Computers in Railways X 401

Driverless CBTC – specific requirements

for CBTC systems to overcome
operation challenges
M. P. Georgescu
Alcatel Canada Inc, Transport Automation Solutions, Train Control,
Canada

Abstract
Reliable driverless operation requires specific features implemented at system
and subsystem levels of the train control system. Communications-Based Train
Control (CBTC) is now proven as the best choice for driverless systems due to
inherent high levels of safety and reliability with a low life cycle cost.
This paper proposes a systematic approach that may be used to determine the
most efficient way to fulfil the requirements specific to each customer faced with
driverless operation (green field or re-signaling). It also defines “must have”
requirements (functionality) to obtain the desired performance and cost.
The paper also addresses issues related to the operability, maintainability, and
availability of different types of driverless CBTC systems implementations, and
the advantages and disadvantages of each solution.
Keywords: driverless, UTO, DTO, STO, CBTC.

1 Driverless operation with Automated Train Control

Industry members now unanimously recognize that the hierarchy for automated
train control (ATC) systems is defined as Unmanned Train Operation (UTO),
Driverless Train Operation (DTO), and Semi-automated Train Operation (STO)
equivalent to the definitions in IEC 62290-1 (GAO2, GAO3, GAO4). For the
purpose of this paper, both UTO and DTO will be expressed as Driverless
operation. CBTC is defined as: Determination of train location, is to a high
degree of precision, independent of Track Circuits; Continuous, bidirectional,
train to wayside and wayside to train data communications, which can provide
significantly more control and status information than is possible with a track

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402 Computers in Railways X

circuit based system; Wayside and train-borne vital processors to process the
train status and control data and provide continuous automatic train protection
(ATP), Automatic Train Operation (ATO) and Automatic Train Supervision
(ATS) functions.
Driverless systems include sophisticated central control (i.e. ATS or System
Management Centres) requiring few operators as many functions are automated.
STO has a driver in the cab who is responsible for safe departure of trains
from stations, while the train drives automatically between stations, often with
automatic turnback functionality. The driver observes the guideway for any
hazardous condition, and will stop the train if a hazardous situation is observed.
Train acceleration and braking is automated and the speed is supervised
continuously by the system. The driver communicates with passengers and is
part of the failure recovery strategy.
With DTO, a driver is not required in the front of the train to observe the
guideway for hazards. There is, however, operations staff on board. Safe
departure of the train from the station, which includes train door closing, can be
the responsibility of the operations staff or may be done automatically.
With UTO, operation staff is not required on board the train. Safe departure
of the train from the station, including door closing, is done automatically. As
well, additional systems (such as Guideway Intrusion Detection, and platform
and on-board CCTV) are usually installed to support the detection and
management of hazardous conditions.

2 Driverless CBTC best fulfils train control operators’ needs

Ideally, a train control system provides (proven) safe operation, low initial
capital expenditure with the best value (quality/price) for each subsystem,
increased system availability/reliability, and low operating and maintenance
(O&M) costs, while providing increased operational flexibility (present and
future extensions). The needs of the customer are best met by the Driverless
CBTC solution.

2.1 Driverless implementation impact on subsystems

To implement driverless operation, design changes to several key traditional

train control and auxiliary subsystems are required.

2.1.1 Signaling
This subsystem is crucial in providing system safety with high availability and
reliability. It is also a major determinant to allow low O&M cost; the signalling
subsystem provides flexible operation, support of failure management, energy
savings, low maintenance cost, and low operation cost due to reduced staff.

2.1.2 Rolling stock

It is critical that fault indications, particularly with regards to safety, are
communicated in real time to the central control operator, not to a driver. The

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typical faults that are supervised by central (mandatory condition), are: dragging
brake, motion obstructed, fire/smoke, low air pressure, park brake, slip-slide,
doors status and train integrity.
Train Management System (TMS)/Health Monitoring Unit (HMU)
information may be transmitted to central control and/or the maintenance shop
via a separate non-vital communications link, not necessarily in real time, but
still in a timely manner to trigger required unscheduled maintenance activities. It
is acceptable that such information is sent via intermittent communication, e.g.
downloaded from the train at each station.
“Driverless” implies automatic train control of propulsion and separate
control for service, park and emergency brakes including revocable EB.
Variable brake rates are implemented by the vehicle at ATC request.
Automated Speed Control is no longer a driver attribute. Sophisticated
algorithms ensure jerk limitation and ride quality together with adhesion (slip-
slide) monitoring and compensation.
Door control without train operator involvement, door recycling, as well as
reaction to ‘door status lost,’ will also change. This requires on-board equipment
to vitally supervise indication of propulsion disabling and brake status to allow
the doors to open.
Redundant on-board ATC equipment should be installed. This includes
remote reset capability used to restore redundancy, in a timely manner.
Driverless operation may reduce the fleet size, due to removal of the driver’s
cabin, and shorter headway operation, which permit shorter trains (smaller fleet)
to be used for optimum passenger service.

