Lu11PhD PDF

Optimising Power Management
Strategies for Railway Traction

Systems
by
Shaofeng Lu
A thesis submitted to
The University of Birmingham
for the degree of
DOCTOR OF PHILOSOPHY
School of Electronic, Electrical and Computer Engineering

College of Engineering and Physical Sciences
The University of Birmingham, UK
October 2011
University of Birmingham Research Archive

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Abstract
Railway transportation is facing increasing pressure to reduce the energy demand of
its vehicles due to increasing concern for environmental issues. This thesis presents
studies based on improved power management strategies for railway traction systems and demonstrates that there is potential for improvements in the total system
energy efficiency if optimised high-level supervisory power management strategies
are applied. Optimised power management strategies utilise existing power systems in a more cooperative and energy-efficient manner in order to reduce the total
energy demand. In this thesis, three case studies in different research scenarios
have been conducted.
Under certain operational, geographic and physical constraints, the energy consumed by the train can be significantly reduced if improved control strategies are
implemented. This thesis proposes a distance based model for train speed trajectory
optimisation. Three optimisation algorithms, Ant Colony Optimisation (ACO), Genetic Algorithm (GA) and Dynamic Programming (DP), are applied to search for
the optimal train speed trajectory, given a journey time constraint. The speed at
each preset position along the journey is determined and optimised using these
search algorithms.
In a DC railway network, power peaks in a substation are not desirable as they
could present safety risks and are not energy efficient. A power peak can be avoided
if the control of multiple trains is coordinated. The allocation of inter-station journey time intrinsically affects both service quality and energy efficiency. By identifying an optimal journey time allocation, a multi-objective function targeting both
i
energy efficiency and service quality can be used. In this study, a DC railway is
modelled with two parallel railway tracks, five station stops and three DC electric substations. Regenerative braking is studied in this DC electric network using
Nodal Analysis (NA) and the Load Flow (LF) method. This study demonstrates
that within the neighbourhood of an electric railway network, the journey time allocation for inter-station journeys will affect the total service quality and the energy
loss. A GA is applied to find the best inter-station journey time allocation.
Finally, this thesis explores the potential of applying advanced power management strategies to a Diesel Multiple Unit (DMU) train. DMU trains have multiple
diesel engines which are commonly operated in a homogenous manner. The work
presented in this thesis analyses the potential energy savings that may be obtained
through the independent operation of the engines. Two widely investigated power
management strategies which have been applied to the control of Hybrid Electric
Vehicles are studied for a typical DMU railway vehicle. DP is applied to identify
the optimal instant power distribution between engines. Based on the optimised results from DP, an adaptive rule-based online strategy is proposed using a non-linear
programming optimisation algorithm.
ii
Acknowledgements
I am heartily thankful to Dr. Stuart Hillmansen. Without his encouragement, inspiration, support and supervision, this thesis would not be possible. I would also like
to extend my deep gratitude to Prof. Clive Roberts for his invaluable guidance and
support which has enable me to benefit most out of the research.
I would like to sincerely thank my wife Ms. Hui Zhou who has been there
to love, support and encourage me with great patience and understanding during
my PhD. I am grateful to my family who have always loved and tolerated me. I
would like to thank Mr. Yudong Wu, Dr. Paul Western, Ms Sharon Berry and Ms.
Katherine Slate for their help.
I am grateful to all the people who I am not able to list but have helped and
supported me over the past four years.
iii
Table of Contents
Table of Contents
iv
List of Figures
ix
List of Tables
xiii
List of Acronyms
xiv
Introduction
1.1
Background . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
1.2
Case studies overview . . . . . . . . . . . . . . . . . . . . . . . .
1.3
Objectives . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
1.4
Thesis structure . . . . . . . . . . . . . . . . . . . . . . . . . . .
A review of railway traction systems
2.1
Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
2.2
Railway traction systems . . . . . . . . . . . . . . . . . . . . . .
2.2.1
Electric traction . . . . . . . . . . . . . . . . . . . . . . .
2.2.2
Diesel-electric traction . . . . . . . . . . . . . . . . . . .
10
2.2.3
Hybrid traction . . . . . . . . . . . . . . . . . . . . . . .
11
2.3
DC motor drive . . . . . . . . . . . . . . . . . . . . . . . . . . .
12
2.4
AC motor drive . . . . . . . . . . . . . . . . . . . . . . . . . . .
14
2.5
Summary . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
19
iv
TABLE OF CONTENTS
3
Review of optimisation techniques
21
3.1
Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
21
3.2
Numerical Optimisation . . . . . . . . . . . . . . . . . . . . . . .
22
3.3
Dynamic programming . . . . . . . . . . . . . . . . . . . . . . .
26
3.3.1
Introduction . . . . . . . . . . . . . . . . . . . . . . . . .
26
3.3.2
Mathematical presentation . . . . . . . . . . . . . . . . .
27
3.3.3
Elements of dynamic programming . . . . . . . . . . . .
30
3.3.4
Dynamic programming and the greedy algorithm . . . . .
32
3.3.5
Summary . . . . . . . . . . . . . . . . . . . . . . . . . .
32
Metaheuristics . . . . . . . . . . . . . . . . . . . . . . . . . . . .
33
3.4.1
Introduction . . . . . . . . . . . . . . . . . . . . . . . . .
33
3.4.2
Genetic algorithm . . . . . . . . . . . . . . . . . . . . . .
35
3.4.3
Ant Colony Optimisation (ACO) . . . . . . . . . . . . . .
36
3.4.4
Summary . . . . . . . . . . . . . . . . . . . . . . . . . .
39
Summary . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
40
3.4
3.5
4
Modelling train motion and traction power
41
4.1
Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
41
4.2
Physics of vehicle motion . . . . . . . . . . . . . . . . . . . . . .
42
4.2.1
General introduction . . . . . . . . . . . . . . . . . . . .
42
4.2.2
Adhesion . . . . . . . . . . . . . . . . . . . . . . . . . .
43
4.2.3
Resistance . . . . . . . . . . . . . . . . . . . . . . . . .
45
4.2.4
Effective Mass . . . . . . . . . . . . . . . . . . . . . . .
46
4.2.5
General vehicle motion equation . . . . . . . . . . . . . .
47
Modelling and simulation . . . . . . . . . . . . . . . . . . . . . .
47
4.3.1
Vehicle state switch . . . . . . . . . . . . . . . . . . . . .
48
4.3.2
Operational control input . . . . . . . . . . . . . . . . . .
50
4.3.3
Energy consumption modelling . . . . . . . . . . . . . .
56
4.3.4
Single train motion simulator . . . . . . . . . . . . . . .
57
4.3
TABLE OF CONTENTS
4.4
5
59
Single train trajectory optimisation
60
5.1
Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
60
5.2
An optimal control view-point . . . . . . . . . . . . . . . . . . .
62
5.2.1
System plant . . . . . . . . . . . . . . . . . . . . . . . .
62
5.2.2
The pontryagin minimum principle . . . . . . . . . . . .
63
5.2.3
Singular control solution . . . . . . . . . . . . . . . . . .
65
Modelling context . . . . . . . . . . . . . . . . . . . . . . . . . .
69
5.3.1
Introduction . . . . . . . . . . . . . . . . . . . . . . . . .
69
5.3.2
Speed limitation . . . . . . . . . . . . . . . . . . . . . .
71
5.3.3
Minor speed switch . . . . . . . . . . . . . . . . . . . . .
73
5.3.4
Sparse data storage . . . . . . . . . . . . . . . . . . . . .
75
ACO application . . . . . . . . . . . . . . . . . . . . . . . . . .
75
5.4.1
Introduction . . . . . . . . . . . . . . . . . . . . . . . . .
75
5.4.2
Construction graph . . . . . . . . . . . . . . . . . . . . .
76
5.4.3
Solution construction . . . . . . . . . . . . . . . . . . . .
78
5.4.4
Pheromone update and termination condition . . . . . . .
81
Genetic algorithm . . . . . . . . . . . . . . . . . . . . . . . . . .
83
5.5.1
Introduction . . . . . . . . . . . . . . . . . . . . . . . . .
83
5.5.2
Genotype generation . . . . . . . . . . . . . . . . . . . .
84
Dynamic programming . . . . . . . . . . . . . . . . . . . . . . .
86
5.6.1
Introduction . . . . . . . . . . . . . . . . . . . . . . . . .
86
5.6.2
Optimisation process . . . . . . . . . . . . . . . . . . . .
87
5.6.3
Summary . . . . . . . . . . . . . . . . . . . . . . . . . .
95
5.7
Results and discussion . . . . . . . . . . . . . . . . . . . . . . .
96
5.8
Summary . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 102
5.3
5.4
5.5
5.6
Summary . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Optimising the coordinated train operation in a DC railway electric

network
103
vi
TABLE OF CONTENTS
6.1
Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 103
6.2
DC railway network modelling . . . . . . . . . . . . . . . . . . . 105
6.3
DC electrical railway network . . . . . . . . . . . . . . . 105
6.2.2
DC electrical analysis . . . . . . . . . . . . . . . . . . . 107
6.2.3
Single train simulation using coasting control . . . . . . . 108
6.2.4
Iterative power flow calculation . . . . . . . . . . . . . . 110
Methodology . . . . . . . . . . . . . . . . . . . . . . . . . . . . 114
6.3.1
Objective function . . . . . . . . . . . . . . . . . . . . . 114
6.3.2
Journey time allocation . . . . . . . . . . . . . . . . . . . 116
6.3.3
The genetic algorithm . . . . . . . . . . . . . . . . . . . 117
6.4
Results and discussion . . . . . . . . . . . . . . . . . . . . . . . 119
6.5
Summary . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 123
A power management strategy for a Diesel Multiple Unit train
125
7.1
Review of power management strategies . . . . . . . . . . . . . . 126
7.2
Typical DMU train . . . . . . . . . . . . . . . . . . . . . . . . . 128
7.3
Engine description . . . . . . . . . . . . . . . . . . . . . . . . . 129
7.4
7.5
7.6
8
6.2.1
7.3.1
Engine efficiency map . . . . . . . . . . . . . . . . . . . 129
7.3.2
Diesel energy consumed calculation . . . . . . . . . . . . 130
Problem definition . . . . . . . . . . . . . . . . . . . . . . . . . 131

7.4.1
Objective and constraints . . . . . . . . . . . . . . . . . . 131
7.4.2
Total power state vector and diesel fuel cost
Solutions and Results . . . . . . . . . . . . . . . . . . . . . . . . 136

7.5.1
Dynamic Programming . . . . . . . . . . . . . . . . . . . 137
7.5.2
Adaptive online strategies . . . . . . . . . . . . . . . . . 141
7.5.3
Results . . . . . . . . . . . . . . . . . . . . . . . . . . . 150
Summary . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 152
Conclusions and future work

8.1
. . . . . . . 133
154
General summary of contents . . . . . . . . . . . . . . . . . . . . 154

vii
TABLE OF CONTENTS
8.2
8.3
Conclusions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 155
8.2.1
Single train trajectory optimisation study . . . . . . . . . 155
8.2.2
Journey time allocation study . . . . . . . . . . . . . . . 157
8.2.3
A power management strategy for a multiple unit train . . 158
Future work . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 160

8.3.1
Validation and verification . . . . . . . . . . . . . . . . . 160
8.3.2
Single train trajectory optimisation study . . . . . . . . . 160
8.3.3
Journey time allocation study . . . . . . . . . . . . . . . 160
8.3.4
Power management strategies study for a multiple unit train 161
A Electric drive for railway traction systems
162
A.1 DC motor drive . . . . . . . . . . . . . . . . . . . . . . . . . . . 162

A.1.1 DC-DC chopper converter traction drive . . . . . . . . . . 162
A.1.2 Phase-controlled rectifier traction drive . . . . . . . . . . 165
A.2 AC motor drive . . . . . . . . . . . . . . . . . . . . . . . . . . . 167
A.2.1 DC-fed Current Source Inverter drive . . . . . . . . . . . 167
A.2.2 DC-fed Voltage Source Inverter drive . . . . . . . . . . . 168
A.2.3 AC-fed Voltage Source Inverter drive . . . . . . . . . . . 170
B Optimisation Techniques
173
B.1 Categories of Numerical Optimisation . . . . . . . . . . . . . . . 173

B.2 Some other mataheuristics . . . . . . . . . . . . . . . . . . . . . 175
B.2.1
Simulated annealing . . . . . . . . . . . . . . . . . . . . 175
B.2.2
Tabu Search (TS) . . . . . . . . . . . . . . . . . . . . . . 178
C Publications
181
References
182
viii
List of Figures
1.1
Categories of energy efficiency improvement technologies . . . .
2.1
An architecture diagram for a diesel-electric propulsion system . .
11
2.2
An architecture diagram for a diesel hybrid propulsion system. . .
13
2.3
Separately excited DC motor traction drive regime of operation . .
14
2.4
Typical induction motor torque-speed characteristic curve . . . . .
16
2.5
Mechanical and electrical variables over traction duty cycle . . . .
18
4.1
Typical railway vehicle tractive effort and resistance characteristic
44
4.2
Vehicle state switch between two states in 3 dimension space . . .
49
4.3
Vehicle states switch in 3 dimension space . . . . . . . . . . . . .
51
4.4
Maximum achievable acceleration truncation using partial open loop

control . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
52
4.5
Coasting mode operational control . . . . . . . . . . . . . . . . .
53
4.6
Braking mode operational control due to reduced speed limit . . .
54
4.7
Braking mode operational control due to station stop . . . . . . .
55
4.8
Braking mode operational control at distance based modelling . .
56
4.9
System diagram of single train simulator . . . . . . . . . . . . . .
58
5.1
Speed selection procedure in the distance based trajectory searching 70
5.2
Various typical trajectories between two pre-determined positions
74
5.3
Demonstration of the speed link matrix . . . . . . . . . . . . . . .
76
5.4
Various speed change signal for one pre-determined position interval 85
ix
LIST OF FIGURES
5.5
Schematic Genetic Algorithm optimisation of train speed trajectory.
87
5.6
Vehicle states generation procedure in DP. . . . . . . . . . . . . .
89
5.7
Admissible area of train states in DP search procedure . . . . . .
95
5.8
Maximum tractive effort, resistance and acceleration curve of Voyager type vehicle . . . . . . . . . . . . . . . . . . . . . . . . . .
5.9
96
Optimised journey trajectories using ACO under different journey

time conditions . . . . . . . . . . . . . . . . . . . . . . . . . . .
97
5.10 Optimised journey trajectories using GA under different journey

time conditions . . . . . . . . . . . . . . . . . . . . . . . . . . .
98
5.11 Optimised journey trajectories using DP under different journey

time conditions . . . . . . . . . . . . . . . . . . . . . . . . . . .
99
5.12 The best and mean objective function output for a journey time of
2800 s at each generation for ACO . . . . . . . . . . . . . . . . .
99
5.13 The best and mean objective function output for a journey time of
2800 s at each generation for GA . . . . . . . . . . . . . . . . . . 100
5.14 Journey energy cost vs. time cost curves using different algorithms 100
6.1
A simplified DC railway electrical network diagram . . . . . . . . 106
6.2
Physical location arrangement of stations and substations in a DC

railway network . . . . . . . . . . . . . . . . . . . . . . . . . . . 106
6.3
Nodal analysis . . . . . . . . . . . . . . . . . . . . . . . . . . . . 107
6.4
Maximum tractive effort and resistance curve of a typical urban

railway vehicle. . . . . . . . . . . . . . . . . . . . . . . . . . . . 109
6.5
Vehicle state switch using coasting control. . . . . . . . . . . . . 109
6.6
Optimised train running trajectory and instant power output using

coasting control strategies for journey between station 1 and station
2
6.7
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 110
Non linear relationship between the terminal voltage and current of

a train . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 112
LIST OF FIGURES
6.8
Non linear relationship between the terminal voltage and injected

current out of substation. . . . . . . . . . . . . . . . . . . . . . . 113
6.9
Genetic algorithm implementation chart flow . . . . . . . . . . . 118
6.10 Entire optimisation procedure using Genetic Algorithm. . . . . . . 119

6.11 Train speed vs. time . . . . . . . . . . . . . . . . . . . . . . . . . 120
6.12 Train distance vs. time . . . . . . . . . . . . . . . . . . . . . . . 121
6.13 Instant voltage output across a headway time 240s. . . . . . . . . 122
6.14 Instant current output across a headway time 240s. . . . . . . . . 122
6.15 Evolutionary fitness function output vs. generation in the GA . . . 123
6.16 Distance vs. Time for forward journeys with different journey time
allocation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 124
7.1
A typical 3 coach DMU train . . . . . . . . . . . . . . . . . . . . 128
7.2
Controlled diesel engine power efficiency characteristic . . . . . . 130
7.3
Engine power states approximation . . . . . . . . . . . . . . . . . 133
7.4
Total power state vector in 3-D spaces; the magnitude of the vector
is 100 at any point at the triangular surface. . . . . . . . . . . . . 135
7.5
Relationship between engine states and fuel cost under various power
demands . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 136
7.6
Dynamic programming evolution diagram . . . . . . . . . . . . . 139
7.7
Preferable number of engines for various power demands . . . . . 143
7.8
Illustration for minimisation of discrepancy . . . . . . . . . . . . 144
7.9
Speed profile and speed limit . . . . . . . . . . . . . . . . . . . . 146
7.10 Distance time and distance elevation graph . . . . . . . . . . . . . 146

