification submodule,
safety codes verification submodule, identifiers verification submodule,
source and destination identifiers verification submodule, time stamp
verification submodule, sequence number verification submodule, return
message generation submodule, and submodule for combination of modified
messages to be sent to safety-related equipment.
The program structure of actual testing tool for the safety transmission and
verification in the open system is composed of JAVA programming languages
like Table 2. Each developed program module is summarized as Table 2, that is,
total program structure file & folder, inner file & folder, and functions. The
program explanations for simulation tool are as followings. project2.exe is
executive file and project2.java is methods and program involving
GUI(Graphic User Interface) related simulations. datainfo.java includes
methods for structure and structure approach. The specific contents of each
program module are like followings.
1) datainfo.java
The structure is made up of frame start(1byte), data length(1byte),
message type(1byte), source identifier(1byte), received identifier(1byte),
data sequence number(1byte), time stamp(1byte), data(40byte),
MD5(16byte), error-detection CRC-16(2byte) and frame end(1byte).
MD5 calculates source identifier, received identifier, data sequence number,
time stamp and data. CRC-16 calculates the remaining things except frame
start and end. 3DES calculates all things including CRC-16.
2) project1.java
- crc16Tab[] : crc-16 table for calculating crc-16
- crc16Check : returning crc-16 for incoming byte[], byte number
- generate_others : generating the remaining things except data and CRC for
structures of transmitted/received part
- generate_data_word : generating transmitted 40byte data randomly(the type
of random small alphabet)
- generate_random_data_error : generating the modifications of random
position for data
- go : methods for GUI
- actionPerformed : methods for GUI
- md5Check : generating md5 code for incoming byte[]
- generate_3des_key() : generating keys for 3des
- Encrypt_3des : 3des encrypt
- Decrypt_3des : 3des decrypt
- simulation: methods for simulation
The total operation of the simulation tool executes firstly inputting the
number of simulation running and operating simulation for the number by using
for sentence. And then after making transmitted messages by
871
generate_data_word and generate_others, Hazard cases of 25 kinds are

decided randomly from mixing various types. We can choose randomly the
number from 1 to 100 for each hazard case, the selected hazard case is
generated if the number is more than 90. Also the possible threats for hazard
cases are able to be selected randomly, and the selected probability is tend to
high if some threats occur simultaneously at hazard conditions. We determine
randomly the number from 1 to 100 for each threat, and use the number like
following contents for each error.
- Corruption: Case of the number less than 15
- Delay: Case of non-selecting above mentioned threats & less than 20
- Repetition: Case of non-selecting above mentioned threats & less than 20
- Deletion: Case of non-selecting above mentioned threats & less than 20
- Resequence: Case of non-selecting above mentioned threats & less than 20
- Insertion: Case of non-selecting above mentioned threats & less than 50
- Masquerade: Case of non-selecting above mentioned threats & less than 80
- Normality: Case of non-selecting all threats
Figure 5:
The screen of frequencies at total hazard cases in the validation tool

of open transmission systems.
Figure 6:
The screen for success number of the developed validation tool in

open transmission systems.
This developed tool can show statistical data and inspect whether or not it is
continuously checking threats for the inputted number. The operating total
procedure of the simulating tool is expressed at the screen like Figure 5. As
shown in Figure 5, there are generated frequencies by the program execution as
hazard cases. The percentage and number of safety transmission and verification
for a total hazard frequency can be presented as the screen of Figure 6.
Conclusion
Existing railway communication systems are based on the closed communication

networks characterized by expensive costs for installation and difficult
maintenance and repair. Owing to the lack of alternative communication
methods, those systems result in a delayed introduction of flexible railway
control systems. However, new communication technologies, such as wireless
communication and TCP/IP protocol, are able to provide various railway
communication services with lower costs for installation of infrastructures
relating to the open-type communication technology. From the economic
perspective, these new technologies are promising. However, the open
communication systems have safety and security problems. Change into the
open-type, remote-controlled railway control system is increasing. Such a trend
in transmission or communication-based railway control (CBTC) leads to
concerns over the safety and security aspects. It is not possible to determine the
costs for such broadcast communication systems from the safety perspectives
and use of the open communication networks with CBTC is strongly required for
more application efforts.
The safety is a combination of the system design and the environment where
the system is used. The railway control application environments are
considerably different from the current basic structure and operation
environments. In the closed communication networks, the safety-critical systems
can be designed with the assumption that errors and failures are key risk factors
to one-to-one communication links. However, the open communication networks
require stable operation even when malicious and intentional attacks are
increased. In conclusion, in order to ensure the safety of the railway
873
communication networks from more complex and various risk factors, measures
for safety and security are required to prepare for threats from both perspectives
of the closed and open communication networks.
References
[1] Winther R. and Johnsen O., Gran B. A.(2001), Security Assessments of
Safety Critical Systems Using HAZOPs, Proceedings of 20th International
Conference on Computer Safety, Reliability and Security, SAFECOMP,
Lecture Notes in Computer Science, Vol. 2187, pp. 14-24
[2] Knight J. C.(2002), Safety Critical Systems: Challenges and Directions,
Proceedings of the 24th International Conference on Software Engineering,
pp. 547-550
[3] Eames D. P. and Moffett J.(1999), The Integration of Safety and Security
Requirements, Proceedings of 18th International Conference on Computer
Safety, Reliability and Security, SAFECOMP, Lecture Notes in Computer
Science, Vol. 1698, pp. 468-481
[4] IEC 62280-1(2002), Safety-related communication in closed transmission
systems
[5] IEC 62280-2(2002), Safety-related communication in open transmission
systems
[6] Jong-Gyu Hwang, Hyun-Jeong Jo, Yong-Ki Yoon, Yong-Kyu Kim(2006),
Safety Characteristics Analysis of Korean Std. Protocol for Railway
Signalling according to IEC 62280, Autumn Conference of Korean Society
for Railway 2006, pp. 863-869
Section 13
Timetable planning
877
A heuristic algorithm for the circulation plan of

railway electrical motor units
J. Miao1, Y. Yu2 & Y. Wang1
1

Beijing Jiao University, China
2
Institute of Textiles and Clothing,
The Hong Kong Polytechnic University, Hong Kong
Abstract
The rolling stock rostering problem with maintenance constraints is NP-hard. In
this paper, a two-stage approach is proposed. Relaxing the maintenance
constraints, a transition network with minimum train unit is established in the
first stage. A heuristic algorithm based on the transitions interchange is devised
to search for a feasible maintenance route. The algorithm is verified with the
operational timetable of Guangzhou-Shenzhen railway, and the performance is
satisfactory. Without consideration of empty movements, the algorithm can just
be applied in the situation where the depots are well planned.
Keywords: electrical motor units, circulation plan, heuristic algorithm.
1 Introduction
Before the year 2007, all the passenger trains on the traditional railway lines in
China were built-up with locomotive(s) and cars. The locomotives and passenger
car fleets are managed under a different department and operated separately
according to different plans. As the passenger trains often run across great
distances and take several days, most of the trains are allocated with multiple car
fleets. A car fleet is often assigned to execute a given train, except for a few
short-distance trains. The composition of fleets often persists over a relatively
long time unless there is maintenance.
With the train speed upgrade project and the development and operation of
passenger dedicated rail lines, Electrical Motor Units (EMU) are employed in the
operation of high-speed trains which run at 200-300km/h speed. There are two
doi:10.2495/CR100791

component forms of EMU in railway of China: the short form with 8 vehicles as
a unit and the long form with 16 vehicles as a unit. Two short units can be
coupled together if they are of the same model. The combination and
disassembling of EMU are conducted in the depot. Inspections and maintenances
on the EMU must be performed based on the regulated operational time and
distance [1].
Due to the high cost of EMU, and the fact that most of the high-speed trains
are operated in short and middle-range distance, shorter non-commercial time is
desired to improve the utilization of EMU. As a result, one EMU is often
required to operate for multiple trains.
Based on the characteristics of the operation of EMU in railway of China, the
optimization algorithm of EMU circulation problem with given train schedule is
studied in this paper. The rest of the paper is organized as the following: an
elaboration to the circulation of EMU in railway of China is presented in Section
2, the literature review is given in Section 3, the proposed heuristic algorithm is
investigated in Section 4, the results of our computational experiments are
presented in Section 5, and we conclude in Section 6.
2 The EMU circulation problem in railway of China

Several terminologies from [2] are adopted in our discussion of the EMU
circulation problem. A route is a path between two given stations. A ride is a
train unit on a certain route with distinct departure and arrival time. The
connection relationship of two consecutive rides carried out by one EMU is
called transition.
In Chinas railway, the type of EMU and the number of cars are assigned
during the line plan stage. Hence, only the transition between the rides carried
out by same type of EMU are to be investigated, and no shunting will occur in
stations.
We define a rotation is the order of rides performed by one EMU from the
end of a class one maintenance to the end of the next maintenance. A circulation
is the aggregation of all rotations. A feasible circulation in China railway must
meet the following constraints:
(1) Every train must be assigned with required type and amount of EMU. i.e.,
every scheduled ride must belong to one single rotation. This is called the ride
cover constraint.
(2) The transition time should be longer than the necessary turnaround time in
stations.
(3) To meet the maintenance regulation of EMU. In railway of China, the 1st
class and the 2nd class inspection and maintenance can be carried out in any
depot. The 1st class inspections are daily inspections with a period of 4000km or
48h for the most types of EMU. The 2nd and higher class inspections or
maintenance are generally with long intervals and are time-consuming, and such
inspections are arranged by dispatcher according to the short term operation plan,
and are not studied in our research.
879
Typically, to meet the demand of passenger flow, unless absolute necessary,

there will be no empty train movements in China in order to reduce the waste of
the infrastructure capacity. If the feasible EMU circulation for a timetable does
not exist, the operator will reschedule the timetable with changing the departure
time, canceling or adding some trains till the feasible solution emergence.
Therefore, the empty movement is not included in our work.
Without the empty movements, indexes for evaluating circulation are the
amount of EMU, and the number of inspections.
(1) Amount of EMU
Because the amount of EMU is less till now in China, to use as fewer as
possible EMU to carry out scheduled trains is the top objective of the railway
operator. For a given timetable, the number of EMU needed can be calculated
by:
number of EMU
travel time min transition time

timetable ' s time horizon
(1)
(2) Number of inspections

Less number of inspections is better as long as the regulations are met. For a
given timetable, there are time and mileage constraints to determine the number
of inspection, and the lower bound can be calculated by the following
respectively:
number of inspection by time
amount of EMU timetable ' s time horizon

timeinterval for inspection
number of inspection by mile
travel mileage
mileage for inspection
(2)
(3)
Hence, the lower bound of inspection times is determined by:

minimum number of inspection
max( number of inspection by time , number of inspection by mile )
(4)
The increase of number of inspection renders higher operation cost and

consumes more depot capacity.
Based on the above discussion, we can draw a conclusion that EMU
circulation problem is a Rolling Stock Rostering problem with time and distance
maintenance constraints (RSR-M).
3 Literature review
Lots of research has been conducted on the rolling stock circulation. In Anderegg
et al. [2], some basic concept in the operation of passenger trains are introduced,
Erlebach et al. [3] summarizes the operation of passenger trains into basic
models and variable constraints, and he states that the Rolling Stock Rostering
with Maintenance constraint is a NP-Hard problem.
In the literature, there are different ways in solving such problems with
different constraints and characteristics due to the background of the problems
and the empirical demands. Arianna et al. [4] studies the circulation planning of
multiple types train unit operated on a single line. The objective of their research

is to minimize the number of train units and the operational kilometers under the
constraints that the given amount of passenger being matched with the
consideration of the sequence of train units. Mixed Integer Programming is
utilized and CPLEX is employed in solving the problem. Fioole et al. [5] and
Marti [6] optimize the rolling stock circulation with the consideration of trains
combining and splitting. CPLEX is employed in the solution, and several
heuristic methods are designed to improve the efficiency. Marc and Kroon [7]
models the rolling stock circulation problem with Integer Programming. The
objective of the model is to maximize the satisfaction of passengers demand,
and the combining and splitting of train units are also taken into consideration.
The Column Generation is used in solving the model. Cordeau et al. [8] studies
the simultaneous optimal problem of the locomotives and cars. A basic model is
built for the assignment of locomotives and cars, and the model is extended with
maintenance constraints. Column generation methods are embedded into the
Brunch and bound algorithm and this algorithm is used to solve the mentioned
problem. Zhao [9] studies the daily circulation of train units, the problem is
broken into two parts, one is the train assignment and the other is the
maintenance routing. The problem is modeled with the Traveling Salesman
Problem (TSP) and a local searching algorithm based on probability theory is
designed to find the solution.
Our study is different from the previous ones including in two things. First,
we hierarchize the multi-objective by constructing the transition network with
minimum train unit number and heuristic searching maintenance routes. Second,
an interchange method with heuristic is adopted to find the feasible solution.
4 The heuristic algorithm for the EMU circulation

The circulation problem is with great complexity due to the ride cover constraint
and maintenance constraint, and it is proved to be a NP-Hard problem in [3, 10].
A review on circulation planning algorithms is found in [11], where algorithms
like set partition with path generation, TSP heuristic with random choice or
Lagrange relax, min-cost flow or bipartite matching with heuristic searching are
discussed.
In our proposed algorithm, an interchange method similar to [2, 10, 11] is
adopted. But with improvement on the network construction and the heuristic
rules. A two-stage scheme is employed in our algorithm. The objective of the
first stage is to minimize the amount of EMU and interchange method is applied
in the construction of the transition network without the maintenance constraints.
In the second stage, the interchange method is applied in finding the route that
meet the maintenance constraint in the network constructed during the first stage,
and the final circulation plan is completed at the end of the second stage. There
are two steps in the second stage: (a) Finding of maintenance route, the
maintenance route may violate the maintenance constraint. (b) Adjustment of
maintenance route, so that it meets the maintenance constraint, and the solution
of the EMU circulation is thereby formed.
In the following, we will discuss the construction of transition network in
section 4.1, and the construction of maintenance route will be introduced in
881
section 4.2, in section 4.3, the process of adjustment of maintenance routes to

make it a legal circulation is presented.
4.1 Construction of the transition network
For a given timetable, some notions are defined in table 1.
Table 1:
symbol
S
Sc
bs
R
ri
ri d
meaning
the time horizon of a timetable, its one day for China railway
the set of the stations where a ride is begin or end
the set of the stations which connect the depot directly
the minimum station turnaround time
the minimum duration for the class one maintenance
the set of the rides in the time horizon
the ith ride in the set R i=1,,n
the departure time of ri
ri
the arrival time of ri
ri
ds
the departure station of ri
ri
as
the arrival station of ri
ri
the travel mile of ri
ri
jt
the travel time of ri
Notions definition.
the minimum maintenance times
a station s S c is called maintenance station. Maintenance is performed only

at a maintenance station.
A network G (V, E, W), shown in Fig. 1, can be used to model the scheduled
rides. Each node that belongs to the set V represents one ride, so the set V=R.
The transition eij E , which indicates the ride j is carried out by the EMU
arrived as the ride i, is an arc in the G. wij W represents the weight of eij and
its value is determined by the equation (5).
rjd ri a
rjds ri as rjd ri a br
d
a
ds
as
d
a
wij rj ri
rj ri rj ri br
ds
as
rj ri

if eij satisfies the following criterion,
ds
j
rjds S c wij 2
then eij is a maintenance arc noted as eij .

ds
j
(5)
(6)
Ride
Transition
Maintenance
Transition
Figure 1:
Transition network.
In the network, a rotation is a route which starts from a head node of

maintenance arc, and ends up with a tail node of maintenance arc. Any node
must be covered by only one route.
The first step in the construction of the ride network is to establish the
connection relations between nodes. Although the EMU of a terminated train can
execute any departure train which meets the criterion of (5), if the total transition
time cannot be guaranteed to be the minimum, the amount of EMU will be
increased. Bipartite graph matching can be used to construct transition network
with the objective of minimum total connecting time. The bipartite graph can be
established with two sets of departure time and arrival time, and the matching
weights from equation (5). To ensure perfect matching of bipartite graph, i.e.
there is connection for every ride, for stations where the number of arrival trains
and departure trains is not equal, empty movements of EMU must be added as
compensation, i.e. to add some extra nodes so that the number of nodes in the
two sets are equal.
There are many methods for solving such matching problems. In [12], First
Arrival First Departure (FAFD) method is presented and it is proved to be able to
achieve the optimal resolution, with the computational complexity of O(nlogn).
The assignment problem of EMU and the assignment problem of locomotives
are identical when there is no coupling and uncoupling of trains, and the FAFD
method can be employed to find optimal solution, noted as .
A transition network must include as many as possible optimal matching
solutions so that to supply a sufficient searching space. As the timetable of trains
cycles with period, as indicated in [13], for any station, if the connection
relations of eij and ei' j ' meets the criterion in (7), a new matching solution can be
obtained by swapping the two connection relations of a given matching solution.
This feature is illustrated in Fig. 2. Multiple optimal matching solutions can be
derived from an initial solution according to (7).
rjd ri'a bs rjd' ri a bs ,
rjds ri'as , rjds' ri as
(7)
Figure 2:
883
Transitions interchange.
The following notations are given for the definition of the transition network.
For a given solution , k is the number of maintenance arcs, and
k * max(k ) for all . For v V , (v) is the times that node v being the tail
node of maintenance arc. The algorithm for the establishment of transition
network is depicted in Fig. 3.
Proc Establish_Netwok Begin
n
Employ FAFD method to match rides with the objective of min wij ,
i 1 j 1
and the result set is added to set E, let k : k ,

*
(v )
is set
according to .
Loop Begin
If eij , ei' j ' meet the criteria in (6), where eij ' E or ei' j E
Then
Swap eij and ei' j ' to have ' , and the new path is added to E;
Update (v) and k * , and let : ' .
Else break loop
Loop End
Proc End
Figure 3:
The establishment process of the transition network.
The rule for updating (v) is: if k k and v is the tail node in a
maintenance arc, (v) will be increased by 1.
If k * k for the established network, there will be no solution for it.
4.2 Generating the maintenance routes
The objective of this process is to find at most k* routes in G, and these routes
covers all nodes in the network, and each node are covered only once. Every
route, which starts with the head node (included) of maintenance arc and ends

with the head node (excluded) of another (or same, if the route is a circuit)
maintenance arc, is called a maintenance route. A maintenance route may
violate the maintenance constraint and its the intermediate process of legal
EMU circulation.
The duration of the maintenance route p, denoted by p t , is the summation of
travel time of all rides and all transition time included in the route, and the
distance of the route, presented as p m , is the total travel miles of the rides
belonging to the route. Constants and are the maximum distance and time
constraints for class one maintenance respectively, if p max( p t / , p m / ) is
noted as the distance factor for route p, a circulation for an EMU is a
maintenance route with 1.0 .
A matching solution is consisted of one or more circuits that cover all
nodes, the maintenance arcs split it into several routes. Equation (4) gives the
lower bound of the optimal number of maintenance in an EMU circulation, i.e.
the minimum number of routes. Hence, to get the optimal number of
maintenance, k non-mutually exclusive maintenance arcs should be selected as
the starting and ending of a circulation. These maintenance arcs are the candidate
maintenance arcs, noted as .
The first problem in searching for maintenance routes is the choice of .
Every combination of maintenance arcs represents a group of . There are cases
where there are feasible solutions in the network, but they are not in the selected
group of . must be changed and reselected for these cases.
To reduce the number of iterations, maintenance arcs with more matching
solutions is more preferable as . The selection process is: first, select nodes
randomly as the candidate tail nodes of maintenance arcs, nodes with bigger
(v) are with high priority, maintenance arcs can be obtained based on
these nodes. To speedup the searching for optimal solution, is initialized
as k . Secondly, with the maintenance arcs as known matching, the FAFD
method is employed again to search for . If the total weight of is bigger than
the optimal matching weight, the nodes will be reselected, otherwise is the set
of all maintenance routes.
4.3 Adjustment of maintenance routes
The maintenance routes have to be transformed into feasible solutions if they are
non-feasible. Swapping connection relations is adopted to transform the
solutions, the objective of the swapping is to make 0 1 .
If the maintenance routes set is P, for two maintenance routes P and
P , vu V is the uth node in , vl V is the lth node in , if there is
v1 v2
vu
vu1
vm
v1 v2
vl
vl1
vn
885
n
n
Figure 4:
Swapping the connection to adjust maintenance routes.
v l 1 N (vu ) and vua1 N (vl ) , where N (vu ) V are predecessor set of vu ,

then intersects at x . Maintenance routes and are interchangeable at
x to form new maintenance routes n , n , this process is illustrated in Fig. 4.
The objective of swapping is to shorten those long maintenance routes to
make them feasible rotations. Therefore, the swapping should be performed on
the longest illegal rotations in the rotation set, the point of intersection is
preferably located in the middle of maintenance route so that to speedup this
process. To avoid duplicated swapping at the same intersection point, an
escape-list is used, and all the intersection points where the swapping is
performed are listed in. Points in the list are not reused for swapping except for a
better optimal status achieved at the point.
Let p 1, pP ( p 1) be the optimal status of the set P, and is
initialized as . O is the global escape-list, and its minimum length is

E . The algorithm for the adjustment of maintenance routes is given in Fig. 5.
Proc Adjust_MR Begin

Loop Begin
Search for p with the maximum in P
If p 1 Then End Proc with P
Search for x in p ;
Swap maintenance routes at x , and , are substituted by n , n ;
compute ' , if ' , then : ' ;

add x to O;
Loop End
Proc End
Figure 5:
Procedure of adjusting the maintenance routes.
There will be no feasible solution in this candidate maintenance arcs set when
a no-solution prompt returns from the algorithm. The algorithm in Section 4.2

will be applied to update , and readjustment will occur under this condition.
will be increased by 1 if it is unable to update with until k * .
As the transition network is constructed with the shortest transition time, and
this guaranteed minimum amount of EMU. The algorithm for the adjustment of
maintenance route shortens the length of rotation rapidly. Meanwhile, the
selection of maintenance arcs enables the fast finding of high quality solution.
Consequently, our algorithm is fast in search of solutions with minimum EMU.
4.4 Computational experiments
The case study of algorithm is base on the actual timetable form GuangzhouShenzhen railway line which is located in the south China. There are 156 trains
scheduled and 3 turnaround stations, which are Guangzhou, Guangzhou East and
Shenzhen. The maintenance station is Guangzhou East. The total rides
kilometrage is 20,368Km and the summation of travel time is 9,455 minutes. In
the case study, we set the parameters bs 12 , 4,000Km, 2,880min and
=120 min. According to equation (1) and (4), the minimum number of EMU
utilized and the number of inspection is 13 and 7 respectively.
The transition network with E =156, V =388 and k * =8 is established by
170 times interchange. The algorithm runs 10 rounds on the PC (Pentium4
3.0GHz, 512M Ram, Windows XP) and the results is listed in table 1. According
to the different candidate maintenance arcs selected, the algorithm has various
interchange iterations.
Table of results.
Table 2:
round
1
2
3
4
5
6
7
8
9
10
Number of
Inspections
update times of
7
7
7
7
7
7
7
7
7
7
1
1
1
1
1
1
1
1
1
1
Total
interchange
times
7
41
22
5
18
33
3
4
15
22
Runtime
(sec.)
0.078
0.125
0.063
0.047
0.078
0.165
0.063
0.062
0.089
0.062
5 Conclusion
The RSR problem imposes maintenance constraints on a matching problem, and
this makes it a NP-hard problem. In this paper, a network approach for the EMU
887
assignment is proposed, with the aim of minimizing the amount of EMU for
operation so that to alleviate the shortage of EMU situation of railway of China.
The network is divided into multiple searching spaces based on the possibility of
the existence of high-quality solutions, and a heuristic algorithm is devised to
search for feasible solutions in the searching spaces with a swapping method.
The algorithm is verified with the operational time table of Guang-Shen railway.
Our algorithm is based on the assumption that the depots of EMU are wellplanned. There could be no solution when this assumption is not valid, and the
algorithm has a low efficiency in the situation of no solution. Hence, to
determine the existence of feasible solution in a shorter time and to find a way of
dealing with the situation of no solution so as to guarantee the minimum of the
amount of EMU is the direction of our future works.
Acknowledgements
This paper is based on the work carried out under the railway operation
optimizing project (RCS2008ZZ003) which is supported by the state key
laboratory of rail traffic control & safety fund.
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889
Working out an incomplete cyclic train

timetable for high-speed railways
by computer
D. Yang, L. Nie, Y. Tan, Z. He & Y. Zhang
Abstract
Cyclic train timetables as a popular mode of train operation have been
successfully applied for many years in European railways, especially in highspeed railways (hereinafter referred to as HSR). However, in China, most
studies on the train timetables of HSR still follow the traditional mode. By
analyzing the characteristics of Chinese HSR, this paper proposes an incomplete
cyclic timetable mode that will be more suitable for the Chinese situation. The
characteristics and process of working out incomplete a cyclic train timetable are
discussed. There are four key issues involved in developing this kind of
timetable: (1) Adaptability analyzing. This paper analyzes the proportion of
trains that can be operated cyclically in terms of the technical condition and
passenger flow of each HSR in order to determine the structure of the timetable.
(2) Model developing. By analyzing the condition of the Chinese HSR, the
existing model is improved to solve the problem more precisely and practically.
(3) Non-cyclic train path insertion. According to the travel demand of
passengers, the principles and technologies of inserting non-cyclic train paths
into cyclic train paths is developed. (4) Seasonal expanding. The seasonal
fluctuation of passenger flow makes more non-cyclic train paths. The ways to
balance the disaccord in different periods are discussed to keep the operation
efficient. Furthermore, a system using VC++ is designed with consideration of
the four issues in its functions and working process, based on inputting the
solution of the model. Finally, a successful case of the Beijing-Shanghai HSR
shows the feasibility of the incomplete cyclic timetable and the practical value of
the system.
doi:10.2495/CR100801