2.1.3 Wayside and trackside

2.1.3.1 Equipment. Traditional ancillary equipment is not required for true

CBTC systems. This has a direct impact on capital cost, reliability/availability
and O&M cost. With true CBTC systems, ‘alternate train presence detection’
subsystems, based on track circuits or axle counters become an operator choice,
not a requirement.

2.1.3.2 Failure management. Fault tolerant technology ensures high

availability, which is obtained with (two-out-of-three) 2oo3 configurations that
still present a cost effective solution.
ATS failure is very rare, due to redundancy and highly available components
provided by today’s technology. Without ATS the operator can retain fully
automatic driverless operation
Wayside ‘auto-restart’ ensures automatic recovery following an unlikely
failure of a wayside unit, to provide restoration of fully automatic operation
within minutes. This sophisticated function has proven more efficient than any
manual moves using “fall-back signaling” during years of reliable operation of
SelTrac CBTC applied to AirTrain JFK (International Airport) and Detroit’s
DPM.

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2.1.4 Depot
Automatic operation in the depot should be considered mandatory to take full
advantage of driverless operations.
Automatic routing of trains to and from storage areas, together with ‘Storage
Mode’ for trains parked in a storage lane, and automatic ‘wake-up’ service to
switch on necessary equipment, allows for seamless fleet build-up and reduction.
This can happen any time in the operating cycle as a result of a scheduled
transition, or can be triggered by Central Operator intervention as a response to
an incidental change in passenger load demand. A by-product of driverless is the
virtual extension of the depot in any spur and tail tracks that becomes possible,
resulting in quicker changes in levels of operation.
Automatic close-up and shuffle-up in storage lanes and automatic
coupling/uncoupling are powerful tools for the operator. This is important for
efficiency of the operation with direct impact on energy savings and unscheduled
rolling stock maintenance.
Car Wash for driverless trains travelling at low speed (e.g. 2 km/hr) can occur
at anytime and be executed in record time.

2.1.5 Guideway

2.1.5.1 Infrastructure. If correlated with driverless CBTC, the civil guideway

design can be optimized to achieve significant cost savings in the capital
investment. Running shorter trains at lower headway has a positive impact on
platform length determination.
CBTC allows for shorter end-of-guideway safety distances, which again
lowers capital investment. New sections of guideway can be designed to allow
significant cost savings.
Rear station turnback in conjunction with guideway and vehicle dependent
safety distances results in shorter tunnels at the end of guideway.
Front station turnback design will further decrease infrastructure costs. In
conjunction with FAO and an efficient alternate platform routing algorithm, the
headway will remain the same as achieved by the rear turnback.

2.1.5.2 Guideway intrusion protection. Although we see them implemented

in all types of train control systems, not having a driver in the cab mandates the
installation of Guideway Intrusion Devices that interface with CBTC or Platform
Doors subsystems.

2.1.6 Communication Subsystems (COMMS)

With traditional train control systems the driver provides the information and
communicates with passenger in case of delays, changes of train travel, or
emergencies.
For driverless operation, the communication system plays an important role
and should provide the passengers with all required information, mainly in
emergency situations. Due to the absence of a driver, the passengers’ safety
requires that the train and the wayside be equipped with a highly reliable
communications system to provide on-board and platform voice information

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(e.g., next station, delays, emergency instructions in case of fire, evacuation) and
emergency intercoms that allow the passengers to communicate with the central
operator, on top of typical platform displays of arrival time and destination.
A CCTV subsystem becomes mandatory on the platforms and optional inside
the trains.
Today’s technology of voice-over IP and increased bandwidth allows for full
integration of COMMS and/or CCTV functions in the ATS network.

2.2 Operations and maintenance impact

2.2.1 Operating costs

Although new jobs are created for passenger service and maintenance, CBTC
facilitates lower operational costs because the drivers and their associated ‘wear
and tear’ on the vehicle are eliminated. On top of the overall optimal system
performance, the cost of driver employment, while running shorter trains, can be
significant – up to about 14% of the operations cost as presented by Prof. H.
Strobel [2].
The overall operating costs are lower. Vancouver SkyTrain continues to save
millions with the most efficient sized work force in the industry [1]. Direct
Operating costs per passenger kilometre released by APTA 1989 [1] are
presented in Figure 1.
Direct Operating Cost

SKYTRAIN 6.9

CALGARY LRT 8.2

SAN DIEGO LRT 9

PATCO PHILADELPHIA 14.4

PORTLAND LRT 17.3

SACRAMENTO LRT 26.8

0 5 10 15 20 25 30

Cents per Passenger Kilometer

Figure 1: Operating costs per passenger kilometre.

