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Abstract— In recent years, there has been a significant former is installed on the train and forms the on-board
development in the world of conventional and/or urban railway subsystem (BSS). The latter is located at a station or along
systems. The evolution of technologies is leading to deployment the line and forms the trackside subsystem (TSS). The major
of new signaling and control systems, including the components identified in these systems are ATC (Automatic
Communication-Based Train Control widespread primarily in Train Control), ATS (Automatic Train Supervision), ATO
metro network. Strengths of this technology are continuous bi- (Automatic Train Operation) and IXL (interlocking system).
directional communication track to train, so as to provide
timely information on the status of the train and the line, but
especially the possibility of implementing automatic guidance
through the ATO (Automatic Train Operation). ATO manages
the running of the train by adjusting traction and braking
according to safety limits, but replaces the driver also in other
operations such as opening-closing doors or the initialization of
the train. In this article, we describe the development of an
ATO system by adopting a Model Driven Approach that aims
to increase the coherence between the analysis and the
implementation phase. The main blocks of the system were Figure 1: CBTC system components.
modeled with the UML notation, starting from the functional The ATC represents the technological evolution of classical
requirements, while to show their behavior were used ATP (Automatic Train Protection) system ensuring train
statecharts. At the end a testing activity was performed for the
safety in manned or fully automatic operation. It is the
verification and validation of the whole model in order to
demonstrate the properties of consistency, completeness and
subsystem responsible for the control and protection of the
correctness. train running. The ATC ensures that the authorized distance
to be travelled by the train (Movement Authority, MA) is
I. INTRODUCTION respected. It keeps under control the distance among the
trains, checks that the speed limits are respected and ensures
The Communications-Based Train Control (CBTC) is a a continuous protection of the train in every condition.
novel signaling and control system for light rail in urban Despite the significant structural differences between light
context (e.g., tramway), heavy rail (e.g., metro) and APM rail /metro systems and conventional rail, the CBTC systems
(Automated People Mover, e.g., Airport metros) [1], [2]. have similar needs to those of a conventional rail and can
These systems give operators precise control in the include an ATC similar to that used in the conventional rail
movement of trains based on positions information (derived from ERTMS/ETCS signaling system), simplifying
provided by the high precision onboard equipment. and/or refining some aspects. The supervision and
However, much more control and status information can be management of train traffic is provided by the wayside ATS
provided to the train exploiting a continuous bi-directional subsystem. The ATS integrates other functionalities such as:
track-train data communication. Currently, most of CBTC train depot management, train wakeup/sleep, integrated
systems implement this communication by using radio maintenance, incident report/replay and train routing. The
transmission. These systems allow more trains to run on the ATS operates in combination with an IXL system (that
same line at higher frequency and speed (with or without generates the signals for route control) if the latter is
drivers) thus providing high capacity, efficiency, and included in the overall CBTC system. Finally, the automatic
operational flexibility and reducing operating costs, while at control of train movement without drivers is ensured by the
the same time guaranteeing reliability and safety. For CBTC onboard Automatic Train Operation (Autonomous Train
systems the reference standards are IEEE 1474.1-2004 and Operator, ATO) subsystem in combination with the ATC.
IEC 62290. Although these documents do not constitute an
industry standard for CBTC system architecture and function The ATO manages the train running from one station (or
allocation, they provide a recommended practice for the predetermined operational stopping point) to the next,
design CBTC products to be launched into the market. automatically adjusting the train speed with appropriate
The CBTC control systems are constituted by onboard traction and braking commands. This automatic control with
equipment and wayside equipment (see Figure 1). The regard to speed, acceleration, deceleration and jerk rate is
performed by the ATO respecting the required operating
conditions and the limits imposed by the ATC. The goal is to
ensure passenger comfort, as established by operating specifies the distance that the train is authorized to cover and
policy, and safe operation. ATO can replace the driver also additional information about the track, such as speed
in other operations (opening and closing doors, initial train restrictions, gradients, etc. The ATS is responsible for
setup, etc.), making unnecessary the presence of a human sending mission data used in the Start of Mission and during
operator on board. the train running. The mission contains a set of information
for each stop that the train must perform during the service.
The work we present is part of a project aimed to address the These include: start time, stop point, side of the doors to be
development a novel CBTC system at a lower costs, by opened and the time duration that doors must remain open.
adopting a strategy to lower development costs that includes
both the adoption of modern software development The Maintenance Operator is the human dealing with the
technologies, such as Model-Driven design, and the ATO maintenance. The AS Designer is the human that
exploitation of already available components by the provides the configuration of the ATO system, the Platform
industrial partner, namely components already developed for Doors Control Unit is the Device for platform doors
a typical ETCS system. Model-Driven design typically opening and closing, on the TSS side. Moreover, the
requires a model of the system to be built first. In the TRAIN subsystems includes: Command and Control Unit to
literature, we can find models of CBTC systems using manage train braking and traction; Train Doors Control Unit
formal methods to enable the verification and validation of for doors opening and closing; Passenger Emergency
the model via simulation or formal proof. The models Handles operated by the passengers on board the train for
adopted are Petri Nets, Z notation, VDM. Formal emergency braking. In order to complete the analysis of the
specification in UML and corresponding verification with a ATO, the communication protocols between ATS-ATO,
rigorous mathematical model are very complex to be used ATO-TRAIN, and ATC-ATO have been defined and
and their application to large systems very difficult. Model formalized, respectively. The ATS-ATO protocol has to be
checking and simulations are the typical verification and compliant with three layers (Transport - Safety -
validation models adopted, and in order to reduce Application) of the ISO/OSI stack model. TCP is used as a
complexity are applied only to some of the subsystems. The transport protocol for its ability to provide an end-to-end
complexity of adopting formal modeling techniques typical bidirectional connection, byte oriented service with
of Model-Driven design to CBTC systems has hence been verification of the correct delivery order and with error and
attacked by partitioning the modeling into subsystems. flow control. Details of the protocols are omitted for lack of
space.