Keywords: incomplete cyclic train timetable, Beijing-Shanghai high-speed
railway, computer system.
1 Introduction
HSR has become a world tendency. As a key work of the HSR organization and
management, how to work out a reasonable and scientific train timetable is an
important subject to experts and scholars. The cyclic train timetable is an
advanced mode of train operation that has been successfully applied for many
years in the world.
Scholars have adopted a variety of mathematical methods to solve cyclic
timetable problems gradually with the introduction of train timetables worked
out by computer. In 1980, Assad [1] first utilized a mathematical model to work
out a solution to a transport problem. Subsequently, many experts began to
utilize mathematical model to research train timetables and designed a series of
numerations. Serafini and Ukovich [2] promoted the Period Event Scheduling
Problem (PESP) in 1989, which is very similar to the cyclic railway timetable
problem. Currently, most scholars tend to research modes and algorithms based
on PESP. In 1996, Odijk [3] utilized PESP design numeration to work out a
series of train timetables and compared the similarities and differences of the
train timetable to supply a detailed illustration of the expansion scheme of
stations. In 2002, Giesemann [4] utilized numeration to establish a simple
mathematical model and get a train timetable suitable for a small station. In
1996, Nachtigall and Voget [5] worked out a train timetable with passengers
minimum latency as the objective. In 2000, based on Serafini and Ukovichs
idea, Linder [6] introduced the branch and bound method into train timetable
design and rolling stock turnover programming, with the objective of a minimum
train fleet. Graph theory knowledge is used by literature [7] to connect circles of
a constrain graph and train timetable with the change train timetable problem to a
mixed integer programming problem. The results of other studies, [8, 9], showed
some methods to control the traffic. In recent years, Chinese researchers have
done a great many of researches on the train timetable of HSR: the cyclic
timetable has been suggested to be applied in Chinas HSR [10, 11], and a model
and algorithm of working out the cyclic timetable have been discussed [1214];
in addition, computers are also being applied to draw train timetables [15].
Generally speaking, scholars has made some research on working out the
HSR cyclic timetable and have achieved some results; however, most of the
researches is mainly on the complete cyclic mode and has not taken the
combination of cycle and non-cycle into consideration. Moreover, the research
on how to utilize a computer to work out the incomplete cyclic mode is
comparatively rare. Although China has many HSR, which are long and wide
spread, train timetables still follow the traditional mode. So a suitable timetable
mode and methods of working out timetables need to be developed. This paper
researches four key problems that shall be solved in its working out method and
working out course, and then proposes an incomplete cyclic timetable mode.
891
Meanwhile, the paper also designs and develops a computer system to work out
a train timetable of the Beijing-Shanghai high speed railway.
2 Incomplete cyclic timetable mode

Theoretically, a cyclic timetable means train paths are repeated in each cycle T
(e.g. 1 hour) in a basic train timetable, that is to say the departure/arrival time,
the departure/arrival sequences and the dwell time of trains are the same in every
cycle.
2.1 Introduction to the incomplete cyclic timetable
China has a large high speed railway network, and too many passenger flow ODs
with a complex passenger flow structure. The timetable structure has its own
features as follows:
(1) Only partial railway lines have the condition to adopt the cyclic
timetable, other railway lines can only adopt the timetable with the
combination mode of cyclic and non-cyclic, because long lines can be
affected easily by night trains and over-line trains with different OD.
(2) The mixed operation of high speed and medium speed lines adopt the
model based on PESP to solve the timetable structure, but it is difficult to
guarantee the robustness of the timetable as there is too much overtaking
and waiting time.
(3) No solution or low quality solution appears easily when the PESP-based
model is adopted for lines with long distance and heavy density
passenger flow, as there are many variables of the model, and it brings
increasing difficulties in solving the model.
Considering the above situation, the complete cyclic timetable and current
model cannot fully meet the demand of Chinas situation. This paper puts
forward a modified timetable mode, named the incomplete cyclic timetable
mode, in order to suit the Chinese HSR, which means that the complete cyclic
timetable is recommended for lines that are characterized by short or mediumlong distance, high train frequency and large passenger flow. For those long
distance lines, only partial sections with enough passenger flow can adopt the
cyclic mode timetable. In other situations, the combination mode of the cyclic
and non-cyclic timetable should be adopted. To work out an incomplete
timetable, some non-cyclic paths have to be added into the cyclic timetable.
2.2 Flowchart of incomplete cyclic timetable design
Drawing a timetable is a difficult task, which needs to use some mathematical
method and computer programming. The process of working out an incomplete
cyclic timetable is shown in Figure 1.
Figure 1 shows that an incomplete cyclic timetable takes the cyclic train
service plan as a precondition. Firstly, a peak hour timetable needs to be
designed through solving a mathematical model, and then expanded to a 24-hour
timetable on the basis of passenger flow. In practice, train paths are removed and

train paths are inserted, considering different passenger is demanded in each
hour, and index statistics are necessary in order to feed back useful information
on the timetable, so it can help the operator to find the problem in a timely
manner and solve it quickly. Moreover, adding or removing non-cyclic train
paths properly helps to expand the timetable to a weekly timetable and a seasonal
timetable according to actual passenger flow changes.
2.3 Key issues for an incomplete cyclic train timetable
There are four key issues for working out a cyclic train timetable by
mathematical model and computer system.
2.3.1 Adaptability analysis
The cyclic timetable is suitable for HSR with high train frequency. If the running
cycle is one hour and excludes six hours overnight, the passenger flow in some
sections shall reach at least 18*800=14400 persons everyday to satisfy the
running condition of cyclic trains. For the lower passenger flow density, a two
hour cycle can be suggested with the addition of some non-cyclic paths.
Six high-speed railway lines have been opened to traffic and their statistics
are shown in Table 1.
Table 1 shows that the passenger flow of most of the railway lines has largely
exceeded the least passenger flow required by cyclic running trains. Certainly,
some sections may not meet the conditions for opening a cyclic timetable. So
adopting the methods of train path removal and train path insertion based on
cyclic lines to make an adjustment is required. Finally, a timetable in the
incomplete cyclic timetable mode is formed.
Figure 1:
A flowchart of working out an incomplete cyclic timetable.
Table 1:
893
Statistics of Chinas opened high-speed railway lines.
High-speed railway
Beijing-Tianjin
ShijiazhuangTaiyuan
Coastal Railway
Hefei-Wuhan
Wuhan-Guangzhou
Zhengzhou-Xi'an
137
Average number of
passengers
(ten thousand
per month)
162
Average number of
passengers
(ten thousand
per day)
5.4
189
104
3.5
557
356
1069
484
123
50
143
23
4.1
1.7
4.8
0.8
Length of
lines (km)
2.3.2 Model development

Some of Chinas HSR have long distance and heavy flow density. In order to
control the problem scale and get a more practical solution, improvements can be
made based on the existing model [2, 13].
When solving the model, the cyclic constrain variable P can be defined as a 01 variable, as layover time can be reduced by improving station operation. If
properly managed, the P value is not equal 2P in all situations. In this way, the
solution requiring scale can be further compressed and the solving difficulty can
be lowered.
Moreover, some mathematical software can be used to solve model, such as
CPLEX and LINGO.
2.3.3 Non-cyclic train path insertion
The non-cyclic train path inserting is a challenge of integrating timetable design
and timetable adjustment. The necessary headway shall be guaranteed in
inserting a train path for safety operation; moreover, the necessary linkage
among trains for transfer shall also be considered. In addition, we shall try our
best to keep the cyclic operation.
The solution for model is generally adopted to execute inserting. Based on
considering influence on original cyclic graph and its own travel time, the
objective of the model is:
(1)
min z m n
where m is the influence of new-adding non-cyclic train paths on original
timetable, so periodicity is the minimum; n is the travel time of new-adding
non-cyclic trains is the least; is the weight of cyclic timetable influence factor;
is weighing for travel time factor of inserted trains.
The following several aspects are mainly considered for constraint condition:
constrain for arrival and departure time section; constraint for interval time of
adjacent lines; constraint for dwell time; constraint for sectional running time.

2.3.4 Seasonal expansion
The National Day, Spring Festival and summer holiday are peak period of
passenger flow in China. The timetable can be properly adjusted to form
particular seasonal timetable on the basis of prediction passenger flow
fluctuation. In the seasonal timetable, cyclic trains are suitable for large
passenger flow while non-cyclic trains are suitable for low frequency train.
Hence, in the seasonal expansion course, the most important thing is to estimate
which lines are suitable for cyclic lines to insert or for non-cyclic lines. The
following two kinds of expansion modes shall be adopted flexibly with the
fluctuation of passenger flow.
(1) Non-cyclic expansion: when the number of cycle affected by inserted
non-cyclic train paths is small, the adjustment for the several cycles of
inserted non-cyclic train paths can be executed. Moreover, the number of
removing lines is determined on the basis of passenger flow.
(2) Cyclic expansion: when the number of cycle affected by inserted noncyclic train paths is large, the proper adjustment for each cycle can be
executed in order to guarantee periodicity of timetable. In addition,
removing paths is needed to meet the demand of passenger flow.
3 Computer system for an incomplete cyclic timetable

The above key issues show that incomplete cyclic timetable design is a very
complicated task, so computer system is introduced to work out the timetable
based on the key issues.
3.1 System objective and framework
The objective of system mainly include well embodiment of periodicity of
timetable, friendly interface design, accurate data reading, favourable input and
output functions, rapid information display, the human-computer interaction
provided. However, how to solve the four key issues in the process of working
out incomplete timetable is the most important thing for this computer system.
So, some corresponding function should be designed to meet the demand of
operator.
This system is developed on VC++ platform and its framework mainly
consists of three mutual nested classes including TimeTable,
ParentTimeTableLine and SubTimeTableLine. The main functions of the three
classes are introduced as follows: TimeTable is used for forming the base map of
timetable and describing all of sectional stations and train running time of
timetable; ParentTimeTableLine is used for describing some special train in
timetable; and SubTimeTableLine is used for describing the running of all of the
detailed trains in all of the sections.
3.2 System functions
This system designs four functional modules such as display, search, index
statistics and human-computer interaction adjustment aiming for solving four
key issues in incomplete cyclic timetable design, as is shown in Figure 2.
895
Figure 2 shows that the system functions can not only work out a cyclic
timetable quickly but also expand it to be an incomplete one easily. Obviously,
four key issues have been solved in this system, and specific functions are
described as below.
(1) Display function. The system accomplishes data input work through
inputting the solution of model, and automatically forms timetable. So,
the timetable can embody periodicity well.
(2) Search function. Three kinds of search functions are provided to supply
convenience to users to obtain timetable relevant information. Search
stations and time: click at any place in timetable and the time section and
running section of this place can be obtained; Search train paths: show
the relevant information of some certain train path; Search trains: input
the serial number of trains through dialog box and the relevant
information about this train can be displayed.
(3) Index statistics function. The system can form the relevant indexes of this
timetable through calculation with respect to the formed timetable
automatically, which supplies the feedback information. Its useful for
the adjustment of timetable in anaphase.
(4) Human-computer interaction adjustment function. The functions of train
path removing and train path inserting are designed in this system. Users
can add, delete the non-cyclic train paths and modify the formed cyclic
train paths as per passenger flow rule to adjust the cyclic timetable to
cyclic + non-cyclic mode timetable to supply convenience to users.
Figure 2:
System function design.
4 The case study

Beijing-Shanghai HSR being opened to traffic in 2012 will be the longest, fastest
lines in china, and lots of scholars focus on the research of this line.
4.1 Cyclic train service plan
Referring to the preliminary service plan of Beijing-shanghai HSR designed by
the 3rd China Railway Survey & Design Institute, and in order to make the
plan periodic, combination methods is adopted to complete the data
processing. The final cyclic train service plan of Beijing-Shanghai HSR is
shown in Figure 3.
The dwell plan will be formed by referring to the preliminary dwell plan
designed by the 3rd Railway Survey & Design Institute. The 21 stations can be
classified into three grades. Trains of whose speed is less than 300km/h will stop
at all of the stations. The final dwell plan is got through analyzing and
amalgamating ODs based on passenger flow, as shown in Figure 4.
4.2 Train departure and arrival order plan
This paper uses improved fixed order model, the departure and arrival order of
trains is required to be worked out.
Figure 5 shows the departure and arrival order of trains.
4.3 Solution of the cyclic timetable model
Figure 6 shows that the global optimal solution of model has been found.
Figure 3:
The cyclic train service plan of Beijing-Shanghai HSR.
Figure 4:
Figure 5:
897
The dwell plan of Beijing-Shanghai HSR.
The departure and arrival order of trains on the Beijing-Shanghai

HSR.
Figure 6:
Figure 7:
The LINGO solver status.
Train path search.
899
4.4 Timetable display

The system reads the model solution and draws Beijing-shanghai HSR cyclic
timetable, as is shown in Figure 7. Click any train path in the timetable and the
corresponding train path will become bold line; click right key of the mouse and
then, the relevant information of this path can be obtained
Moreover, in order to solve four issues, this system also has some functions
such as human-computer interaction adjustment, zoom and index statistics.
These functions will not be introduced detailed for its easy operation.
5 Conclusion
Developing cyclic timetable for HSR plays an important role in improving the
operation efficiency and quality. In order to designing an economic, convenient,
efficient and regular train timetable, the incomplete cyclic timetable mode which
may be more suitable for chinas HSR is presented in this paper. Through
analyzing the work flow of this mode, four key issues in developing the
timetable are discussed to provide the theoretical basis and technical support for
the construction and operation of this important HSR. Simultaneously, computer
system is suggested to develop for railway department to meet the demand of
management.
Bases on the four key issues, this paper adopted the improved mathematical
model and existing mathematical software to design and develop incomplete
cyclic timetable mode computer system. The system solves four key issues in
working out of incomplete cyclic timetable mode and realizes a series of
practical functions such as model solution result input, timetable display, line
information searching and human-computer interaction running adjustment.
Through the case study of Beijing-Shanghai HSR, the system has been proved to
be very practical and valuable.
Moreover, the solution of arrival and departure order of trains shall be worked
out when utilizing fixed order model. How to sort out the feasible solution
depends on many solutions of train arrival and departure order requires
considering many factors. The solution adopted by this paper is manual working
out. If the model can be applied for automatically creating train arrival and
departure order, the efficiency will be largely improved. Further research is
needed in order to create a model to work out the train departure and arrival
order model which is meaningful for finding an optimization solution rapidly and
improving efficiency.
Acknowledgements
This research was supported in part by the National Fund of Natural Science
(60870012), the Ministry of Railway (2008X027-A, 2009BAG12A10 jointed
support of the Ministry of Science and Technology) and the State Key
Laboratory of Rail Traffic Control and Safety (RCS2009 ZT008).
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[3] Michiel A Odijk. A constraint generation algorithm for the construction of
periodic railway timetables [J]. Transportation Research, 1996, 30(6): 455464.
[4] Carole Giesemann. Seminar on Algorithms and Models for Railway
Optimization. University of Constance, 2002
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railway Synchronization [J]. Computers and Operations Research, Vol.23,
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[6] Thomas Lindner. Train schedule optimization in public rail transportation.
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System of Train Running Diagram of High Speed Railway [J]. Railway
Computer Application. Vol.9, No.4, 2000:4-7.
901
A novel research on the relation between

the number of passengers and
the braking distance of a metro
L. Wang1, Y. Li1 & X. Hei1,2
1
School of Computer Science and Engineering,

Xian University of Technology, China
2
State Key Laboratory of Rail Traffic Control and Safety
Abstract
Due to heavy traffic at peak times, it is necessary to ensure that trains have an
absolute safety braking distance. For this problem, this paper not only analyzes
various factors that influence a metros stopping time, but also analyzes a time
model of a metros stopping in the station. Secondly, based on the model and
combined with the physical process of a metros approach, this paper calculates
the braking distance of oncoming trains. Finally, a novel relation between the
number of passengers and the braking distance of an oncoming metro is
established. Theoretical analysis and simulation experiments indicate that the
braking distance of an oncoming metro can be effectively calculated according to
the number of passengers on the platform.
Keywords: braking distance, oncoming metro, peak time.
1 Introduction
With the rapid development of the economy, the pressure of urban public
transport is increasing, and the metro plays an more important role in the whole
city traffic.
Stations are junctions of park and shift, but are also the bottleneck of
passenger transport. The phenomenon that oncoming trains stop-start frequently
often occurs. Meanwhile, passengers are not able to leave punctually because of
doi:10.2495/CR100811

the delay of trains. Worse, the problem often arises that trains get into the station
behind schedule. Finally, it is difficult to increase the efficiency of transport.
This paper aims to find the correspondence between the number of passengers
and the braking distance of trains. Based on the factors that influence the braking
distance of oncoming trains, this paper firstly points out the key factor, namely
the number of passengers on the platform. Then, it analyzes a model of metros
stopping time. Based on the model and according to actual data, the paper
establishes the braking distance of oncoming metro.
2 Decomposition of the entire research process

In order to meet the needs of practical problems, the whole process of research is
divided into two parts, including analyzing a model of metros stopping time in
the station, and model making of the braking distance of trains which are
drawing up at the station.
2.1 Distribution graph of metro trains
As shown in figure 1, there are metro trains stopping at the station, and
passengers are getting on and off the trains, while the oncoming train calculates
the braking distance according to the time spent by passengers getting on and off
the trains as well as relevant influence coefficients. By means of the distance, the
oncoming trains are guided to draw up at the station steadily, accurately, and
safely. And the delaying time of arriving trains is also efficiently decreased,
leading to a high frequency.
In Figure 1, the 1st train and 2nd train are respectively stopping on the 1st and
2nd platform while the 3rd train is ready to draw up at the station. What this
paper aims to study is to calculate the braking distance of the 3rd train according
to the number of passengers getting on and off the 1st and 2nd train which is
stopping in the station.
2.2 Stopping time of trains that are in the station
In this paper, the model of stopping time derives from the model which is made
by Zhuge Cheng-xiang and Gao Jian who are in Beijing Jiaotong University. The
Figure 1:
Distribution map.
903
stopping time of trains which are in the station are influenced by many factors,
including the total time of passengers getting on and off train, the time of
opening doors(t1), the time of closing doors(t2), the delaying time of trains
stopping(t0). Therefore, the stopping time [7] is expressed as follows:
t t 0 t1 t 2 + t '
(1)
In this formula:
t1 and t2 are primarily determined by the type of trains;
t0 is set for the purpose of the trains safety. Because of a certain distance
between both adjacent trains, they must remain a certain distance.
t ' is set at the maximum value of time spent by passengers in getting on and
off trains. Because the number of passengers getting on and off every door is
different, t ' is expressed by:
t ' max{t1' , t 2 ' , t 3' ,.., t n '}
(2)
In the above formula, n is the number of carriages, and ti is the time spent by
passengers in getting on and off the ith carriage of the train stopping in the
station.
2.3 The amount of time to get on and off the train
The following part is to analyze a model of time spent by passengers getting on
and off the ith door of the train. The following precondition is given:
1. The number of passengers getting on the ith carriage is Ni and the number of
passengers getting off the ith carriage is Mi.
2. The amount of time for a passenger to get on the train is represented by the
letters a, and the amount of time to get off the train is represented by the
letter b.
Then the time for the ith door to keep open is expressed [7]:
ti N i a M i b
(3)
The above formula holds only if the influence between passengers is not
considered. However, the size of the crowdedness in the carriage and the
availability of vacant seats actually have influences on the efficiency of getting
on or off trains. We can define the crowdedness coefficient as K, and also define
the crowding level of the ith carriage as Ki to quantify such influence. Table 1
[7] shows the concrete value of Ki:
Table 1:
Degree of crowdedness
Degree of crowdedness inside a carriage.

A
influence coefficient
0.9
1
1.18
1.2
Note: Avacant seats available; Bsufficient standing space; Cnot much
standing space; Dcrowded with standing passengers.

Table 2:
Values of influence coefficient.

a
Degree of influence
1
1.05
1.1
1.15
1.25
Note: ano influence; ba little influence; cgeneral influence; dsevere
influence; emore severe influence
Table 3:
Degree of influence
Values of influence coefficient.