7.11 Power distribution over time using dynamic programming and online rule based strategy (separate version) . . . . . . . . . . . . . 147
7.12 Power distribution using DP using both online and rule based strategy148
7.13 Initial stage of the power distribution for both power management
strategies . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 149
xi
LIST OF FIGURES
7.14 Power distribution by dynamic programming for two further case
studies . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 150
A.1 Two-quadrant traction chopper power operational circuit and the
operational waveform . . . . . . . . . . . . . . . . . . . . . . . . 163
A.2 Chopper power circuit corresponding to state 1 and 4 in Figure A.1(a)164
A.3 Chopper power circuit corresponding to state 3 and 2 in Figure A.1(a)165
A.4 Semi-controlled single-phase bridge operation circuit and waveforms166
A.5 Traction drives with three-phase motors and DC power supply . . 168
A.6 Current source inverter circuit diagram . . . . . . . . . . . . . . . 169
A.7 AC power supply with induction motor drive
. . . . . . . . . . . 170
A.8 Circuit diagram of a pulse converter with AC input and DC output. 171
A.9 Phase diagram of AC-DC pulse converter . . . . . . . . . . . . . 171
B.1 The classification of the mathematical programming problem . . . 175
xii
List of Tables
5.1
Rules to decide heuristic coefficients . . . . . . . . . . . . . . . .
81
5.2
Next speed selection based on the characterised control index number 85
5.3
Key parameters for Single Train Motion Simulator . . . . . . . .
5.4
Computational time comparison between three algorithms applied
96
on the journey with time requirement of 2800 s for 15 runs . . . . 101

7.1
Typical technical data for DMU type vehicles . . . . . . . . . . . 129
7.2
Threshold power demand value . . . . . . . . . . . . . . . . . . . 142
7.3
Preferable power distribution based on various power demand . . 143
7.4
Online power distribution . . . . . . . . . . . . . . . . . . . . . . 145
7.5
Simulation results comparison . . . . . . . . . . . . . . . . . . . 152
xiii
List of Acronyms
AC Alternating Current.
ACO Ant Colony Optimisation.
ANN Artificial Neural Network.
ATO Automatic Train Operation.
BF Brute Force.
BR British Rail.
BSFC Brake Specific Fuel Consumption.
CBD Critical Braking Distance.
CSI Current Source Inverter.
DC Direct Current.
DMU Diesel Multiple Unit.
DP Dynamic Programming.
ECMS Equivalent Consumption Minimisation Strategy.
EMF Electromotive Force.
EMU Electric Multiple Unit.
xiv
List of Acronyms
ESD Energy Storage Device.
FOR Flat Out Running.
GA Genetic Algorithm.
GRASP Greedy Randomised Adaptive Search Procedures.
GTO Gate-Turn-Off.
HEV Hybrid Electric Vehicle.
ICE Internal Combustion Engine.
IGBT Insulated Gate Bi-polar Transistor.
IM Induction Motor.
LF Load Flow.
LSM Least Square Minimisation.
MPS Maximum Power Switch.
NA Nodal Analysis.
ODE Ordinary Derivative Equation.
PMP Pontryagin Maximum Principle.
PNE Preferable Number of Engines.
PWM Pulse Width Modulation.
SDP Semidefinite programming.
SOCP Second-order Conic Programming.
xv
List of Acronyms
STMS Single Train Motion Simulator.
TS Tabu Search.
VSI Voltage Source Inverter.
xvi
Chapter 1
Introduction
1.1
Background
Rail travel is often regarded as the energy efficient and environmentally friendly
mode of transport as demonstrated in [1]. Rail transport owes its excellent energy
efficiency, in part, to the low friction between the wheel and rail. It is self-evident
that, due to the very hard contact, little energy is dissipated through rolling resistance [2]. Railway vehicles also have good aerodynamic performance due to the
benefits of the convoy formation [3].
The railway transportation industry is facing increasing pressure to further improve energy efficiency with the growing concern for environmental issues [4].
Energy used by train operations accounts for around 70% of all energy used by
the railway system [5]. It follows that it is not only environmentally beneficial
but also economically advantageous to reduce energy consumption. Railway transportation will not remain a viable solution for future mobility if energy efficiency
cannot be improved. Two methods are proposed to improve efficiency: one is to
improve technology; the other is to improve organisation and production (i.e. operations) [6].
Advancements in technology have the potential to improve the energy efficiency
of almost every aspect of the railway system. For example, a reduction in train mass
1
1.2. CASE STUDIES OVERVIEW

has the potential to reduce energy consumption significantly [7]. Advanced train
surface design can improve aerodynamic performance and hence reduce the energy
consumed [3]. With the advent of modern electronic and electrical technology, such
as engine control technology, power electronics and electric motor control, energy
efficiency can be further improved [811]. Regenerative braking has been used to
improve energy efficiency for railway system [1214]. For non-electrified routes,
one approach is to install energy storage devices, such as batteries, super capacitors,
flywheels, etc. either trackside or on-board trains [1517]. For electrified routes,
regenerative braking power can be fed back into the power system [13, 18].
New technologies are often expensive to deploy on existing railway systems,
however, changes to operational procedures, such as the application of energy
efficient driving can be rapidly and cost effectively implemented. Energy efficent driving can be achieved in a number of ways, ranging from improved driver
training to dynamic driver advisory systems, which use real-time optimisation approaches [19]. Advanced railway control can be used to improve traffic fluidity and
hence reduce energy consumption [20, 21]. The application of the two methods to
the rail industry to improve energy efficiency is shown in Figure 1.1. This thesis
will focus on operational procedures for improving energy efficiency in railway
systems. A number of case studies are considered where it is shown that through
using control strategies, energy efficiency improvements can be made.
1.2
Case studies overview
The three interrelated studies considered in this thesis are:

1. The optimisation of the speed trajectory for a single train.
2. Improvements in system energy efficiency for multiple trains on an electric
network.
3. Optimisation of the power sources on-board a diesel multiple-unit train.
2
1.2. CASE STUDIES OVERVIEW
Figure 1.1: Categories of energy efficiency improvement technologies

In the first case study, a train is considered as a single system. Using various
control signals, trains are able to accelerate, cruise, coast and brake to modify the
train speed trajectory. Using either on-line or off-line computer optimisation algorithms, it is possible to obtain an optimal train speed trajectory. In practice, the
behaviour of the driver will significantly affect energy consumption [22]. To address this issue, the optimal train speed trajectory can be provided through a driving
advisory system or automatic train control.
Numerous researchers have considered how to obtain an optimal train speed
trajectory. The research can be grouped into two categories: coasting control and
overall control. Coasting control aims to improve the energy efficiency of a single train operation by applying coasting, i.e. the traction motors are switched off
completely at appropriate points [2327]. Non-deterministic optimisation methods, e.g. Genetic Algorithm (GA), are commonly applied in this type of study.
However, since coasting is the only control signal, the generality is compromised.
The second category, overall control, uses all possible control signals [19, 2833].
1.3. OBJECTIVES
Due to the generic nature of this approach, the algorithms used are generally computationally intensive. In the first case study, this thesis develops a practical overall
control strategy that is able to find energy efficient single train speed trajectories.
Conventionally each train in an inter-connected Direct Current power system
is considered independently. However, in practice, the trains are interrelated via
the power system. System-wide power management strategies are considered in
the second case study in order to reduce the average current level in the network
[3437] and improve the power system receptivity [26, 34, 38, 39]. In the second
case study, using both Nodal Analysis and Load Flow method, optimal journey
time distribution is obtained to reduce the power peaks in the substations. It is
found that increase of part of inter-station journey time can increase total energy
efficiency.
In the third case study, multiple-unit trains with independently controllable traction units are considered. If the traction units of a multiple-unit train can be controlled independently, it is considered whether energy savings can be achieved if
optimised supervisory power management strategies are employed, energy saving
can be achieved. Previous literatures in this area have mainly focused on power
management strategies for hybrid electric vehicles [5, 4047]. Recent research has
also considered power management strategies of improving the fuel consumption
for Diesel Multiple Unit (DMU) trains [4850].
1.3
Objectives
The objectives of the study presented in this thesis are as follows.

Under various constraints, the energy efficiency for the train speed trajectory
can be significantly improved if proper control strategies are implemented.
This thesis targets a single train as a single power source and proposes a
distance-based and general control model for single speed trajectory optimisation. Three optimisation algorithms, i.e. Ant Colony Optimisation, Genetic
4
1.4. THESIS STRUCTURE

Algorithm and Dynamic Programming are applied to search the optimal train
speed trajectory under the journey time constraint. Whilst the objective of obtaining an optimal train speed trajectory remains the main target of this case,
an extensive study on the algorithms will be done comparatively to identify
the characteristic of each algorithm.
In a DC railway network, the power peaks in a substation is not desirable for
the sake of both safety and energy efficiency. The power peak can be reduced
if coordinative operations of trains are taken. This thesis targets on multiple
trains in a DC electric network as multiple power sources and demonstrates
that within a neighbourhood of an electric railway network, inter-operation
between trains will affect energy efficiency. Genetic Algorithm is applied
to find the optimal distribution of inter-station journey time to improve the
energy efficiency of the entire electric network.
Improved fuel consumption and lower emissions are two of the key objectives for future transportation. This thesis explores the potential of applying
advanced power management strategies to a Diesel Multiple Unit train as a
combination of multiple power sources. This thesis analyses the potential energy savings that may be obtained through the independent operation of the
engines. Two widely investigated power management strategies are applied
to a typical Diesel Multiple Unit railway vehicle. Dynamic Programming
strategies will be applied to identify the optimal instant power distribution
between the engines. An adaptive rule-based online strategy based on the
optimisation results from the Dynamic programming solution is then proposed and realised using a non-linear programming optimisation algorithm.
1.4
Thesis structure
The thesis is set out as follows:

Chapter 1 is a general introduction to the background and research motivations, case studies, objectives and thesis structure.
Chapter 2 provides a review of railway traction power systems, including
the power supply system, the Direct Current (DC) motor drive system and
the induction Alternating Current (AC) motor drive system. Hybrid power
supply systems are also considered. This chapter will gives an electrical
engineering background behind the railway vehicle modelling demonstrated
in Chapter 4.
Chapter 3 provides a review of relevant optimisation techniques. Numerical
optimisation algorithms are considered in two main areas: unconstrained and
constrained. Dynamic programming is also considered in this chapter due to
its suitability for multi-stage optimisation. The optimisation methods discussed in this chapter are applied in each case studies in Chapter 5, Chapter
6 and Chapter 7.
Chapter 4 details the modelling and simulation of the traction power system.
This chapter first discusses the physical equations determining vehicle motion. The concept of a vehicle state switch is then introduced. Coupled with
train motion modelling, an energy consumption model is developed. A single train simulator developed in this chapter will be used as basic tool for the
case studies in following three Chapters.
Chapter 5 introduces the first case study, that of the optimisation of a single
train speed trajectory. This chapter first considers the optimisation of train
speed trajectories from an optimal-control viewpoint. A train speed trajectory search model is presented, to which various algorithms are applied to
search for energy efficient speed control strategies. The results gained in
this chapter can be used as the fundamental information for a multiple train
simulation in Chapter 6 and a Diesel Multiple Unit study in Chapter 7.

Chapter 6 covers the second case study on improvements to system energy
efficiency for multiple trains on an electric network. A DC electric railway
network is modelled using the Load Flow (LF) method. The GA is applied
to search for the best operational strategy.
Chapter 7 discusses the third case study on power management strategies for
a DMU train. Dynamic Programming and an online rule-based method are
proposed to search the optimal power management strategies.
Finally, conclusions on major contributions and further work of the research
demonstrated in this thesis are summarised in Chapter 8.
Chapter 2
A review of railway traction systems
2.1
Introduction
Like most road running vehicles, a railway traction power system provides mechanical power that can be converted into kinetic and potential energy and can be
used to overcome resistance to motion [51].
For every successful train traction system, there are certain general requirements which should be met:
1. The capability to start and haul a prescribed load over its specified routes
whilst maintaining the timetable;
2. A sufficiently long service lifetime with minimal non-availability due to maintenance and standby;
3. To be fuel efficient;
4. To be environmentally friendly.
Three typical railway traction systems are introduced in this chapter: electric,
diesel electric and hybrid. DC and AC electric traction systems are commonly
deployed in the railway industry. Very different power transmission system requirements exist for each system. Multiple power electronic control stages are
8
2.2. RAILWAY TRACTION SYSTEMS

commonly used for such traction systems in order to create a smooth power supply from the power network. Diesel electric traction systems are mainly found on
routes that are not electrified. Hybridisation of conventional power systems using energy storage devices will reduce energy consumption. Such hybrid traction
systems are currently still in the development phase [52].
2.2
2.2.1
Railway traction systems

Electric traction
The first practical application of electric traction dates back to the second half of
the 19th century. At the early stage of development, DC motors, together with
low-voltage DC traction lines, were the main traction power supply methods, due
to their simple torque control characteristics. Subsequently, low-voltage DC transmission networks and high-voltage, low frequency (16
2
3
Hz and 25 Hz) AC trans-
mission networks became the two major electric supply methods for traction power.
The reason for the emergence of the AC transmission network was due to the inherent tractive characteristics of induction motors and the difficulties of supplying
electrical power from a DC or single phase AC transmission line [53]. It was not until the 1950s, with the advancement of power electronics, that high voltage and industry frequency AC transmission became a reality. Since then, 25 kV single-phase
at 50 or 60 Hz often replaces the 1.5 kV DC networks and 3 kV networks [54].
DC and AC electric trains need to be supplied with power through a current
collection system. A traction power network is employed to supply the electrical
power to the entire electrified rail network. There are generally two types of power
supply system: DC and AC [55, 56].
For a DC power supply system, electrical power is usually supplied through
a conductor rail which is adjacent to the running rails. The original advantage of
a DC power supply system was because it is easy to control the vehicle-mounted

traction equipments. With the development of power electronics technology, DC
supply is regarded as advantageous due to its compact size and weight of control devices. Typical voltage for a DC power supply system is between 600V and
1.5kV. This implies higher current going through the supply circuits and higher
electrical loss. DC power supply system is mostly applied for urban and regional
lines. In Chapter 6, to study the energy efficiency of the operations of multiple
trains, a part of regional railway network is studied.
An AC power supply system is usually using an overhead line consists of a
contact line carrying live current and catenaries, which is an insulated suspension
system supporting the contact line. An overhead line is located at a certain height
above the rails . Higher voltage level in an AC power supply system reduce the
current and electrical loss. Also, fewer substations are required compared with the
lower voltage in DC traction networks. Generally, it is economic to use such system
for a high-speed or heavy-haul railways.
2.2.2
Diesel-electric traction
The diesel engine was introduced in the early 20th century by Rudolph Diesel.
Conventional diesel engines are not able to operate well at low speed, therefore a
direct connection between the engine and the driving wheel is usually undesirable.
Nowadays, power is usually transmitted to the wheels through a form of electric
transmission, due to the convenience of operation [55]. In a diesel-electric traction
system, the diesel engine is used to drive an electric generator, which then conveys
the electrical power to the traction motors. An architecture diagram for a typical
diesel-electric propulsion system is shown in Figure 2.1.
Compared to the electric propulsion system, diesel electric propulsion is less
powerful and less efficient with high maintenance costs, more pollution and noise.
However, diesel electric propulsion is used for a large range of applications in
the railway transportation industry. Only 33% of railway routes are electrified in
the UK; diesel electric traction therefore plays a key role in the British railway
10
Figure 2.1: An architecture diagram for a diesel-electric propulsion system

industry [57]. Some of the advantages of diesel electric traction are summarised as
follows [49, 58]:
1. The elimination of the dependency on an electrical power supply, this means
that trains are not restricted to certain routes due to the installed power supply;
2. The removal of failure modes and maintenance activities associated with the
power supply and electric traction system;
3. No capital investment is required for a fixed power system; Although diesel
trains are more expensive, on low usage lines, a clear business case can be
made for diesel as compared to electric traction;
4. A diesel engine obtains its highest efficiency at a particular range of speeds; It
is feasible to reduce the fuel cost by applying power management strategies.
2.2.3
Hybrid traction
Hybrid railway vehicles can be defined as follows: railway vehicles, i.e. locomotives, or multiple unit trains, which use a fueled power system for propulsion and
are supported by an on-board rechargeable energy storage system. The fuel cell
hybrid vehicle [41, 42] and the more conventional diesel-electric hybrid [59] are
two of the most common forms of hybrid railway vehicle.
The following two key advantages of on-board energy conversion technology
could be used to reduce overall energy consumption and gas emission [60, 61]:
11
2.3. DC MOTOR DRIVE

Utilisation of regenerative energy. A rechargeable energy storage system will
effectively store the regenerative energy during braking to be used later for
traction.
Improvement of efficiency for the operation of the prime mover. For example, the engine could be switched off if it is running with low energy
efficiency and the energy storage system could provide the traction power.
On-board and wayside energy storage has been attracting an increasing amount
of interest for the application of the hybrid railway vehicle. Sone states in his report
that two problems need to be solved through on board or wayside energy storage
devices [62]. These two problems have existed since AC-motored Electric Multiple
Units (EMUs) with regenerative braking capability were introduced. Energy storage devices can be used to achieve the following three goals during regenerative
braking:
Manage over-voltage at the traction motor without significant increase in
pantograph voltage;
Reduce over-current from the pantograph to the feeding system;
Improve the usage rate of regenerative power.
An architecture diagram for a diesel hybrid propulsion system is shown in Figure 2.2. A diesel engine can be replaced by another type of prime mover, such as
fuel cells [63].
2.3
DC motor drive
The most common DC traction motors used in the railway industry are series and
separately-excited machines.
In the series motor, the field winding is connected in series with the armature, resulting in the field being determined by the armature current. The series
12
2.3. DC MOTOR DRIVE
Figure 2.2: An architecture diagram for a diesel hybrid propulsion system.