In this paper, we present a specification and validation
process for ATO component of a CBTC system. Firstly, we
created a general architecture and a set of functional
requirements for ATO based on analysis of reference
standard and solutions proposed by main vendors. Starting
from this analysis we created a model for ATO using IBM
Rational Rhapsody. Finally, the simulation results, based on
a self-developed simulator and test results are shown. The
paper is organized as follows. In Section II, a general
architecture of ATO is presented together with a set of
functional requirements. Section III describes ATO
specification through UML diagrams with a focus on
specific functional blocks of the model. Validation process is
described in Section IV and some simulation and testing
results are reported. Section V contains an overview of those
research results most related to our work. Conclusions are
drawn in Section VI. Figure 2. ATO Application Environment.
Based on these general functionalities and on the
II. GENERAL ARCHITECTURE AND ATO REQUIREMENTS analysis of reference standards a set of functional
requirements that specify the expected behavior of ATO
The ATO is connected with a number of subsystems and have been identified. The operating context highlighting the
with the train as described in Figure 2. Based on the general interfaces and the messages exchanged among components
integration requirements and on the evaluation of the CBTC are shown in Figure 2. The information exchanged have
solutions proposed by main vendors (Bombardier, Alstom, been identified on the basis of the functionality associated
Thales, Invensys Rail Group, Ansaldo STS, Siemens and GE with the ATO.
Transportation), the integration architecture has been
studied, where the interactions with the external components For the ATO, the following main requirements have
which are present on board the train and on the wayside, are been identified. Train initialization: the capability to
described. The ATC guarantees train protection in initialize all the onboard systems. It must be able to
accordance with level 2 of ERTMS/ETCS standard. . complete the initialization procedure of the ATC.
This subsystem creates a continuous communication sending Automatic speed regulation: start, stop, and speed
to the ATO the train position information, limit speed profile regulation of the train as it travels along the track shall be
and MA received from its trackside equipment positioned automatically controlled by the ATO to control speed,
along the line, called Radio Block Centre (RBC). The MA acceleration, deceleration, and jerk rates according to
specified passenger comfort limits (as defined by the requirements it has to always provide non-blocking states. In
authority having jurisdiction). The train speed has to be less addition, there is a method of logging all actions of the system in order to
than the over-speed limits imposed by ATC, in all conditions track the behavior of the model.
of the train. Platform berthing control: an ATO system ATSprotocol JRUprotocol
TRAINprotocol
shall be capable of implementing any platform berthing ATCprotocol
1
«Block» 1
TrainData_mng
To manage the train running, ControllerLogic switches to
ATCprotocol::ATCMessage_Manager
1
the InControlstate where the traction and braking commands
1 1 will be determined based on the speed profile to follow.
«Block,SimulinkBlock» «Block»
SignalingSpeedProfileGenerator ATCData_mng 1 When the train reaches the next planned station the train
«Block»
1 SpeedProfileSelection doors open in the same way as done for closing operation.
«Block,SimulinkBlock»
OrdinarySpeedController 1 Standby Idle
evIdle
1 1 evStart evAttiva
«Block,SimulinkBlock» «Block» pre_active
ServiceSpeedProfileGenerator ControllerLogic dataReport
tm(2
idle
00)
tm(200)
evStateControl
Figure 4. Class diagram of Running package of Figure 3. TimeControl evErrorNotification
PositionUpdate
tm(1000)
evClosingApproval
ClosingApprovalSending
The external blocks belong to other packages of the ATO
system structure that interact with Running_Manager. These MACheck
tm(1000) evSateRepeat
ClosingCheck
evClosingDoorsApproval to itsTrainData_mng
are specifically Initialization_Manager, ATCExecutor, evClosingApproval evClosingRepeat
evErrorNotification
ATCMessage_Manager and Log. The control (or functional) evEnabling
evSpeedErrorNotification
stopping accuracy, exploiting information related to train evErrorNotification
BlocksEnablingCheck
evConfirmation
position (received from ATCData_mng), the location of the evEnablingControl
tm(1000)
station and service speed (received from ATSData_mng). evAttemptControl
EnabledBlocksConfirmation
evInControl
The second produces a reference curve VN-SEG, upper OpeningControl evErrorNotification evDisabling
OpeningAttemptsCheck evErrorNotification
limited by the signaling speed profile (VSEG), allowing the evOpeningApproval
disablesLDSDPDV
evOpeningRepeat OpeningApprovalSending
train to stop within the limit established by the MA, and to evOpenedDoors evOpeningDoorsApproval to itsTrainData_mng
evOpeningApproval tm(1000)
resume the service due to an extension of the same MA. OpenedDoors StoppingTimeCheck
evStateControl
Finally, the latter operates a control based on the trajectory tm(1000)