A
1.1
1.0
0.9
0.8
0.7
Note: Amore severe influence; Bsevere influence; Cgeneral influence;

Da little influence; Eno influence
The next part refers the influence of passengers being on and off the train.
Such influence will increase the amount of time to get on or off train. An
influence coefficient S is defined and Si is the influence coefficient of the ith
door. The table 2 lists the values of different influence coefficients and the
concrete value of S.
Concerning the passengers luggage, the size and amount of luggage will also
affect the efficiency of getting on and off trains. We define a luggage influence
coefficient as J and Ji is the influence coefficient of the ith door. The table 3 lists
the values of different influence coefficients and the concrete value of J.
After the definition of coefficients Ki, Si and Jithe amount of time
passengers to get on and off the ith is given by:
'
t i S i K i J i ( N i a M i b)
(4)
As for the whole train, the total amount of time to get on and off train is the
maximum of ti', which is given by:
t ' max{( S1 K1 J1 ( N1a M 1b)), ( S 2 K 2 J 2
( N 2 a M 2b)),....., ( Sn K n J n ( N n a M n b))}
(5)
2.4 The amount of actual time for trains to stop at the station
Theoretically the dwell time of the train could be retrieved from the mentioned
formula. By use of linear regression methods, we can find the relationship
between the theoretical result and the empirical one, which is expressed [7] as
follows:
11.497 e 0.0235 x Peak time
f ( x)
10.775e 0.0252 x Usual time
905
(6)
where x is the theoretical result and f(x) is the actual dwell time.
2.5 The distribution of passengers in peak time
It is supposed that the average passengers number of every train in each station
is d. According to the relevant data, the crowdedness coefficient of carriage is
usually 1, and the inference coefficient of passengers getting on and off trains is
usually 1.05, and the influencing coefficient of cargo is 1, and the velocity of
passengers getting on the train is 1.05, and the velocity of passengers getting
off the train is 1, and the time of opening each door is 2.4s, and the time of
closing each door is 2.4s. In case of reasonable case, the delay time of metro is
0s. Except for the upper concrete parameters, the conditions of passengers
getting on and off trains are unknown. Due to great randomness of passengers
getting off the train, the number of passengers getting off the train is set to be b.
The number of passengers getting on the train has certain regularity.
Because of great randomness of passengers getting off trains, we suppose
that the number of passengers getting off train is b. By contrast to the number of
passengers getting off the train, the distribution of passengers getting on trains on
the platform has certain regularity, which is mainly influenced by passengers
behavioural features. According to the relevant information, the distribution of
passengers in peak time is shown in Figure 2.
It is shown in Figure 2 that the number of passengers is much more in the
middle of platform while less at the extremes. The number of passengers in the
ith carriage is expressed as follows [7]:
Pi d
Figure 2:
Distribution of passengers getting on the train in peak time.
(7)

In the upper formula, d is the passenger flow volume of the station while is
the percent of passengers getting on the ith door. It is shown in Figure 2 that the
maximum of is 7.0%. It is supposed that if the total number of passengers is n,
the time of passengers getting on train should be the time spending in getting
on train through the door in front of which stand the most of passengers.
Therefore, the time [7] of passengers getting on the train in peak time should be:
t '' n max a
(8)
In the upper formula, the letter a is the time for every passenger to get on
train, and the letter n is the total number of passengers getting on train, the letter
is the percent of the most passengers through each door.
2.6 The parameter value of a trains stopping time
The stopping time of trains is expressed as follows:
t t ' t 0 t1 t 2
(9)
The parameter value of the upper formula is summed up as follows:

t0 is the delaying time which is set to be 0s;
t1 is the door opening time, which is set to be 2.4s
t2 is the door closing time, which is set to be 2.4s
t ' is the total time of passengers getting on and off trains, which is
expressed in formula (5);
S11 is the influencing coefficient of the eleventh carriage, which is set to be
1.05;
m is the number of passengers who are on the platform, and the letter m is a
variable;
K11 is the crowdedness coefficient of the eleventh carriage, and is set to be 1.
J11 is the influencing coefficient of goods of the eleventh carriage, and is set
to be 1.
a is the time of each passengers getting on trains, and is set to be 1.05;
b is the time of each passengers getting off trains, and is set to be 1;
In formula (9), t ' , t0, t1, t2 are respectively set to be concrete values as
follows:
t ' S11K11J11 N11 *a M11 * b
1.05*1*1* n *7% *1.05 n *7% *1
(10)
1.05*0.1435* n
0.150675* n
According to the upper formulas, the actual stopping time of trains is
calculated as follows:
t '' 10.775e0.0252( t t0 t1 t2 )
"
According to the upper formulas, t is calculated as follows:
t '' 10.775e0.00379701*n0.12096
(11)
(12)
907
3 Model building of the metros braking instance

3.1 The premises of the model of the metros braking distance
i
ii
The frequency of metro is high;

In the premise of safety braking distance, the successive trains distance
should be short greatly.
Once a train has stopped in the station, the sequential train decides its
braking distance according to the stopping time of the train in the station.
the velocity of the metro drawing up at the station is uniform.
the train is at a steady speed before drawing up at the station.
the braking time of the sequential train is equal to the stopping time of the
train in the station.
iii
iv
v
vi
3.2 The braking distance of an oncoming train

Under the premise of ensuring the fore mentioned assumptions, the braking time
and distance of the trains are related with acceleration and initial velocity of the
metro train, and can be expressed as follows:
1
S v0t at 2
2
(13)
The parameters of the formula are listed as follows:
v0: initial velocity of the train that is drawing up at the station;
t: time taken to brake;
a: acceleration of the train that is drawing up at the station
With regard to the equation (11), its precondition is in the process from start
of braking to stopping of oncoming train, speed is uniformly reduced. Braking
distance of train can be calculated by the following formula:
S V * t
(14)
is the average speed of the braking train. As the oncoming trains braking
is uniformly decelerational and the terminational speed is 0m/s,
(V 0)
(15)
V 0
2
From the equation (12) (13), we can see:
V
S 0.5 * V0 * t
(16)
When the initial braking velocity of the train is constant, the braking distance
of the train merely has a relation with time. The braking time is connected with
the stopping time of the fore train and the transmission time of the signal.
We can calculate the stopping time t " of fore train by use of the formula (10).
Suppose the transmission delay time of signal is t5, the braking time of the
oncoming train meets the following relationship:
t t" t5
(17)

From the formula (14) (15), we can see:
S 0.5 * V 0 * ( t " t 5 )
(18)
From the equation (10) (16), we can see:
S 0.5*V0 *(t5 10.775e0.00379701*n0.1296 )
(19)
Parameters value of the above formula

V0
: initial brake velocity of the oncoming train, for instance, V0 = 40m/s;
t5: transmission delay time of the signal, which is assumed to be 0.5s;
By calculating, S is expressed as follows:
S 10 215.5e(0.00379701*n 0.1296)
(20)
Experiment simulation is shown in the following section.
4 Analysis of the simulation result

As can be shown in figure 3, when the trains delay time was respectively 0.1s,
0.2s, 0.3s, 0.4s, 0.5s, and the number of passengers getting on and off is certain,
the braking distance of the oncoming trains is almost the same. This shows that if
the delay time of trains is within a certain extent, it has little influence on the
braking distance. The figure 4 indicates the relation between the braking distance
and the delay time of trains.
In figure 4, various curves reflect that trains braking distance is different in
case of different number of passengers. Meanwhile, different delay time brings
about different braking distances of the follow-up trains. However, within a
certain time extent, the change of oncoming trains braking distance is not large.
As can be shown in figure 5, corresponding to different initial braking
velocity V0, there are three curves, including V0=80m/s, V0=60m/s and
V0=40m/s.
Figure 3:
Curves of trains braking distances in the case of different delay

time.
909
Figure 4:
Curves of metro braking distances in the case of a different

number of passengers.
Figure 5:
The curve about the braking distance in the case of different initial
velocity.
Figure 5 shows that when the initial velocity of a train is certain, its braking
distance increases when the number of passengers at the fore station increases;
When the number of passengers on platform is certain, the braking distance of an
oncoming trains increases with the increase of the initial velocity of trains that
are drawing up at the station.
5 Conclusion
This paper does research on the relation between the number of passengers on
the platform and the braking distance of an oncoming train. Firstly, this paper
analyzes a model of metros stopping time. Secondly, based on the established
model and operation conditions, the braking distance of oncoming trains is
calculated. In the next stage, it is important to make the expression of braking
distance more accurate in order to reduce the error between the actual value and

the expected one. In addition, the braking distance of an oncoming train will be
tested to access whether or not the braking distance is really reasonable.
Acknowledgement
This work is supported by the State Key Laboratory of Rail Traffic Control and
Safety (Contract No. RCS2008K008and Natural Science Basic Research Plan
of Shaanxi Province (2009JQ8010).
References
[1] Xinhong Hei: Improving Reliability of Railway Interlocking System with
Component-based Technology, Journal of Reliability Engineering
Association of Japan, Vol.28, No.8, pp. 557-568, 2006.12.
[2] Xinhong Hei: Distributed Interlocking System and Its Safety Verification,
the 6th IEEE World Congress on Intelligent Control and Automation,
vol.10, pp. 8612-8615, Dalian, China, 2006.6. (EI, ISTP)
[3] Xinhong Hei: Toward Developing a Decentralized Railway Signalling
System Using Petri Nets, 2008 IEEE Conference on Robotics, Automation
and Mechatronics, pp.851-855. EI
[4] Xinhong Hei: Modelling and Analyzing Component-based Distributed
Railway Interlocking System with Petri Nets, IEEJ Trans. Sec. D, Vol. 129 ,
No. 5.
[5] Xinhong Hei: Modeling and Performance Analysis of Distributed Railway
Interlocking System, Proceedings of the Third International Conference on
Railway Traction Systems, pp.98-103, Tokyo, Japan, 2007.11
[6] Xinhong Hei: Modeling and Evaluation of Component-based Distributed
Railway Interlocking System Using Petri Nets, Special Issue of Nihon
University College of Science and Technology, No.1, pp.43-46.
[7] Chengxiang ZhuGe, Jian Gao, XiMeng Wang, LiWei Chen: The Modelling
and
application
of
metros
dwell
time
in
the
station,
http://trans.bjtu.edu.cn/news/documents/jiaoxueke/20090928/upfile/2009928
9229_1.doc
911
Computation and evaluation of scheduled

waiting time for railway networks
A. Landex
Abstract
Timetables are affected by scheduled waiting time (SWT), which prolongs the
travel times for trains and thereby passengers. SWT occurs when a train prevents
another train from running at the necessary speed. The SWT affects both the trains
and the passengers in the trains. The passengers may be further affected due to
longer transfer times to other trains.
SWT can be estimated analytically for a given timetable or by simulation of
timetables and/or plans of operation. The simulation of SWT has the benefit of
making it is possible to examine the entire network. This makes it possible to
improve the future timetable by analyzing different timetables and/or plans of
operation. This article presents methods to examine SWT by simulation for both
trains and passengers in entire railway networks.
Keywords: scheduled waiting time, timetable, passenger delay, simulation, railway
network.
1 Introduction
When planning timetables for trains, it is often desirable to have more and faster
trains along the same line, providing it is a good business case. However, in the
timetabling process it is often not possible to fulfil the planning objectives due to
capacity constraints. Instead, it is often necessary to reduce the number of trains
and/or homogenize the operation by reducing the speed of some trains (planned
delays). This creates a conflict between the different planning objectives. For
instance, it might not be possible to operate as many fast trains and/or the fast trains
as fast as wanted, because fast trains catch up with slower freight/regional trains.
doi:10.2495/CR100821

If the market demand for fast trains is very high compared to that of freight/
regional trains, it might be decided to give the fastest trains a higher priority than
the freight/regional trains by running fewer freight/regional trains and/or allowing
the freight/regional trains to be overtaken by the faster trains.
The reduced speed due to fast trains catching up with slower trains and
additional waiting/dwell time at stations due to overtakings is denoted scheduled
waiting time (SWT). The amount of SWT can according to [1] be used as a
measure for quality. This is because SWT gives an indication of the extent of
conflicts between the planning objectives and the means of action.
SWT depends on the given infrastructure and timetable. It results in longer travel
times for trains and passengers. Passengers can be further affected if the needed
transfers to/from other trains have long (scheduled) waiting times due to too many
interdependencies in the timetable and/or infrastructure.
The article shows how SWT can be considered for trains and passengers
respectively. First, SWT for trains (section 2) and for passengers (section 3) is
presented. Then it is explained how to calculate SWT for trains (section 4) and
passengers (section 5). Section 6 discusses how calculation of SWT can be used to
improve the timetables and operation before section 7 draws up the conclusions.
2 Scheduled waiting time for trains

When the railway operation results in high capacity consumption, the speed of fast
trains must adapt to that of the slower trains, cf. figure 1 (left). This will increase
the running time (SWT) for these trains that could run at higher speeds if they
were not hindered by other trains. Alternatively, it might be possible to adapt the
slower (regional) trains to the faster (intercity) trains by e.g. omitting stops or in
the longer term changing the existing trains for trains with better acceleration.
Figure 1: Scheduled waiting time for trains. Based on [24].
If the SWT is high (on double track lines), it might be decided to use this time, or
part of it, to include extra stops for the fastest train services, cf. figure 1 (middle).
In this way the planned timetable has trains with more stops than desired in the
wanted timetable. However, it is difficult to evaluate SWT when it, or some of
it, has already been converted into additional stops as it is difficult/impossible to
identify the stops that have been added to the timetable.
For single track lines, the location of the crossing stations can result in additional
dwell time (i.e. SWT), cf. figure 1 (right).
913
Pachl [5] states that SWT for trains can be added to the dwell time at stations
and to the running time. In Norway, travel time is extended by scheduled waiting
time at the railway lines in the suburbs [6]. In The Netherlands, the stations at The
Hague (The Hague Holland Spoor and The Hague Central Station) are examples
of stations where the dwell time has been extended due to conflicts with other
trains [7].
If the traffic demand at the intermediate stops is low, passengers who do not use
the stops will experience prolonged travel time due to additional stops. In addition,
as a result of the longer travel time, train operating companies might need more
trains, and hence more crew, to obtain the same train frequency. Ultimately, the
slower travel time can result in a lower frequency of the trains which then reduce
the SWT.
3 Scheduled waiting time for passengers

SWT for passengers occurs when the travel time is prolonged compared to that
in the originally wanted timetable. Therefore, SWT for the trains affects the
passengers too. This is because the interdependencies in the railway network
prolong the travel time (in the train) and reduce the degrees of freedom in the
timetable, which potentially reduces the frequency. However, SWT for passengers
also includes transfers. Not all transfers in (larger) public transport networks are
well-planned transfers, as improving one transfer due to network effects might
worsen others.
Timetable alternatives for a simple railway network for the situations with and
without a planned transfer at Stop B can be seen in table 1. Although the running
times of the individual trains are unchanged, the travel time for passengers between
Stop D and Stop C varies depending on the transfer time at Stop B.
For passengers travelling from Stop D to Stop C, timetable scenario 1 in
table 1 results in a journey time of 16 minutes, of which 8 minutes is transfer time.
However, if timetable scenario 2 in table 1 is used, the journey time would be 26
Table 1: Timetable scenarios between Stop D and Stop C ( indicates trains not
serving the station and gray cells indicate the route of the passengers).
Time of departure
Scenario 1
Scenario 2
Scenario 3
Train A1 B1
B2
A1
B1
B2
Stop D
Stop A
28
12
28
28
Stop B
14
34
16
14
34
12
14
34
Stop C
18
38
18
38
18
38
Total time D C
16 minutes
26 minutes
A1 B1
B2
10 minutes

minutes, of which 18 minutes is transfer time, as the corresponding train leaves
Stop B only 2 minutes before the train from Stop D arrives at the station.
It is possible to reduce the transfer time in both scenario 1 and 2 and thereby
reduce the journey time for passengers travelling from Stop D to Stop C. By
reducing the transfer time, the train from Stop A will depart from Stop B
2 minutes after the train from Stop D has arrived. This will ensure sufficient
transfer time. This results in a travel time from Stop D to Stop C of 10 minutes
(Scenario 3 in table 1). The extra travel time in scenario 1 and 2 (6 minutes and 16
minutes) is SWT for the passengers.
The example in table 1 is straightforward to overview, but according to [8], the
reduction of transfer times becomes more complex for more complex networks.
Figure 2 shows a journey with two transfers. In the beginning and in the end of
the journey there are train services with 20-minute frequency but in between there
is a 5-minute frequency train service. By examining the transfers independently,
it can be seen that there are short transfers at both stops, but the passengers in the
example on the left in figure 2 will not have short transfer time at the second station
due to the long waiting time, whereas there is a short transfer time in the example
on the right in figure 2.
Figure 2: Journey with two transfers: long transfer time (left) and well-planned
transfer time (right). Based on [4].
Due to the dependency on the characteristics of the infrastructure and the
timetables, the SWT for the passengers can be estimated as the (additional) time
the passengers have to spend in the system. This measurement for the SWT for
passengers is similar to the SWT measurement for the trains but includes the
passengers waiting time at the station(s).
In the literature, there are various studies where scheduled transfer time, as a
part of the SWT for passengers, is attempted to be minimized by changing the time
schedules. For instance, [9] minimize the transfer waiting time in a railway system
and [10] minimize the transfer waiting time for the bus-train relations for the entire
public transport network of Copenhagen. However, these models consider only one
transfer, and not the passengers total journey, why the total SWT for passengers
is underestimated.
915
4 Calculation of scheduled waiting time for trains

SWT can according to [11, 12] be estimated analytically for a given timetable but
it can also be estimated by simulating plans of operation. The Danish developed
SCAN model (Strategic Capacity Analysis of Network) is a strategic tool to
calculate capacity in a railway network [13,14]. The tool simulates random regular
interval timetables (see [15,16] for classification of timetables) and calculates their
SWT. For this, SCAN uses the infrastructure (on the meso level see [17] for the
aggregation levels of infrastructure data), the plan of operation (i.e., the number of
trains within each category and their stop pattern) and the main dynamics of the
rolling stock. The workflow of calculating SWT using SCAN is [14]:
1. Prepare the model (build up infrastructure, key in dynamics of rolling stock,
and enter a plan of operation).
2. Calculate minimum running time and kilometers of operation.
3. Generate regular interval timetables by random departure times for the first
departure for each train system (at the first station). The following departure
times for each train system are determined by the frequency. In this way
a number of different timetables are generated. In this stage there may be
conflicts between trains.
4. Synchronic simulation of each timetable by a discrete simulation model
where the priority of the trains determines which trains run first. The result
of the simulation is a conflict-free timetable for how trains can be operated.
5. Calculate running time and SWT (difference between simulated running
time and minimum running time) for each timetable.
The flow of calculating the SWT can be seen in figure 3.
Figure 3: Calculation of SWT in the SCAN model [4].
Examining a large number of different timetables based on the same plan of

operation will result in different SWTs. These different SWTs can then be sorted
according to the SWT as shown in figure 4. It is then possible to see the span
in SWT and choose the timetable that has the lowest scheduled waiting time and
still fulfils other potential requirements of the timetable, e.g., possible transfers
between trains. Consequently, the final (chosen) timetable is not necessarily the
timetable with the lowest SWT. Therefore, [14] suggests using the 25% percentile
to describe a satisfactory quality of operation, and thereby the expected SWT of
the plan of operation.

A problem with the SCAN model is that timetable supplements are not included.
Therefore, the model can be used only to evaluate the plan of operation at the
strategic level. Alternatively, the North American Train Performance Calculator
(TPC) can be used to generate a large number of timetables, which can be
investigated. The workflow in the TPC model is (based on [18]):
1. Prepare the model (build up infrastructure, key in dynamics of rolling stock
and train services).
2. Generate timetables randomly by choosing random departure times for all
trains.
3. Simulation of each timetable to generate conflict-free timetables.
Based on the results of the TPC-model, it is possible to calculate the actual
running times of the timetables. To examine SWT it is necessary to calculate the
minimum running time of the train services too. The timetables can then be ranked
by SWT as in figure 4.
Figure 4: Sorting the timetables according to the SWT. Based on [3].
The major differences between the TPC and SCAN models are that the SCAN
model examines randomly generated regular interval timetables, while TPC examines timetables where all the trains are operated randomly; furthermore, SCAN
calculates the SWT itself, whereas the calculation has to be done manually in the
TPC model.
In North America, the trains are (as described in [5, 19]) operated according to
a more or less improvised timetable, which is why the TPC model is well suited
there. This random operation is possible because only few corridors are dominated
by passenger trains. However, in Denmark (and Europe) the operation is mostly
based on regular interval timetables; accordingly, the TPC model is less suited to
simulate the operation here. The SCAN model simulates regular interval timetables
but does not include timetable supplements. To have a better simulation model
well suited for analyses in the Danish/European context, the SCAN model should
be developed to include timetable supplements, and/or the TPC model should be
adapted to examine regular interval timetables.
Generally, simulation models based on future plans of operation are well suited
for strategic network analyses, but simulation models has difficulties examining
where the capacity problems and SWT, are most severe. Consequently, it is also
difficult to examine where the infrastructure should be improved and what effects
the improvement will have. Combining microscopic and macroscopic models can,
917
however, help in this kind of analysis. Railnet Austria has according to [20]
combined microscopic and macroscopic models in the infrastructure planning.
Here, future timetables have been developed and evaluated (in this case by the
UIC 406 method [21] describes the UIC 406 methodology) by converting data
between the macroscopic and microscopic level; the methodology could be the
basis when evaluating SWT for different timetable alternatives.
5 Calculation of scheduled waiting time for passengers

SWT for passengers is the delay of the passengers compared with that of the
optimal timetable. This definition is very similar to the SWT for trains. However,
cases with a small amount of SWT for trains do not necessarily result in a small
amount of SWT for passengers, and vice versa. This is because just little SWT for
a train might result in a lost transfer for the passengers, but only if the transfer time
is tight, otherwise the total travel time remains unchanged.
The SCAN model used to calculate SWT for trains can also be used to calculate
SWT for passengers. This is because the output timetables from SCAN can be
used as a basis to calculate passenger delays as the difference between the times
used in the actual analyzed timetable and the best-analyzed timetable.
Using simulation models, such as SCAN, the risk of delays in the operation,
and thus the risk of missing a transfer, is omitted, which makes it difficult to
analyze SWT in real and contingency operation. Hence a high risk of missing
a connecting train will increase the travel time. Therefore, a timetable without
planned transfer(s) might be better than the timetable with planned transfer(s) if
the risk of delays is high, as the travel time for the passenger will most likely
remain the same.
To reflect the actual operation and take the punctuality of the railway system
and thereby the risk of missing a connecting train into account when calculating
SWT for the passengers, it is necessary to simulate the (candidate) timetables. This
can be done by traditional simulation where the infrastructure and timetables are
built up before simulating the operation with initial delays, cf. figure 5.
Passenger delay models can based on the output of traditional simulation
estimate how much time the passengers spend in the railway system. Therefore,
passenger delay models can be used to deduce SWT for passengers. [4] defines
different types of passenger delay models of which only the newest generations
can be used to estimate SWT.
The different combinations of infrastructures and timetable variants will result
in a different amount of SWT in the system. This type of traditional simulation
project is time consuming, but by combining microscopic and macroscopic models, the workload of generating and simulating timetables can according to [23,24]
be reduced.
Figure 5: Simulation of railway traffic with passenger delays. Based on [22].
6 Discussion
Timetables for railway networks can be improved by examining SWT in the
planning process. By examining SWT for different future (candidate) timetables,
it is possible to examine different timetable strategies, for example additional
overtaking. In the examination, it is possible to evaluate both the time gain for
the passengers in the fast train and the time loss for the passengers in the train
that is overtaken. The examination of SWT can be done either locally for a single
railway line or for the entire system including transfers to/from other trains.
Improving the timetables without taking the risk of train delays during the
operation into account can result in an over-optimized timetable for passengers.
This is because even small train delays will result in lost transfers for the
passengers or even degenerated schedules. To take common train delays into
account, it is recommended to simulate of the timetables with a typical delay
distribution. The additional SWT for the passengers can then be calculated based
on the simulated timetables. This makes it possible to plan timetables with less
SWT for normal operation.
Optimizing SWT is not possible in all types of timetables, for example, in an
integrated fixed interval timetable (see [15, 16] for classification of timetables)
where all trains meet at the same time at stations/hubs throughout the network. In
integrated fixed interval timetables the structure of the timetable is fixed when the
stations/hubs have been selected. Additionally, SWT has virtually been determined
by the chosen stations/hubs as all the trains have to meet at the station/hub
and a train is not permitted to leave before the last train has arrived (and the
passengers have had time to make a transfer). Therefore, SWT cannot be optimized
in integrated fixed interval timetables, but the amount of SWT can be used to
919
describe how well the infrastructure can handle the chosen integrated fixed interval
timetable. This can be used to examine which improvements in the infrastructure
that reduce SWT the most.
In the longer term the simulation approach can also be used by the dispatch
centers to decide if a train should wait for a delayed train to obtain the planned
transfer. Thus, the simulation of the traffic combined with calculating SWT for
trains and passengers can be used to evaluate the consequences of different
scenarios. In this way it is possible to improve the operation.
The short-term operation can be improved too by including evaluation of SWT
in the planning process. Timetables can be simulated and SWT for both trains and
passengers can be calculated so that the best possible timetable is chosen. This
approach can also be used when planning timetables for contingency operation, so
the best timetable can be used in cases of disrupted operation.
7 Conclusion
Railway operation is often affected by scheduled waiting time (SWT) because
fast trains (due to infrastructure restrictions) cannot overtake slower trains. This
means that additional time SWT has to be implemented in the timetable. The
article shows how SWT affects both the trains and the passengers in the trains. The
article also demonstrates that passengers are further affected by SWT in the case
of transfers.
The article illustrates that SWT for trains can be calculated by simulation models
such as the Danish SCAN model and the North American TPC model. Based
on SWT for trains and passenger delay models the article presents a method to
calculate SWT for passengers. The article also demonstrates how it is possible to
estimate SWT in the case of delays.
Calculating SWT for candidate timetables makes it possible to test different
timetable strategies and choose the best strategy for the final timetable. This can
improve the timetables for both the operator(s) and the passengers.
References
[1] Handstanger, A.C.T., Scheduled waiting time from crossing on single track
railway lines. Ph.D. thesis, Norwegian University of Science and Technology, 2009.
[2] Salling, K.B. & Landex, A., Computer based ex-ante evaluation of the
planned railway line between Copenhagen and Ringsted by use of a new
Decision Support System named COSIMADSS. CompRail X, p. 65, 2006.
[3] Landex, A. & Nielsen, O.A., Network effects in railway systems. European
Transport Conference, 2007.
[4] Landex, A., Methods to estimate railway capacity and passenger delays.
Ph.D. thesis, Technical University of Denmark, 2008.