field forms a protection to ensure that no current flows in the motor without a corresponding field having already been established. The field becomes non-linear
when iron saturation occurs at a higher current. For any series traction motor with
a steady terminal voltage, wheel-slip correction can be inherently realised with
a high starting torque followed by a constant power operation regime with increasing speed. This is a very attractive feature for stable operation. Speed control for a
series DC machine can be achieved by varying the terminal voltage at the starting
stage and the field through the diverter resistor at a greater speed which is usually
referred to as a field weakening operation. However, the insertion of a series
resistor into the motor circuit is regarded as wasteful of power and of limited use.
In a camshaft controlled train, the series resistance is varied to give the overall
characteristic shown in Figure 2.3. At the beginning, both armature and field current are both maintained constant to generate a constant torque. With the increase
of rotating speed, the output power is increased until the base speed. Subsequently,
field current is reduced and bring down the output toque. This operation called
field weakening operation. After the rotating speed is over the transition speed, the
armature current begins to drop and further bring down the torque. The motor then
goes into a weak field operation.
For the separately-excited motor, the field excitation circuit is independent from
the field circuit. Speed control is also realised through varying the armature voltage
13
2.4. AC MOTOR DRIVE
Figure 2.3: Separately excited DC motor traction drive regime of operation

or the field current. This type of motor with its separately excited field can be used
for regenerative braking. In Figure 2.3, three control regimes have been identified
with different characteristics in terms of torque, current, speed and power [54].
Further details of DC motor drive can be found in Appendix A.1. A.1
2.4
AC motor drive
The induction motor has long been regarded as a suitable final drive for railway
traction systems due to its inherent capability for regeneration and steep speed and
torque characteristics. However, the widespread introduction of induction motors
could only be realised after modern power electronics became available [53]. The
two reasons for this are as follows:
Speed control of the induction motor is achieved by changing the input frequency and voltage of the input power supply;
14
2.4. AC MOTOR DRIVE

The difficulty of obtaining the proper three-phase supply from a DC or singlephase AC traction line should be solved by power electronics techniques.
The development of power electronics relies on advancement of semiconductor
devices [53]. In the 1960s, the development of the power thyristor gave rise to
trials of several experimental inverter-fed induction motor locomotive drives. The
main drawback of this type of device is the lower current and voltage level which it
could withstand which limits its application in high power fields. In the 1970s, the
development of a high-power force-commutated thyristor led to the deployment of
the Current Source Inverter (CSI) in DC-fed metro traction drives. Later, the large
power Gate-Turn-Off (GTO) thyristor realised the Voltage Source Inverter (VSI)
in railway applications. Until very recently, the Insulated Gate Bi-polar Transistor
(IGBT), which has a lower operation current and higher switching speed has taken
the place of the GTO. In the 1980s, the pulse converter was developed, which is a
four-quadrant AC-DC line converter that enables three-phase VSI-Induction Motor
drives on single-phase AC supplied railways.
There are two commonly applied types of AC motor: synchronous and asynchronous.
In synchronous motors, the armature winding is on the stator, inducing the
main voltage, and the field winding is on the rotor, producing the main magnetic
field. Such roles of the winding are converse to normal practice. The symmetric
three-phase sinusoidal currents in an armature winding produce a uniform rotating
magnetic field. The DC current through the field winding produces a steady-state
magnetic field. The rotor field tries to line up with the stator field which produces torque. The larger the angle between the two magnetic fields, the greater the
torque on the rotor [64]. The synchronous motor was once used in electrical railway traction and was replaced by the second type of AC motor, until GTOs were
introduced [53].
The asynchronous motor is also referred to as an induction motor since the rotor
voltage and rotor magnetic field are induced rather than being connected physically
15
2.4. AC MOTOR DRIVE
Figure 2.4: Typical induction motor torque-speed characteristic curve

by wires [64]. The significant difference between asynchronous and synchronous
motors is that the DC current is not required in the rotor winding. The three-phase
current through stator induces a rotating flux in the air-gap. Current is then induced
within the rotor conductor, setting up an opposite air-gap flux to this rotating flux
vector. The torque is produced due to the reaction between the rotor current and
net air-gap flux.
The following comments are made according to the individual induction motor torque-speed characteristic curve [64], as shown in Figure 2.4. All the torque
shown in Figure 2.4 are represented by percentage of full-load torque which is the
torque of point A.
1. The torque of the motor is zero at synchronous speed which is the speed for
point B.
2. The torque-speed curve is nearly linear between no load (Point B) and full
load (Point A).
3. There is a maximum torque and it is referred to as breakdown torque or
pullout torque.
16
2.4. AC MOTOR DRIVE

4. The starting torque on the motor is slightly larger than its full-load torque.
The motor is able to take up any load that it can supply at full power.
5. If the speed of motor goes higher than synchronous speed, the torque will
switch its direction, implying that the machine switches to generator mode
under regenerative conditions.
Control of the speed of the motor is achieved through applied voltage and stator
frequency, both of which are necessary. By using variable frequency control, it
is possible to change the speed of the motor to either above or below the base
speed shown in 2.5. It is necessary to reduce the terminal voltage applied to the
stator to avoid magnetic saturation in the core of the induction motor and excessive
magnetisation currents flowing through the machine. This process is referred to
as derating [53]. Vector control is one of the methods used in variable-frequency
induction motor drives to control the torque and hence the speed. In this control
method the stator current vector is transformed into rotor flux linkage current, i.e.
excitation current, vector and rotor torque current vector [65].
Figure 2.5 shows different control regimes of operation. Firstly, it is necessary
to introduce the relationship between flux and the voltage-to-frequency ratio Va /,
Va (t) = Ea sin(t) = NP
(t) =
d()
d(t)
Ea
cos(t)
NP
(2.1)
(2.2)
where Ea is the air-gap Electromotive Force (EMF), which is approximately the

same as terminal voltage Va except at low speed when more voltage drop is introduced between Ea and Va . is the magnetic flux and NP is a constant.
As stated in (2.2), flux is proportional to the voltage-to-frequency ratio. A
constant flux should be maintained for the start-up stage and constant flux region for
a constant torque operation and can be achieved by keeping voltage-to-frequency
ratio constant.
17
2.4. AC MOTOR DRIVE
Figure 2.5: Mechanical and electrical variables over traction duty cycle
From low to higher speed, various operation regions are identified throughout
the whole traction duty cycle.
Start up region: The stator impedance voltage drop increases when the stator resistance becomes comparable to the reactance at low speed. As a result,
the air-gap flux is reduced and Va / must be increased to maintain a constant
voltage-to-frequency ratio.
Constant flux region: For a given current through the rotor, the torque in
the machine is proportional to the air-gap flux density. Consequently, the
constant flux density results in constant torque operation.
Field weakening region: If the speed increases further above the base speed,
the frequency will increase further whereas the terminal voltage remains unchanged. This process is termed as field weakening, as both the air-gap flux
and available torque reduce during this period. Both the current and voltage
are maintained as constant while machine slip increases. This stage will last
18
2.5. SUMMARY
until the working torque equals breakdown torque as shown at 2.4.
Reduced power region: At this stage further speed increases are obtained
by increasing the stator frequency while the line current decreases. Power
consumption will reduce and the slip will increase by a small amount until
the balancing speed is achieved at which the maximum output torque equals
to load torque.
Details of different commonly seen induction motor drive can be found in Appendix A.2
2.5
Summary
This chapter has reviewed railway traction systems, including the power supply and
final DC and AC drives and diesel-electric systems. Furthermore, with significant
potential in the application to the hybrid railway vehicle, both of electric and hybrid supplies remain interesting if rechargeable Energy Storage Devices (ESDs) are
included. Separate excitation and series excitation are the two most popular types
of excitation in the DC motor drive. In particular, series excitation has inherent
advantages in magnetic field protection and wheel slip correction.
Two power electronic control systems for the DC motor drive are introduced.
There are two types of AC motor: synchronous and asynchronous. The latter type is
also referred to as the induction motor, which is more popularly applied to railway
traction. The duty cycle of operation of induction motors is introduced.
Multiple power systems, such as engines and motors, are commonly adopted
on modern railway vehicles. The operations between these sources are usually
considered to be homogenous, however, distinctive operation can be possible if
the sources can be decoupled and work independently. Intuitively, power outputs
from all sources are summed up to meet the power demand from the driver or the
supervisory control unit. For a certain power demand, rather than making an equal
19
2.5. SUMMARY
division between the power systems as usual, a different division is made, which
gives rise to another problem: how is the division of power demand made?. Such
a problem can only be answered with further study of the characteristics of the
power system and various vehicle running duty cycles.
20
Chapter 3
Review of optimisation techniques
3.1
Introduction
Optimisation generally refers to the procedure of selecting one feasible solution to

minimise or maximise the objective function [66, 67]. Let the objective function
J be a real valued function of n real variables x1 , x2 , , xn . The basic form is
shown in Eqn. 3.1:
f (x) Extreamum Subject to
gi (x) bi
iI
h j (x) = b j
jE
(3.1)
where f () is the function to be optimised, gi () i = 1, 2, , m is the m functions of

the inequality constraints 1 and h j () j = 1, 2, , k are the k constraint functions
of equality. I and E are sets of indices for equality and inequality constraints.
If the objective function f () is to be minimised, f () is also referred to as the
cost function; if it is to be maximised, f () is known as the fitness function [68].
In this chapter, f () is usually considered as a cost function to be minimised.
For example, as mentioned in Chapter 2, how the division of power demand is
made will affect the total fuel consumption, even if the entire output of power is the
same. In this case, total fuel consumption is regarded as an objective function to be
1
inequality constraints can also be > rather than
21
3.2. NUMERICAL OPTIMISATION

minimised, while engineering constraints should be imposed to act as constraints.
The study tries to identify the energy demand distribution between engines, i.e. x
in 3.1, to minimise the total fuel cost.
The optimisation algorithms can generally be categorised into two main subfields. One is numerical optimisation algorithms shown in 3.2 and the other is
metaheuristics introduced in 3.4. In addition, dynamic programming is introduced
in Section 3.3 due to its importance in the multiple decision making applications.
3.2
Numerical Optimisation
The characteristics of numerical optimisation algorithms are summarised as follows:

Numerical optimisation algorithms are heavily affected by the characteristic
of the objective function and the constraints;
The derivative information of the objective function is required for most numerical optimisation algorithms;
The searching strategies of the numerical algorithms are deterministic, which
means that the consequences of the searching action are predictable [69];
The numerical optimisation algorithms usually take one of the feasible solutions as the initial solution at the beginning iterative procedure; as a result,
only sub-optimal results can be found for a non-convex objective function.
For a numerical optimisation problem, a starting point xo is required. The selection of x0 will significantly affect the performance of the algorithms. Algorithms
generate a set of solution {xi }
i=0 . Algorithms will be terminated if no decrease is
achieved by the generated solution or if k f (xi ) f (xi+1 )k , where is sufficiently
small, i.e. smaller than a arbitrarily selected small value.
22

The other main function of algorithms is to decide how to generate xi+1 from xi
for i = 0, 1, . The information used is obtained from the objective function J at
xi or also the information from earlier iterations x0 , x1 , , xi1 . The new solution
produced should be finally able to decrease the value of the objective function in a
finite number of iterations which are f (xi ) < f (xik ) for k = 1, 2, , i 1. There
are two commonly used strategies to handle the selection of the next candidate
point: line search and the trust region [66].
In line search strategy, the generation of each point xi depends on two pieces of
information: the search direction di and the step length i . The iteration is shown
in Eqn. 3.2.
xi+1 = xi + di i
(3.2)
where pii 0. Obviously, the direction di is required to be a descent direction for

function f () to ensure the iteration will lead to the final reduction of the function
value.
Take a typical descent direction so that diT fk < 0. Assume that di takes the
general form as follows:
di = Mi1 fi
(3.3)
where Mi is symmetric and positive definite matrix, is the first-order partial

derivatives of fi . Generally, according to the different selection of di the line search
will be further categorised into following three types.
Steepest descent method [70] This method is also called gradient descent method.
In this method, Mi is the identity matrix I so that the searching is along the
steepest descent direction.
di = fi
xi+1 = xi fi i
(3.4)
(3.5)
Newtons method Mi is the Hessian 2 fi (xi ). The derivative is zero at a minimum

23

or maximum. According to the Taylors expansion of f (x) in Eqn. 3.6.
f (x + x) = f (x) + 2 f (x)x
(3.6)
The extremum is obtained by setting Eqn. 3.6 to zero. Note that the necessary
condition of x being a local minimiser of f and 2 f (x) being continuous and
existing is: f (x ) = 0 and 2 f (x ) is semi-positive definite. So the iteration
becomes:
fi (xi )
2 fi (xi )
fi (xi )
i
= xi 2
fi (xi )
di =
xi+1
(3.7)
(3.8)
Quasi-newton method Mi is the approximation of the Hessian 2 fi (xi ) and it is to

be updated for every iteration. The Taylor series of f(x) is approximated as:
1
f (xi + x) f (xi ) + f (xi )T x + xT Mi x
2
(3.9)
The gradient of f () can be approximated by

f (x + x) f (x) + 2 f (x)x
(3.10)
By setting this approximation of gradient to zero, we have:

fi
Mi
fi
i
= xi
Mi
di =
xi+1
(3.11)
(3.12)
Various methods are used to find the approximated Hessian Mi which is symmetric.
24

The description of the above three line search methods [66, p.19] focuses on the
selection of direction di at each iteration. Substituting Eqn. 3.3 into diT fk , gives:
diT fi = fiT Mi1 fi < 0
(3.13)
Note that Mi is symmetric and positive definite.In this case, at each iteration di
is the descent direction. The step length i can be calculated by approximately
obtaining the minimum of the following formula.
f (xi + di i )
(3.14)
To maintain the descent direction, i is set to be positive. In practice, the calculation

of the real minimum of Eqn. 3.14 is computationally expensive and unnecessary.
The step length is usually determined after certain conditions, i.e. the Wolfe Conditions, are met [66]. A so-called backtracking approach is also used to determine
the step length.
Another searching strategy is trust region [66, p.19]. In this strategy, a model
0
function fi () is constructed to approximate the behavior of the objective function

f () near the current iterative point xi . In order to restrict the approximation in a
small area around function f (), a small region around xi is defined. This small
region is called the trust region.
0
The model function fi () is usually a quadratic function as follows:

1
0
fi (xi + ) = fi + T fi + T Mi
2
(3.15)
where the fi () and fi () are the objective function and its gradient respectively and
Mi can be the Hessian or approximation of Hessian for function fi . Eqn. 3.15 is a
Taylor Series of fi while deleting the elements with a higher derivative order than
2. After the model function and trust region are both defined, a candidate step i
25
3.3. DYNAMIC PROGRAMMING

is obtained through solving the following formula:
0
min fi (xi + i )
i
(3.16)
Note that the xi + i is within the predefined trust region. A trust region which
is too large may result in an insufficient decrease of the objective function f ().
Reduction of the region in the next iteration is the consequence. The trust region
can be defined by Eqn. 3.17
k i k2 Ri
(3.17)
where Ri 0 is referred to as the trust-region radius [66, p.19].