With the cost energy increase while extending the number of stations from 16
to 32, the SkyTrain Operating cost per passenger kilometre in 2005 was 10.15
cents, way lower than Philadelphia 1986 number,

2.2.1.1 Facilitates energy optimization. With driverless operation, the

optimization of regenerative braking presents the possibility of the kinetic energy
of the train to be recovered during braking, by allowing train braking into a
station to be coordinated with train acceleration out of another station. The
regenerative energy can be consumed by the accelerating train. As stated in BC
Transit’s Fact Sheet – SkyTrain Performance [1], Vancouver SkyTrain “Energy
consumption per passenger-kilometre is just less than half the average of the

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other systems” Figure 2 illustrates the energy consumption for North American
transit industry [1] (using APTA 1989 data).

Energy Efficiency

SANDIEGO LRT 10.6

VANCOUVER SKYTRAIN 9.5
CALGARY LRT 9.2
PORTLAND LRT 5.7
BOSTON LRT 5.4
PATCO PHILADELPHIA 4.9
SAN FRANCISCO LRT 4.2
SACRAMENTO LRT 3.8
MIAMI METRO 3.7
BALTIMORE METRO 3.6
PITTSBURGH LRT 3.3
CLEVELAND LRT 3.1
AVERAGE OTHER SYSTEM 5.2

0 2 4 6 8 10 12

Passenger kilometres per kilowatt hour of electricity

Figure 2: Passenger kilometre per kilowatt hour of electricity.

In 2005, SkyTrain “Passenger Kilometre per Substation Kilowatt Hour was

6.8. This number is used to establish the traction power costs and does not
include the yard, maintenance facility and stations.

2.2.1.2 Increased operational flexibility. Automated operation allows central

operating staff to concentrate on any emerging problems. By design, while train
performance is continuously controlled and monitored, driverless CBTC systems
automatically maintain an efficient schedule. Liberated from these tasks, central
control operators can concentrate on fast response to unusual situations not
covered automatically by the system. Better operators’ decision support is
provided by intelligent CBTC systems, which can predict future conflicts long
before they occur. Therefore conflicts can be avoided using the tools provided.
Optimum recovery from major failures is implemented quickly. A perfect
example is managing gaps in service, e.g. running supplementary unscheduled
trains in parallel with scheduled trains or replacing faulty trains in service

2.2.1.3 Capacity. Firstly, capacity is increased by more frequent service of

shorter trains instead of less frequent service by longer trains. Secondly,
attractive options during non-peak hours are available by running variable length
trains while maintaining an acceptable level of service.

3 Driverless operation past, present, future

The demand for driverless CBTC trend since 1981 is presented in Figure 3. The
number of CBTC applications soars between 2001 and 2006 and will remain on
the ascending curve.

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CBTC Lines Entering Revenue Service

25 1,200
CBTC Lines
Entering
1,000 Revenue
20

CBTC Lines Entering

Service

Revenue Service

Cumulative CBTC Km
800 Worldwide
15

Worldwide
600 Cumulative
10
CBTC Km
400 Worldwide

5
200

- -
1981- 1986- 1991- 1996- 2001- 2006-
1985 1990 1995 2000 2005 2015

Yea r

Figure 3: CBTC lines entering revenue service.

The split between re-signaling and green field projects presented in Figure 4
appears to indicate the transit operators’ preference for the type of control
(illustrated in Figure 5) at the beginning of 21st Century. Basically most of the
operators going through re-signalling with CBTC appear to prefer to keep a
driver in the existing train cab, at least for the initial life of the renewed system.
Green field applications options prefer UTO fully automatic operations to take
advantage of the best value transit systems available as described in Moving to
Full Automatic Operations [3].
CBTC Lines by N ew / Resigna l
25
Resignal
CBTC Lines Entering Revenue

20
New
15
Service

10

-
1981- 1986- 1991- 1996- 2001- 2006-
1985 1990 1995 2000 2005 2015

Yea r

Figure 4: CBTC Lines by new / resignal.

CBTC Lines by O pera tion

25
UTO
CBTCLines Entering Revenue

20
DTO

15 STO
Service

10

-
1981- 1986- 1991- 1996- 2001- 2006-
1985 1990 1995 2000 2005 2015

Yea r

Figure 5: CBTC lines by operation.

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Since 1981, 46 CBTC projects have been awarded with a total of 940 Km, as
illustrated in Figure 6. From this total, 58.69% are driverless. 33.33% of
re-signaling projects selected DTO or UTO while 29% of green field projects are
implementing STO.