[5] Pachl, J., Railway Timetable & Traffic, Eurail Press, chapter Timetable
Design Principles, pp. 942, 2008.
[6] Skartsterhagen, S., Capacity of railway lines (Kapacitet pa jernbanestrekninger). Technical report, Institute for Energy Technology, Norway,
1993.
[7] Nie, L. & Hansen, I.A., System analysis of train operations and track
occupancy at railway stations. EJTIR, 5(1), pp. 3154, 2005.
[8] Klemenz, M. & Radtke, A., Method and software tool for an optimized
passenger orientated connection management. Computers in railways XI,
WITpress, p. 3, 2008.
[9] Wong, R.C.W. & Leung, J.M.Y., Timetable synchronization for mass transit
railway. International Conference on Computer-Aided Scheduling of Public
Transport (CASPT), 2004.
[10] Pedersen, M.B., Nielsen, O.A. & Jansen, L.N., Minimizing passenger transfer times in public transport timetables. Conference of Hong Kong Society
for Transport Studies: Transportation in the information age, Hong Kong
Society for Transport Studies, p. 229, 2002.
[11] Wendler, E., The scheduled waiting time on railway lines. Transportation
Research Part B, 41(2), pp. 148158, 2007.
[12] Wendler, E., Railway Timetable & Traffic, Eurail Press, chapter Queuing, pp.
106117. 1st edition, 2008.
[13] Kaas, A.H., Development and practical use of a capacity model for railway
networks. Conference on Structural Integrity and Passenger Safety, WITpress, p. 73, 1998.
[14] Kaas, A.H., Methods to calculate capacity of railways (Metoder til beregning
af jernbanekapacitet). Ph.D. thesis, Technical University of Denmark, 1998.
[15] Liebchen, C., Periodic Timetable Optimization in Public Transport. Ph.D.
thesis, Technical University of Berlin, 2006.
[16] Schittenhelm, B., Identification of timetable attractiveness parameters by
an international literature review. Annual Transport Conference at Aalborg
University (Trafikdage), 2008.
[17] Gille, A., Klemenz, M. & Siefer, T., Applying multiscaling analysis to detect
capacity resources in railway networks. Computers in railways XI, WITpress,
p. 595, 2008.
[18] White, T.A., The development and use of dynamic traffic management
simulation in north america. International Seminar on Railway Operations
Research, IAROR, 2007.
[19] White, T.A., North american experience with timetable-free railway operation. International Seminar on Railway Operations Modelling and Analysis,
IAROR, 2005.
[20] Sewcyk, B., Radtke, A. & Wilfinger, G., Combining microscopic and macroscopic infrastructure planning models. International Seminar on Railway
Operations Modelling and Analysis, IAROR, 2007.
[21] International Union of Railways (UIC), Capacity (UIC code 406), 2004.
921
[22] Landex, A. & Nielsen, O.A., Modelling expected train passenger delays on
large scale railway networks. World Congress on Railway Research, 2006.
[23] Kettner, M. & Sewcyk, B., A model for transportation planning and railway
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macroscopic models for railway network evaluation. European Transport
Conference, 2003.
923
Computation of a suburban night train

timetable based on key performance indicators
B. Schittenhelm1,2 & A. Landex1
1
2

Traffic Planning, Rail Net Denmark, Denmark
Abstract
Timetable evaluation can be based on a set of key performance indicators. This
article presents six essential key performance indicators: fixed interval service
frequency, direct connections, transfer waiting time, use of dedicated rolling
stock, dedicated train personnel, dedicated tracks and travel time. A short
description and specific calculation method is given for each of these. The article
recommends three different approaches for dividing the railway network into
sections of analysis in regards to the key performance indicators. Three timetable
variants for suburban night trains in Copenhagen are evaluated. Each timetable
variant was created with a different performance focus. Values for each of the six
key performance indicators are calculated and an average value is found for all
timetable variants. It can be concluded that the actual implemented timetable
receives the highest scores, but a clear picture of which timetable variant is best
is not achieved. To get a clearer picture, the introduction of weights is
recommended both for the indicators as a whole and in the specific calculation
methods. A prioritization of the selected key performance indicators is essential
and weights in form of, for example passenger numbers, are needed in the
specific calculations.
Keywords: timetable, railway timetable, timetable evaluation, key performance
indicators, sections of analyses.
1 Introduction
On Friday, November 20, 2009, a timetable for suburban night trains was
introduced in Copenhagen, Denmark. This timetable was mainly based on input
from the train operating company (TOC) DSB S-tog; this is the only TOC
doi:10.2495/CR100831

operating trains on this part of the network owned by infrastructure manager
(IM) Rail Net Denmark.
The starting point for DSB S-tog was the existing contingency timetable
which is used in case of large disruptions in traffic. The timetable operates with 4
service lines stopping at all stations and running with a service frequency of 20
minutes. It was decided to reuse the train service lines, arrival and departure
times from this timetable but with a frequency of 1 train per hour. In a normal
daytime service, situation line structures are more complicated. Each suburban
railway line is serviced with a slow stopping line servicing the inner part of the
railway line and a faster line servicing the outer part. See figure 1.
This results in shorter travelling times for passengers. Each line has a service
frequency of 10 minutes.
New timetable proposals should be evaluated and then either rejected, altered
or implemented. To perform a fast and efficient evaluation of a given timetable a
series of key performance indicators (KPI) have been developed and suggested
[1]: Timetable structure, timetable complexity, travel time, transfers and
punctuality and reliability. Each indicator consists of up to several quantitative
indexes. These give a good first insight into a timetables strengths and
weaknesses. From this group of indexes, 6 have been chosen for the timetable
evaluation in this paper.
Three suburban night train timetable variants have been proposed. In section
2 the proposed timetable variants are presented. Section 3 examines how the
network should be divided into sections for analyses in regard to timetable
Figure 1:
DSB S-tog timetables left: day (10 minute frequency per line);
right: night (1 hour frequency per line).
925
evaluation KPI. The KPI are described and calculated in section 4. A discussion
of results and perspectives of these can be found in section 5. Finally,
conclusions are drawn up in section 6.
2 Timetable variants
To avoid inconvenience for the many daily passengers, most of the maintenance
works takes place during night time. Therefore, the main concern of Rail Net
Denmark regarding timetables for running night trains on the suburban railway
network was that maintenance work could continue to take place unhindered
during nights. This resulted in two essential requirements:
1.
Planned traffic must be able to be handled by only one track through the
central part of the network
2.
Running times on the outer part of the network should allow for trains
to run with reduced speed on sections of the network thereby making
it possible to run traffic on one track only between 2 crossovers.
2.1 Proposed timetable from DSB S-tog

DSB S-tog proposed a timetable and this was implemented. It consists of 4 lines
stopping at all stations. Lines A, B and C have a frequency of 1 train per hour
and the independent half circle line F has a 30 minute frequency. Lines A, B
and C each need minimum 3 train sets and line F 2 train sets to carry out this
timetable variant. See table 1.
This timetable does not establish a fixed service interval of 20minutes
between trains on the shared line section of lines A, B and C, but creates nearly a
30minute service interval.
To improve this condition two further timetable variants have been
developed. Both ensure a fixed interval service frequency of 20minutes on the
shared line section. In the first alternative, the arrival and departure times of line
B and C have simply been translated.
In timetable variant 2 the philosophy of having fixed train service lines has
been abandoned and a flexible approach been taken. Travel times between
stations on the outer part of the network have been changed to follow timetable
planning rules. This gives slightly shorter travelling times.
Table 1:
Arr
Dep
46
32
33
09
Line A
Kge
Kbenhavn H
Farum
3 trains needed
Arr
Dep
39
54
53
16
Timetable variant DSB S-tog.

Arr
Dep
31
56
57
44
Line B
Hje Taastrup
Kbenhavn H
Hillerd
3 trains needed
Arr
Dep
15
50
49
02
Arr
Dep
38
28
29
49
Line C
Frederikssund
Kbenhavn H
Klampenborg
3 trains needed
Arr
Dep
08
18
17
56

2.2 Alternative timetable variant 1
Timetable variant 1 focuses on regular intervals between trains through
Copenhagen. See table 2. Trains from the south arrive in minute 12 32 and 52
and from the north in 13 33 53 at Copenhagen central station (Kbenhavn H in
Danish). Trains in the two driving directions pass each other here to ensure that
traffic can be handled using only one track between Kbenhavn H and the next
set of crossovers at sterport station. The travel time between Kbenhavn H and
sterport is 6 minutes this allows for reduced speed for trains travelling in the
secondary driving direction in case of single track operation. It takes 11 trains to
run timetable variant 1.
In timetable variant 1, the arrival and departure times for line A are the same
as in the timetable proposed by DSB S-tog. Times had to be changed for line B
and C to achieve fixed interval frequency of 20 minutes. The possible positive
effect of recognizable and easy to remember arrival and departure times in the
DSB S-tog timetable cannot be complete since customers still must find
out/remember which one of the 3 possible departure times is relevant for them.
Timetable variant 1 maintains line F as proposed by DSB S-tog in the
timetable for night trains. Line F requires 2 trains to be operated. Therefore 11
trains are needed to operate timetable variant 1.
2.3 Alternative timetable variant 2
Disregarding fixed line structures in timetables, a second variant has been
developed. See table 3.
A train follows the line structure indicated with numbers 1 to 4 in figure 2.
Trains between Hje Taastrup and Klampenborg are fixed to this line.
Timetable variant 2 maintains line F as it is planned in the DSB S-tog
timetable for night trains. Line F requires 2 trains to be run. All 3 investigated
timetable variants need 11 trains to be implemented.
3 Railway sections of analysis

In the following section a series of KPI are calculated for the 3 presented
timetable variants. Since characteristics of timetable variants depend on which
part of the network is being investigated, it is important to divide the network in
reasonable sections of analysis. How to choose these sections is highly
dependent on the specific KPI and how it is calculated.
Table 2:
Arr
Dep
46
32
33
09
Line A
Kge
Kbenhavn H
Farum
3 trains needed
Arr
Dep
39
54
53
17
Arr
Dep
27
52
53
40
Timetable variant 1.
Line B
Hje Taastrup
Kbenhavn H
Hillerd
3 trains needed
Arr
Dep
59
34
33
45
Arr
Dep
22
12
13
33
Line C
Frederikssund
Kbenhavn H
Klampenborg
3 trains needed
Arr
Dep
04
14
13
53
Table 3:
927
Timetable variant 2.
From
To
Departure
Arrival
Kbenhavn H
Hje Taastrup
26
50
Hje Taastrup
Kbenhavn H
01
25
Kbenhavn H
Klampenborg
26
45
Klampenborg
Kbenhavn H
05
25
Kbenhavn H
Kge
06
48
Kge
Kbenhavn H
23
05
Kbenhavn H
Hillerd
06
51
Hillerd
Kbenhavn
00
45
Kbenhavn H
Frederikssund
46
34
Frederikssund
Kbenhavn H
56
45
Kbenhavn H
Farum
46
22
Farum
Kbenhavn H
29
05
9 trains needed: 2 trains Hje Taastrup Klampenborg + 7 trains for flexible line
Figure 2:
Flexible line structure in timetable variant 2.
When calculating KPI, for example service frequency and travelling time,
inspiration can be taken from the UIC capacity consumption calculation method
[2]. Following the Danish adaption of the recommendations the network is
divided into analysis sections at line end stations/terminus and junctions [3]:
Kge (terminus) Dyblsbro (junction)

Hje Taastrup (terminus) Valby (junction)
Frederikssund (terminus) Valby (junction)
Valby (junction) Dyblsbro (junction)
Dyblsbro (junction) Svanemllen (junction)
Svanemllen (junction) Farum (terminus)
Svanemllen (junction) Hellerup (junction)
Hellerup (junction) Hillerd (terminus)
Hellerup (junction) Klampenborg (terminus)
Hellerup (terminus) Ny Ellebjerg (terminus)
Between these sections the number of trains per hour change and thereby
potentially also service frequencies. This can have influence on the running time
as a higher number of trains can cause a higher level of scheduled waiting time
in the timetable. When passing a junction a Train service line can go from having
dedicated tracks to shared tracks with other lines.

Transfers take place at stations. Only stations with transfer possibilities are of
interest when calculating KPI for transfers. These stations are: Ny Ellebjerg,
Danshj, Flintholm, Ryparken, Hellerup, Svanemllen, Dyblsbro and Valby.
Looking at KPI for dedicated rolling stock or crew for a train service, a
detailed approach in regards to analysis sections makes no sense. A more overall
look on the network is needed. A ratio of departures or train runs becomes more
important.
4 Computation of timetable key performance indicators

In the following six sections a selected series of KPI will be shortly described
and their method of calculation shown. These KPI reveal the main differences
between the 3 suggested timetable variants.
4.1 Fixed interval frequency
The used clock faced index in England [4] is not able to evaluate the regularity
of service frequency of trains in a given analysis section. Therefore, the
following index for regularity in frequency is proposed. See equation (1).
I regular frequency
H
H12 H 23
... nm
H av H av
H av
(1)
Iregular frequency = Index for regularity of frequency

Hnm = Timetable headway time between trains n and m
Hav = Average headway time if regular frequency
A perfect regular frequency will give an index value equal to 1. A highly
irregular frequency will give a value close to 0. From a customer point of view, a
regular frequency is in general preferable to an irregular [4].
4.2 Transfers
There are 84 stations on the suburban network. In the timetable proposed by
DSB S-tog train service line A has 35 stations, line B has 28 (7 are shared with
other lines), line C has 31 (10 are shared with other lines) and line F has 12
stations (5 are shared with other lines). The layout of the network in combination
with service line structure ensures that from a given starting station you can
reach any other station with maximum one transfer. It may though be faster for
passengers to choose a route with two transfers instead of one e.g. from Farum
to Hje Taastrup with transfers at Ryparken and Danshj.
Transfers are mostly avoided by passengers if possible. An index for direct
connections can be calculated as shown in equation (2).
I Direct connections
connections without transfer

connections
(2)
929
This index is calculated for each station and then summed up to get a
timetable dependent index. For example, a station only served by line A: 34
stations can be reached without transfer out of 83. This gives an IDirect connections =
34/83 = 0.41. There are 26 of these stations. For Kbenhavn H you have: 76
stations can be reached without transfer out of 83. IDirect connections = 76/83 = 0.92.
There are 7 stations with this characteristic.
To measure the quality of transfers, one key parameter is prolongation of the
travel time caused by transfers. An index for this is suggested in equation (3). If
travel time is not prolonged an index value of 1 is achieved. The index goes
down towards 0 with increasing waiting time for transfers.
I transfer waiting time
Minimum waiting time

Waiting time with transfer
(3)
Figure 3 gives an overview of transfer stations in the network and the arrival
and departure times from the DSB S-tog timetable variant. It is impossible to
exchange making a transfer with a direct train at Ny Ellebjerg, Danshj,
Flintholm and Ryparken stations. Minimum transfer time is set to 4 minutes at
these stations. For other stations the following rule is used: If a transfer can be
made at the same platform, minimum transfer time is set to 2 minutes, if not 4
minutes.
I transfer waiting time is calculated for each transfer station, but only for relevant
transfers. The station indexes are then summed up and averaged to get an overall
index for the given timetable variant. For example, at Ny Ellebjerg there are 6
transfer possibilities: Each arrival from line F (00 and 30) can transfer to line A
Figure 3:
Overview of selected transfer stations and times.

(02 and 24). The arrivals from line A (02 and 24) will chose the next departure
on line F (16 and 46). Transfer times are: (24+2+32+54+14+22)min / (64)min
= 0.17.
4.3 Dedicated rolling stock
The risk of consecutive delays is reduced if the same rolling stock is used on one
line of service only line dedicated rolling stock. This is because a cancellation
of a train or a break down on one line not necessarily will spread to other lines.
The proposed KPI to evaluate use of dedicated rolling stock looks at the rate
between sums of all train runs and runs with dedicated rolling stock. See
equation (4) [3, 5].
I dedicated rolling stock
Train departures with dedicated rolling stock

Train departures
(4)
If all rolling stock is dedicated to one train service line, the index value will
be 1. The opposite situation gives a value equal to 0.
4.4 Dedicated train personnel
As with rolling stock, train personnel can be dedicated to one train service line.
This reduces the risk of consecutive delays because delayed train personnel from
one service line can bring the delay with them to other potentially unaffected
service lines e.g. a train driver arriving delayed will not result in another train
not being able to move [1, 5]. Below the developed KPI looks at the ratio
between sums of all train runs and runs with shared train personnel.
I dedicated train personnel
Train departures with dedicated train personnel

Train departures
(5)
Using only dedicated personnel gives an index value of 1. The opposite gives
an index equal to 0.
This KPI has the same value for all 3 timetable variants. Rules for train
personnel rostering are based on agreements between TOC and railway unions.
All suburban trains change train personnel at Kbenhavn H. Train drivers start/
end their shift or change to other service lines when passing this station. Train
drivers for line F have to travel between Kbenhavn H and Hellerup.
4.5 Dedicated tracks
Only one infrastructure variant is available to the TOC and it is used in the same
manner by all 3 timetable variants. Service lines have dedicated tracks on the
outer part of the network and have to share tracks on the central part. A KPI for
dedicated tracks is suggested in equation (6).
I dedicated tracks
Analysis sections with dedicated tracks

Analysis sections
931
(6)
For the examined timetable variants, 7 out of 10 analysis sections have

dedicated tracks to train services. This giving an I Dedicated tracks = 7/10 = 0.70.
4.6 Travel time
Passenger want as short travel times as possible still arriving on time while
the TOC and IM want a robust and timetable where it is possible to absorb
smaller delays. Therefore, running time supplements are included in a timetable.
A KPI that describes the ratio between planned travel time in a given timetable
and minimum travel time according to planning rules is suggested. This is
calculated for each analysis section and each train service line. See equation 7.
I Travel time
Travel time Analysis section, minimum
(7)
Travel time Analysis section, timetable
A train from Kge to Dyblsbro uses 42 minutes and 50 seconds according to

timetable variant 1, while the minimum travel time is 40 minutes and 5 seconds.
This gives an I Travel time = 0.94.
4.7 Calculated KPI
Table 4 gives an overview of the calculated KPI for the 3 investigated timetable
variants.
5 Discussion and perspective

Three different approaches were necessary to define sections for analyses for
timetable evaluation that can be applied to all used KPI. For KPI travel time,
dedicated tracks and fixed interval frequency a similar division of the network as
suggested in the UIC-406 method is used [2, 3]. KPI for transfers are calculated
on station level. A ratio of departures is used for calculating KPI for dedicated
trains and personnel. Using different analysis sections has not weakened the KPI
approach for timetable evaluation and comparison.
Looking at the average KPI score achieved by the 3 timetable variants, it
becomes evident that weighting of the KPI is needed. The importance of each
KPI needs to be defined and weights based on this created. These weights of
importance can, for example, be found by holding a decision conference where
all timetable stakeholders take part and come to an agreement. This will be very
difficult but is an important input for timetable evaluation.
Weights should also be applied within the calculation methods for the KPI
for example, a transfer waiting time should be multiplied with the number of
passengers making the given transfer. In this way more unambiguous evaluation
results of timetable variants can be produced and create a better basis for