In summary, both strategies are distinguished from each other in the selection
of direction and step length. Line search determines the direction di first and then
solves Eqn. 3.14 to identify the step length i . In the case of the trust region
strategy, the direction does not follow a fixed pattern and is determined after the
step length is identified. The minimisation procedure shown in Eqn. 3.16 will first
try the maximum step length, which is the trust-region radius Ri and look for the
step length and direction set with the most significant reduction of f (). If searching
is not satisfactory, Ri will be further reduced. Categories of a group of numerical
optimisation methods can be found in Appendix B.
3.3
3.3.1
Dynamic programming
Introduction
Dynamic Programming (DP) was firstly proposed and later developed by American
mathematician Richard Bellman in the 1950s [71]. Dynamic programming is an
appropriate method for discrete multi-stage decision optimisation problems. For
each decision, the sub-problem can be solved in a similar fashion. An optimal
solution of the original problem can be found from optimal solutions of every sub-
26

problem [72].
The dynamic programming method is based on Bellmans Principle of Optimality [73] defined in Def. 3.1.
Definition 3.1 (Principle of Optimality). An optimal policy has the property that
whatever the initial state and the initial conditions are, the remaining decisions
must constitute an optimal policy with regards to the state resulting from the first
decision.
This assertion states that optimal policies would be derived from the suboptimal
policies, whose improvement will give rise to the improvement of whole policies.
This section firstly presents the mathematical formulation of dynamic programming, the two key characteristics of DP are then discussed and the general steps to
solve a problem using DP is summarised.
3.3.2
Mathematical presentation
Objective function
For the dynamic programming method, the objective function for n decision
stages has the following forms.
h(d1 , d2 , , dn ) = C1 (d1 ) C2 (d2 ) Cn (dn )
(3.18)
Here, the sub-cost function Cn is defined as:

Ci = fc (si ) ft (si , di )
(3.19)
where:
si is the system state at ith stage and it is determined by the decision set
{d1 , d2 , , di1 }. In particular, the initial state s1 is pre-determined;
di is the decision made at ith stage;
27

fc is the system cost function due to si ;
ft is the system transition function due to si and di ;
is the associative binary operation, e.g. additive or multiplicative operation.
Sequential decision process
Many optimisation problems require a set of decisions {d1 , d2 , , dn } to be found
to minimise the objective function h. Let n denote the feasible decision space
at the nth stage, D denote the optimum decision set {d1 , d2 , , dn } at which the
objective function in Eqn. 3.18 achieves its minimum and H denote the minimum
objective function output.
H = h(D ) = h(d1 , d2 , , dn ) minimum
(3.20)
An intuitive way to find the D is the brute force method. The major philosophy
behind this method is to try out all the possible combinations of feasible decisions
at each stage and select the minimum cost caused by every combination. This
is not impossible for very small problems, however, it can cause an unnecessary
computational burden. Also for some complex problems it may not give an answer
in an acceptable time scale.
Another way to tackle this type of problem is to divide the problem into subproblems. The aim is then to solve the sub-problems by optimising the sub-objective
function first and then achieve the optimum for the entire problem. For a multistage decision making problem, dividing the problem by the stage is an intuitive
approach.
H = min(d1 ,d2 ,d3 , ,dn ) {h(d1 , d2 , d3 , , dn )}
(3.21)
= mind11 {mind2 2 { {mindn n {h(d1 , d2 , , dn )}} }}

where = 1 2 n and di i Eqn. 3.21 are referred to as sequential
28

decision processes [72]. Note that each decision made depends on the decision
made for the previous stages, i.e.
def
i = f (1 , 2 , , i1 )
(3.22)
In Eqn. 3.22 it is stated that the decision space is defined by the decision in the
past. If i is only defined by i1 , this decision process is also called the Markov
Decision Process [74, 75].
Each of the min functions can be interpreted as a procedure to seek an optimum of the sub-problem.
mindi i {h(d1 , d2 , , di1 , di , di+1 , , dn )}
(3.23)
= mindi i {h(d1 , d2 , , di1 , di , di+1

(di ) , dn (di ))}
where di+1
(di ) is the optimum decision resulting from the decision made at the
ith stage. The equation shown in Eqn. 3.23 is the minimisation procedure at
the ith stage to find an optimum decision policy that will minimise the cost due
to the decision set {di , di+1 , , dn }. A function to describe the resulting cost by
the following decisions to the current decision di is referred to as the cost-to-go
or value function [76, p.12]. Let function f (si ) denote the solution of the cost-togo function where di , di+1 , , dn are to be made, and correspondingly, let f (si )
denote the optimum solution. We have:
f (si ) = mini {mini+1 { {mindn {Ci (si , di ) Ci+1 (si+1 , di+1 ) Cn (sn , dn )}} }}
(3.24)
29

Now substituting Eqn. 3.18 and into Eqn. 3.21, it is deduced that:
H = mind1 1 {mind2 2 { {mindn n {h(d1 , d2 , , dn )}} }}
= mind1 1 {C1 (d1 , s1 ) mind2 2 {C2 (d2 , s2 ) mindn n {Cn (dn , sn )}}}
= mind1 1 {C1 (d1 , s1 ) f (s2 )}
(3.25)
Eqn. 3.25 can be solved recursively since H = f (s1 ).
3.3.3
Elements of dynamic programming
It is summarised in [77] that two essential elements must be found in the problems to which DP becomes applicable: optimal substructure and overlapping subproblems.
Optimal substructure
Optimal substructure can be defined as follows.
Definition 3.2 (Optimal substructure). A problem demonstrates optimal substructure if the optimal solution to this problem contains the optimum solutions to subproblems.
In Eqn. 3.25, the optimum solution to the problem contains within it an optimum solution H to a sub-problem which is f . To identify the characteristics of
Optimal substructure defined in 3.2, a common pattern is suggested [77]:
1. A solution to a problem can be demonstrated as a set of decisions;
2. A decision made can be regarded as a choice possibly leading to an optimal
solution; it is not yet known whether this decision will or not do so;
3. It can be proved that the solutions to the sub-problems in the optimal solution
to the problem should be optimal by themselves through the contradiction
strategies.
30

Take the shortest path problem for an example where a set of points along the
path should be selected. Each path as a solution consists of all the possible points
between the start point to the end point. Selecting which point to go for each step
can be regarded as a decision to make. But whether it is an optimal solution is
unknown until all the decisions have been made. For an optimal path, each subset
of points along the route should be also be the shortest path. If not, the subset of
points can be swapped with the optimal ones which will contribute to a shorter path
of whole route. This will contradict the original assertion saying it is an optimal
solution.
Overlapping sub-problems
Overlapping sub-problems are the other key ingredient for DP. This character implies that each of the sub-problems should be kept in a similar format so that a
recursive algorithm can be applied.
Definition 3.3 (Overlapping sub-problems). In the procedure of solving a problem,
if there exists an algorithm which is able to solve the same sub-problem repeatedly
, it is claimed that this problem has overlapping sub-problems.
If a problem has overlapping sub-problems, it is possible to apply the same
algorithm repeatedly. DP solves each sub-problem once and stores the optimal solution in a look-up table. The look-up table can be retrieved in a approximately constant time and this will reduce the computational time for the recursive algorithm.
The storing process is referred to as a memoisation [77]. A memoised recursive
algorithm maintains an entry for the solution to each sub-problem. Initialisation
is needed to indicate the occurrence of storing a new solution. The memoisation
procedure for one sub-problem is terminated until the optimum solution is found.
In the subsequent step, the value stored in the look-up table can be simply referred
to.
31
3.3.4
Dynamic programming and the greedy algorithm
In dynamic programming, each choice is made based on the past solution for the
sub-problems. This bottom-up problem solving style leads DP to progress from
smaller sub-problems to the larger problem. In a greedy algorithm, the best choice
which is available at the moment is taken. After the choice has been made, the problem will progress into a smaller problem and a new choice will be made depending
on the choices made so far, but not on the solutions of sub-problems. In that sense,
a greedy algorithm progresses in a top-down fashion. A greedy algorithm can only
achieve the optimum solution if it can be shown that each step yields a globally optimum solution. This is referred to as the greedy-choice property [77] and it only
exists in a range of situations, e.g. shortest path searching using Dijkstras algorithm [78]. To summarise, to apply the greedy algorithm, according to [77, p.380]
the following steps should be followed:
The optimisation problem can be modelled as one for which the choice can
be made with one sub-problem left to be solved;
Prove that the greedy choice is logical because there is an optimal solution to
the original problem by making the greedy choice; this step can be regarded
as the proof for the greedy-choice property;
After a greedy choice is made, a sub-problem will be left; if we assume that
there is an optimal solution to the sub-problem, the combination of the greedy
choice and the optimal solution will be the optimal solution to the original
problem.
3.3.5
Summary
As DP solves the problem in a bottom-up fashion as opposed to the greedy algorithm, simpler or smaller problems will be solved before it is used by other, more
complex and bigger problems [79]. To summarise, the DP algorithm consists of 4
32
3.4. METAHEURISTICS
steps which are as follows [80]:
1. A recursive definition for the optimal solution as in Eqn. 3.25;
2. A look-up table to store the optimal solution for the sub optimal problem;
3. A bottom-up approach which starts from the simplest sub-problem to fill the
look-up table;
4. A track-back method to reconstruct the final optimal solution to the problem.
3.4
3.4.1
Metaheuristics
Introduction
In the applications where numerical optimisation is not suitable or not effective

enough, e.g. combinatorial optimisation in which case the set X is discrete or even
finite [81], heuristic information is usually used to direct the search for the optimum answer. These kinds of algorithms are generally regarded as metaheuristics.
In computer science, many optimisation problems with certain practical significance are NP-complete, for which no polynomial-time algorithm has yet been
discovered. As a result, the numerical algorithms are unable to achieve the optimum answer in a polynomial time. In [77], at least three approaches to tackle NPcompleteness are introduced. One of them is to use the approximate algorithms
to find near-optimal solutions. Most metaheuristics are regarded as approximate
algorithms which can only achieve suboptimal solutions. However, computational
time can be significantly reduced.
Metaheuristics, first mentioned in [82] are originally defined as the solution
methods to create a process capable of escaping from local optima and performing
a robust search of a solution space. The interaction between local improvement
procedures and higher level strategies is considered. More generally, metaheuristics include any procedures which use strategies to overcome the local optima and
33
3.4. METAHEURISTICS
achieve a better quality solution in complex solution spaces. The commonly employed processes in metaheuristics are to define the admissible move from one solution to another at each iterative step or to take each step by creating or destroying
a new solution [83, p.vi] [84, p.47].
There are a variety of successful metaheuristics, such as simulated annealing [85, 86], Tabu Search (TS) [82, 8789], guided local search [90, 91], Greedy
Randomised Adaptive Search Procedures (GRASP) [92, 93], genetic algorithms
and other evolutionary algorithms [94], the ant colony algorithm [84], iterated local search [95], scatter search [96] etc.
One dimension of the classification of metaheuristics concerns the degree to
which the neighbourhood is exploited during the searching procedure. In GA,
the neighbourhood is implicitly defined and is to be exploited by exchanging the
components of one solution with those of another. However, for the other population based methods, e.g. scatter search, path re-linking enables the neighbourhood structures to be used in full generality. For other metaheuristics manipulating
only a single solution, e.g. tabu search and, simulated annealing, the neighbourhood is searched based on various forms of randomised or deterministic strategies [83, p.vi]. In [84], metaheuristics is categorised into two classes: constructive
and local search based. The number of solutions that is manipulated can classify
metaheuristics into two groups: single solution and multiple solutions. The performance of some metaheuristics such as Ant Colony Optimisation (ACO) and GA
will be greatly enhanced if local search can be included.
In Section 3.1, it is stated that all metaheuristics are approximate algorithms.
Metaheuristics is currently one of the effective ways of tackling a range of NPcomplete problems which cannot be solved in a polynomial time [77, Cha.35].
Some of the other characteristics of metaheuristics are summarised as follows:
Metaheuristics do not require the gradient or Hessian matrix of the objective
function. As a result, the objective function does not need to be continuous
or differentiable and it can have constraints.
34
3.4. METAHEURISTICS
Since metaheuristics take different strategies to overcome the local optima,
they are suitable to search for an optima for a non-convex objective function.
There is no general termination criterion [84].
GA and ACO are introduced in Section 3.4.2 and Section 3.4.3 respectively. Some
more metaheuristics such as Simulated Annealing and Tabu Search are also covered
in Appendix B.
3.4.2
Genetic algorithm
A GA employs some operators to model the natural evolution process. A GA

maintains a set of feasible solutions to a problem and new solutions can be obtained
by using the operators. The solutions should be selected according to their quality.
Iteratively, until the termination criterion is met, A GA will keep generating a new
set of feasible solutions in the hope that improvement in the solutions will occur
[97].
A five-step procedure is usually adopted for a GA [98]. The first step to implement a GA involves the encoding of the objective function to present the chromosome on which the evolution process operates [99]. The second step is to define
a fitness function or selection criteria. Because a GA operates with a population
of possible solutions, the third step is to create a population of individuals [100].
The fourth step is the iterative evolutionary process which takes place during reproduction. In this step, a set of operators demonstrated in nature are adopted,
including selection, crossover, mutation, inversion and fitness-proportionate reproduction. Further details of each of these strategies can be found in [100, 101]. The
final step will be decoding the results to obtain the solution.
Before a pseudo-code for a typical genetic algorithm is given, some comments
are listed as follows:
Let POP denote the population which contains a set of individuals and let
sbs f denote the individual with the best fitness value so far;
35
3.4. METAHEURISTICS
Function Initialise generates the initial population of individuals;
Function Evaluate works as the fitness function in the above-mentioned second step; it returns the fitness value of the each generated individuals;
Function Get-Best returns the individual with the best fitness value;
Function Reproduce is a function which performs all the operators in the
fourth steps and returns the new generation of individuals.
Algorithm 3.1 Pseudo-code for Genetic Algorithm
POP Initialise()
Evaluate(POP)
sbst Get-Best(POP)
while Termination Requirement Not Met do
0
POP Reproduce(POP)
0
stmp Get-Best(POP )
if Evaluate(stmp )>Evaluate(sbs f ) then
sbs f stmp
end if
0
POP POP
end while
3.4.3
Ant Colony Optimisation (ACO)
ACO, as a member of the swarm intelligence methods [102] and model-based

search methods [103], is inspired by the foraging behavior of ants between the
ant colony and food sources [104]. The history of past search is explicitly used
to derive every constructive low-level solution. Additionally, ACO adopts a population framework and Monte Carlo style randomisation for a high-level selection
based on the solutions achieved in the past [105].
Over time, a variety of ACO variants have been developed including: Ant System (AS) [104, 106, 107], Elitist AS [104, 107, 108], Ant-Q [109], Ant colony system [110], Max Min AS [111, 112], Rank-based AS [113], Approximate Nondeterministic Tree-Search (ANTS) [114], Hyper-cube AS [115].
36
3.4. METAHEURISTICS
ACO can be applied to any combinatorial problem as each artificial ant constitutes a constructive procedure to define a complete solution by adding each
component into the partial solution. A construction graph G = (V, E) is created
where the edges set E connects each element in the vertex V. Each ant is capable of dealing with the constraints during its constructive procedure. Each edge
ei, j E between two vertices vi and v j is associated with two kinds of information:
pheromone information i, j and heuristic information i, j . The i, j as a long-term
memory stores the searching history of the artificial ants and is updated iteratively.
The heuristic information i, j is a metaphor of the local sight of an artificial ant
which is proportional to the cost of edge ei, j . The heuristic information specifies
the a priori information about the problem instance or run-time information provided from the source [84, p.36] and it will usually remain unchanged during the
searching procedure.
The properties of the artificial ant are summarised as follows [84, p.36]:
Each artificial ant exploits the construction graph G = (V, E) by a constructive procedure.
Each artificial ant is capable of memorising the elements which have already
been constructed so far. The functions of memory can be summarised as
follows:
To deal with constraints;
To obtain the heuristic information;
To evaluate a complete solution after the construction is completed;
To retrace back the path to update the corresponding pheromone information.
Before the termination conditions are satisfied, an artificial ant will select the
next vertex in the neighbourhood of the current vertex through a probabilistic
function which consists of:
37
3.4. METAHEURISTICS
Local pheromone information and heuristic information;
Individual memory of the current constructive state of the ants;
Problem constraints.
The pheromone associated with any edge passed by an artificial ant can be
updated during the construction procedure or afterwards. The update procedure after construction is accomplished by retracing the same path backwards
using the local memory of the artificial ant.
Each ant works concurrently and independently and communicates through
mediating the information read or written by each ant.
There are three major functions to be defined in the ACO implementation process [84, p.37].
Construction Within the construction graph of the problem G = (V, E), a set
of ants construct each respective solution by visiting each vertex in the current neighbourhood consecutively until a complete solution is constructed.
Each step is determined by applying a probabilistic function mentioned in
the property of an artificial ant. In some variants of ACO, the construction is
in association with some local search techniques to promote the search performance. This function will return a set of feasible solutions, denoted by
s.
Daemon-Action In some variants of ACO, this procedure controls the disposal of pheromone based on the information collected from local or global
information. With the addition of such a procedure, the Update procedure
will be more purposefully attended in the hope of directing the search to
a better solution more quickly. Pheromone set is used to denote all the
pheromone information of the construction graph. This optional function
will take the responsibility of increasing the pheromone information of some
of the edges.
38
3.4. METAHEURISTICS
Update The update procedure will increase or decrease the pheromone information associated with each edge. Generally, the update procedure will
affect the popularity of each edge in the total construction of the solution.
A solution with better quality will tend to increase the pheromone information to attract more ants to follow the track. Meanwhile, the reduction of
pheromone will decrease the popularity of corresponding edges with the purpose of forgetting (or as referred to as evaporating [84]) any bad or local
optimum solution.
Algorithm 3.2 Pseudo-code for ACO
while Termination Conditions Not Met do
s=Construction()
=Daemon-Action(, s) {Optional}
=Update(, s)
end while
3.4.4
Summary
In this section the general characteristics of metaheuristics are introduced. According to various dimensions of classification, metaheuristics can be categorised into
different types. To summarise, to implement a metaheuristic several factors should
be included, which are listed as follows:
Initially, metaheuristics should produce a feasible solution randomly or heuristically (local search based) or constructively (constructive search);
An evaluation function relevant to the objective function is essential;
It is capable of obtaining the new feasible solution through a neighbourhood
function or other mechanisms, e.g. pheromone;
It has the criteria for selecting and accepting the solutions;
It should be equipped with termination criteria.
39
3.5. SUMMARY
3.5
Summary
In this chapter, some optimisation techniques are reviewed, including numerical

optimisation algorithms, dynamic programming, and some metaheuristics. An introduction of a typical algorithm of numerical optimisation are covered in Section
3.2. Line search and trust region strategies are two of the important strategies to
generate new solutions in numerical optimisation. Dynamic programming, due to
its special problem solving characteristics, is illustrated ranging from the mathematic presentation to the comparison between dynamic programming and greedy
algorithm. Finally, to tackle NP-complete problems, metaheuristics are introduced. The general characteristics of metaheuristics are covered and the elements
essential to implementing a metaheuristic are presented.
40
Chapter 4
Modelling train motion and traction
power
4.1
Introduction
The application of computer simulation in railway engineering dates back to the

days when computer techniques began to flourish in 1970s. The modelling of
railway vehicle motion and traction power is no exception [116, 117]. Modelling
of railway vehicle motion and traction power is done to calculate the speed, distance and time profile when a train is travelling on a journey with other constraints imposed on it, e.g. the signalling system and traction equipment characteristics. The signalling system is important in multiple train movement simulation
because it controls the interaction between movements of the trains on a connected
route [118,119]. In [120] it is stated that train movement simulation can be applied
to assess traction performance under the conditions of a new line [121], to verify a
range of signalling systems [119, 122] and to evaluate proposed timetables [123].
In [116], different train movement models are reviewed. The time based simulation model evaluates train movement at every time interval and the state of the
train is updated by assuming that its acceleration is constant in that interval [118]. It
is also argued that, despite the fact that time-based modelling is conceptually close
41
4.2. PHYSICS OF VEHICLE MOTION

to the practical train movement, the higher computational complexity limits its application to areas where the full details of every movement or energy consumption
calculation are absolutely necessary [33]. What is not mentioned in [116], but has
very similar modelling, is distance based modelling, which has been applied and
reported in various papers [33, 121]. Both time and distance based modelling will
be discussed in detail in Section 4.3. Different from time and distance based modelling techniques, without focusing on the details during the time of update, event
based modelling can eliminate unrelated simulation and reduce the computational
time. The movement of the train is denoted by a sequence of pre-defined events,
such as arrival and departure at the stations [124]. A model of train movement
is discussed in [49], used for the study of power strategy management of a DMU
train.
4.2
4.2.1
Physics of vehicle motion