Signa ling Type of N ew / Awa rd Length

Customer & Line Compa ny Service Opera tion Resigna l Yea r Km
Toronto Sca rborough Alca tel Metro STO N ew 1981 6.4
Va ncouver Sky Tra in Alca tel Metro UTO N ew 1981 49.7
Detroit APM Alca tel APM UTO N ew 1983 4.7
Lyon Siemens Metro DTO N ew 1986 45.0
London DLR Alca tel Metro DTO Resigna l 1992 31.0
Pa ris RATP Line 14 Meteor Siemens Metro UTO N ew 1992 7.0
Sa n Fra ncisco MUN I Alca tel LRT DTO Resigna l 1992 11.0
Anka ra Alca tel Metro STO N ew 1993 14.6
Kua la Lumpur Alca tel Metro UTO N ew 1995 29.0
Singa pore N orth Ea st Line Alstom Metro UTO N ew 1997 20.0
Hong Kong KCRC West Ra il Alca tel Metro STO N ew 1998 30.5
N ew York City JFK Alca tel Metro UTO N ew 1998 13.0
Sa n Fra ncisco BART GETS Metro STO N ew 1998 12.0
Sa n Fra ncisco Airport Bomba rdier APM UTO N ew 1999 9.6
Sea ttle Airport Bomba rdier APM UTO N ew 1999 2.7
N ew York City Tra nsit Ca na rsie Siemens Metro STO Resigna l 1999 17.0
La s Vega s M onora il Alca tel APM UTO N ew 2000 6.4
Da lla s/ Fort Worth Airport Bomba rdier APM UTO N ew 2000 7.7
Phila delphia SEPTA Bomba rdier LRT STO Resigna l 2000 4.0
Hong Kong KCRC M a On- Sha n Alca tel Metro STO N ew 2001 11.4
N urnberg - M etro resigna l Siemens Metro UTO Resigna l 2001 21.5
Singa pore M a rina Line Alstom Metro UTO N ew 2001 10.6
Wuha n LRT Alca tel Metro STO N ew 2002 10.2
Hong Kong M TRC Disney Resort Line Alca tel APM UTO N ew 2002 3.2
Pa ris RATP Line 13 Alca tel Metro STO Resigna l 2002 26.0
La usa nne Metro Alstom Metro UTO N ew 2002 6.0
Singa pore Circle line Sta ge 3 Alstom Metro UTO N ew 2002 19.0
Ba rcelona Line 9 Siemens Metro UTO N ew 2003 42.0
Seoul KN R Bunda ng Alca tel Metro STO Resigna l 2003 18.3
Gua ngzhou Metro Line 3 Alca tel Metro STO N ew 2003 36.0
Ta ipei N eihu Line Bomba rdier Metro UTO Resigna l 2003 15.0
London LUL Jubilee Alca tel Metro STO Resigna l 2003 35.0
London LUL N orthern Alca tel Metro STO Resigna l 2003 67.0
Gua ngzhou L4L5 - Metro new line Siemens Metro STO N ew 2004 69.0
Ma drid Line 1&6- Resigna lling Bomba rdier Metro STO Resigna l 2004 40.2
Pa ris RATP L3 - RESIG CSEE Metro STO Resigna l 2004 12.0
Pa ris RATP L5 - RESIG Siemens Metro STO Resigna l 2004 14.5
London Hea throw Airport People M over Bomba rdier APM UTO N ew 2004 1.0
Wa shington Dulles Airport PM (Ph I) Alca tel APM UTO N ew 2004 3.6
Yong In Bomba rdier APM UTO N ew 2004 18.0
Sha ngha i Ya ngpu Line (M 8) Alca tel Metro STO N ew 2005 23.0
Buda pest Siemens Metro STO Resigna l 2005 10.5
Duba i Light Metro - Red Line Alca tel Metro UTO N ew 2005 49.0
Pa ris Line 1 Siemens Metro UTO Resigna l 2005 16.5
Beijing Airport People M over Bomba rdier Metro UTO N ew 2005 1.9
Va ncouver Ca na da Line Alca tel Metro UTO N ew 2006 18.0

Figure 6: CBTC Projects Awards 1981 – 2006.

4 Conclusion
With more than 20 Urban Rail Driverless Systems in revenue service worldwide
and the increasing demand for driverless operation for green field and re-
signaling projects, the STO, DTO, UTO is an operator choice not a technology
constraint.
Regardless of the solution selected, a systematic approach is required to
assess customer needs. In particular, driverless operation has specific mandatory

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requirements reflected in “must have” functions to ensure reliable and efficient

operation. Driverless CBTC meets today’s operator challenges of increasing
performance and passenger service.

References
[1] “BC Transit Fact Sheet – SkyTrain Performance”, October 1991
[2] H. Strobel, J. Schuette , Presentation to UITP Conference on Automated
Metros, Nurnberg 2004
[3] Firth Whitwam, Mircea Georgescu - Moving to Full Automatic Operations,
IEEE Hong Kong 2005

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