Table 4:
KPI
Calculated KPI for timetables variants.
Kge Dyblsbro
Hje Taastrup Valby
Frederikssund Valby
Valby Dyblsbro
Dyblsbro Svanemllen
Svanemllen Farum
Svanemllen Hellerup
Hellerup Hillerd
Hellerup Klampenborg
I Direct connections Timetable
I transfer waiting time Ny Ellebjerg
I transfer waiting time Danshj
I transfer waiting time Flintholm
I transfer waiting time Ryparken
I transfer waiting time Hellerup
I transfer waiting time Svanemllen
I transfer waiting time Dyblsbro
I transfer waiting time Valby
Timetable DSB
S-tog
1.00
1.00
1.00
0.99
0.38
1.00
0.99
1.00
1.00
0.58
0.16
0.16
0.16
0.20
0.14
0.08
0.09
0.06
I Dedicated rolling stock timetable
1.00
1.00
0.33
I Dedicated personnel timetable
0.00
0.00
0.00
I Dedicated tracks timetable
0.70
0.70
0.70
0.94
0.98
0.98
1.04
0.92
0.97
0.95
0.95
0.97
0.71
0.94
0.98
0.98
1.04
0.92
0.97
0.95
0.95
0.97
0.69
1.00
1.00
1.00
1.00
0.92
1.00
1.00
1.00
1.00
0.68
Analysis section / station
Regularity
of service
frequency
Transfers
Dedicated
rolling stock
Dedicated
personnel
Dedicated
tracks
Kge Dyblsbro
Hje Taastrup Valby
Frederikssund Valby
Valby Dyblsbro
Dyblsbro Svanemllen
Travel time
Svanemllen Farum
Svanemllen Hellerup
Hellerup Hillerd
Hellerup Klampenborg
Average KPI value
Timetable 1
Timetable 2
1.00
1.00
1.00
0.89
1.00
1.00
0.89
1.00
1.00
0.58
0.16
0.15
0.18
0.17
0.13
0.09
0.09
0.08
1.00
1.00
1.00
0.89
1.00
1.00
0.89
1.00
1.00
0.56
0.15
0.15
0.18
0.15
0.13
0.08
0.08
0.08
deciding which timetable variant to implement. Passenger numbers were not

available before the timetable was implemented since there had not been run
night trains before.
The importance of a fixed interval frequency KPI depends on what timetable
philosophy is preferred: Specific demand oriented or fixed interval? Passenger
demands for a night train timetable probably focus on transporting people
between suburbs and the city centre. Since the service frequency is only 1 train
per hour for each train service line 3 trains per hour through Copenhagen this
KPI loses some importance.
This gives the possibility to look into a different timetable category where all
trains meet at Kbenhavn H, for example on the hour inspired by the Swiss
Bahn 2000 timetable concept. This requires that 2 different trains can make use
933
of the same plat form track at the same time, which technically is possible.
Reduced functionality in the existing signalling system reduces the headway
between two trains running in the secondary direction on a given track to
approximate 5 minutes. The essential requirements from Rail Net Denmark the
possibility to unhindered carrying out maintenance work at night make this
timetable category unfeasible. This timetable category could be looked into when
an improved signalling system for example a CBTC system is available.
The KPI for transfer waiting time identifies good and bad transfer
possibilities at stations but does not indicate how many customers are affected by
these. Weighting each transfer relation with the number of passengers making
use of it looking at passenger transfer minutes instead of simply transfer
minutes would give a more correct picture.
Transfer stations have been chosen based on an unbiased approach to the train
service line patterns. If the same transfer can be achieved at a series of stations, it
has not been investigated if one station offers a more comfortable transfer than
the others e.g. because of a station canopy, and therefore would be chosen by
transferring passengers.
One transfer aspect has not been covered by the chosen transfer KPI: In the
DSB S-tog timetable variant it is possible to make a transfer from the train
leaving Svanemllen towards Kbenhavn H at minute 43 to the train leaving
Svanemllen towards Kbenhavn H at minute 39, by using the F line from
Ryparken to Ny Ellebjerg. Unfortunately this is not possible for passengers in the
opposite travelling direction between trains leaving Dyblsbro at minute 25 and
29. The DSB S-tog timetable variant gives better opportunities to make use of
line F in regards to transfer possibilities but is not given any reward for this. To
deal with this, developing an existing KPI or adding an additional KPI is needed.
Travel time is a very important KPI. The suggested KPI indicates if planned
travelling times, within a given analysis section, are close to the shortest
possible. This should be weighted with the number of passengers affected by this
to see how many passenger scheduled waiting time minutes are generated.
A new timetable can attract new passengers to an existing railway system. To
calculate weighted KPI for a number of new timetable variants, input from a
traffic model estimating future passenger numbers is needed. Having this
available improves the evaluation of future timetables.
To get an insight into the influence of dedicated rolling stock, personnel and
tracks to a timetable variants vulnerability to primary delays and delay transfers
from train to train, a simulation of the timetable can be helpful. The punctuality
data from a simulation can be multiplied with passenger numbers using a
passenger delay model, giving an estimate of passenger delay minutes [1, 5].
In this timetable variant evaluation and comparison, changes only occur on
parts of the network served by train service lines A, B and C. The timetable for
Line F is kept constant in all 3 variants. Creating a fixed service frequency of 20
minutes on parts of the network could give the idea to do the same on line F.
This can potentially improve the transfer KPI for stations on line F but increases
the need for trains from 2 to 3. The arrival and departure times for line F could
also simply be translated to potentially achieve better transfer waiting times.
6 Conclusion
Six key performance indicators (KPI) have been selected for use in an evaluation
of 3 timetable variants for suburban night trains in Copenhagen. These KPIs are:
fixed interval frequency, transfers, dedicated rolling stock, dedicated personnel,
dedicated tracks and travel time.
Calculation of these KPI demanded three different ways to divide the railway
network into sections of analyses. An approach as suggested in the UIC-406
method has been adapted, relevant transfer stations identified and ratios of train
departures been recommended.
Evaluation of different alternatives for suburban night trains using selected
KPI scores show that the implemented DSB S-tog suburban night train timetable
variant is the best. It achieved a KPI score of 0.71 whereas timetable variants 1
and 2 got 0.69 and 0.68 respectively. This indicates that DSB S-tog has taken the
topics covered by the proposed KPI into account in their timetable development
process.
The differences in achieved scores are minimal and therefore give a weak
basis for making a decision on which timetable variant to implement. To see the
differences between timetables more clearly it is necessary that each KPI must be
weighted with its importance and weights for example estimated or registered
passenger numbers also have to be part of the specific calculations for each
KPI.
References
[1] Schittenhelm, B. & Landex, A., Quantitative Methods to Evaluate Timetable
Attractiveness, Proc. of the 3rd Int. Seminar on Railway Operations
Modelling and Analysis, Zrich, 2009
[2] UIC 406 leaflet 406, Capacity, 1st edition, UIC International Union of
Railways, France, 2004
[3] Landex, A., Methods to estimate railway capacity and passenger delays,
PhD Thesis, Technical University of Denmark, 2008
[4] Wardman, M. & Shires, J. & Lythgoe, W. & Tyler, J., Consumer benefits
and demand impacts of regular train timetables, International Journal of
Transport Management, (2), 2004
[5] Landex, A. & Nielsen, O.A., Modelling expected train passenger delays on
large scale railway networks, Proc. of the 7th World Congress on Railway
Research, 2006
[6] Landex, A. & Nielsen O.A., Timetable Planning & Information Quality,
WIT Press, (chapter) Simulation of disturbances and modelling of expected
train passenger delays, eds. I.A. Hansen pp. 85-94, 2010
935
A cooperative strategy framework of train

rescheduling for portal junctions leading into
bottleneck sections
L. Chen1,2, F. Schmid2, B. Ning1, C. Roberts3 & T. Tang1
1

2
School of Civil Engineering, University of Birmingham, UK
3
School of Electronic, Electrical and Computer Engineering,
University of Birmingham, UK
Abstract
On main line railways, bottleneck sections in urban area usually have high
intensity traffic flows because of trains converging from different origins
through portal junctions. As a result, a small delay to one train can cause long
knock-on delays to following trains because of the limit margin time and
recovery time in the nominal timetable in bottleneck sections. This paper
proposes a cooperative strategy framework for train rescheduling of portal
junctions leading into bottleneck sections to decrease the overall delay and
recovery from the unpredictable event of disturbances. The strategy is mainly
based on an improved Differential Evolution algorithm for the Junction
Rescheduling Model (DE-JRM), which is proved to be suitable for solving train
rescheduling problems for both individual fly-over junctions and flat junctions.
Keywords: train rescheduling, differential evolution, bottleneck sections.
1 Introduction
In practical railway operations, most train delays occur in junction areas, where
trains from different origins converge. Because of the conflict at the junction
point, a delay to one train can cause unplanned stops and consequential delays
for the trains on other converging routes. A typical example is shown in
Figure 1. Train 1 and train 2 approach the station ahead from different routes, via
doi:10.2495/CR100841
Figure 1:
Example of train rescheduling.
the same junction point. The nominal train trajectories for the two trains are
shown as curve 1 and curve 2 in Figure 1, respectively. For instance, if train 1 is
delayed from curve 1 to curve 3 because of some disturbance, it will cause
conflicts with train 2 at the junction point. Without timely traffic management,
train 2 has to take an unplanned stop before the junction point, as shown with
curve 5. This consumes more time and increases energy consumption. If the
conflict can be detected and train 2 can acquire a new train rescheduling decision
from the traffic management system in advance, the driver of train 2 can slow
down the train when approaching the junction point, as shown with curve 4, and
the unplanned stop caused by the delayed train 1 can be avoided. This will
reduce train delay and energy consumption in the event of disturbances.
Considering all approaching trains to the junction point in a time window, the
rescheduling problem refers to the optimisation of route setting sequences and
train arrival time at junction points.
On many railways, sections of the infrastructure with junctions at the portals
are described as bottlenecks. These usually have the highest traffic flows in
railway networks. A typical urban railway configuration, with a bottleneck
section and the associated approach tracks, is shown in Figure 2. Generally,
bottleneck sections are located at the heart of networks, between portal junctions
where many trains converge from a range of origins and diverge to a variety of
destinations. In this scenario, a relatively short delay to one train may cause long
consequential delays for following trains, because of resource conflicts at
junctions and dense traffic flow in bottleneck sections. Conventional train
service management approaches cannot achieve reliably a level of timetable
adherence that permits accurate presentation of trains at portals. A great deal of
effort has been devoted to the train rescheduling in these areas, to ensure optimal
use of the available capacity and to minimise the disruption to services from
some unpredictable incidents [1-3].
Figure 2:
937
Layout of generic bottleneck sections.
The prediction of approaching train movement and the detection of potential

conflicts are essential for train rescheduling in junction areas. The prediction
mainly depends on the rescheduling decisions in the adjacent junctions. So the
rescheduling decisions in adjacent junctions could have influence on each other.
The decision making for individual junctions needs to know the decisions made
in the adjacent junctions in advance. That means if there are no any cooperative
mechanism applied into the decision making process for junctions, the local
optimal decisions generated by each junction may not be optimal solutions to
other junctions, even cause conflicts between each other and eventually have
feedback to the initial rescheduling decisions. It could make the local optimal
decisions infeasible. Because of the limit of recovery and margin time in
bottleneck sections, the cooperative rescheduling of approaching trains for portal
junctions of bottleneck sections is an efficient approach to maintain high service
quality and gain better associated cost expressed in different aspects like
monetary terms, weighted delay minutes and energy consumption etc., as well as
the particular definition of passenger satisfaction (Tomii et al. [4]).
Relevant papers have been published on different aspects of railway traffic
management and control with different modelling methods (Alternative Graph,
D'Ariano et al. [1], Discrete Event Modelling, Dorfman and Medanic [3],
Object-oriented Modelling, Goodman and Takagi [5], Description Language for
rescheduling patterns, Hirai et al. [6], etc), solution algorithms (Intelligent
Search [1, 2], Dynamic Programming Ho et al. [7] etc), and also collaborative
rescheduling for distributed railway traffic control based on a heuristic search for
optimisation of train sequences (Chou et al. [8]).
Earlier studies on optimisation of rescheduling decisions mostly focused on
solving combinatorial optimisation problems like train sequences change, trains
connections combination, trains re-routing, while disregarding the train running
time optimisation issues together. The rescheduling strategy in this paper is
focused on the retiming and re-sequencing of perturbed trains approaching portal
junctions of bottleneck sections. A cooperative strategy framework for train
rescheduling of portal junctions leading into bottleneck sections is proposed. The
strategy is mainly based on an improved Differential Evolution algorithm for
Junction Rescheduling Model (DE-JRM) which is proved to be suitable for
solving train rescheduling problems for both individual fly-over junctions and
flat junctions, based on a quantitative statistical evaluation method.
Figure 3:
Sketch map of junction rescheduling decision making.
This paper is organised as follows. In section 2, an individual junction

rescheduling methodology is briefly introduced. Section 3 describes the
quantitative statistical evaluation of DE_JRM for both flyover junctions and flat
junctions. Finally, a cooperative strategy framework for train rescheduling of
portal junctions leading into bottleneck sections is proposed.
2 Train rescheduling for individual junctions

2.1 Junction rescheduling model (JRM)
The basic JRM principle can be represented as shown in Figure 3. Binary
Decision Trees can be used for the graph based modelling of the process of
rescheduling trains through a two tracks junction. For a fly-over junction, the
route 1 and route 2 shown in Figure 3 are grade separated by bridges or tunnels.
There will be one potential conflict point caused by the trains on approaching
route 0 and 1. The rescheduling decision making process can be graphically
modelled with the decision tree shown in the bottom left. Every branch of the
decision tree(s) denotes a route setting for the trains on different routes
approaching the junction. The train arrival time can be denoted with the length of
branches. For a flat junction, two potential conflict points are created by
approaching trains on three different routes (Route 0 and Route 1, Route 2 and
Route 1), so that two decision trees with a common branch (Route setting 1) are
used for the graph based modelling. The optimisation objective is to find the
optimal decision tree branch routes with the optimal duration (train arrival time)
complying the constraints of operation and signalling systems. The objective
function in this paper is defined as Weighted Average Delay, which reflects the
deviation of rescheduled timetable with nominal timetable and the effects on the
passengers on board. The details of the mathematic formulation of JRM were
presented in Chen et al. [9].
939
The presented optimisation problem for train rescheduling in junction areas is

a typical NP-hard problem, as well as a hybrid optimisation problem. It is
unlikely to find a classic optimisation algorithm that solves such a problem in a
polynomial time. However, it is possible to find near optimal or acceptable
solutions in a reasonable time using an efficient algorithm.
2.2 Differential evolution algorithms for JRM
To solve the presented hybrid optimisation problem including continuous
variables (train arrival time) and discrete variables (route setting decisions), an
improved Differential Evolution (DE) algorithm is proposed to optimise the
continuous train arrival time, taking discrete route setting decisions as constraints
for the algorithm. DE algorithms are proposed to be simple and efficient evolutionary approaches for handling continuous variable optimisation problems by
Storn and Price [10]. The improved Differential Evolution algorithm for Junction
Rescheduling Model (DE-JRM) presented here is based on the DE algorithm
JADE presented by Zhang and Sanderson [11]. An additional operation
Modification is added in the process of DE_JRM, compared with traditional
DE algorithms. The pseudo-code of DE-JRM is shown in Figure 4.
The main function of Modification is to adapt invalid solution individuals
generated by stochastic Mutation and Crossover operations based on the Greedy
Rules so that they become valid in terms of the constraint rules of JRM because
of the train operation and control constraints like train headway control, train
running time limit etc. The details of algorithms DE_JRM can be seen in Chen et
al. [9]. On the basis of large numbers of valid individuals in every generation,
DE-JRM can evolve improved solutions from generation to generation and
converge after numbers of generations.
Figure 4:
Pseudo-code of DE_JRM.
3 Evaluation of DE_JRM for both fly-over junction and

flat junction
To validate the efficiency of DE_JRM for both fly-over junction and flat
junction, a method based on Monte-Carlo simulation methodology is used to
evaluate the performance of the algorithm DE-JRM quantitatively, in terms of a
Statistical WAD (SWAD). The First-Come-First-Served (FCFS) strategy, which
has been widely used for junction control in British railways, was chosen as the
bench mark for performance comparison.
A sketch map of the layout for the case study with two types of scenarios is
shown in Figure 5. The left graph shows the configuration with a typical fly-over
junction and the right one shows the configuration with a typical flat junction.
These two main types of scenarios were studied for the evaluation of the
proposed algorithm for train rescheduling. In each scenario, DE_JRM and FCFS
rescheduling strategies will be applied and the performance will be compared for
both fly-over junction scenarios and flat junction scenarios where 24 trains from
different origins approach.
Figure 5:
Figure 6:
Sketch map of two types of scenarios for case study.
Comparison of SWAD for fly-over junction and flat junction.
941
As required by the Monte-Carlo simulation methodology, large numbers of

perturbed scenarios are generated for simulation experiments based on the train
delay probability distribution of boundary arrival time, and Statistical WAD
(SWAD) can be gained from simulation results of 10000 independent
experiments for DE-JRM and FCFS. SWAD represents the overall performance
value, and the comparison is shown in Figure 6. SWAD is expected to be smaller
when better train rescheduling algorithms or strategies applied. It can be seen
that, for both fly-over junction and flat junction, the WAD can be significantly
decreased by rescheduling with DE_JRM compared with FCFS.
4 Framework of cooperative strategy for portal junctions of

bottleneck sections
The presented rescheduling methodology can be used for train rescheduling of
individual junctions. For bottleneck sections, there are usually two junctions
located at the portals where many trains converge from different origins. As
shown in the Figure 7, the output train flow of one portal junction will be the
input train flow of another portal junction. If the two portal junctions are located
far away from each other that the train running time between two portal junctions
is much longer than the rescheduling time window. That means the rescheduling
decisions making in one portal junction do not need to know the rescheduling
decisions making in another portal junctions in advance because the prediction of
trains movement from another portal junction in one rescheduling time window
will not be affected by the new rescheduling decisions of another portal junction.
If the two portal junctions are located not far away from each other, the
rescheduling decisions made in one portal junction will depend on the
rescheduling decisions made in another one and have influence to each other. In
addition, if there is no cooperative mechanism between two portal junctions, it is
unlikely to get optimal decisions for both two portal junctions and could generate
Figure 7:
Coordinator for train rescheduling of portal junctions.
Figure 8:
Flow chart of the cooperative strategy.
conflicts in the rescheduling decisions each other. To avoid the possible conflict
decisions and try to get optimal decisions for both two portal junctions, a
coordinator is introduced as shown in Figure 7. The main task of the
coordinator is to check the conflicts of the rescheduling decisions from two
portal junctions and modify the decisions if necessary in the process of decisions
making. The aim of modification operation in the coordinator is to adapt the
invalid solutions to be valid in terms of signalling and operation constraints in
bottleneck sections.
The flow chart of the cooperative strategy is shown in Figure 8. Based on the
DE_JRM algorithm for individual junction rescheduling, the modification
operations in rescheduling process of two portal junctions are integrated into the
coordinator. All of the generated decision solutions will be sent into the
coordinator for conflicts check and modification. As well, the total cost of the
decisions for two portal junctions will be calculated in the coordinator. The
updated decision solutions without conflicts and the total cost of the decision
solutions will be sent back to the rescheduling decision units of two portal
junctions. The current best solution is the best solution for all trains approaching
the bottleneck sections combining the best solutions from two portal junctions in
current generation.
Based on the proposed cooperative strategy framework for the train
rescheduling of portal junctions, the train rescheduling problem for bottleneck
sections can be divided into distributed individual junction rescheduling
problems with cooperative mechanism between each other. This framework
943
gives a parallel rescheduling decision making approach for two portal junctions
of bottleneck sections. Compared with centralised rescheduling decision making
for bottleneck sections, this framework can decrease the dimension of
rescheduling problem by half and also ensure that the rescheduling decisions
have no conflicts. The data transmission between the coordinator and
rescheduling decision units of two portal junctions will not take long time by
local area networks as the decision data amount is not large and can be
transmitted within only several data frames in one generation of the algorithm.
5 Conclusions
Since both the margin time and the recovery time in the timetable for trains in
bottleneck sections are limited, train rescheduling on the converging routes is a
useful approach to achieving recovery from disturbance in railway operation in
junction areas. A cooperative strategy framework for train rescheduling of portal
junctions leading into bottleneck sections is proposed in this paper based on an
improved Differential Evolution algorithm for Junction Rescheduling Model
(DE-JRM) which has been proved to be suitable for solving train rescheduling
problems for both individual fly-over junctions and flat junctions. The ongoing
research is focused on the validation of the proposed cooperative strategy in
terms of computation time, goodness of rescheduling solutions etc.
Acknowledgements
This paper was supported by National Natural Science Foundation of P. R. China
(No.60634010), and funded by Network Rail UK.
References
[1] D'Ariano, A., Pranzo, M. & Hansen, I. A., Conflict Resolution and Train
Speed Coordination for Solving Real-Time Timetable Perturbations.
Intelligent Transportation Systems, IEEE Transactions on, vol.8, no.2,
pp.208-222, 2007.
[2] Sahin, I., Railway traffic control and train scheduling based on inter-train
conflict management. Transp. Res.Part B, vol. 33, no. 7, pp. 511534,
1999.
[3] Dorfman, M. J. & Medanic, J., Scheduling trains on a railway network
using a discrete event model of railway traffic. Transp. Res.Part B, vol.
38, no. 1, pp. 8198, 2004.
[4] Tomii, N., Tashiro, Y., Tanabe, N., Hirai, C. & Muraki, K., Train operation
rescheduling algorithm based on passenger satisfaction. Quarterly Report of
RTR, Vol. 46, No. 3, pp.167-172, 2005.
[5] Goodman, C.J. & Takagi, R., Dynamic re-scheduling of trains after
disruption. COMPRAIL 2004, pp.765-774, 2004.

[6] Hirai, C., Tomii, N., Tashiro, Y., Kondou, S. & Fujimori A., An algorithm
for train rescheduling using rescheduling pattern description language R.
COMPRAIL 2006, pp. 551-561, 2006.
[7] Ho, T. K., Norton, J. P. & Goodman, C. J., Optimal traffic control at
railway junctions. IEE Proc., Electric. Power Appl., vol. 144, no. 2, pp.
140148, 1997.
[8] Chou, Y. H., Weston, P. F. & Roberts, C., Collaborative Rescheduling in a
Distributed Railway Control System. Proceedings of 3rd International
Seminar on Railway Operations Modelling and Analysis (CD-Rom), pp. 117, 2009.
[9] Chen, L., Schmid, F., Dasigi, M., Ning, B., Roberts, C. & Tang, T., Realtime train rescheduling in junction areas. Proc. IMechE, Part F: J. Rail and
Rapid Transit, Accepted, 2010.
[10] Storn, R. & Price, K., Differential Evolution A Simple and Efficient
Heuristic for Global Optimization over Continuous Spaces. Journal of
Global Optimization, vol. 11, pp. 341-359, 1997.
[11] Zhang, J. & Sanderson, A. C., JADE: Self-Adaptive Differential Evolution
with Fast and Reliable Convergence Performance. Evolutionary
Computation, 2007 IEEE Congress on, pp.2251-2258, 2007.
945
Circle rail transit line timetable scheduling

using Rail TPM
J. Zhibin, G. Jia & X. Ruihua
School of Transportation Engineering, Tongji University, China
Abstract
Timetable scheduling is an important and difficult task in operation. Rail TPM is
a user-friendly rail transit timetable scheduling tool, it can be easily scheduled
for simple-path, share-path or circle-path trains. This paper emphasizes the
definition of circle line topology structure, time-space structure, calculation and
application of rolling stocks, rolling stocks assignment, train storage
management, transfer schemes and so on. Finally, a case study of Line 4 in
Shanghai illustrates the practical value of the Rail TPM program.
Keywords: rail transit, time-space diagram, circle routing, computing, Rail
TPM.
1 Introduction
The growing mobility in the big cities of China puts pressure on both the road
and the rail transit network. High quality rail transit services are needed to
facilitate the increasing numbers of passengers. The rail transit system plays a
key role in mobility in urban cities. With the rapid development of rail transit
lines in China, more and more types of transit lines are in operation, such as Y
type and circle type lines.
Rail transit has the characteristics of simple track, small train interval, flexible
rolling stock turn-back, and high peak-time passenger flow and so on. Timetable
scheduling is an important and difficult task in operation. The circle line is very
important in the rail transit network. The flow characteristics, traffic organization
and passenger organization of the circle line are different from other rail line
types. In particular, the train diagram compilation in a circle line needs to
consider the line structure, flow characteristics, customer service and rolling
stock assignment. References [4] and [5] studied the key issues of time-space
doi:10.2495/CR100851

scheduling in a single routing line in detail. This paper mainly researches the key
issues of timetable scheduling in a circle line with the computer tool Rail TPM,
focuses on the line topology structure, time-space structure, rolling stock
assignment, rolling stock storage management and transfer scheme of the circle
line.
2 Circle line and ring routing in urban mass transit

2.1 The characteristics of ring routing
If the rail transit network has a circle line, the ring routing needs to be
considered. In the circle routing, the trains always run in a certain direction
(clockwise or counterclockwise); train turn-back operations are not needed. In
some complicated rail transit networks, there are some special ring routings
constituted by different lines, which are illustrated in fig. 1.
2.1.1 Single ring line
The single ring line is commonly found in urban centers, showed in fig.1-a. It
has the characteristics of small intervals, short distance stations, high peak-time
passenger flow and high transfer passenger flow. This line type is common in
developed rail transit networks, such as the Beijing metro line 2 and the Moscow
circle metro line.
2.1.2 Ring line plus straight line
The straight line plus ring line is a special line kind, showed in fig.1-b and
fig.1-c. The ring line and branch line can be connected with each other. The
operational schemes of this line kind are complicated, and the time-space
scheduling is more difficult. This line type is more common in a developed
urban mass transit network, such as the Shanghai No. 3 line and No. 4 line (ring
in the middle, there are nine shared stations), the Tokyo Yamanote Line (ring at
the end) and Seoul Subway No. 2 line (one ring plus two branch lines).
2.2 The basic characteristics of train operation in a circle line
The train operation of a circle line has some significant features.
a. Single ring Line

Figure 1:
b. Ring in the middle
c. Ring in the end
Circle line structure in a rail transit network.
947
2.2.1 The turnaround of rolling stock is simple