General introduction
Energy for the railway traction system is used for acceleration, overcoming electrical and mechanical power losses and for work in moving the mass of the train
forward against the frictional forces [51].
The basic equation of motion is based on Newtons Second Law:
M
d2 s
= T E R Mg sin()
dt2
where:
M is the effective vehicle mass (including rotational inertia);
M is the vehicle mass;
g is the acceleration due to gravity;
42
(4.1)

R is the vehicle resistance to motion;
T E is the tractive effort;
s is the current vehicle distance.
is the angle between the route slope and vertical line.
4.2.2
Adhesion
Adhesion represents a limitation of the tractive effort produced by the motored

axles and this should be considered before investigating the actual tractive force.
The adhesion limit defined by Eqn. 4.2 sets the maximum available tractive effort
T Emax on a flat track.
T Emax = Mg
(4.2)
In Eqn. 4.2, T Emax is the maximum tractive effort; is the coefficient of friction;
M is the vehicle mass; g is the acceleration due to gravity. If drops to too low
a level, undesirable wheel slip may occur, causing energy wastage and preventing
the vehicle from increasing its speed [55].
In [125], rail adhesion analysis using a full scale roller rig has been undertaken.
The test results show the following:
1. For a dry and clean wheel surface, the adhesion coefficient does not vary
with vehicle speed;
2. For a track surface covered by oil, the adhesion coefficient can drop down
to a very low level and this level is approximately maintained with increase
in vehicle speed;
3. For water covering the wheel/rail contact surface, the adhesion coefficient
reduces with increase in vehicle speed.
43
Figure 4.1: Typical railway vehicle tractive effort and resistance characteristic
It is also stated that the application of sand to the wheel/rail contact has been
found to be the most efficient and cost effective method of increasing the adhesion
coefficient under contaminated conditions [126].
At higher speeds, power becomes the main limiting factor. In Figure 4.1, the vehicle keeps a constant tractive effort up to a particular point, referred to as the base
speed and then has a constant power region which has the effect of decreasing the
tractive effort reciprocally. Positive acceleration is maintained up to the balancing
speed where the installed tractive capacity is equal to the combined resistance and
gradient forces.
The frictional force between the driven steel wheels and the rail is the actual
tractive force which moves the train forward. The value of the adhesion force on
one driven axle can be calculated using Eqn. 4.2, where is the coefficient of
friction. In railroad applications, this value ranges from 0.05 to 0.5, depending on
the conditions. The upper limit of 0.5 is sometimes assumed when encountering
dry or sanded track [127].
In order to maximise the total tractive force, it is usual to increase the number
of motored axles. The maximum acceleration on flat track is expressed by:
44
d2 s
= gpm
dt2
(4.3)
where:
g is the acceleration due to gravity;
pm is the ratio of number of motored axles over total number of axles;
is the coefficient of friction.
The coefficient of friction is assumed to be independent of the speed of the train,
but in reality there is some decrease at high vehicle speeds.
4.2.3
Resistance
The motion of the train is opposed by a number of resistive forces [128, 129]. The
overall resistance on level track can be formulated as follows:
D
r
D
= A0 M + B0 Mv + Cv2 +
r
R = (A0 + B0 v)M + Cv2 +
(4.4)
Where A0 , B0 , C and D are empirical constants relating to rolling resistance, track

resistance and aero-dynamics resistance, M is vehicle mass, v is the speed and r
is the radius of track curvature. The constant terms in Eqn. 4.4 are commonly
obtained using empirical methods [129]. Eqn. 4.5 is a simplified version that is
used in the current work. Note that A = A0 M, B = B0 M. The curvature of railway
as represented by term
D
r
takes very limited effects when the train is running at
speed less than 200 km/h. In this equation, the constants include the effect of
mass and the increase in resistance due to track curvature has been assumed to be
negligible.
R = A + Bv + Cv2
45
(4.5)

Where v is the vehicle speed (m/s) and the coefficients A(kN), B(kN s/m) and
C(kN s2 /m2 ) are all constants, referred as the Davis coefficients [129].
4.2.4
Effective Mass
The rotational inertia of the rotating components on the train must be taken into
account in order to properly calculate the acceleration of the train. This is usually
done by adding a rotary allowance term to the mass of the train. This is expressed
as a fraction of the tare mass of the train which is the mass of train without loads
or passengers.
M = Mt (1 + w ) + Ml
(4.6)
Where:
M is the effective mass;
Mt is the tare mass;
w is the rotary allowance;
Ml is the freight or passenger load.
Alternatively, for the sake of simplicity, the effective mass could be simply
expressed by:
M = M (1 + w )
(4.7)
The rotary allowance w is a constant (usually less than 0.2) and depends on
the ratio of number of motored axles over total number of axles, the gear ratio and
type of vehicle construction [127].
46
4.3. MODELLING AND SIMULATION
4.2.5
General vehicle motion equation
To summarise, the general equation of vehicle motion, known as Lomonossoffs

equation, can be written as follows:
M
ds
d2 s
d2 s
=
T
E
(A
+
B
+
C
) Mg sin()
dt2
dt
dt2
(4.8)
Here T E is the tractive effort and A, B, and C are the constants in Eqn. 4.5
and Mg sin() indicate the effect of the gradients. will be positive for uphill
running, negative for downhill running and zero for flat track running.
In view of Eqn. 4.8, the instant acceleration a in relation to the instant speed v
is given in Eqn. 4.9:
a=
4.3
A
B
C
M
TE
( + v + v2 ) g sin()
M
M
M
M
M
(4.9)
Modelling and simulation
The acceleration of the train, i.e. the right terms of Eqn. 4.8 over the effective
mass of the vehicle, i.e. M shown in Eqn. 4.8, is determined by the following four
issues [54].
Traction equipment specification This includes the type of motors with
their own control techniques. Different types of motor will result in different
dynamic performance, for example, the initial acceleration at low speed, the
maximum speed it could operate with, and its motoring and braking characteristics. The latter characteristic dominates the regeneration capability of
the vehicle.
Mechanical design issues These issues cover different aspects of the mechanical design of a train, such as weight, capacity, length, number of axles,
proportion of motoring axles, train rolling resistance, gear ratios etc.
47

Topographic issues These issues cover the gradient, curvature, position of
station locations, and any other environmental issues such as weather conditions.
Operational control issues The train should be operated under strict control
to maintain satisfactory performance. Average speed restrictions and station
dwelling times are among the control restrictions for safety considerations.
For better passenger comfort, limits are also imposed on acceleration, jerk
etc.
The first three issues remain unchanged for the same type of vehicle and routes.
Operational control issues are usually the control input for instantaneous train
movement. Consequently, the motion of the single railway vehicle is generally deterministic regardless of random disturbances from the outside environment [54].
4.3.1
Vehicle state switch
Let vehicle state present the combination of vehicle current distance S cur , current
journey time consumed T cur and current vehicle speed Vcur . The distance switch
from the initial state to the final one results in the train movement from one station
to the next. The tractive power from the locomotive engines or traction motors is the
internal cause of the state switch. Different power imposed on the vehicle current
state will result in a different vehicle state switch, i.e. train running trajectory.
This section will illustrate the physical idea behind the vehicle state switch and
consequently the idea of modelling the vehicle motion and its simulation.
For a known vehicle state, to obtain the next state after the state switch, the
assumption should be made that:the acceleration imposed on the vehicle should
be known and usually regarded as constant within a certain time interval or within
a certain distance interval. The time interval or distance interval are kept short to
keep certain level of calculation precision. Since the acceleration imposed on the
vehicle is comprised of the non-linear resistance, gradients and tractive effort from
48
Figure 4.2: Vehicle state switch between two states in 3 dimension space
tractive equipment, the numerical solution for the vehicle motion can be obtained
based on this assumption.
Figure 4.2 shows a simple case of a state switch between two vehicle states. Due
to the constant positive acceleration in the period T , the speed will be changed
from v1 to v2 and distance will be changed from s1 to s2 . If the instant acceleration
is a and it is regarded as constant within the next period T (time based modelling)
or next distance interval S (distance based modelling), the state 2 originating from
a known state 1 is obtained.
For time based modelling, for which acceleration is regarded as constant within
a time interval for a simulation step, the process of obtaining state 2 can be illustrated by Eqn. 4.10 and Eqn. 4.11. In this case, T is a known constant.
v2 = v1 + a T
v22 v21
s2 = s1 +
2a
49
(4.10)
(4.11)

Time based modelling can simulate the train motion system as a dynamic time
based system [49] and, since the vehicle states can be compared using the same
discretised time basis, it is easier to apply DP to obtain the optimum vehicle running
trajectory.
For distance based modelling, where the acceleration is regarded as constant
within a distance interval for a simulation step, the process of obtaining state 2 can
be illustrated by the following equations. In this case, S is a known constant.
v2 =
p
v1 + 2 a S
(4.12)
v2 V1
a
(4.13)
t2 = t1 +
Distance based modelling has the advantages of a stable distance basis, thus it
is easier to store the data and enable a faster search metaheuristic for a good vehicle
running trajectory.
Because the initial vehicle state is known, i.e. s = 0, t = 0, and v = 0, if at
each simulation step the instant acceleration a is also known, all the states along the
journey are determined. Figure 4.3 shows the state switch along a simple journey
using different operation modes.
4.3.2
Operational control input
The operational control input can be generally categorised into the four types: motoring, cruising, coasting and Braking.
Motoring mode and cruising mode
This control will increase the vehicle speed and switch the vehicle from a low speed
state to a higher speed state and keep at a constant level under cruising mode. The
acceleration under such control will be positive or zero, i.e. a 0.
For a vehicle with a known state , with current speed and current distance, the
50
Figure 4.3: Vehicle states switch in 3 dimension space

current gradient Mg sin(), current resistance R in Eqn. 4.1 is known and regarded
as stable for the current simulation step. The instantaneous maximum operational
acceleration amax is determined by the maximum achievable acceleration aach
max determined by the maximum tractive effort from the tractive equipment shown in Figure
4.1 and also by the current speed limit. As long as acceleration is kept positive, the
motoring mode remains active.
To simplify the illustration, a train is assumed to accelerate to speed limit using
maximum available acceleration. To determine the maximum acceleration from
the current maximum tractive effort and speed limit, a speed threshold vth is set for
current speed limit vlim , (Note: in this thesis vth = vlim C, where C is a small
constant value in m/s) and the following two rules are proposed to be followed in
the simulation to achieve a gradual approaching to the speed limit.
Above the threshold, the maximum achievable acceleration aach
max will be truncated using Eqn. 4.15 to obtain the amax ;
Below the threshold speed, aach
max equals amax .
51
Figure 4.4: Maximum achievable acceleration truncation using partial open loop
control
The truncation of aach
max is done using Eqn. 4.15. Vdi f f is to denote the current
speed positive difference between the Vcur and Vlim as shown in Eqn. 4.14.
vdi f f = vlim v
(4.14)
The maximum acceleration can be calculated using Eqn. 4.15.

amax = amax
Vdi f f
Vlim Vth
(4.15)
When the vdi f f = 0, amax = 0 and the train enters the cruising mode operation.
No matter which type of modelling is used, at each simulation step, the control input ac for the vehicle is obtained from amax and c . The control input ac is
calculated using Eqn. 4.16 given that c [0, 1].
ac = c amax
52
(4.16)
Figure 4.5: Coasting mode operational control

Coasting mode
Coasting mode operational control will shut the motors or any tractive equipment
down. Acceleration will be affected by the total resistance of the train and the
effect of gravity. The acceleration a of the vehicle is usually negative, however, it
can become positive if the vehicle is running on a steep downhill gradient.
The significance of coasting mode running is that the motors are using no energy during this mode. For non-regenerative braking operation, such operational
control would save the most significant amount of energy. However, the selection
of coast point from which the train is to begin to coast will have a significant effect on the both total journey service quality in terms of journey time and energy
consumption [24, 25]. Figure 4.5 presents the speed curve under a simple coasting
mode operational control strategy.
For both distance and time based modelling, the mechanism of simulation under
coasting mode operational control is the same. In simulation, the instantaneous
coasting acceleration a for each state is calculated by setting the F = 0 in Eqn. 4.9.
53
Figure 4.6: Braking mode operational control due to reduced speed limit
Braking mode
Braking mode slows the train down to meet speed limits and also to stop at stations.
The critical requirements of braking operational control are to make sure that the
speed of the train is always under the speed limit and that the train arrives at the
station with zero speed.
For time based modelling, the braking mode of the train is assumed to be a
service braking procedure with a typical constant deceleration rate. According to
the function, braking mode operational control can be categorised into two types:
type I, braking due to the decrease of the speed limit, and type II, braking due to
the station stop. Figure 4.6 demonstrates a speed reduction procedure due to the
decrease of the speed limit.
Figure 4.7 demonstrates a speed reduction procedure due to a station stop.
The braking mode operational control is not taken until the Critical Braking
Distance (CBD) is reached. CBD is determined by Eqn. 4.17 for type I braking,
54
Figure 4.7: Braking mode operational control due to station stop

and by Eqn. 4.18 for type II braking.
sc = 0.5 (v2nl v2 )/a srvc
(4.17)
sc = 0.5 v2 /a srvc
(4.18)
In Eqn. 4.17 and Eqn. 4.18, sc is the CBD; vnl is the next speed limit; sc is the
current speed for the current vehicle state; a srvc is the presumed constant service
acceleration.
For distance based modelling, the braking mode operational control is simulated by a virtual backwards calculation [33, 121]. It is assumed that an identical
train is running backwards from the next station or next speed limit position with
the same amount of braking effort plus dragging resistance calculated using Eqn
4.5. The deceleration rate of forwarding train is equal acceleration rate of backwards train. As the braking effort is now in the direction of the train, the speed
change at each state should be the same as the one going forward. The backwards
running train will keep running until its speed exceeds the forward speed trajectory,
shown as braking position in Figure 4.8.
It is noted that for the braking mode, there is a considerable difference be55
Figure 4.8: Braking mode operational control at distance based modelling

tween distance based and time based modelling. For time based modelling, it is not
straightforward to obtain the braking speed for each simulation step. The braking
procedure is approximated by introducing a constant service braking deceleration
rate. By contrast, it is easier for the distance based simulation model to virtually
calculate the braking speed backwards.
4.3.3
Energy consumption modelling
For each state switch, the instant acceleration of the vehicle a, is known based on
the current information including the driver control input and the other external
conditions, shown in Eqn. 4.9.
The energy consumed by the traction system of a train can be calculated using
Eqn. 4.19.
1
E = M(v22 v21 ) +
2
v2
(Av2 + Bv + C)ds h M g
(4.19)
v1
In Eqn. 4.19, M is the total vehicle mass, v1 is the vehicle speed at the current
distance step and v2 is the vehicle speed at the next distance step, h is the altitude
56

difference between the altitude of the current distance step A1 and the altitude of
the next distance step A2 , i.e. A1 A2 , g is the acceleration due to gravity and A, B
and C are the Davis coefficients shown in Eqn. 4.5.
If the acceleration is constant during the speed change from v1 to v2 as assumed,
the instantaneous speed at each distance from s1 to s2 in Figure 4.2 can be calculated by Eqn. 4.20.
q
v = v21 + 2as
(4.20)
In Eqn. 4.20, s is the distance between distance s to s1 . If both v1 , v2 are known,

the constant acceleration a can be obtained from Eqn. 4.21.
v22 v21
a=
2s
(4.21)
In view of Eqn. 4.21, Eqn. 4.20 and Eqn. 4.19, the final traction energy cost for the
train moving from s1 to s2 with the speed change from v1 to v2 can be presented as
follows.
E=
2Bs(v22 + v2 v1 + v21 )
1
M(v22 v21 ) + As/2(v22 v21 ) +
+ Av21 s +Cs hMg
2
3(v2 + v1 )
(4.22)
The time consumption can be calculated from Eqn. 4.23.

2(v2 v1 )(s2 s1 )
v22 v21
2(s2 s1 )
=
v2 + v1
T=
4.3.4
(4.23)
Single train motion simulator
A Single Train Motion Simulator (STMS) is developed using Lomonossoffs Eqn.

