1. A Recipe for Success in Implementing CBTC on an Operating Transit System Presented by: Dr. Alan F. Rumsey, P.Eng, FIRSE March 12, 2014 Communications-Based Train Control Conference London, 2014

2. Why implement CBTC on an Operating Transit System? Step-change Increase in Operational Performance Control Centre Modernization Infrastructure / Systems Upgrades New Vehicles Upgrade Signalling and Train Control Systems CBTC Enabling Technology Line Upgrade

3.  How do we define “Success” for a CBTC upgrade project ….. Recipe for Success …..

4. Scope Cost Schedule Success ….. Success is: Deliver anticipated benefits (scope) on schedule and within budget …..

5. Scope Cost Schedule Success ….. Minimum Service Impacts Success is: Deliver anticipated benefits (scope) on schedule and within budget ….. … with minimum service impacts

6. Scope Cost Schedule Success ….. Service- Proven Product Minimum Service Impacts Success is: Deliver anticipated benefits (scope) on schedule and within budget ….. … with minimum service impacts … and service proven product

7. Standard “V-Curve” System Requirements System Integration & Acceptance Sub-System Requirements Design Fabrication Construct / Inspect/Test Planning and Design Verification and Validation Construction and Integration

8. Real-World “V-Curve” System Requirements System Integration & Acceptance Sub-System Requirements Design Fabrication Construct / Inspect/Test Planning and Design Verification and Validation Construction and Integration Service- Proven Product

9. Real-World “V-Curve” System Requirements System Integration & Acceptance Sub-System Requirements Design Fabrication Construct / Inspect/Test Planning and Design Verification and Validation Construction and Integration Service- Proven Product

10. Real-World “V-Curve” System Requirements System Integration & Acceptance Sub-System Requirements Design Fabrication Construct / Inspect/Test Planning and Design Verification and Validation Construction and Integration Service- Proven Product Minimum Service Impacts

11. Real-World “V-Curve” System Requirements System Integration & Acceptance Sub-System Requirements Design Fabrication Construct / Inspect/Test Planning and Design Verification and Validation Construction and Integration Service- Proven Product Minimum Service Impacts

12. Recipe for Success – System Requirements System Requirements System Integration & Acceptance Sub-System Requirements Design Fabrication Construct / Inspect/Test Planning and Design Verification and Validation Construction and Integration Service- Proven Product Minimum Service Impacts

13. Project Complexity Cost Schedule Recipe for Success – System Requirements Line Characteristics (fixed) Core System Requirements (fixed) Site-Specific Requirements (variable) Keep it Simple! e.g. IEEE 1474.1

14. Adaptation Risk ….. Site-Specific Requirements Service-Proven Product Design System Requirements for Service-Proven Product Adaptation Risk New/Modified Requirements Site-Specific Design

15. System Requirements “… you can't always get what you want, but if you try sometime, you just might find you get what you need …” Mike Jagger/Keith Richards (Rolling Stones)

16. System Requirements  Focus on the core business “needs” such as:  Improved service delivery  Capacity  Trip times  Operational flexibility  State-of-good-repair  Higher system availability  Reduced maintenance  Enhanced safety  Increased levels of automation

17. System Requirements  Challenge site-specific “wants”  Agency-specific adaptations and new developments  E.g. requirements for “secondary” train detection/ protection (“fall-back” systems)  E.g. ATS-level functions  Agency-specific historic processes and practices  E.g. “we’ve always done it this way”; “it’s part of our culture”  Agency-imposed systems integration risks

18. Recipe for Success – Migration Plan System Requirements System Integration & Acceptance Sub-System Requirements Design Fabrication Construct / Inspect/Test Planning and Design Verification and Validation Construction and Integration Service- Proven Product Minimum Service Impacts

19. Minimizing Service Impacts Cost Schedule Recipe for Success – Migration Plan Migration Plan Cost of Service Impact Cost of avoiding Service Impact Test & Commissioning Installation

20. Migration Plan  The Migration Plan defines a staged cut-over of the new signalling and train control systems both geographically and functionally  Start with the “end-state” railway and work back, driven by business need priorities

21. Migration Plan  For example:  Stage n (final stage): Full geographic limits cut-over Full functionality  Stage n-1: Full geographic limits cut-over Core functionality only  Stage n-2: Core geographic limits cut-over only Core functionality only  Stage n-3: Etc. Minimize Service Impacts Prioritize Business Needs

22. Migration Plan  Given Stage “r”, how should Stage “r-1” be defined to get to Stage “r” with minimum Service Impacts? Minimize Service Impacts Stage “r-1” (To be defined) Equipment to be installed Vehicles required Tests that must be conducted Impacts to safety case Etc. Stage “r” (Defined)

23. Migration Plan  Understand the three key characteristics of CBTC systems: Train-borne train location determination Train-borne and wayside processors Vital ATP functions, Non-vital ATO and ATS functions Software-based Database-driven Data communications network

24.  The train is key – start here!  Recognize that to fully commission a CBTC system requires running multiple CBTC trains on revenue track  Minimize revenue track access requirements through prior integrated factory testing and use of a test track Migration Plan - Train-borne train location determination

25.  Verify the performance, availability and stability of the CBTC data communications networks prior to CBTC functional testing/commissioning (e.g. “shadow-mode” testing)  Include analysis of worse-case conditions that cannot be easily duplicated in the factory or in the field Migration Plan – Data Communications

26.  Verify the overall stability of the CBTC distributed computer network, including ability to switchover between redundant sets of wayside and/or train-borne CBTC equipment  Final functional testing can only be performed at a systems level with all major CBTC subsystems operational Migration Plan – Distributed Vital/Non-Vital Processors

27.  Software development process does not end until the system is verified to be operating correctly in the field  Multiple software releases typically required and need to be planned for Migration Plan – Software-based and Database-driven  Application-specific infrastructure data and train- data has to be verified as an element of the functional test/commissioning process

28.  Factory testing  Exhaustively test every CBTC function/sub-function in the factory  Test internal and external interfaces  Simulate a realistic range of message latencies and equipment response times  Perform system stress testing with fully integrated CBTC system  Run a wide range of operating scenarios  Simulate failure modes Migration Plan - Functional Testing of CBTC Systems e.g. IEEE 1474.4

29.  For a CBTC upgrade project, a CBTC test track is mandatory to:  Confirm vehicle interfaces/characteristics  Confirm wayside interfaces/characteristics  Verify vehicle/wayside data communication links  Dry-run tests to be performed on revenue track  Test cut-over strategies between legacy and new systems Migration Plan - Functional Testing of CBTC Systems e.g. IEEE 1474.4

30. Migration Plan - Commissioning CBTC Systems Minimize Service Impacts CBTC Functional Tests Revenue Track Tests Factory Tests Test Track Tests CBTC Data Comm Network CBTC Computer Network Fixed Equipment Mobile Equipment CBTC Network Stability “Shadow Mode” Tests

31. Recipe for Success ….. System Requirements System Integration & Acceptance Sub-System Requirements Design Fabrication Construct / Inspect/Test Planning and Design Verification and Validation Construction and Integration Service- Proven Product Minimum Service Impacts