The ring line is linked together from beginning to end, the trains always run in a
certain direction (clockwise or counterclockwise). The turn-back of rolling stock
is very simple. There are no any fixed beginning stations and terminal stations,
and there also are no train turnaround operations; in addition, the train operations
can be out of or in depot.
2.2.2 The operations of the inner ring and outer ring are independent,
which is suitable for the design of an asymmetric time-space diagram
The inner ring and outer ring are independent, so their operations will not
interference each other, and the running intervals of the inner ring and outer ring
could be different. These characteristics are beneficial for timetable scheduling,
and the train operation adjustment is easier. For example, if the trains of one
direction were delayed, the opposite directions trains will not be influenced.
That means the anti-interference capability of the circle line is more stable than
the straight line.
2.2.3 Different direction trains can reach the same destinations, and
passengers choices are flexible
In the circle line, the trains in both directions could reach passengers
destinations, although the travel times are different. Regardless of the travel
time, passengers could choose the comfortable direction to travel. In this way,
the carrying capacity of both lines could be utilized fully to reduce the
unbalanced degrees in different directions.
3 Key issues of timetable scheduling in a circle transit line

3.1 Topology structure definition of a circle line
With the strong connectivity, the topology structure of ring line should be
defined firstly. For describing the characteristics of train operations in ring line, a
station should be virtualized, then the ring line be virtualized to be a straight line.
For example, the station a in fig. 2 was virtualized to be the stations a and
a.
c
a
b
Figure 2:
a'
Topology structure of a circle line.
a'
a(a)
Figure 3:
a
d
c
b
a'
Time-space diagram structure of a circle line.
a
d
c
b
a'
Figure 4:
Time-space diagram of a circle line.
3.2 The definition of the time-space diagram map structure

Because of the complication of base map structure, the time-space diagram map
structure of total line should be illustrated firstly for describing the train running.
Reasonable base map structure is benefit to the rolling stock circulation. Fig. 3 is
the example of time-space diagram structure.
3.3 Display method of a running line
In order to express train running process more clearly and directly, the display
method of running line must be simply, directly and friendly, such as that
showed in fig. 4.
3.4 Calculation and application of rolling stocks
In circle line, if the virtual original or terminal station only has double track, the
trains could not stay in these stations too long. If no such, the follow-up trains
will be affected. When scheduling in circle rail transit line, the running intervals
and total running time should be considered synthetically.
The trains in inner ring and outer ring could run independently, so the number
of rolling stocks needs to be calculated separately. The total number of rolling
949
stocks is decided by the train interval and total running time. The computational
formulas are as follows:
(1)
N N inner N outer nreserve
inner
N inner T inner / tinterval
(2)
outer
N outer T outer / tinterval
(3)
n 1
j 1
j 1
n 1
j 1
j 1
T inner rninner tninner

T outer rnouter tnouter
where N is the number of rolling stocks;
(4)
(5)
N inner is the number of rolling stocks in
N outer is the number of rolling stocks in outer circle ring

inner
is the cycle
(unit); nreserve is the number of reserve rolling stocks (unit); T
inner circle ring (unit);
time in inner ring (s); T
outer
is the cycle time in outer ring (s); tinterval is the
average interval; n is the total number of stations;

is the stopping time (s).
r is the running time (s); t
3.5 Rolling stock storage management

If the ring lines have many depots, there will be various scheme of rolling stock
storage management. The rolling stock operation of depot should consider the
flexibility and economy firstly.
3.6 Schedule of first and last trains
The management of first and last trains is an important factor of scheduling.
Circle line has many transfer nodes, so the running operation of first and last
trains in other lines should consider the schedule of circle line.
3.7 Connection of trains in the transfer station
The connection of trains in transfer station should to be considered emphatically
for shortening the transfer time of passengers.
4 Timetable scheduling process in a circle routing line

When computing the time-space diagram in circle routing, the line topology
structure and base map structure should be constructed firstly. Based on the
passenger flow and running intervals, the total running cycle time in inner ring
and outer ring should be calculated separately. After matching the running

intervals and running cycles, the number of rolling stocks could be calculated to
compile the time-space diagram. Then the rolling stock storage management and
transfer scheme of circle line could be made out. At last, the time-space graph
and relevant indexes can be exported. The total process is illustrated in fig. 5.
5 Case application
The above designing thought has been applied to the Rail Transit Train Plan
Maker System (Rail TPM V4.8). Rail TPM is a user-friendly rail transit
timetable scheduling tool, it can be easily scheduled the simple-path, share-path
or circle-path trains. Using this software, the time-space diagrams of Shanghai
Metro Line 4 and Beijing Metro Line 2 had been compiled successfully. With
this tool, the efficiency and speed of computing time-space diagrams could be
raised.
Start
Topology structure building
Base map building
Running intervals inputting
Running cycle adjusting
Whether the cycle and

intervals matches?
Y
Rolling stocks calculating
Whether the rolling

stocks matches?
Y
Running routings drawing
Storage lines drawing
Transfer optimizing
Indexes exporting
End
Figure 5:
Flowchart of time-space diagram computing in circle routing.
Figure 6:
Figure 7:
951
Metro line 4 in Shanghai.
409# time-space diagram in Shanghai Metro line 4.
The Shanghai Metro Line 4 is about 34 kilometers, with 26 stations, and has
nine shared stations with metro Line 3 (showed in fig. 6). Fig. 7 is the time-space
diagram examples of Metro Line 4.
6 Conclusion
To computing the time-space diagram in circle lines, the line topology structure,
time-space structure, rolling stock assignment, rolling stock storage management
and transfer scheme should be considered comprehensively. With the frequently

change of passenger flow characteristics in time and space, the time-space
diagrams in circle line could be computed with Rail TPM timely. The computing
efficiency and passenger service level could be raised.
References
[1] Wong Rachel, C. W., Yuen Tony, W. Y., Fung Kwok Wah et al.
Optimizing timetable synchronization for rail mass transit. Transportation
Science, 42(1), pp.57-69, 2008.
[2] Peeters Marc & Kroon Leo. Circulation of railway rolling stock: a branchand-price approach. Computers & Operations Research, 35(2), pp.538-556,
2008.
[3] Kroon Leo, Maroti Gabor, Helmrich Mathijn Retel et al. Stochastic
improvement of cyclic railway timetables. Transportation Research Part B:
Methodological, 42(6), pp.553-570, 2008.
[4] Xu Ruihua, Jiang Zhibin. Key problems of designing train timetable in
urban mass transit system with computer. Urban mass transit research,
8(5), pp.31-35, 2005.
[5] Jiang Zhibin, Xu Ruihua, Designing multi-interval train working diagram in
urban mass transit system with computer. International Doctoral Student
Innovation Forum in Traffic and Transportation Engineering, Zhu
Zhaohong, China Communications Press: Beijing, pp.75-82, 2005.
953
A simulation analysis of train rescheduling

strategies on Chinese passenger dedicated lines
Z. He1, L. Meng2, H. Li2 & L. Nie2
1
State Key Lab. of Rail Traffic Control and Safety,

2
Abstract
Train rescheduling plays a vital role in railway operation. Many factors should
be considered in the train rescheduling process and train class, delayed time,
remaining distance and current position are the most common ones. There are
usually different measures aiming at corresponding factors and combinations of
the measures with different priorities compose various train rescheduling
strategies. Furthermore, different strategies lead diverse results and they are
applicable to various scenarios respectively. This paper researched the effects of
different train rescheduling strategies in the background of Wuguang passenger
dedicated line by means of simulation experiments. It analyzed class-based
strategies first and achieved the suitable strategy and its related parameters. Then
it analyzed the influence of different combinations of high-speed strategies and
middle-speed strategies under different perturbation scenarios.
Keywords: train rescheduling strategy; passenger dedicated line; simulation.
1 Introduction
Train rescheduling is the key work in railway operation. Its basic idea is to
determine a new order of the trains when some perturbations make current
schedule disordered and infeasible. Many factors should be considered together
and corresponding measures will be taken in this process. The measures and their
various combinations compose different train rescheduling strategies which will
probably lead diverse results and are applicable to various scenarios respectively.
Because of high density and high speed of trains, train rescheduling work in
Chinese Passenger Dedicated Lines (PDL) is more difficult than that in
doi:10.2495/CR100861

traditional lines. In addition, the mix-speed operation mode that high-speed
trains and middle-speed trains run on the line simultaneously will be applied in
many of these lines and will last for many years, which will increase the
difficulty of train rescheduling much further. Due to too many factors involved
in the process of train rescheduling, effectiveness of each strategy can hardly be
calculated by pure mathematical ways. Therefore, computer simulation becomes
the common way for analysis of train rescheduling strategies. Nie [1] and
Zhang [2] analyzed impact factors in train rescheduling by simulation and gave
some good ideas. Jin [3] also analyzed the dispatchers preferences which would
be helpful to the research of the train rescheduling strategies.
This paper will analyze the influence of different strategies on train
rescheduling in Chinese PDL by means of computer simulation. The analysis of
simulation data under different strategies will provide foundations for reasonable
and effective train rescheduling strategies in Chinese PDL.
Analysis of train rescheduling strategies
When perturbations occur, some conflicts will generally take place which will
make current schedule infeasible. To resolve the conflicts and get new optimized
schedules composed the main work of train dispatchers. The common approach
is to resolve each conflict from the earliest one and rearrange order of trains pair
by pair, as shown in Figure 1. Some researchers had developed the algorithms in
accordance to this idea [4-6].
Detect Conflicts
Has conflicts?
Y
Select earliest
conflict
Rearrange orders of
2 trains involved
Drive trains
End
Figure 1:
Process of train rescheduling.
955
In this process, new order will be assigned to involved trains according to

their characteristics and, in which train class, delayed time and remaining
journey are the most common ones. Some strategies are hereby created and
applied to determine which train will depart firstly.
Train class is usually a primary factor in train rescheduling, which makes the
class-based rescheduling strategies- severe strategy and flexible strategy- become
the basic strategies in train rescheduling. Severe strategy (Strategy P0) means
that higher-class trains will undoubtedly depart first. Flexible strategy (Strategy
P1) means that lower-class trains can depart first in some cases.
Then various strategies are designed aiming at delayed time and remaining
journey respectively in order to study the influence of respective strategies on the
trains with different classes in PDL. Under the precondition of class-based
rescheduling (strategy P0 or P1), the strategies will be designed as following:
If the trains involved in the current conflict have different class, strategy P0 or
P1 will be applied to determine which train has higher priority, otherwise, one of
the following 5 strategies may be used:
1) Strategy 1: The trains will depart in accordance with their current order
and all the other factors will be ignored.
2) If both of the trains involved in the current conflict are delayed, they will
depart in accordance with their current order. However, if one of the trains is
delayed and another is punctual, then the strategy will be:
Strategy 2: The punctual train will always depart first.
Strategy 3: The delayed train can depart first only if delayed train run
ahead of punctual train currently and the time difference between the earliest
possible departure time of the delayed train and punctual train is less than I/2
(where I is the standard headway interval time). In any other cases, the punctual
train will depart first.
3) If the difference of remaining journey between the two trains is less than M
minutes where M is the running time of about 2-3 sections, they will depart
according to current order. Else, the following strategies will be applied:
Strategy 4: The train with longer remaining journey has the higher
priority and will depart first.
Strategy 5: The train with shorter remaining journey has the higher
priority and will depart first.
3 Simulation analysis of class-based strategies

The framework of the simulation is shown as figure 2. Simulation control
module controls occurrence of various perturbations, simulation iterations, kinds
of data analyzed and some other parameters. The strategies control module will
determine which strategy should be applied in current scenario. The train
advancing module is in charge of movement of trains and train primary delay
will come into being in this process. The rescheduling module will detect and
resolve each conflict in turn in the process of train advancing according to
different strategies loaded by strategy control module. Finally, the data statistics
and analysis module will collect and analyze simulation results when simulations
Perturbance
Configuration
Simulation Control
Strategies Control
Timetables
Trains advancing
Rescheduling
Data statistics
and analysis
Analysis
Result
Figure 2:
Framework of the simulation.
aiming at each strategy have been accomplished. The detailed approach of train
advancing and rescheduling can be found in reference [6] and [7].
In this study, Wuguang PDL (from Wuhan to Guangzhou) was taken as
example. A timetable including 115 pairs of high-speed trains (1st class, 300-350
km/h) and 30 pairs of middle-speed trains (2nd class, 200-250 km/h) was made
for the simulation. High-speed trains are distributed into the timetable perioduniformly which means the quantity of the trains per hour is different in different
period (morning/ evening rush hours, normal time, etc.) but same within a
period. The middle-speed trains are assigned in the timetable also uniformly with
the density of 1-2 trains per hour except in rush hours (7:00-9:00 and 17:0018:00). Considering the relative abundant capacity of this line, the minimum
interval between two trains in the timetable is set to I+1 in order to ensure
enough buffer for train rescheduling. In addition, the allowance of the running
time is set to 6%-7%.
As mentioned above, there are 2 types of class-based strategies. The
difference between them is that whether the lower-class trains are permitted to
influence higher-class trains. In fact, the two strategies can be concluded into one
strategy as: when a conflict occurs between a higher-class train and a lower-class
train, the higher-class train can be moved only if it ran behind of the lower-class
train currently and the moved time is no more than N minutes. If N = 0, the
strategy is severe strategy, or it's the flexible one. Obviously, N is the key
parameter of class-based strategies.
First, N is set to 0 and the initial delay time of middle-speed trains which are
created by simulation control module is fitted to normal distribution with
expected value of 5, 10, 15, 20 (minutes) respectively. Meanwhile, there is no
delay with high-speed trains. In the process of train rescheduling, class-based
strategy is applied, and then the strategies 1-5 are applied to the middle-speed
trains respectively. The results are shown in table 1.
Table 1:
AIDT/
QIDT*
Results of middle-speed train rescheduling with different initial

delay time.
Strategy
QFDT
5:00/1.9
10:25/2
15:08/2
19:32/2
957
2
0.9
3
0.8
4
1
5
0.9
0.9
AFDT
27:55
40:24
34:57
29:53
32:09
TFDT
24:59
32:57
33:35
26:21
28:56
QFDT
1.8
1.5
1.6
1.8
1.8
AFDT
39:58
52:10
48:13
40:22
41:45
TFDT
1:10:53
1:17:01
1:15:46
1:12:33
1:13:34
QFDT
1.7
1.8
2.1
AFDT
43:56
58:54
54:24
43:48
45:30
TFDT
1:29:28
1:37:29
1:36:30
1:30:45
1:31:32
QFDT
2.4
1.9
2.5
2.4
AFDT
43:12
58:33
54:35
42:45
45:29
TFDT
1:44:55
1:51:15
1:50:28
1:45:52
1:47:14
*AIDT: Average Initial Delay Time;

QIDT: Quantity of Initial delayed trains;
TFDT: Total Final Delay Time
QFDT: Quantity of Finally Delayed Trains

AFDT: Average Final Delay Time
As we can see from table 1, when AIDT is greater than 10 minutes, the result
turns worse remarkably. The reason is that the middle-speed trains will generally
enter the time slots of high-speed trains and can hardly recover their delay time.
So ten minutes is an important critical value and will be used in the following
research.
Since then, the study will continue to simulate the cases in which 5% of
middle-speed trains will delay ten minutes averagely and N = 0,1,3,5,7 minutes.
In the process, strategy 1 will be applied in both middle-speed and high-speed
train rescheduling. The result is shown in table 2.
Table 2:
N
Middlespeed
trains
Highspeed
trains
QFDT
Influence of N on rescheduling results.

0
1
1.8
3
1.1
5
0.6
7
0.5
0.5
AFDT
39:58
26:10
19:58
21:17
18:46
TFDT
1:10:53
28:40
12:36
11:39
09:49
QFDT
0.3
0.4
0.5
1.1
AFDT
02:13
02:23
02:38
03:36
TFDT
00:36
01:03
01:26
03:49

The data above show that all the indices of middle-speed trains, especially
QFDT and TFDT, have been improved to a quite large extent with the increase
of N. When the value of N changes from 0 to 1 and 1 to 3 minutes, TFDT of
middle-speed trains increases obviously. However, when the value of N
continues to grow up, the increase of TFDT slows down. When the value of N
changes from 5 to 7 minutes, the result of high-speed trains turns worse
evidently. It indicates that there's a reasonable range of value for N. Considering
the change of indices of high-speed and middle-speed trains synthetically, 3 to 5
minutes is a suitable value to the strategy in this study. In addition, the real
interval between trains in the timetable of current study is about 4.5 minutes
(I+1).
The analysis above shows that the value of N should be a little less than the
real interval between high-speed trains. If N is more than real interval between
high-speed trains in the timetable, a high-speed train is possibly moved behind
the other one, which will result that the train can hardly recover from delay. The
quality of railway operation will turn worse severely along with it. Since then,
the value of 3 minutes is selected as the value of N in the following research.
4 Simulation analysis on different combinations of high-speed

strategies and middle-speed strategies under different
perturbation scenarios
Twelve scenarios of perturbations (train delay) are made after analyzing the
current operation of Chinese railway and shown as table 3.
Table 3:
Scenarios of perturbations.
High-speed trains
No
Middle-speed trains
Probability/%
Delay Time
(min)
Probability/%
Delay Time
(min)
10
15
15
10
10
10
10
15
10
20
15
11
10
20
15
12
10
15
20
15
4.5
4
S1
S2
S3
S4
S5
QFDT
3
2.5
2
1.5
TFDT
3.5
1
0.5
0
1
28:48
25:55
23:02
20:10
17:17
14:24
11:31
08:38
05:46
02:53
00:00
S1
S2
S3
S4
S5
959
High-speed Strategies
High-speed strategies
(a) High-speed trains

3.5
54:43
2.5
TFDT
QFDT
47:31
S1
S2
S3
S4
S5
S1
S2
S3
S4
S5
40:19
33:07
25:55
18:43
1.5
1
1
Middle-speed strategies
Middle-speed strategies
(b) Middle-speed trains

Figure 3:
Change of QFDT and TFDT.
After a number of simulation experiments, we got many useful data and found
some interesting facts.
As to each scenario, different combinations of high-speed and middle-speed
train rescheduling strategies will be applied with the precondition of strategy P1
(N = 3 minutes). It means that there are 25 strategy combinations applied to each
scenario since there are 5 types of strategies for high-speed and middle-speed
trains respectively.
1) The interference between a middle-speed strategy and a high-speed
strategy is very little in any scenario. We take the result of scenario 8 as
example. In this scenario, the QIDT and AIDT of high-speed are 3.6 and 5:20
and them of middle-speed trains are 3.4 and 10:00. The change of QFDT and
TFDT of high-speed trains are shown in figure 3(a) in which S1-S5 represent
current middle-speed train rescheduling strategies 1-5 and the number of x-axis
is current high-speed strategy.
As we can see from the figure 3(a), as to the same high-speed train
rescheduling strategy, when the middle strategy is changed, the value of QFDT
and TFDT almost keep invariable. (The maximum change of QFDT and TFDT
are 0.2 trains and 1:33)
Now we continue to research the influence of high-speed strategies on
middle-speed strategies. The example is also scenario 8. The change of QFDT
and TFDT of middle-speed trains are shown in figure 3(b).

The change of QFDT and TFDT of middle-speed trains is also very little
when high-speed strategy is changed, only 0.2 trains and 1:26 respectively.
Moreover, the characteristics about interference in other scenarios are very
similar to scenario 8. Therefore, the interference between middle-speed strategies
and high-speed strategies is little in any scenario. So we can generally pay no
attention to another type of strategies when we focus on high-speed or middlespeed train rescheduling strategies.
2) In the view of TFDT of high-speed trains, strategy 1 has the best result
according to the data in table 4, which is also right in other scenarios. It means
that strategy 1 can make better use of time allowance arranged in timetable than
other strategies. Therefore, strategy 1 should be recommended in high-speed
train rescheduling.
Table 4:
Result of high-speed trains rescheduling under several scenarios.
Scenarios
QIDT/
AIDT
3.6/
5:20
12
3.6/
5:20
3.6/
5:20
12.3/
15:04
High-speed
Strategies
QFDT
2
1.8
3
1.1
4
2.2
5
1.9
2.2
AFDT
05:01
17:25
07:41
06:32
05:23
TFDT
08:52
19:38
16:51
12:39
12:01
QFDT
2.1
1.6
2.8
2.2
2.8
AFDT
05:14
13:30
06:57
06:50
05:12
TFDT
11:00
21:42
19:14
15:20
14:41
QFDT
3.1
2.3
3.9
3.3
4.1
AFDT
04:42
11:05
06:13
05:49
04:49
TFDT
14:32
25:46
24:14
19:00
19:46
QFDT
18.9
12.6
17.8
19.6
20.1
AFDT
09:20
20:51
11:46
10:07
09:25
TFDT
2:56:41
4:22:22
3:29:17
3:18:56
3:09:19
3) The DFDT of high-speed trains of strategy 2 is the least one. So strategy 2

can be applied if the objective of train rescheduling is to minimize the quantity
of delayed trains. However, when we turn our eyes to TFDT, the result of
strategy 2 is the worst one.
The following work is to research the influence of different strategies on
middle-speed train rescheduling. Table 5 shows the result of middle-speed train
rescheduling in scenario 5, 8 and 12.
1) Comparing each AIDT with its corresponding AFDT, it will be found that
when middle-speed trains are delayed, their delay time will increase obviously
regardless of the strategies applied.
2) The difference of the results is very little when various strategies are
applied to the same scenario.
Table 5:
Scenarios
Result of middle-speed trains rescheduling under several scenarios.

QIDT/
AIDT
Middlespeed
Strategies
QFDT
12
961
1.7/4:57
3.4/10:0
0
6.7/15:3
2
1.2
1.2
1.2
1.2
1.3
AFDT
08:45
07:55
08:16
08:48
08:55
TFDT
10:31
09:50
10:02
10:19
11:16
QFDT
3.1
3.1
3.2
3.1
AFDT
13:11
15:39
14:08
13:34
13:55
TFDT
41:26
46:50
44:09
43:20
42:28
QFDT
9.9
9.5
9.8
9.9
9.8
AFDT
16:38
18:45
17:21
16:46
16:57
TFDT
2:44:22
2:57:25
2:50:30
2:46:44
2:45:50
The two facts above are also right in the other scenarios. They mean that the
rescheduling of middle-speed trains is still limited severely although strategy P1
is applied. If we want to achieve better results, the value of N must increase
further. However, it will lead to worsen high-speed train rescheduling results
remarkably.
5 Conclusions
The paper researched the influence of different train rescheduling strategies
designed by train classes, delayed time and the remaining journey on train
operation in passenger dedicated line under the operation mode with both highspeed and middle-speed trains by means of simulation. The simulation results
showed that:
1) If the middle-speed trains are permitted to move the high-speed trains, the
TFDT will decrease evidently, in other words, their anti-disturbance ability will
increase remarkably. The compelling moving time of high-speed trains should be
a little less than the real interval between high-speed trains in timetable in order
to improve the results of middle-speed trains rescheduling and keep the influence
on high-speed trains quit little at the same time.
2) The interference between middle-speed strategy and high-speed strategy in
the same process of train rescheduling is little in any scenario. So we can
generally pay no attention to another type of strategies when we focus on highspeed or middle-speed train rescheduling strategies.
3) In the view of finally delay time of high-speed trains, strategy 1 has the
best rescheduling result and should be recommended in high-speed train
rescheduling. The DFDT of high-speed trains of strategy 2 becomes the least
among all strategies, but the overall final delay time of strategy 2 is the worst.