4.8. An overview schematic is shown in Figure 4.9.
In Figure 4.9, four parts of the simulator are shown. From left to right, they are:
57
Figure 4.9: System diagram of single train simulator

1. Journey Profile.
The journey profile, including the signalling system, geo-
graphic information, speed limit and station position, are all determined for
a known journey. In the simulation, journey profiles are stored in a look-up
table which is loaded before the simulation.
2. Operational Control Input. The STMS obtains the acceleration of the train
from the data stored in Journey Profile and the control input from the driver
as it moves through the journey at each simulation step.
3. Journey Information Recorder.
To demonstrate the simulation results, the
output results are stored in the Journey Information Recorder. At each time
step, the states of the vehicle will be stored, including the distance of the
vehicle, the speed of the train, and the energy and time consumed thus far.
4. Single Train Motion Simulator. By calculation, this block obtains the state
switch based on the current state, and so on, until the final state is achieved.
58
4.4. SUMMARY
4.4
Summary
This chapter contains a literature review of the modelling of a traction power system. Modelling generally follows laws of physics and logic and predicts the behaviour and performance of railway infrastructure [130]. As a result, establishment
and development of correct a mathematical model of traction power systems is vital
and worth detailed investigation. Simulation based on correct modelling provides
a cost effective evaluation of a large range of energy efficiency studies on traction
systems such as power management strategies and driving strategies. The physics
of vehicle motion are introduced in Section 4.2. Each of the elements in Eqn. 4.8
is illustrated in detail. Key factors in modelling a traction power system are covered in Section 4.3. Specifically, the energy consumption calculation is discussed
in Section 4.3.3.
59
Chapter 5
Single train trajectory optimisation
5.1
Introduction
Single train speed trajectory, i.e. the curve representing the speed profile, achieved
by improved train traction control strategies can potentially reduce the energy consumption of railway vehicles. Driver guidance systems [131] or Automatic Train
Operation (ATO) systems [132] are able to take advantage of pre-calculated train
speed trajectories. Train speed trajectory optimisation has already been studied
using various methods, such as GA and optimal control theory. Generally, train
speed trajectory optimisation can be categorised into two types: coasting control
optimisation and general control optimisation.
Coasting control optimisation optimises the train trajectory through coasting
operations to ensure minimum energy consumption under the journey time constraints. The optimisation procedure regards the coasting operation as an optimisation input for a good tradeoff between energy consumption and journey time.
The GA has also been applied to search for the coasting points but the number of
coasting points is predetermined which limit its application for different journey
profiles [25]. The results show a promising performance in coasting control for the
tradeoff between the journey time and energy consumption. In [133], GA is also
applied to search for the coasting point. The number of coasting points has been
60
5.1. INTRODUCTION
dynamically allocated into the chromosomes which enhance its practical application. In [24], in addition to the GA searching methods some of the classic searching
methods, i.e. golden search methods, are studied in a simple single coasting point
case. Rather than search for the coasting point, [26] targets the acceleration rate,
the braking rate and the re-motoring speed. In this paper the coasting operation is
regarded as the natural operation after the train has reached the maximum speed
limit. In addition, Artificial Neural Network (ANN) have been applied to search
for the optimum coasting speed to minimise the total social cost in a mass rapid
transit system [27]. In [27], the coasting control means the speed from which the
train begins to coast. It is found that coasting speed should increase when more
emphasis is placed on the journey time.
General control optimisation seeks the optimal train trajectory by applying a variety of control means, i.e. acceleration, deceleration, coasting, cruising etc. This
type of search obtains more feasibility and controllability for practical applications
as the control inputs are echoed by real train operations. General control includes
the train running acceleration rate, deceleration rate and cruising speed level in addition to the coasting control to search for the optimum trajectory. Optimal control
theory is among the most widely applied techniques used to obtain the optimal
control sequence of the train. The optimisation objective is to operate a train with
minimum energy consumption subject to time and physical limitations. The analytical solution of the problem is obtained through some linear approximation or
some empirical extensions. Pontryagin Maximum Principle (PMP) is a commonly
used method to achieve the solution [19, 29, 30]. DP has been applied to search for
the optimum trajectory with the minimum energy cost [31, 32]. In [33], a multipopulation genetic algorithm together with heuristic annealing selection has been
modelled to search for an energy-saving control for an urban railway train. It is
alleged that a multiple population search improves the convergence rate and evolution stability. In [123] a heuristic algorithm is proposed where the target speed is
pre-obtained. A series of feasible control inputs is then produced. The simulation
61
5.2. AN OPTIMAL CONTROL VIEW-POINT

results show that the train is able to recover from delay by using this algorithm.
In this chapter, train trajectory optimisation will be discussed firstly from an
optimal control view-point. It is concluded that the optimisation of train trajectory
can be also realised through the search of the train speed at various positions. A
distance based model is created onto which several general control optimisation algorithms are applied to search for the optimum train running trajectories. ACO as
the representative of constructive heuristic algorithms, and a GA representing the
local search based metaheuristic, will both be applied to search for a more desirable train trajectory. For comparison study purposes, DP as a global optimisation
technique is also applied.
5.2
5.2.1
An optimal control view-point

System plant
The train trajectory is manipulated by a train control input from the driver or any
ATO system. The objective function for the optimal control can be presented by
Eqn. 5.1:
J=
u f (t) f [v(t)]s(t)dt
(5.1)
where: u f is the control signal for forward tractive effort, f [v(t)] is the maximum
tractive effort per unit mass at current speed v(t), s(t) is the current vehicle distance.
It is assumed that for backwards traction, i.e. braking operations, no power is
consumed, thus no cost will be induced by a backwards control signal.
The train motion control is a time-variant two-point boundary value problem
if the arrival time is fixed. We set the time as the dependant variable. The state
equations are given by Eqn. 5.2.
s = v
v = u f f (v) ub b(v) r(v) g(s)

62
(5.2)

where, ub is the control signal for backwards braking effort, b(v) is the maximum
braking effort per unit mass at current speed v, r(v) is the resistive force per unit
mass defined by Eqn. 4.5 and g(s) is the longitudinal force per mass due to gradient.
The boundary conditions are listed as follows.
v(0) = 0
v(T ) = 0
(5.3)
s(0) = 0
s(T ) = S t
(5.4)
Some constraints are imposed:
v vlim (s)
(5.5)
[0, 1]
(5.6)
ub [0, 1]
(5.7)
uf
where vlim (s) is the speed limit at various positions, u f = 1 implies the maximum
possible tractive effort is imposed, u f = 0 implies no tractive effort is imposed,
ub = 1 implies the maximum possible braking effort is imposed and ub = 0 implies
no braking effort is imposed.
5.2.2
The pontryagin minimum principle
Using the PMP, the Hamiltonian H [134, 135] can be presented as follows:
H = p0 { s [vvlim (s)]+u f f (v)v}+ p1 v+ p2 [u f f (v)ub b(v)r(v)g(s)] (5.8)
where s is the complementary slackness coefficient and p0 is a positive constant
and p1 and p2 are the costates depending on time.
= 0
s =
> 0
i f v <= vlim (s)

(5.9)
i f v > vlim (s)
63

Rearranging Eqn. 5.8, gives:
H = p1 v p2 r(v) p2 g(s)+ p0 s [vvlim (s)]+ p2 u f f (v) p2 u2 b(v)+ p0 u f f (v)v
(5.10)
If x1 is used to represent s, x2 to represent v, u1 to represent u f and u2 to present ub ,
Eqn. 5.10 can be written as follows:
H(t, x, p, u) = I(t, x, p) + F(t, x, p) u
(5.11)
where,
I(x, p, t) = p1 x2 p2 r(x2 ) p2 g(x1 ) + s p0 [x2 vlim (x1 )] (5.12)
F(x, p, t) = [p2 f (x2 ) + p0 f (x2 ) x2 , p2 b(x2 )]

u
1
u =

u2
(5.13)
(5.14)
In addition, F1 and F2 are used to denote the two elements of vector F.

F1 (x, p, t) = p2 f (x2 ) + p0 f (x2 ) x2
(5.15)
F2 (x, p, t) = p2 b(x2 )
(5.16)
Costate equations can be shown as follows:

pi =
F
I
u(t)
xi
xi
(5.17)
Suppose that there is an optimal control vector u with its resultant the optimum trajectory x vector within the determined time range, according to PMP the following
conditions must hold [134, 135]:
All state functions described in Eqn. 5.2, Eqn. 5.3, Eqn. 5.4 and the costate
64

Eqn. 5.17 should hold. The equations are presented as follows:
x1 = x2
(5.18)
x2 = u1 f (x2 ) u2 b(x2 ) r(x2 ) g(x1 )
(5.19)
p1 = p2 g (x1 )
(5.20)
p2 = u1 f (x2 )x2 u1 f (x2 ) p1 p2 u1 f (x2 )

0
p2 u2 b (x2 ) p2 r (x2 )
(5.21)
and the boundary conditions are:

x1 (0) = 0
x1 (T ) = S t
(5.22)
x2 (0) = 0
x2 (T ) = 0
(5.23)
For t [0, T ] and all the u(t) satisfying the condition |u(t) 1|, the Hamiltonian takes its supremum at the optimal control u for all the admissible u
set.
H(x , p , U , t) H(x , p , U, t)
(5.24)
The Hamiltonian H is a constant along the optimum trajectory in this case

where the terminal time is fixed.
H(x , p , U , t) = c t [0, T ]
(5.25)
where, c is a constant.
5.2.3
Singular control solution
It is noted that the relationship between the input control u and Hamiltonian H
is linear and this is a problem where PMP fails to achieve a complete solution
[135, 136]. The summaries for the control vector u are restated in this case [33].
65

1. If F1 > 0 and F2 < 0, this gives u1 = 0 and u2 = 1, corresponding to the full
braking operational mode;
F1 = p2 f (x2 ) + p0 f (x2 ) x2 > 0
F2 = p2 b(x2 ) < 0
p2 > 0
(5.26)
(5.27)
2. If F1 > 0 and F2 > 0, this gives u1 = 0 and u2 = 0, corresponding to the

coasting operational mode;
As a result:
F1 = p2 f (x2 ) + p0 f (x2 ) x2 > 0
F2 = p2 b(x2 ) > 0
(5.28)
p0
x2 > p2
p2 < 0
(5.29)
As p0 is a positive constant, Eqn. 5.29 indicates that the coasting operation

should not occur unless the vehicle speed is over a certain level.
3. If F1 < 0 and F2 < 0, this gives u1 = 1 and u2 = 1. This corresponds to a
non-real operational mode where the speed is negative, shown in Eqn. 5.31.
F1 = p2 f (x2 ) + p0 f (x2 ) x2 < 0
F2 = p2 b(x2 ) < 0
(5.30)
p0
x2 < p2
p2 > 0
(5.31)
4. If F1 < 0 and F2 > 0, this gives u1 = 1 and u2 = 0, corresponding to full

66

power operational mode.
F1 = p2 f (x2 ) + p0 f (x2 ) x2 < 0
F2 = p2 b(x2 ) > 0
(5.32)
p0
x2 < p2
p2 < 0
(5.33)
Therefore:
It is noted that full power is not taken, for speed x2 becomes above a certain
speed level, for example, when the train is reaching the speed limit less power
should be adopted to prevent any overshooting the speed limit.
These four types of controls are referred to as bang-bang control, where the control signal takes only the boundary value within the allowable range [137]. When
either F1 or F2 becomes zero, the singular control should be adopted to maintain
I 0 and F 0. Two definitions are given as below.
Definition 5.1 (Optimal Singular Control). The problem defined by Eqns. 5.2 to
5.7 is singular, if the optimal control u , the resultant train trajectory x and the
costate p have the following property.
There is at least one half open interval (t1 , t2 ] such that:
F(x, p, t) = 0
(5.34)
The control function u(t1 ,t2 ] is then called the singular control and the trajectory
x(t 1 ,t2 ] an optimal singular trajectory.
Definition 5.2 (Extremal Singular Control). If there is an extremal control u which
satisfies all the necessary conditions defined by PMP, such that the corresponding
trajectory x and the costate p have the property that there is at least one open half
67

time range within which the following equation holds.
F( x, p,
t) = 0
(5.35)
In practice, both the powering operation and braking operation could not exist
simultaneously, one of the control signals will be set to zero to eliminate the effect
of non-zero F elements. For example, if F1 = 0 and F2 , 0, u2 will be set to zero
to eliminate the effect of non-zero F. In that case, the situations where F1 = 0,
F2 < 0 or F1 < 0, F2 > 0 will not be considered.
1. If F1 = 0 and F2 > 0, this gives u1 [0, 1] and u2 = 0, corresponding to the
partial power operational mode.
2. If F1 > 0 and F2 = 0, this gives u1 = 1 and u2 [0, 1], corresponding to the
partial braking operational mode.
According to the two definitions, during the partial power operational mode for
the time range (t1 , t2 ], u1 [0, 1] should keep F1 0 to satisfy the PMP necessary
conditions defined in Eqns. 5.17, 5.24 and 5.25. Meanwhile u2 [0, 1] for the
partial braking operational mode for (t1 , t2 ] should keep F2 0.
It is not possible to obtain the analytical control input u due to the non-linear
characteristic of the real train running. Some reasonable approximation should be
taken in order to search for the optimal control signal and resultant trajectories.
For example, in [19], the energy cost of the journey is assumed to be linear to the
journey time. However, such approximation does not always provide reasonable
results due to the practical constraints. It is also not straightforward to apply the
numerical method to obtain the solution using PMP due the singular characteristic.
As a matter of fact, the extremal singular control does not necessarily imply an
optimal singular control [135, 136]. This generally means the results obtained
by PMP are not always optimal. In addition, the numerical method always has
the disadvantage that the initial selection of the solution will severely affect the
68
5.3. MODELLING CONTEXT

searching performance to approach the final optimum answer as shown in Section
3.2.
However, the necessary conditions for optimal control do clearly give a group
of categories of operations from which the optimal control could be selected in a
certain sequence [29, 30].
To avoid the complexity of searching for the optimal control, without losing
generality, this thesis assumes that the train running within a short enough distance
with the same initial speed and same terminal speed will consume approximately
identical energy and identical time. The assumption is made based on similar reason for numerical calculation of vehicle states in Section 4.3.1. The candidate operations in the optimal control will result in the different speed switch between the
two positions. In this case, the optimisation procedure will be changed into search
for the suitable speed at different positions. Meanwhile, to reflect the optimal control theory briefly discussed in this section, certain speed changes corresponding to
certain potential optimal controls are included in the searching space, i.e. full powering operational mode, full braking operational mode, coasting operational mode,
partial powering and partial braking operation modes.
5.3
5.3.1
Modelling context
Introduction
In Chapter 4, the modelling of both train motion and traction power is discussed in
detail. This chapter adopts distance based modelling to simulate train motion and
traction power due to the advantage of such modelling in graphical search. The
motion of the train is calculated step by step in terms of distance. The target of
train trajectory optimisation is to search for the speed for each position along the
journey and try to find the minimum energy consumption meeting the punctuality
69
Figure 5.1: Speed selection procedure in the distance based trajectory searching
requirement. The evaluation function is defined as follows:
Jtra
T [T lb , T ub ]
E
=
E + P
T < [T lb , T ub ]
(5.36)
where E is the energy consumption for the proposed journey trajectory, T is the
time cost for the proposed journey trajectory, and P is the penalty function which
outputs a positive number with an increasing value if the journey time either increases or decreases from the accepted journey time range defined by [T lb , T ub ]. T lb
is the minimum allowable journey time and T ub is the maximum allowable journey
time. If T prop denotes the proposed journey time, the following relationships hold.
T lb T prop
(5.37)
T ub T prop
(5.38)
70

In this thesis the T lb is defined as 1% less than T prop and T ub is defined as 1% more
than T prop . As it is usually required for trains arrive at stations within a minute
range of proposed arrival time. In our study, 1% of total journey time is precise
enough for this requirement.
The pre-determined position is the position at which the speed of the vehicle
needs to be determined, shown in Figure. 5.1. Since the number of pre-determined
positions for a known journey can be infinity, this complexity of search space will
be not possible to implement into any optimisation algorithm. In order to address
this issue, the pre-determined positions are firstly assigned for the journey and the
searching algorithms are applied to search the speed for these pre-determined positions. The speed for the other positions is regarded as determined and uncontrollable. The calculation of speed at other positions is covered in Section 5.3.3.
The pre-determined positions include the following three types, see Figure. 5.1 for
details.
Positions whose distance value is the multiple of the proposed distance interval sint , e.g. S 2 and S 3 pre-determined positions in Fig. 5.1;
Positions at which the speed limit is changed, e.g. S 5 and S 7 pre-determined
positions in Fig. 5.1;
Positions at the beginning and end of the journey, e.g. S 1 and S 11 predetermined positions in Fig. 5.1.
For each pre-determined position, the possible speed should meet the constraints
covered in Section 5.3.2 and 5.3.3.
5.3.2
Speed limitation
The limitations of the traction system and the speed limits imposes restrictions on
the speed which is achievable at various distances. To avoid any unfeasible speed,
71

it is necessary to run the train in a Flat Out Running (FOR) style to set the speed
limit at each distance.
Definition 5.3 (Flat Out Running). Flat Out Running is such a train running style
at which the train will run with its maximum possible speed at every position along
a journey.
FOR can be interpreted as follows:
1. When the train is accelerating, the speed at any position cannot be further
increased due to the physical constraints and speed limit;
2. When the train is decelerating, the speed at any position cannot be further
decreased or the speed will be decreased down to any lower level than a
permitted speed;
3. When the train is cruising, the speed at any position will remain at the speed
limit until acceleration or deceleration is activated.
Let vmax
sn denote the maximum speed at each pre-determined position sn , where
the subscript n implies the index of the pre-determined position. For each predetermined position, Eqn. 5.39 holds.
vmax
sn v sn
(5.39)
From a practical perspective, the train should not run at too low a speed level to
avoid unpractical speed trajectory. Thus, a lower limit for the speed at each predetermined position can be defined. The lower speed limitation can be defined by
Eqns. 5.40 and 5.41.
max
vmin
sn = C p v sn
(5.40)
vmin
sn v sn
(5.41)
where C p [0, 1].