4) The rescheduling of middle-speed trains is still limited severely by highspeed trains although strategy P1 is applied. So the difference of the result is
very little when various strategies are applied to same scenario.
The rescheduling strategy involves lots of factors and the relations among
them are very complicated. Besides the factors researched in this paper, the
strategy has also close relations with many other factors, especially the
parameters of timetable. Hence, the influence of the mode of timetable designing
and the values of all kinds of parameters of timetable on rescheduling strategy
will be the important work for the following research.
Acknowledgement
This study was sponsored by State Key Lab of Rail Traffic Control & Safety,
Beijing Jiaotong University (No.RCS2009ZT008). The authors deeply appreciate
the support.
References
[1] Lei Nie, etc. (2001), Study on strategy of train operation adjustment on high
speed railway. Journal of the China railway society, 23(4), pp. 1-6
[2] Xingchen Zhang (1998), A simulation analysis of middle speed train delay
influence under the operation mode with high and middle speed train in
Jinhu high speed railway, Journal of the China railway society, 20(5), pp. 1-6
[3] Fucai Jin (2004), Study on Theory and Methods of Multi-Objective
Optimization of Train Operation Adjustment, Doctor Dissertation, Beijing
Jiaotong Unitversity.
[4] J. Medanic, M.J. Dorfman (2004), Scheduling trains on a railway network
using a discrete event model of railway traffic, Transportation Research
Part B, 38, pp. 81-98
[5] Ismail Sahin (1999), Railway traffic control and train scheduling based on
inter-train conflict management, Transportation Research Part B, 33, pp.
511-534
[6] Zhenhuan He (2005), Study on adjustment method of operation diagram
with computer, railway computer application, 14(10), pp. 4-6
[7] Zhenhuan He, etc (2009), Research on Greedy Train Rescheduling
Algorithm, Proceedings of the 9th ICCTP, ASCEHarbin: Harbin Institute
of Technology.
963
An efficient MIP model for locomotive

routing and scheduling
M. Aronsson1 , P. Kreuger1 & J. Gjerdrum2
1 Swedish
2 Green
Institute of Computer Science, Sweden

Cargo AB, Sweden
Abstract
This paper presents a MIP model for a locomotive routing and scheduling problem
from the domain of freight railways. Innovative features of the model include the
use of binary variables to separate the integer and continuous parts of the problem
to maintain the flow character of the integer part of the problem. The model has
been developed with, and has found practical Green Cargo, the largest rail freight
operator in Sweden.
Keywords: vehicle routing and scheduling, rail traffic resource management.
1 Introduction
The increasing competition within the railway transportation sector requires
effective resource utilisation methods for companies such as Green Cargo, the
largest rail freight operator in Sweden.
In many countries in Europe, railroads have traditionally been state-owned
organisations with diverse interests in e.g. passenger traffic, freight traffic,
infrastructure and real estate investments. The Swedish state railway was
deregulated in all these areas around the millennium, creating separate companies
with dedicated resources. Before the deregulation, locomotives were used for
passenger traffic in the daytime and freight traffic at night. Today, locomotives are
dedicated to either cargo or passenger traffic, which has brought about utilisation
patterns such as in figure 1.
doi:10.2495/CR100871
Figure 1: Locomotive utilisation pattern without optimisation for typical week.
1.1 Timetabling
Railway operators on deregulated markets have to adhere to timetables partly
designed by the rail infrastructure managers. Operators apply for timed
infrastructure allocation (timetable slots) based on information about traffic
patterns, customer requirements, and operator resource consideration. If no slot
conflicts arise, the operators normally receive their slots, but if not, they either
have to accept alternative slots proposed by the infrastructure manager, or
negotiate to influence an arbitration process. In this negotiation process, arguments
involving customer demands and resource limitation are seriously considered by
the infrastructure manager.
This paper addresses the problem of generating schedules and corresponding
turnaround plans for locomotives, that have to satisfy both customer requirements
and limits on operator resource utilisation costs. Resource conflicts on
infrastructure resources are handled by the infrastructure manager and are out
of the control of the individual traffic operator and not addressed in this paper.
Similarly, vehicle maintenance requirements are handled in the fleet assignment
process that uses the proposed turnaround plan as input.
1.2 Locomotive optimisation
The locomotive optimisation process determines the turnaround plan for all
locomotives. In this process, a sequence of timetable slots are assigned to each
vehicle such that all transports are covered by the appropriate type and number of
locomotives. Transferring a locomotive from one transport to another is called a
turn, and the set of all turns is called a turnaround plan.
Traditionally, the timetable slots for the transports are considered as given in
this process. However, if the slots can be shifted in time, many turns that would
otherwise be considered infeasible become possible, which can lead to a reduction
in the number of locomotives required to perform the same number of transports.
965
Minimum cost network flow models are extensively used (see e.g. [1]) to compute
an optimal assignment of vehicles to scheduled transports (train movements).
Transports are represented as nodes in a network. The fact that a vehicle used
by one transport can also be used by another one, is represented as a (directed)
arc between their corresponding nodes. Classical network flow models of this
kind usually have set partitioning structure and binary flow variables so that each
transport is assigned to a unique vehicle.
A straightforward generalisation of this type of flow model for cyclic schedules
allows (small) integer values for the flows, and has been used for engine routing
in rail transportation (see e.g. [2]). In such models, additional integer variables are
associated with each node to encode how many vehicles travel with each transport.
Flow is conserved on each node, giving cyclic schedules for each vehicle. Lower
and upper bounds on the node variables capture the minimum and maximum
number of vehicles required and usable by each transport.
Lower bounds on the node variables in the cases considered here vary from
0 on (potential) vehicle relocations to 2 for heavy freight transports. Upper
bounds larger than the corresponding lower ones encode the possibility to relocate
additional accompanying locomotives with a planned transport that is already
served with the required number of vehicles. With a cost function penalising the
total number of vehicles needed, we get a straightforward and practical model that
has seen several years of practical use in e.g. the Swedish rail industry.
Normally, the network is statically generated using temporal non-overlap and
distance conditions on the transports. It would be of great practical value if this
kind of model could be generalised to allow for rescheduling of transports in
cases where this would significantly reduce the cost of vehicle usage. However,
using time windows for the departure times of the transports and an initial network
with connections between any two transports that arrive and depart from the same
location, breaks the locality (and hence, the network structure) of the model.
Problems of this general type are variants of the multiple Travelling Salesman
Problem (m-TSP). The case with time windows is normally referred to as a
multiple Travelling Salesman Problem with Time Windows m-TSPTW [1, 35].
This problem is normally (e.g. [6]) considered as a special case of the extensively
studied class Vehicle Routing Problems (VRPs) [7].
The current paper presents a practical MIP model of this problem that can be
used to efficiently and exactly solve practical problems up to the size of those
occurring in real life transportation planning, for moderate sizes of departure time
windows (< 3 hours), using a state-of-the-art commercial solver.
The model and its implementation for the solution of a large scale practical case
is presented. The transports in this case form a set of train transports with a fixed
schedule whose departure times are relaxed from 15 up to 90 minutes, and
the vehicles considered are the locomotives used to pull the trains. Performance
results for solving several versions of the practical problem using CPLEX 9 [8] on
a PC-type workstation are also reported.
3 Model parameters
The model is parametrised by a number of constants and variables with associated
bounds that will be summarised here. The constraints and objective function will
be presented in section 5. Note that we have chosen to present the variable bounds
in connection with their respective variables. Note also that the problem is periodic,
i.e., the transport schedule is repeated after a fixed period CT , typically a week.
The individual vehicle schedules may, on the other hand, span several such periods.
3.1 Constants
CT
ti
pi
loi , ldi
rij
Cycle time (period after which the transport schedule is repeated).

Travel time for transport i. We require each ti to be positive and
strictly smaller than CT .
Penalty per vehicle accompanying transport i above that of its vehicle
requirement.
Origin and destination locations of transport i.
Setup time (turn time) for the exchange of one or more vehicles
between transports i and j. We require each rij to be positive and
fulfil the inequality ti + rij < CT .
3.2 Decision variables (discrete)

Xij
Cij , Cij
Yij , Yij
Si
Ei
Integer variable, determining how many vehicles are turned

(transferred) from transport i to transport j. In the practical cases
considered below, the lower bound, Xi,j is normally 0, and the upper
bound Xi,j is either 1 or 2.
Boolean variables, used to determine if a turn from transport i to
transport j crosses the cycle time border CT .
Integer variables, which for any optimal solution will have the values
Yij = Cij Xij and Yij = Cij Xij respectively.
Integer variable used to represent the number of vehicles assigned to
transport i. A lower bound Si on this variable encodes the minimal
vehicle requirement of the transport while an upper bound Si limits
the number of vehicles usable by it.
Integer variable used to encode the number of vehicles accompanying
a transport in addition to the number Si required by the transport itself.
3.3 Time point variables (continuous)

di
Continuous variable denoting the departure time of transport i. The

departure time window is represented by the bounds di and di of di .
967
This formulation does not guarantee that the arrival times di + ti will always
be smaller than CT , which influences the formulation of the constraints relating
the arrival and departure events of the transports. The next section gives a case
analysis of the situations that can occur, and motivates the constraint formulation
given in the section following it.
4 Turning over the cycle time border

The cases are illustrated by figures where coloured bars represent the transports.
The vertical extension of a coloured bar is the travel time of the transport
(the interval between scheduled departure and arrival time). The surrounding
transparent bar illustrates the departure time window of the transport so that the
coloured bar may be placed anywhere within the transparent one.
There are four main cases for a turn from transport i to transport j to consider,
each one described below.
Ao The turn, if chosen, will never cross the cycle time border, i.e.:
di + ti + rij dj
i
j
A1 The turn, if chosen, is certain to cross the cycle time border exactly once, i.e.:
di + ti + rij > dj di + ti + rij dj + CT
i
j
A2 A more rare case, which nevertheless has to be taken into account, is when the
turn, if chosen, is certain to cross the cycle time border twice. Note that in
this case (as well as sometimes in A1 ), two instances of the transport that
crosses the border have to be considered, one leaving the period and one
entering the period, i.e.: di + ti + rij > dj + CT
i
i
j
A turn like this is hardly ever desirable, at least not if the period time is long
in comparison with the longest travel time.
A more complex case occurs when the time windows overlap so that the turn may
or may not cross the cycle time border one or two times, but the exact number
depends on the assignment of the departure time variables.

In the general case, it is possible to distinguish the following subcases:
B1 The turn may cross the cycle time border once, or not at all, i.e.:
di + ti + rij dj di + ti + rij > dj di + ti + rij dj + CT
i
j
B2 The turn may cross the cycle time border twice, but maybe only once, i.e.:
di + ti + rij > dj di + ti + rij dj + CT di + ti + rij > dj + CT
i
j
B3 The turn may cross the cycle time border twice, once, or not at all, i.e.:
di + ti + rij dj di + ti + rij > dj + CT
i
j
In the model below, we penalise the case where a turn crosses the cycle time border
two times twice as hard as the case where it does so only once, which means that
turns of this type are almost never found in an optimal solution.
5 Model constraints and objective

The cases labelled A0 through A2 above are all, if used as turns in a solution,
determined to cross the cycle time limit either once, twice, or not at all. The cases
labelled Bi , on the other hand, are indeterminate, and will be collectively encoded
using the two boolean decision variables Cij and Cij . To be able to treat the A
969
and B cases separately, we will define four mutually exclusive subsets of possible
turns. We will need to introduce binary decision variables only for the Bi cases.
Let
A0 = { i, j | (0 < i, j n) di + ti + rij dj }
A1 = { i, j | (0 < i, j n) di + ti + rij > dj di + ti + rij dj + CT }
A2 = { i, j | (0 < i, j n) di + ti + rij > dj + CT }
and
B = { i, j | 0 < i, j n} \ (A0 A1 A2 )
Since the main objective of the model is to minimise the number of vehicles used
by a solution, and this corresponds exactly to the number of vehicles turned over
the cycle time limit, the objective function will treat each of these cases (except
A0 which can never contribute to the cost) separately.
We also introduce a term in the cost function that penalises the use of additional
vehicles for transports that do not need them. Such relocations are in most cases
necessary to balance the flow of the model, but should otherwise be avoided. This
penalty is weighted by the (temporal) length ti of the transport, and a factor pi
specific to each transport.
Minimise
i,j A1 Xij
i,j A2 2Xij
i,j B
Yij + Yij + 0<in Ei pi ti
subject to
1. The number of vehicles turned from transport i is equal to the number used
by it
i((j{j|ldi =loj } Xij ) Si = 0)
and the number of vehicles turned to transport j is equal to the number used
by it
j((i{i|ldi =loj } Xij ) Sj = 0)
The candidate turns are chosen so that the destination ldi of the source
transport i and the origin loj of the sink j are identical.
2. Turn time constraints
dj di + CT Cij + CT Cij > ti + rij

i, j ( i, j B)
Xij Yij + M Cij M
Xij Yij + M Cij M

and
Si Ei = Si
(a) Cij , Cij boolean, Cij Cij

(b) Si , Xij (implicitly) integer
(c) Variable bounds di di di , Si Si Si , Xij Xij Xij for
ij

5.1 Constraint notes
The flow (conservation) constraints (1) ensure that each transport is supplied with
as many vehicles as it needs and that the flow is balanced. To ensure that this is
always possible, we need to introduce vehicle relocations. This is done by adding
passive transports with a vehicle requirement of zero, that need not be performed
unless they are assigned at least one vehicle. These are penalised more severely
than additional locomotives assigned to real transports.
The turn time constraints (2) and their use of the boolean variables (2a) are the
core of the model. Note that, for any optimal solution, Cij = Cij = 0 if and only if
di + ti + rij dj , that Cij = 1 > Cij if and only if dj < di + ti + rij dj + CT ,
and finally that Cij = Cij = 1 if and only if di +ti +rij > dj +CT , corresponding
exactly to the three A-cases above. This follows from the fact that unnecessarily
assigning 1 to Cij while Xij > 0, will be penalised by forcing Yij to become equal
to Xij , and similarly for Cij and Yij .
A key feature of the model, and the main reason that it scales relatively well in
practise, is that the integrality constraints on Si , and Xij (2b) need not be enforced
by the solver. In each leaf in the search tree branching on the boolean variables
Cij and Cij , the part of the coefficient matrix involving these variables will be a
pure minimal cost flow. The same obviously does not apply to the part involving
the departure time variables di , but since these variables are related to the decision
variables Si and Xij only through the booleans (Cij , Cij ), each assignment of
the di variables that is consistent with a complete (integral) assignment of the
booleans, will also be consistent with the optimal assignment of the decision
variables Si and Xij . This means that the optimal solution to the problem obtained
by relaxing the integrality constraints on Si and Xij (but not on Cij and Cij ) will
also be an optimal solution to the original problem.
6 Empirical results
The performance results have all been produced using data from the largest
Swedish rail freight company Green Cargo. The case consists of 1304 transports
and contains almost all transports handled by their most common vehicle, the
electrical RC locomotive, for one full week. The problems solved below were
generated by introducing a fixed amount of slack for each departure time in the
production plan.
In the solutions reported below, accompanying locomotives have been freely
introduced and moved around between transports that allow them. Passive
transports, on the other hand, are eliminated wherever this leads to an improved
objective.
Note that introducing slack uniformly is not completely realistic. In reality,
customer requirements or limits on infrastructure capacity may not allow free
rescheduling of transports within their time windows. To some extent, this can be
improved by introducing individual slack for each transport, and weighted binary
relations between arrival and departure events that encode e.g. transfers of cars
971
Table 1: Without additional passive transports.

Slack
Booleans
Vehicles
Accompanying
Deviation
Run time
117
minutes
minutes
h:mm:ss
50835
0:00:05
15
1027
116
50206
5107
0:00:07
30
1995
112
51107
13763
0:00:54
45
2836
105
51177
20841
0:01:19
60
3913
99
49402
35651
0:08:22
75
4930
97
49411
48486
1:53:40
90
5876
90
50385
69067
23:22:43
minutes
and cargo. In the performance results reported here, no such additional constraints
were used. Nevertheless, a production version of the software used to generate
these problems is currently in use at Green Cargo in their planning of locomotives.
Table 1 reports, for each slack size (in minutes), the number of booleans needed
to encode the turn time constraints, which should give a rough indication of
the MIP size. It also reports properties of the optimal solution found in terms
of the number of vehicles, the total amount of accompanying locomotives, and
(additional) passive time in minutes. Performance results in terms of run time
in seconds for each slack size are also included. More specifically, the run times
are those reported by CPLEX 9 on an 2.4 GHz Pentium 4 processor using about
2 GB of main memory. For the larger cases, caching the node tree to disk was
done whenever it became larger than the main memory. The strategy used was the
default heuristic of CPLEX 9 [8].
Once the optimal solution for the locomotive turns has been found, a new timetable is generated minimising the sum of deviations from the original timetable.
This problem is linear and no performance results of these runs are given. The
resulting deviation (in minutes) is given in the table to give an indication of
how much the original timetable had to be changed to achieve the corresponding
improvement of the main objective.
As can be seen from the tables, the number of booleans increase more or less
linearly with increased time window size, which is reasonable since the booleans
correspond to temporal overlaps between transports potentially served by the same
vehicle. The number of vehicles used by the optimal solutions to the relaxed
timetable is also substantially reduced for increased time window sizes. Going
e.g. from 117 locomotives to 90 represents a reduction of vehicle usage by 23%,
which would be sensational were it not for the fact that the current model does not
take track slot availability into account. Still, these figures do show the potential
of taking locomotive fleet costs into account when planning the timetable.

Run times increase fairly rapidly with time window size, but none of the
cases above are completely unrealistic for a practical work flow. The model is
not particularly sensitive to different timetables, but the potential gain obviously
varies.
7 Conclusions
We show how rescheduling transports can reduce locomotive usage in a train
transportation problem. An optimisation model for transport departure time
windows varying around an initial target time is formulated and it is shown that
substantial reduction of locomotive usage (up to 23%) can be achieved using a
standard commercial IP-solver.
Innovative features of the model include the use of boolean variables to separate
the integer and continuous parts of the problem to maintain the flow character of
the integer part of the problem for each complete assignment of the booleans.
Application of the model produces a modified train schedule that accommodates
the requirements for an efficient locomotive turnaround plan. The practical
usefulness of the model and its scalability is demonstrated on a set of problems
derived from a real case in the Swedish rail freight industry.
Significant savings can be realised for a uniform fleet of locomotives, in terms
of locomotives planned, by utilising the presented method.
References
[1] Desrosiers, J., Dumas, Y., Solomon, M. & Soumis, F., Network Routing,
North-Holland, volume 8 of Handbooks in Operations Research and
Management Science, chapter Time Constrained Routing and Scheduling, pp.
35139, 1995.
[2] Drott, J., Hasselberg, E., Kohl, N. & Kremer, M., A planning system
for locomotive scheduling. Technical report, Swedish State Railways, Stab
Tgplanering, Stockholm, Sweden, and Carmen Systems AB, 1997.
[3] Solomon, M. & Desrosiers, J., Time window constrained routing and
scheduling problems. Transportation Science, 22(1), pp. 113, 1988.
[4] Zwaneveld, P., Kroon, L., Romeijn, H., Salomon, M., Dauzre-Prs, S.,
van Hoesel, S. & Ambergen, H., Routing trains through railway stations:
Model formulation and algorithms. Transportation Science, 30(3), pp. 181
194, 1996.
[5] Bektas, T., The multiple traveling salesman problem: an overview of
formulations and solution procedures. Omega, 34, pp. 209219, 2006.
[6] Cordeau, J.F., Desaulniers, G., Desrosiers, J., Solomon, M.M. & Soumis,
F., The Vehicle Routing Problem [9], SIAM Monographs on Discrete
Mathematics and Applications,SIAM, Philadelpia, Pa., chapter 7: The VRP
with Time Windows, 2002.
973
[7] Ball, M., Magnanti, T., Monma, C. & Nemhauser, G., (eds.), Network Routing,
volume 8, North-Holland, 1995.
[8] ILOG, ILOG CPLEX Callable Library 9.0 Reference Manual. ILOG, 2003.
[9] Toth, P. & Vigo, D., (eds.) The Vehicle Routing Problem. SIAM Monographs
on Discrete Mathematics and Applications, SIAM, 2002.
975
Timetable attractiveness parameters

B. Schittenhelm
Department of Traffic Planning, Rail Net Denmark, Denmark
Abstract
Timetable attractiveness is influenced by a set of key parameters that are
described in this article. Regarding the superior structure of the timetable, the
trend in Europe goes towards periodic regular interval timetables. Regular
departures and focus on optimal transfer possibilities make these timetables
attractive. The travel time in the timetable depends on the characteristics of the
infrastructure and rolling stock, the heterogeneity of the planned train traffic and
the necessary number of transfers on the passengers journey. Planned
interdependencies between trains, such as transfers and heterogeneous traffic,
add complexity to the timetable. The risk of spreading initial delays to other
trains and parts of the network increases with the level of timetable complexity.
Keywords: timetable, railway timetable, timetable attractiveness, timetable
structure, timetable complexity, travel time, transfers, punctuality and reliability.
1 Introduction
This article summarizes some of the European research on how to create better
timetables. This is done by identifying and examining some of the most
important parameters that make timetables attractive towards the customers of
the railway sector.
If a person wants to travel from one place to another, the journey will be
made in the most attractive way according to the person. Most attractive meaning
the cheapest way in respect to journey costs e.g. travel time and number of
necessary transfers. The attractiveness of the railway depends on the given valid
railway timetable and the reputation of the topical train operating company
(TOC).
doi:10.2495/CR100881

Looking at a timetable it is possible to examine:
The scheduled travel time when using the railway for the journey or a
part hereof
Number of needed transfers to make the railway journey
Planned transfer time at a given transfer station and if the transfer
time ensures that the interchange between trains can be made in the
most common operational situations
Number of departures per hour and thereby the amount of planned
hidden waiting time in the timetable
Departures in regular intervals such as each 10, 15, 20, 30 or 60
minutes
Trains available when needed e.g. late evening or early morning.
The reputation of the TOC will depend on:
The punctuality how many trains arrive on time after a given on time
criteria e.g. less than 5 minutes delayed at arrival
The reliability how many trains are cancelled during a given period
of time
The seating capacity of the trains
The level of comfort in the trains.
All these parameters come together in the railway timetable. The level of
achievable timetable attractiveness depends on several conditions. This is
because the railway system consists of infrastructure (e.g. number of tracks,
stations and interlocking systems giving the headway times) and traffic (e.g.
intercity, local and freight trains) using the infrastructure. Combining the
potential of the infrastructure with the capability of the rolling stock (driving
characteristics and size of fleet), possibilities with the train staff (number of
employees and flexibility) and the demand for traffic gives the frame work for,
and thereby also the complexity of the timetable. If the goal is to run as many
trains as possible on the infrastructure, the train traffic has to be 100%
homogenous and be running at the optimal speed [1, 2].
The attractiveness parameters mentioned above will be examined in section 2.
Section 2.1 examines the factors that describe the superior timetable structure
and the advantages/disadvantages of a periodic regular interval timetable. This is
followed by the timetable complexity in section 2.2 that describes the
interdependencies in the timetable and lists advantages/disadvantages of a
complex timetable. Possible travel time and the benchmarking hereof are
described in section 2.3. Factors that influence the punctuality and reliability of a
railway service are dealt with in section 2.4. This section also describes the
existing philosophies to improve punctuality and reliability. In Section 2.5
transfers between trains at stations are examined. This includes the optimal
transfer time and the factors that prolong the transfer time. Finally, section 3
draws up the conclusion and identifies subjects for further research.
977
2 Timetable attractiveness parameters

A timetable is a compromise between the interests of different TOCS and the
railway infrastructure manager (IM). The TOCS have a range of services,
ranging from high speed trains to freight trains and local trains that they want to
operate on the infrastructure. On the other side, the IM wants to sell as much
infrastructure capacity as possible but also needs to reserve capacity for
maintenance activities and buffer times between trains.
In this section, the earlier mentioned attractiveness parameters will be
grouped into themes and described further. The themes are timetable structure,
timetable complexity, travel time, transfers and punctuality.
2.1 Timetable structure
The superior structure of the timetable can be described by 4 factors [3]:
Periodicity/regularity The entire timetable, or a part of it, is a
repeating pattern over a period of time e.g. 1 hour. Also called a regular
interval timetable
Symmetry the pattern applies for all driving directions for a given
train service
Constraints on line sections the heterogeneity of the train traffic on a
given line section is an important parameter for the capacity
consumption, travel time, number of needed transfers and traffic
punctuality
Constraints in stations at stations transfer possibilities between
trains have to be taken into account. The same goes for train crew and
rolling stock scheduling aspects.
In Europe the periodicity/regularity parameter has been given much attention
since it has been proven that this is one of the most important parameters
regarding timetable attractiveness towards the customers. Therefore, most
countries strive to generate a 100% periodic timetable, also called an ITFtimetable (Integrierter Takt Fahrplan) [4]. One of the best examples is the Swiss
Bahn 2000 timetable. The word Integrierter refers to the special focus on
minimal time loss connected with train interchanges in the timetable. This is
done by selecting a number of transfer nodes where trains from all connecting
railway lines meet at the same time and thereby create optimal transfer
possibilities which again ensures the optimal travel time [1].
Although more and more countries tend towards implementing periodic
timetables there are both advantages and disadvantages associated with this type
of timetable structure. In table 1 the most important advantages and
disadvantages associated with a periodic timetable are listed.
Experience shows that a regular interval timetable gains most advantage when
there are 2 or preferable more departures per hour on a given train service. The
most attractive departure times at important stations are minute x0 and x5 e.g.
00, 05, 10, 15 etc. These numbers are easy to remember and make it easy to use a

Table 1:
1.
2.
3.
4.
5.
6.
7.
8.
Advantages and disadvantages of a periodic timetable [1, 3, 5, 6].
Advantages
Logical and coherent timetable
for the entire network
Well defined hierarchy of
services
Focus on short transfer times at
selected junctions/stations
Regular service intervals
reduces the risk for passengers
concerning train interchanges
Regular intervals minimize
waiting time for randomly
arriving customers at train
stations
Best use of capacity because of
systematic planning and
regularity
Repeating patterns are easy to
market and memorize for
customers. Thereby reducing
customers effort of finding
departure times of trains and
planning the train journey
Symmetric services in all
driving directions
1.
2.
3.
4.
Disadvantages
Regular interval timetables can be
difficult to plan for a railway
network with the ongoing
liberalisation of the railway
sector. All involved TOCS have
to be interested in achieving this
kind of timetable
Difficult to fit the number of
departures to time sensitive
markets or groups of customers.
The basic structure of the
timetable will not always give the
possibility to run extra trains
during specific hours of the day
Achieving absolute periodicity
can create a high level of rigidity
in the timetable thereby causing
loss of business
Transfers are often needed to get
through the network resulting in
longer travel times
given train service. Having a high frequency of trains gives the opportunity for
passengers to show up at a station randomly. Less planning is needed before
starting the journey [5].
In Germany investigations have been made regarding the improvement of
regional railway attractiveness. They conclude that in a long term perspective the
potential increase of passengers is at least proportional to the increase in service
e.g. train km and/or number of departures per hour [6].
2.2 Timetable complexity
Timetables are an agreement and a compromise between several actors and
therefore, complicated to work out. In the railway business it is an agreement
between TOCS and the IM about how many trains of which type are running and
at what time. The TOCS had to make compromises with each other via the IM to
get a conflict-free and valid timetable. This has possibly let to the situation
where some TOCS did not get all their primary wishes regarding their train
services fulfilled.
Table 2:
1.
2.
3.
979
Interdependencies in the timetable [6, 8, 9].
Open line
Used capacity per time unit e.g.
1 hour. This depends on the
valid timetable, rolling stock and
infrastructure
Heterogeneity of the railway
operation (the traffic mix on the
given line section). A metro like
service with frequent trains
stopping at all stations is
homogenous while a line used
by both slow regional trains, fast
intercity trains and freight trains
has a heterogeneous traffic
pattern
Overtaking of trains is part of
heterogeneous operation. It
increases the heterogeneity of
the operation and thereby
contributes to more
interdependencies and thereby
a more complex timetable
1.
2.
3.
4.
Station
Layover times for rolling stock
and train crew. Scheduled layover
times can sometimes be close to
the minimum time needed for any
needed shunting movements for
the rolling stock and for the train
crew to get ready for departure in
the opposite direction
Rolling stock utilization. The
rolling stock can be used on
several different train services
during the day. If this is the case,
a delay can be spread to a big part
of a given railway network
following the rolling stock
Train crew utilization. A given
train crew can work on different
train services during their shift. In
this case, a delay on one line can
spread to another via a train crew
Train connections. The valid
timetable can hold several
planned connections between the
topical train service and other
train services. If trains have to
wait for each other at connection
points, delays can be transferred
from one train to another and
thereby spread to a larger part of
the railway network
The complexity of a timetable is characterized by the interdependencies in the

timetable. Interdependencies can be found on an open line or a railway station
[1, 3, 6]. Table 2 gives an overview of some of these interdependencies.
Table 3 shows some of the advantages and disadvantages for timetables with
a high level of complexity in them.
The most important advantage in complex timetables, as listed in table 3, is
the possibility to have both slow and fast trains on a railway line and thereby
being able to offer attractive travel times to the majority of train passengers.
The structure of a timetable does not necessarily give rise to complexity.
Planned interdependencies in the timetable that do cause complexity are based
on the timetable structure [3].

Table 3:
1.
2.
3.
4.
5.
Advantages and disadvantages of complex timetables [3, 6, 10].
Advantages
Adapted product types for
different passenger segments
e.g. stop trains and fast intercity
trains
Focussing on conditions for the
largest passenger flows
Optimizing the need for rolling
stock to fulfil given service
demands
Make full use of the driving
characteristics of the rolling
stock
Reduced costs for breaking and
accelerating trains because the
number of stops is optimized
towards the market segments
1.
2.
3.
4.
5.
Disadvantages
Difficult to find unused attractive
train paths in the existing
timetable
The timetable becomes rigid and
inflexible
Difficult for train dispatchers to
react on disturbances in the
planned operation
A complex timetable is more
sensitive towards disturbances
The more complex the timetable,
the less efficiently the capacity is
used
2.3 Travel time

The travel time of a given journey is an important attractiveness parameter. A
potential customer will, in the decision process before the journey, amongst other
things compare the travel time by train with other competitive means of transport
e.g. airplane, bus or car. The scheduled travel time depends on the characteristics
of the infrastructure and rolling stock, on the agreed running time supplements
between IM and TOCS, heterogeneity of the operation on the relevant railway
lines and on the number of needed transfers to make the journey.
Several countries have developed their own benchmarking methods for the
journey time by train. As an example, the English generalised journey time
methodology is used [5].
GJT = T + aH + bI
(1)
GJT = Generalised Journey Time
T = Station to Station Journey Time
H = Service Headway (frequency)
I = Number of Interchanges Needed
a = frequency penalty factor
b = interchange penalty factor
The penalty factors a and b are needed to convert service headway and
number of transfers into equivalent amount of time.
Scheduled travel times are a compromise between the railways being
competitive compared with other modes of transport but on the other side also
insuring a conflict free timetable and a high level of punctuality. The SBB works
with the following motto: So rasch wie ntig, nicht so schnell wie mglich (as
981
fast as needed, not as fast as possible) [1]. This gives a good understanding of the
necessary compromise [1, 10].
2.4 Punctuality and reliability
Timetables should be able to absorb minor disturbances that can occur in the
most common operational situations. Common situations are e.g. dwell time
delays, reduced speed on part of lines because of poor infrastructure conditions
or reduced traction effort on rolling stock. It is necessary to be able to keep
planned train interchanges with only minimal transfer time and thereby also the
expected timetable travel time [10, 15].
The scheduled travelling time may differ considerably from the experienced
travel time if a customer misses a connection caused by a minor delay. A missed
transfer can prolong the travel time with up to the frequency of the connecting
train service which can be more than 100% of the planned journey time [10].
Punctuality is not only important for passenger traffic. A competitiveness
parameter on the freight market is guaranteed arrival times for freight trains. This
is an important factor for companies with production lines that need raw
materials or the recipients of the companys products [17].
The following factors have a great influence on the punctuality of a train
service [9, 13, 15, 17]:
Capacity consumption. A high level of capacity consumption causes
higher risk of consecutive delays
Heterogeneity of traffic mix. The more heterogeneous the railway
operation the higher the risk of consecutive delays
Allocation of time supplements. There are several opinions on how to
allocate time supplements. The trend goes away from distributing the
running time reserves equally on the whole network. One opinion is to
add the time supplements to the dwell times at stations. The train will
under normal conditions arrive too early. This ensures the availability of
the entire time supplement of an open line section to the train before the
arrival at the next station. Another opinion puts the majority of reserves
between capacity bottlenecks which often are larger stations/junctions.
Train capacity. If not the TOC has enough train units and/or
locomotives and carriages available, the trains get crowded. This can
cause dwell time extensions as it takes longer time to board and alight
the trains
Station dwell times. The number of alighting and boarding passengers
has to match with the planned dwell time. If a dwell time delay arises
this can delay the next train planned to use the same platform track
The railway sector has, over time, applied two philosophies to ensure and
improve punctuality [17]:
Slack This philosophy is based on the use of time supplements in the
timetable. Both for running and dwell times. This gives a certain degree
of slack that can be used to catch up with small delays. Experience has

shown that punctuality not necessarily increases linear with more slack.
Giving more time to a task can make the task take longer time
Precision Here focus is on high availability of the infrastructure and
rolling stock together with keeping departure times. The latter is done
by teaching passengers how to alight and board trains in an effective
manner and creating commitment towards punctuality among the
employees of the TOCS and IM [17].
Reliability of a train service can be measured in the number of carried through
departures out of the number of scheduled departures. The total or partly
cancellation of a train can mainly be caused by 3 reasons:
Rolling stock break down / massive infrastructure failure this can be
caused by external factors or by lack of maintenance and demand
cancellation of one or more train runs
Train staff failing to turn op at scheduled place and time
Part of a strategy for restoring normal traffic after a disturbance in the
train service trains can, e.g., be turned before reaching their
destination and use their planned time slot for the reverse train run, or
train runs can be cancelled completely so the rolling stock can be used
elsewhere or wait until the start of the next timetable cycle.
2.5 Transfers
The needed number of transfers is an important attractiveness parameter. For
passengers with heavy luggage it is not convenient to change trains on their
journey. Each transfer can have the risk of extending the travel time compared to
a direct train service. In most cases, the passengers will experience a scheduled
waiting time in connection with transfers. In the best case scenario, the
interchange time p is [1, 5, 10]:
p=h+d
(2)
h = the necessary infrastructure dependent headway between the two
trains entering the station
d = the planned dwell time of trains
The minimum interchange time depends on the transfer conditions. If the
connecting train uses the same track or platform, the planned transfer time can be
down to a few minutes. If the transferring passengers have to get to a different
platform or to a different section of the same platform, then the transfer time
depends on the stations platform and platform track layout.
Assigning a platform track to a train can depend on different things [1]:
The same platform is used by connecting train services
The TOC always uses the same track or platform
The track is close to ticket sale facilities, station entrances, parking lot,
shops or other public transport modes
The train can be catered when using the given track.
983
When using the regular interval timetable (ITF) concept with focus on
selected stations as transfer nodes e.g. Swiss Bahn 2000 timetable, all connecting
trains meet once or several times per hour at the same time and station. This
gives optimal transfer possibilities but an unbalanced use of the station capacity
[4]. The station is either almost empty or full of trains. Numerous simultaneous
interdependencies at one station add to the complexity of the timetable
drastically because the risk of transferring delays increases.
3 Conclusion and further research

This article has described approaches to increase the timetable attractiveness.
There are several parameters that have influence on the experienced timetable
attractiveness. Parameters such as travel time, availability and punctuality decide
whether the railway is a competitive means of transport. These parameters are
dependent on the timetable structure. Periodic regular interval timetables (ITFFahrplan) are being adopted by more and more European railway companies.
This kind of timetable has proven its attractiveness towards the railway
customers. Regularity and focus on optimal transfers make these timetables
popular.
Optimal transfer conditions are created by declaring selected stations as
transfer nodes and having all connecting trains meet there at the same time.
Transfer times depend on the actual track allocation to trains and the layout of
the transfer stations.
Scheduled journey time is affected by the infrastructure, rolling stock,
running time supplements and timetable structure. In the end the journey time is
a compromise between the railways being competitive compared to other means
of transport and achieving a high level of punctuality.
Every timetable contains more or less interdependencies between different
trains, and trains and passengers/train crew. Interdependencies can be planned
transfer possibilities, a high level of heterogeneity in the operation, and
scheduling aspects for rolling stock and staff. The more interdependencies there
exist in a timetable the higher is the level of complexity in the timetable.
A high level of complexity increases the risk of delays spreading to other
trains and thereby to larger parts of the railway network. This has a negative
effect on the achievable punctuality with a given timetable.
Further research can focus on developing a benchmarking/index methodology
for timetable attractiveness and/or complexity. In this way, it will be possible to
compare different timetable alternatives regarding timetable attractiveness. The
methodology should take the following aspects into account: possible running
time compared to scheduled running time, number of interdependencies attached
to a given train run, and the heterogeneity of the train traffic.
Another topic for examination is what level of disturbances a new timetable
should be able to absorb. First step would be to develop a set of formulas that
can identify the socioeconomic optimum when looking at the scheduled travel
time, including time supplements, and the derived punctuality.
References
[1] Tyler, J., The philosophy and practice of Taktfahrplan: a case study of the
East Coast Main Line, University of Leeds, Institute for Transport Studies
Working Paper 579, November 2003
[2] Landex, A & Kaas, A., Planning the most suitable speed for high frequency
railway lines, proc. of Computers in Railways, 2006
[3] Weits, E.A.G., Railway Capacity and Timetable Complexity, proc. of
EURO Working Group on Project Management and Scheduling, 2000
[4] Borza, V. & Vincze, B. & Kormnyos, L., Periodic Timetable-map for the
Hungarian Railway System by the Adaptation of the European Structure
[5] Wardman, M. & Shires, J. & Lythgoe, W. & Tyler, J., Consumer benefits
and demand impacts of regular train timetables, International Journal of
Transport Management, (2), 2004
[6] Bosserhoff, D., Making Regional Railroads More Attractive Research
Studies in Germany and Patronage Characteristics, Journal of Public
Transportation, Vol. 10, No. 1, 2007
[7] Brnger, O., Rail Traffic and Optimization A Contradiction or a Promising
Combination?, proc. of EURO Working Group on Project Management and
Scheduling, 2000
[8] UIC leaflet 406, Capacity, 1st edition, UIC International Union of Railways,
France, 2004
[9] Vromanns, M. J.C.M. & Dekker, R. & Kroon, L.G., Reliability and
heterogeneity of railway services, European Journal of Operational
Research 2006 (page 647-665)
[10] Engelhardt-Funke, O. & Kolonko, M., Optimal Timetables: Modelling
Stochastic Perturbations, proc. of EURO Working Group on Project
Management and Scheduling, 2000
[11] UIC leaflet 451-1, Timetable recovery margins to guarantee timekeeping
Recovery margins, 4th edition, UIC International Union of Railways,
France, 2000
[12] Haldemann, L., Automatische Analyse von IST-Fahrplnen, Master Thesis,
Institut fr Verkehrsplanung und Transportsysteme der ETH Zrich,
Switzerland 2003 (in German)
[13] Rudolph, R. & Radtke, A., Optimisation of Allowances in Railway
Scheduling, proc. of World Congress on Railway Research, 2006
[14] Wst, R., Dynamic rescheduling based on predefined track slots, proc. of
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waiting time for an intercity rail network, Transportation Research Part B
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[16] Goverde, R.M.P. & Odijk, M.A., Performance evaluation of network
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results from some Norwegian studies, Transport Policy 11 2004 (page 387397)
985
Author Index
Adey R. .................................... 615
Andersen J. L. E....................... 337
Andersson A. W. ........................441
Andreiouk T. .............................. 71
Aronsson M. ............................ 963
Ballini F. .................................. 537
Bao Y. ...................................... 453
Baynham J. .............................. 615
Baant L. .......................... 711, 735
Ben Aoun R. ............................ 851
Blanquer J. ............................... 509
Bohlin M. ................................. 349
Bozas F. ................................... 561
Bozzo R. .................................. 537
Braslasu D................................ 561
Cai B. ......................................... 59
Cao F.................................. 89, 663
Carlson E. ................................ 245
Chang E.-F. .............................. 419
Chang H. .................................. 641
Chen D. ...................................... 35
Chen J. ..................................... 221
Chen J.-Q. .................................. 45
Chen L. .................................... 935
Chen L.-Y. ................................. 45
Chen R. .................................... 497
Corman F. ................................ 629
Cucala A. P. ............................. 509
Cucala P. .................................. 549
DAriano A. ............................. 629
Daadbin A. ............................... 573
Dascalu A. ............................... 561
Dessagne G. ............................. 193
Doganay K. .............................. 349
Domnguez M. ......................... 509
Du W.......................................... 13
El Koursi E.-M......................... 851
Emery D. .................................. 283
Endresen J. ............................... 245
Fernndez A..................... 509, 549

Filip A.............................. 711, 735
Friman B. ................................... 71
Gao C. .......................................... 3
Ge X. ....................................... 815
Geisler M. ................................ 771
Gly L. ..................................... 193
Genova R. ................................ 537
Gheorghe S. ............................. 561
Gjerdrum J. .............................. 963
Gmez-Rey I. .......................... 485
Gu Q. ....................................... 663
Guo B. ....................................... 13
Guo B. Y. ................................. 213
Guo J................................ 497, 805
Guo L.-N.................................... 45
Han B. ...................................... 257
Hansen I. A. ............................. 629
Haugen . ................................ 245
Hayakawa K. ........................... 783
He Z. ................................ 889, 953
Hei X. ................................ 81, 901
Himeno Y. ............................... 155
Hu H.-L.................................... 169
Hwang J.-G. ............................. 863
Ichikura T. ............................... 677
Igata R. .................................... 155
Isaksson-Lutteman G. ................ 441
Ishikawa R. .............................. 183
Ishima R................................... 783
Jaeger B. .................................. 383
Jia G. ........................................ 945
Jia X. .......................................... 35
Jimnez J. A............................. 549
Jo H.-J. ..................................... 863
Jong J.-C. ......................... 169, 419
Jurtz S. ..................................... 359
Kauppi A.................................... 441

Kim B.-H. ................................ 863
Kim Y.-K. ................................ 863
Kinoshita N. ............................. 155
Koshino D. ............................... 183
Kosonen T................................ 319
Kovalev R. ............................... 593
Kreuger P. ................................ 963
Krugovova E. ........................... 593
Kufver B. ......................... 581, 605
Lackhove C. ............................. 383
Landex A. ................ 337, 911, 923
Lee C.-K. ................................. 169
Lee K.-M. ................................ 863
Lemaire E. ............................... 851
Lemmer K. ............................... 383
Li B. ........................................... 45
Li D. ......................................... 257
Li F. ......................................... 529
Li H. ......................................... 953
Li K. ................................. 271, 467
Li M. .......................................... 45
Li Q. ......................................... 641
Li S. ......................................... 233
Li W. ........................................ 475
Li Y. ......................................... 901
Lieske U. .................................. 205
Lin T.-H. .................................. 169
Lindfeldt O. ............................. 407
Liu C. ....................................... 839
Liu J. .......................................... 59
Liu L. ....................................... 805
Liu R. ....................................... 641
Liu Y. ....................................... 271
Liu Z. ....................................... 521
Lu F. ........................................ 233
Lundberg A.-I. ......................... 407
Luo R. ........................................ 89
Lupu V. .................................... 561
Ma W. ........................................ 81
Makkinga F. ............................. 327
Mao Y. J. ................................... 13
Martins J. P. ............................. 371
Matsuda H................................ 701
Matsumoto T. .......................... 147

Mehta F...................................... 99
Mellings S. ............................... 615
Meng L. ................................... 953
Mera J. M................................. 485
Miao J. ..................................... 877
Middelkoop A. D. .................... 431
Mikheev G. .............................. 593
Mitroi G. .................................. 561
Miura T. ................................... 783
Mocek H. ......................... 711, 735
Mochizuki H. ........................... 183
Mller-Pedersen B. .................. 245
Montigel M. ............................... 99
Morgado E. .............................. 371
Moritaka H............................... 147
Moroianu L. ............................. 561
Mu R. ....................................... 723
Meller J. R. .................... 467, 795
Nakamura H............................. 183
Nanmoku T. ............................. 701
Narita H. .................................. 677
Nie L. ............................... 889, 953
Ning B. .............3, 23, 89, 759, 935
Nishida S. ................................ 183
Niu R. ...................................... 827
Obata N.................................... 677
Ouyang N................................... 81
Pei L. ....................................... 663
Persson R. ........................ 581, 605
Pesneau P. ................................ 193
Quiroga L. M. .......................... 687
Radtke A. ................................. 295
Radulescu V............................. 561
Ribera I. ................................... 549
Richter T. ................................. 651
Roberts C. ................................ 935
Rodrigo E................................. 485
Rosinski J................................. 573
Riger C................................... 99
Ruihua X. ................................. 945

Sandblad B..................................441
Sano M..................................... 183
Santos O. M. ............................ 815
Schittenhelm B................. 923, 975
Schmid F. ................................. 935
Schnieder E. ..................... 687, 795
Schuette J. ................................ 359
Schtte J................................... 771
Serrano A. ................................ 549
Sha X. ...................................... 839
ShangGuan Wei ................... 45, 59
Sicre C. .................................... 549
Sone S. ..................................... 133
Soutome H. .............................. 783
Spnemann J. ........................... 395
Strainescu I. ............................. 561
Sturm B. ................................... 327
Sun S. ....................................... 475
Svendsen A. ............................. 245
Takagi R. ................................. 141
Takahashi S.............................. 183
Takikawa M. ............................ 701
Tan Y. ...................................... 889
Tanaka H.................................. 677
Tang T............. 3, 23, 59, 213, 271,
......... 663, 723, 747, 827, 839, 935
Tang W. ................................... 759
Tanuma H. ............................... 783
Tomii N.................................... 111
Tron D...................................... 283
Tudor E. ................................... 561
Tzieropoulos P. ........................ 283
van de Weijenberg D. .............. 307
Vanderbeck F. .......................... 193
987
Wang H...................................... 35
Wang J. ...................................... 59
Wang L. ............................. 81, 901
Wang M. .................................. 521
Wang W. .................................. 521
Wang Y.............................. 89, 877
Weits E. A. G........................... 307
Wendler E. ............................... 395
Wenzel B. ................................ 359
Wingren J................................. 605
Woodcock J. ............................ 815
Xu L. ........................................ 233
Xu R. ....................................... 529
Xu T. ................................ 759, 815
Xun J...................................... 3, 23
Yan F. ...................................... 839
Yang D..................................... 889
Yang Z. .................................... 233
Yazawa E. ................................ 701
Yoshida Y. ............................... 783
Yoshino Y. ............................... 121
Yu Y. ....................................... 877
Yu Z. ........................................ 123
Yuan L. .................................... 271
Zhang L. .................................. 615
Zhang Y. ...........723, 747, 805, 889
Zhao H. .................................... 475
Zhao L. .................................... 759
Zhao X. Q. ............................... 747
Zhao X. .................................... 723
Zheng G. .................................. 221
Zheng W. ..........467, 723, 747, 795
Zhibin J. ................................... 945
Zhongping Y. ........................... 133
Zhu W. ..................................... 529
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G Belingardi Politecnico di Torino, Italy

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C D Bertram The University of New South

A Aldama IMTA, Mexico

B Alzahabi Kettering University, USA

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M A Atherton South Bank University, UK

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A H-D Cheng University of Mississippi, USA

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R Grundmann Technische Universitat

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University of Athens, Greece

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Location Analysis, Sweden