72
5.3.3
Minor speed switch
It is not possible for the train to accelerate or decelerate from any speed vcur at the
current pre-determined position to any speed vnxt at the next pre-determined position even if both speeds are lower than the respective vmax
sn , since the acceleration
supplied by the traction system is limited by the current vehicle speed and motor
characteristics.
The speed switch between two pre-determined positions is done through the
minor simulation distance interval for a greater calculation precision. Within a
minor simulation distance interval, the resistance and tractive force are regarded as
constant and thus the acceleration is constant. Details of minor simulation can be
found in Section 4.3.1.
Two speeds are regarded as connectable if the train is able to switch its current
speed vcur to vnxt at the distance interval. The possible connection between two
speeds at two different pre-determined positions will be first to evaluate. The model
runs the train using the FOR and brake as hard as possible running style until the
train arrives at the next position. The v f o is used to denote current speed after
the FOR and vbh to denote the speed after the brake as hard as possible. If
v f o v2 and vbh v2 , it is regarded that these two speeds are connectable for the
current distance interval, otherwise it is regarded that they are not connectable. It
is noted that the connection is only possible for the speed for any forward adjacent
pre-determined positions as shown in Figure 5.3(a).
However, for two speeds at two pre-determined positions, the number of possible speed trajectories is infinite, as long as the speed changing rate, i.e. acceleration, does not exceed the instant limitation, see Figure 5.2. Two types of trajectory
are defined in this model to represent a typical train trajectory: one is a coasting
trajectory and the other is a normal trajectory. For the coasting trajectory, the train
is applying no extra tractive force and no traction power is consumed. The speed
vnxt
c for the next pre-determined position due to coasting is calculated first. If any
73
Figure 5.2: Various typical trajectories between two pre-determined positions

speed in the neighbourhood of current speed vcur is equivalent to the vnxt
c , the power
consumption for the speed change will be set to zero, otherwise a normal trajectory
will be adopted.
A normal trajectory is selected to represent general train running as this will
reflect the most possible practical running of train in practice. This typical trajectory is obtained by a simple driving style that the train keeps to use the maximum
available acceleration or deceleration defined by Figure 4.1 and Eqn. 4.9 until the
speed of the train is close enough to vnex . The vehicle then changes into constant
small acceleration mode. The small acceleration is defined by Eqn. 5.42.
a =
v2nxt v2
2 sd
(5.42)
where a is a small constant acceleration rate and sd is the distance difference between train instant position and next pre-determined position, v is the instant speed.
74
5.4. ACO APPLICATION
5.3.4
Sparse data storage
In order to enhance the searching speed of the algorithms, the time and energy
consumption information for speed changes between two pre-determined positions
are stored using a sparse matrix. For each feasible speed at each pre-determined
position, a unique index number is allocated in the order of the journey forwarding
direction. In this case, index number for state at the first pre-determined position
will be higher than the one at the last pre-determined position. For any two connectable speeds vi and v j , the element at ith row and jth column of the sparse matrix
is set to a nonzero number. The value of the nonzero number depends on the function of the sparse matrix. For example, if the matrix is for energy consumption, the
data will be set to energy consumption for the speed change. The matrix can also
be used to store the time consumption and the heuristic and linkage information for
the speed change for the ACO algorithm, covered in detail in Section 5.4.
5.4
5.4.1
ACO application
Introduction
ACO is inspired by the foraging behaviour of the ant colony [84]. In ACO, a
set of artificial ants communicate and cooperate indirectly by pheromone to find
a solution to a difficult discrete optimisation problem. Each artificial ant, as an
independent agent, is allocated with the computational resources by which it is
able to leave the pheromone when necessary to communicate with the other ants.
The ant with the good solution tends to leave more pheromone along its routes to
direct the other ants. Using this learning enhancement style algorithm, the route
with the better solution will finally attract more ants to follow and finally lead a
convergence of the optimisation process.
75
(a) Speed link matrix diagram demonstration
(b) Speed link matrix table demonstration
Figure 5.3: Demonstration of the speed link matrix
5.4.2
Construction graph
As introduced in Section 5.3.4, the candidate speed is stored in sparse data storage
and each candidate speed at each pre-determined position has its own unique index.
A construction graph is a complete weighted graph G = (N, A) with N being the
set of N nodes, i.e. the candidate speeds and A being the set of arc connections
between the nodes. Each i, j A is assigned with the consumed time TC(i, j)
and energy EC(i, j), assuming the train is running between two positions with the
initial speed being vi and final v j . i, j A corresponds to the unique index for each
node. As the train is not able to travel backwards and each speed has its own unique
76

index, it is obvious that TC( j, i) is zero if TC(i, j) is a real number.
Some definitions are made as follows:
Let EC denote the sparse matrix to store the energy consumption of every
two nodes. When the train is unable to change its speed from the initial
speed of node i to the final speed of node j within the distance between the
positions of the two speeds, the EC(i, j) is set zero. Otherwise a nonzero
number will be set for EC(i, j) to represent the energy consumption when
train is switching between these two states. Note that any negative energy
consumption will not be added into the final energy consumption assuming
that no power is consumed due to braking.
Let TC denote the sparse matrix to store the time consumption of every two
nodes. Any unconnected nodes are set as zero, and a nonzero number of
TC(i, j) otherwise.
Let ECH denote the sparse matrix to store the heuristic energy consumption
of every two nodes. Any unconnected nodes are set as zero, and a nonzero
number of |1/EC(i, j)| otherwise. Note that for zero energy consumption
the element of ECH(i, j) is infinity. The heuristic consumption implies the
magnitude of the energy saving. For example, the higher the heuristic energy
consumption, the lower the energy cost will be and the higher the energy
saving will be. The function of heuristic value will take the phenomenon
effect to help the artificial ant to decide the next candidate speed, and this
will be covered in Section 5.4.3.
Let TCH denote the sparse matrix to store the heuristic time consumption
of every two nodes. Any unconnected nodes, the element TCH(i, j) is set as
zero, or a nonzero number, i.e. 1/TC(i, j) otherwise. The heuristic consumption implies the significance of time saving, i.e. the higher the heuristic time
consumption value is, the less time is consumed and less time is caused.
77

Let LNK denote the pheromone information sparse matrix. Each connected
arc in the weighted graph G=(N,A) can be selected due to the pheromone
information originally imposed. The pheromone information originally imposed contains two parts:
The linkage information between two nodes. As the pheromone will not
be reduced down to zero after several updates, the nonzero characteristic will be kept to indicate whether these two nodes can be connected.
The strength of linkage between two nodes. A higher value between
two indexed nodes in LNK suggests a stronger linkage between two
nodes. Hence it is more possible for an ant to do a speed change between these two linked nodes.
5.4.3
Solution construction
The pheromone trail LNK(i, j) refers to the desirability of selecting the next candidate speed with the index of j from the current candidate speed speed with the
index of i. Because the possibility of connection between two candidate speeds
only relies on the two speeds of the adjacent pre-determined positions, every selection step will push the trains position forwards until the final station position.
The original pheromone trail imposed for every connectable two nodes is a
constant clnk shown as follows.
LNK(i, j) = clnk
(5.43)
At each construction step, ant k chooses the next speed at the next predetermined position based on a random proportional rule [84, P. 70]. Assume that
the ant is currently at the speed index i and the possibility of speed index j being
selected is defined as follows:
78
[LNK(i, j)] [ECH(i, j)] [TCH(i, j)]
nki [LNK(i, n)] [ECH(i, n)] [TCH(i, n)]
pki, j = P
(5.44)
where LNK(i, j), ECH(i, j) and TCH(i, j) are the linkage pheromone trail, energy heuristic consumption and time heuristic consumption respectively. , ,
are three parameters to determine the relative influence of the pheromone trail and
the heuristic information, and ki are the feasible neighbourhood of ant k being
at node i. In the sparse matrix data storage, the neighbourhood of the node i
is defined by an index of nonzero elements of the ithrow of the linkage matrix.
Take Figure 5.3(b) as an example, the row of speed 1 has two nonzero elements for
the linkage matrix, i.e. speed 2 and speed 3. These two speeds are in the neighbourhood 1 of speed 1 (Node 1).
As it is not straightforward to decide which heuristic information should be
taken and it is not possible to obtain fast convergence if both are undefined [84],
some other information should be considered. The following concepts are defined:
Average speed The average speed is defined by the proposed journey time
and total journey length.
va =
St
T prop
(5.45)
where S t is the journey length, T prop is the proposed journey time, va is the
average speed.
Proposed arrival time The proposed arrival time for the Mth pre-determined
position can be defined as follows:
M
=
t prop
si
va
(5.46)
Actual arrival time The actual arrival time for the Nth pre-determined
79

position can be defined as follows:
N
tact
=
N1
X
tcn,n+1
(5.47)
n=1
where tcn,n+1 is the time consumption between nth pre-determined position and (n+1)th pre-determined position. Assume that for the nth predetermined position the selected speed has the index i and for (n+1)th
pre-determined position the selected speed is with the index j, the tcn,n+1
can be obtained from the following equation.
tcn,n+1 = TC(i, j)
(5.48)
where TC is the sparse storage for time consumption where i and j are the
indexes for the two candidate speeds at two pre-determined position.
Time margin
The time margin at the Nth pre-determined position is
defined as follows:
N
N
tmar
= tact
t Nprop
(5.49)
N
Intuitively, if tmar
is positively larger, it generally means that the train needs
to keep up its speed to catch up with the average speed.

A time constant T c is defined to evaluate the current state of train running in terms
of punctuality and pu = tact /T prop as a ratio of the current used time over total proposed journey time. According to the above-mentioned definitions, by evaluating
the time margin, the dynamic changing heuristic value can be determined by simple
rules listed in Table 5.1. The values listed in Table 5.1 are selected through a trial
and error means to realise an effective search performance.
Based on the rules listed in Table 5.1 and by applying Eqn. 5.44, each artificial
ant is able to specify the next indexed speed for the next pre-determined position
and finally a resultant journey can be constructed showing the speed of the train at
80
Table 5.1: Rules to decide heuristic coefficients

Conditions
tmar 0
Heuristic Value
=1
=0
= 3(pu )
Notes
The train is not quick enough
the time becomes more important
with the used time approaching the end
0 > tmar T c
=1
=0
=1
The train is fast enough.

Small emphasis with
the parameter = 1 is imposed.
T c > tmar 2 T c
=1
=3
=0
Train is fast enough to

impose the energy efficiency operation
Time is not considered
=1
= 5 if pu 0.8
=0
If time used is near the end, the next

speed will be determined purely by
the pheromone trail, setting = 0 instead of 5.
2 T c > tmar
each of the pre-determined positions. Using the pre-acquired two sparse matrixes
TC and EC, the journey time and energy consumption can be obtained. The quality of the solution will be evaluated using the evaluation function shown in Eqn.
5.36 and the pheromone trail will then be updated based on the quality of each constructed solution. One of the key functions of the update procedure is to reinforce
the better solution by imposing more pheromone trail. Further details are covered
in Section 5.4.4.
5.4.4
Pheromone update and termination condition
The pheromone trail matrix is updated using the output of Eqn. 5.44. In this chapter, a generalised update procedure is adopted for a group of artificial ants.
Use na to denote the number of ants in a group. Let n p be the number of predetermined positions. Use S OL to denote the constructed solutions matrix, with
each row being a constructed solution. For each solution, the element is the index
of each candidate speed at each of the pre-determined positions. The number of
elements in each row equals to n p . Use EV AL to denote the one dimension matrix
81

to store the evaluation function output for each row of constructed solutions. Let
UPD denote the update vector to update the pheromone trail.
The update procedure can be divided into two parts. The first part is illustrated
in the pseudo-code shown in Algorithm 5.1.
Algorithm 5.1 Part I: obtain the update vector UPD for each constructed solution
in S OL
Require: evalmin min(EV AL)
for i = 1 to na do
eval = EV AL(i) evalmin
UPD(i) = 2 clnk exp(eval)
end for
Please note that min is a function which is to obtain the minimum element from
its input vector, exp is the exponential function and clnk is defined in Eqn. 5.43.
The second part is illustrated in the pseudo-code shown in Algorithm 5.2.
Algorithm 5.2 Part II: update the pheromone trail matrix LNK using UPD and
S Ol
for i = 1 to na do
for j = 1 to n p 1 do
ri S OL(i, j)
ci S OL(i, j + 1)
LNK(ri , ci ) (1 ce )LNK(ri , ci ) + UPD(i)
end for
end for
The best solution searched so far solbs f will be stored and updated by the new
solution if a lower evaluation function output can be achieved.
The termination condition is set as two criteria. Firstly, the number of groups
of ants exceeds the maximum allowable number. Secondly, the solbs f keeps unchanged for a selected number of iterations.
82
5.5. GENETIC ALGORITHM
5.5
5.5.1
Genetic algorithm
Introduction
The GA as a population based optimisation does not require gradient information of

the objective function and only uses the output of the function to guide the search
for a better solution. Due to this fact, the heuristic information in a GA is not
as important as that in ACO where the search for the solution is well guided by
current heuristic information, i.e. is the train fast enough to coast. As mentioned
in Section 5.1, the GA has been reported as the successful candidate algorithm
in various train speed trajectory searching applications and the simulation results
show its robustness in this area [25,26,33,133]. In this section, a GA will be used to
search for the characterised speed at each pre-determined position using modelled
strings (genotypes). Each string is modelled as a characterised signal for the current
speed jump. The GA computational tool by MATHWORKS is used [138]. Further
details are covered in Section 5.5.2. A similar application of GA can be found
in [33], where the control signals at each position are modelled into one matrix.
The number of positions is allowed to change and a multiple population GA is
applied to search for a good control signal sequence for each of the corresponding
positions.
Genetic algorithm takes its significance in optimisation without requiring gradient information of the evaluation function in relation to the input variable. Consequently, it is suitable in searching for the minimum or maximum of a nonlinear
function, which cannot be analytically presented. Differing from ACO, GA does
not rely on heuristic information which can guide the search procedure into a relatively fast convergence. The guidance is taken from the output of strings (genotypes) in one generation and GA makes sure that better strings have more chance
of affecting the future search direction. This is why the result achieved by GA may
vary within a larger range in comparison to ACO. This observation is covered in
Section 5.7
83
5.5.2
Genotype generation
In order to apply the GA, two important steps should be implemented before different operators of GA can apply.
Generation of the population of strings (genotype).
A fitness function should be created to distinguish the better strings from the
poorer ones.
As all of the strings should be able to gain the final journey time and total energy
consumption, the objective function Eqn. 5.36 used in Section 5.4 can be still used.
The first step to generate feasible strings is important as all these strings deliver an
applicable train trajectory.
Due to the non-linearity between the adjacent two speeds, it is not applicable to
model speed at each pre-determined position into one candidate string. However,
note that for each candidate speed at each pre-determined position, the speeds in
the neighbourhood do have a range. Referring back to Section 5.2, various characterised operations can be identified through the speed change. For example, characterised full motoring can be referred to as the speed change by selecting the fastest
speed in the neighbourhood and characterised full braking can be referred to as
changing the speed by selecting the slowest speed in the neighbourhood.
Figure 5.4 shows the speed change can be achieved by using various characterised control signals for each pre-determined position interval. The different Arabic numbers indicate different types of characterised control signals. Let ic denote
max
min
the control index number for the characterised control. Let Vnxt
and Vnxt
denote
the next possible maximum speed and minimum speed in the neighbourhood of
the current speed Vcur in Figure 5.4. vee the next speed through the most energy
efficient operation is defined as follows:
Definition 5.4 (Next speed through the most energy efficiency operation). If a
speed v j falls into the neighbourhood of vi with i and j as the unique index,
84
Figure 5.4: Various speed change signal for one pre-determined position interval
Table 5.2: Next speed selection based on the characterised control index number
Control index ic
0
16
7
Next speed selected

vee or vc whichever exists
Vmin + (Vmax Vmin ) ic51
Vcur if feasible
and the following relation holds:
LNK(i, j) LNK(i, n)
n i
(5.50)
where i is the neighbourhood of the speed vi . v j is defined as the next speed

through the most energy efficiency operation.
Let vee denote such v j for any speed vi if LNK(i, j) , and let vc denote such
v j if LNK(i, j) = .
Since heuristic energy consumption is the absolute reciprocal of real energy
consumption, the maximum heuristic energy consumption indicates the minimum
absolute real energy consumption of the train. Though negative energy consump85

tion is not counted in the total energy consumption, the kinetic energy converted
from the positive power will still be consumed as heat. From the point of view of
energy conservation, the absolute energy consumption is used to evaluate the energy efficiency of each speed change. If the coasting operation is selected, i.e. vc
exists, vc will be selected as the speed of the next pre-determined position.
For the control index number of 0, the most energy saving mode is selected.
min
max
For the control index of 1 to 6 , six speeds in the range of [Vnxt
, Vnxt
] will be
selected using the equation shown in Table 5.5.2. The control index number of 7
implies a cruising operation for the vehicle if the speed is allowed to be maintained
in the next pre-determined position.
In view of the above illustration, if a string contains the control index number
for each pre-determined position interval, the speed can be easily determined at
each pre-determined position given that the first speed at the first pre-determined
position is zero. Using the pre-acquired matrices TC and EC and the unique speed
index, the energy and time consumption can be obtained. Finally, the fitness of each
string can be evaluated and guide the GA operation to achieve a better trajectory.
Assume that there are M strings in the initial population and N pre-determined
positions along the journey, the schematic GA optimisation procedure is shown in
Figure 5.5
The details of the GA operation is covered are Section 3.4.2.
5.6
5.6.1
Dynamic programming
Introduction
Dynamic programming is a powerful tool which can be used to solve a problem

which can be divided into various sub-stages. In this case, trajectory search can
naturally be divided into sub-intervals of the distance.
86
Figure 5.5: Schematic Genetic Algorithm optimisation of train speed trajectory.
5.6.2
Optimisation process
Firstly the following two definitions are made:

Definition 5.5 (Vehicle state). Vehicle state consists of three basic physical elements: vehicle distance s, vehicle speed v and used journey time t since setting off
from the initial state where s = 0 and v = 0.
Vehicle state can be expressed in an array form
= [s, v, t]
(5.51)
Definition 5.6 (Augmented vehicle state). Augmented vehicle state a contains

other elements which mainly serve for the purpose of search except the elements in
. a contains vehicle distance s, vehicle speed v, instant used journey time t, the
unique speed index for instant vehicle speed v 1 and the unique index for current
vehicle state from which current augmented vehicle state is produced and the minimum energy cost resulted from initial vehicle state o . For more information on
unique speed index, see Section 5.3.4.
1
Any group of speed and distance will define a unique index in the sparse matrix.
87

a can be expressed in a array format as:
a = [s, v, t, i, i, e]
(5.52)
Note that for each augmented vehicle state a , there is one corresponding vehicle state .
ao = [so , vo , to , io , io , eo ] = [0, 0, 0, 1, 0, 0]
(5.53)
By the presumption, each vehicle state must have one of the pre-determined
positions as its current distance information.
The following definitions are made:
Let U define the control signal vector for the vehicle state and u x denote one
of the control signal numbers. u x = 0, 1, 2...7
Let S n denote the nth pre-determined position.
Let T denote the total state set which contains all the produced augmented
vehicle states. In T , the unique index i and i for each state will help locate
the state itself and the previous state.
Let Ind(s, v) denote the speed index in the sparse storage matrix for each
speed, see Section 5.3.4 for more detail.
Let an denote the state set including all the created augmented vehicle states
at the pre-determined position S n . Note that state set an+1 is produced from
the set an using control signals U shown in Eqn. 5.54.
U
an an+1
(5.54)
The initial state set a1 is initialised using Eqn. 5.55.

a1 ao
88
(5.55)
Figure 5.6: Vehicle states generation procedure in DP.

denotes the procedure where the vehicle state is switched through a
physical change, e.g. distance, and a speed change will result in an energy
and time cost.
denotes the storing procedure through which the vehicle state is stored
in a matrix storage format and each different state is indexed with a unique
index number for further search purposes.
denotes the new states creation procedure from a single augmented
vehicle state by applying all of the control input.
Let n [m] denote one of the various vehicle states and an [m] denote one various augmented vehicle state at the nth pre-determined position.
The Dynamic Programming proceeds forwards iteratively as shown in Figure
5.6. In Figure 5.6, all the vehicle states are developed from the initial one, which
89

is the original point in this graph. For the first step, the states will be created from
the initial state using the index control signal mentioned in Section 5.5. The index
control signal for a cruising operation is not available for the first step. One of
the examples for the second step is also presented which should be applied for all
the other created states from the initial state. Further details of this procedures are
described as follows.
1. Assume that there are N pre-determined positions along the journey. For the
first pre-determined position, the vehicle state is o . Set the current iteration
index n = 1 and store the initial augmented vehicle state into the a1 as in
Eqn. 5.55.
2. For all the elements of 1 , i.e. only one element in o , in the neighbourhood
of vo , apply all the control signal number u x for vo and obtain the next speed
v x . Obtain the unique index i x of each speed and the energy cost e x since the
initial state o respectively. Obtain the new vehicle states based on the speed
change using the following equations.
sx = S 2
(5.56)
t x = TC[Ind(so , vo ), Ind(s x , v x )]
(5.57)
i x = io = 1
(5.58)
e x = EC[Ind(so , vo ), Ind(s x , v x )]
(5.59)
where TC and EC are time cost and energy cost sparse matrix respectively
as defined in Section 5.3.4, through which the energy and time cost for the
vehicle switch state from o to x can be obtained. ax is used to denote any
of the new vehicle augmented states, defined as:
ax = [s x , v x , t x , i x , io , e x ]
(5.60)
The new vehicle augmented states creation procedure can be presented as

90

shown in Eqn. 5.61:
ux
ao ax
(5.61)
The distance in ax will be the next pre-determined position. The speed in the
new vehicle augmented state must be in the neighbourhood of the speed in
the previous state. The time used must be increasing because of the positive
time cost for the vehicle state switch.
3. As for the initial augmented vehicle states ao , a set of augmented vehicle
states ax can be produced and stored into the storage a2 . This procedure will
not end until all the elements of the previous vehicle state set a1 have been
used to create the new vehicle augmented states.
If there are any two augmented states a2 [x1 ] and a2 [x2 ] with the identical
vehicle state, the energy consumed from the initial state to the current state
in the two augmented states will be compared. The augmented vehicle state
with the lower energy cost will remain and the other one will be eliminated.
This procedure will be performed iteratively. As a special case, if the energy
consumption is the same, either of the augmented states will be selected. For
example, there are two new augmented vehicle states shown as follows.
a2 [x1 ] = [s x1 , v x1 , t x1 , i x1 , i x1 , e x1 ]
(5.62)
a2 [x2 ] = [s x2 , v x2 , t x2 , i x2 , i x2 , e x2 ]
(5.63)
These two augmented vehicle states have the same vehicle state, which means
the following relationship holds.
s x1 = s x1
(5.64)
v x1 = v x2
(5.65)
t x1 = t x2
(5.66)
91

If e x1 < e x2 , ax1 is a better route for the vehicle switch from initial state o to
x1 , ax2 will be eliminated as a result.
By comparing every two augmented vehicle states with the same vehicle
states, by deleting the state with a higher energy cost, each existing augmented vehicle state a2 [x] will finally contain the minimum energy cost resulting from the initial state 1 [1] to 2 [x]. By doing this recursively, at the
final pre-determined position, all the augmented vehicle states in N will
contain the minimum energy cost results from the initial state.
As mentioned before, en,m denotes the minimum energy cost which results
from the initial vehicle state 1 [1] to n [m] which denotes one of the state
at pre-determined position S n . Also, assume that at the nth pre-determined
position, there are Mn various vehicle states.
For the vehicle states at S 2 , there is only one initial state at the 1st predetermined position S 1 .
e2,1 = e1,1 + EC[Ind(s1,1 , v1,1 ), Ind(s2,1 , v2,1 )]
(5.67)
e2,1 = e1,1 + EC[Ind(s1,1 , v1,1 )], Ind(s2,2 , v2,2 )]
(5.68)
e2,m = e1,1 + EC[Ind(s1,1 , v1,1 ), Ind(s2,m , v2,m )
(5.69)
e2,M2 = e1,1 + EC[Ind(s1,1 , v1,1 ), Ind(s2,M2 , v2,M2 )]
(5.70)
For a more general case, for any en,m where n = 1, 2, 3, ..., N and m =
1, 2, 3, ...Mi . The minimum energy cost states route for a vehicle augmented
state an [m] can be derived from the minimum energy cost of any possible previous augmented state an1 [mn1 ] with its minimum energy cost since initial
state a1 [1]. Please note that possible previous augmented state an1 [mn1 ],
means that there should be at least one control signal number u x leading
92

n1 [mn1 ] to n [mn ].
ux
n1 [mn1 ] n [mn ]
(5.71)
where mn1 and mn are integers and the following relationships holds.
mn1 [1, Mn1 ]
(5.72)
mn [1, Mn ]
(5.73)
Assuming that there are m p possible previous vehicle states,

en,m =min(en1,1 + EC[Ind(sn,m , vn,m ), Ind(sn1,1 , vn1,1 )], ,
en1,m p + EC[Ind(sn,m , vn,m ), Ind(sn1,m p , vn1,m p )])
(5.74)
As a result, the minimum energy cost can be expressed in a general form.
en,m
e1,1 + EC[Ind(s1,1 , v1,1 ), Ind(s2,m , v2,m )] f or n = 1
min(n1 [1] + EC[Ind(sn,m , vn,m ), Ind(sn1,1 , vn1,1 )], ,
n1 [m p ] + EC[Ind(sn,m , vn,m ), Ind(sn1,m p , vn1,m p )]) f or n = 2, , N

(5.75)
4. Iteratively, from the initial state, the vehicle is able to switch to the other
using Eqn. 5.54. As long as step 3 is performed whenever a duplicate vehicle
is created, each state created will have the minimum energy cost since the
generation of the initial vehicle state. Assume an [m] is one of the vehicle
augmented states at pre-determined position S n , defined as follows:
an [m] = [sn,m , vn,m , tn,m , in,m , in,m , en,m ]
(5.76)
Use an+1 [x] is one of the generated augmented states at pre-determined position S n+1 .
an+1 [x] = [sn+1,x , vn+1,x , tn+1,x , in+1,x , in+1,x , en+1,x ]
93
(5.77)

The following relation holds:
sn+1,x = S n+1
(5.78)
tn+1,x = tn,m + TC[Ind(sn,m , vn,m ), Ind(sn+1,x , vn+1,x )]
(5.79)
en+1,x = en,m + EC[Ind(sn,m , vn,m ), Ind(sn+1,x , vn+1,x )]
(5.80)
in+1,x = in+1,x
(5.81)
where TC and EC are the sparse matrix of the time cost and energy cost for
the speed switch defined in Section 5.4.2.
5. For the states in state set aN for the final pre-determined position, further
selection should be performed to choose the best final state to meet the journey time requirement. It is noted that for all states in aN , the distance is the
journey length and speed should be zero, while the time used varies. To meet
the time requirement of the journey, the objective function is adopted as defined in Eqn. 5.36, to define the quality of the journey defined by final states
in aN . As more emphasis is laid on the journey time, the Penalty P in
Eqn. 5.36 is set to be as large enough to rule out any journey with a journey
time cost more than the assigned upper bound bu and lower bound bl . The
final state with the minimum energy cost which also meets the journey time
requirement will be selected as the final augmented vehicle state.
6. After the final augmented vehicle state, denoted as af , is achieved, the total
journey states route can be obtained through each unique index number for
the previous vehicle augmented state.
To reduce the actual number of created states in the search space, a further
heuristic action is taken to confine the actual search space. In [31], the lattice area
concept, where the vehicle state can exist, is proposed. It is claimed that there are
time-dependent admissible areas, i.e. lattice areas, from which the optimal train
speed trajectory can be obtained. A vehicle state which is outside of the lattice
94
Figure 5.7: Admissible area of train states in DP search procedure

area will be ruled out from the search even if it is physically feasible. However,
the reason why the area outside of the lattice area is regarded as qualitative nonoptimal has not been proved. In our case, a simple heuristic is adopted to reduce
search space and improve search efficiency:It is generally accepted for a certain
journey time cost, the instant position of the train should not vary too much from the
position defined by the average speed. This will significantly improve the search
efficiency without sacrifice too much on the optimality of results. Accordingly,
the upper bound and lower bound are defined for the journey time cost at different
journey distances. As a result, an admissible area can be created. Figure 5.7 shows
a similar concept for the admissible area in DP search.
5.6.3
Summary
In this section, DP has been applied to search for the optimum journey trajectories
in terms of augmented vehicle state routes. By dividing the search procedure into
sub-intervals, DP is able to obtain the minimum energy cost for a vehicle to switch
from its original state to a current state by eliminating the same states with more
energy cost. An admissible area for the DP search has been adopted to reduce the
95
5.7. RESULTS AND DISCUSSION
Figure 5.8: Maximum tractive effort, resistance and acceleration curve of Voyager
type vehicle
Table 5.3: Key parameters for Single Train Motion Simulator
Davis coefficients
Tare mass Maximum power Constant
(tonnes)
(kW)
torque (kN)
213.19
1568
146.8
A (kN)
kN
B ( m/s
)
kN
C ( (m/s)
2)
3.73
0.0829
0.0043
total search states. Any states which stand outside of the admissible area will be
ruled out of the searching procedure. The concept of admissible area relies on the
heuristic that for a feasible solution of train trajectory, the instant position of the
train cannot vary too much from the position defined by the average speed.
5.7
Results and discussion
The maximum tractive effort, resistance and corresponding maximum acceleration

curve of the Voyager Class 220 is shown in Fig. 5.8.
Some of the key parameters for the Single Train Simulator as introduced in
Section 4.3.4 are shown in Table 5.3.
96
Figure 5.9: Optimised journey trajectories using ACO under different journey time
conditions
Some of the simulation results are shown in this section. Firstly, trajectories
searched under various journey time requirements, i.e. 2200 s, 2800 s, 3400 s for
ACO, GA and DP are presented in Figure 5.9, Figure 5.10 and Figure 5.11.
The altitude profile of the journey is shown in each graph. With the increase in
journey time, the speed trajectory is reduced to a lower level. Meanwhile, coasting
operations (the zigzag part in the trajectory) become more preferable with a more
journey time requirement. A comparison of the three trajectories shows that, using
DP, the coasting operation is more frequently applied. With ACO or GA, however,
the fluctuation of the speed is not as considerable.
Figure 5.12 and Figure 5.13 demonstrate the procedure in which objective function output evolves with the generation at the journey time requirement of 2800 s.
The journey time cost vs. energy cost curves for different journey time requirements are compared between the three algorithms. The journey time cost ranges
from 2100 s to 3500 s with a 100-second increase interval. These curves can be
97
Figure 5.10: Optimised journey trajectories using GA under different journey time
conditions
found in Figure 5.14. Both DP and ACO show their optimised journey trajectory
using the cruising operation, during which the train is kept at a constant speed.
Cruising tends to occur during the downhill part of the journey to take the advantage of the downhill gradients while maintaining reasonable average speed.
Note that each mark in the figure shows a combination of the journey time cost
and energy cost for a simulation, and the colour and shape of the marks distinguish
the type of algorithm. It is observed that the journey time cost for each algorithm is
relatively consistent since the optimised journey time which is obtained is as close
as possible to the required one. An interesting observation can be made that, while
the GA maintains a significantly better performance in terms of a lower energy cost
in comparison with ACO for the journey time requirement ranging from 2200 s to
3000 s, it becomes unstable and achieves a higher energy cost when the journey
time is more than 3000 s. Since less heuristic information is adopted in the GA,
the randomness affects the search result when the searching space expands with
98
Figure 5.11: Optimised journey trajectories using DP under different journey time
conditions
Figure 5.12: The best and mean objective function output for a journey time of
2800 s at each generation for ACO
99
Figure 5.13: The best and mean objective function output for a journey time of
2800 s at each generation for GA
Figure 5.14: Journey energy cost vs. time cost curves using different algorithms
100
Table 5.4: Computational time comparison between three algorithms applied on

the journey with time requirement of 2800 s for 15 runs
Algorithms
ACO
GA
DP
Mean value
Deviation (%)
946.6
885
784.6
16.6
51.6
0
Average computational time(s)

552.3
1550.5
2431.8
the increase in required journey time. However, strong heuristic information in the
ACO prevents the algorithm from obtaining the better solutions with a lower energy
cost.
Dynamic programming is able to obtain the best solution amongst the three algorithms, however, the search time efficiency is significantly sacrificed. Since any
combination of currently used journey time, currently used energy and currently
distance implies a unique state in the searching space, the computational complexity becomes enormous. The DP algorithm demonstrates its robust search capability
even for a short journey time, for example 2100 s, a requirement for which the
ACO and the GA are unable to find a suitable trajectory as shown in 5.14. When
the time requirement is even shorter, an even more rigorous selection of candidate
speed at different distance will be required. However, algorithms based on the random Monte Carlo style selection are less capable of reaching the target speed in a
relatively short number of iteration steps.
In Table 5.4, a comparison on the computational time between three algorithms
are presented. It is demonstrated that more heuristic information will gain results
with less deviation quicker. For DP, since the search procedure is determinant, the
deviation is zero. The computer used is with Intel dual core CPU 6420, 2.13 GHz
and 1.98 GB of RAM.
101
5.8. SUMMARY
5.8
Summary
In this chapter, single train trajectory optimisation is discussed. Due to the importance of research in this area, several models and algorithms are reported in other
research. The method and model proposed in this chapter are inspired by the theory
of optimal control, based on which it is concluded that the optimum train trajectory
can be obtained from a certain sequence of five train operations. How to choose the
sequence is a problem which remains unclear. By using a reasonable approximation
of a train speed trajectory over a relatively short distance, searching for the correct
sequence is the procedure to determine the speed at different pre-determined positions. A sparse storage model is proposed. Two heuristic algorithms, ACO and GA,
are applied based on this model. DP is also used to search for the target speed and
the simulation results are demonstrated and discussed. This chapter demonstrates
a different way to tackle the train trajectory optimisation problem. Searching for
the optimum trajectory should not be only limited to certain train operations, for
example, only the train coasting points. Without losing the generality, heuristic algorithms are adopted to avoid the disadvantage of numerical algorithms for optimal
control. As the model splits the optimisation into different sub-optimum problems,
DP is also applied. Future work will research an increase in the precision of approximation of train trajectories between two pre-determined points and the possibility
of changing the searching procedure into an online application.
102
Chapter 6
Optimising the coordinated train
operation in a DC railway electric
network
6.1
Introduction
Within an electrical railway network, the manners in which multiple trains are operated affect the energy efficiency. If several trains which are close together demand
power at the same time, the amount of current drawn out of a nearby substation will
become large. This is usually referred to as the power peak [3437]. The power
peak will give rise to higher total energy loss due to the internal impedance of the
substation and the increased I 2 R losses. Furthermore, the power peak will require
a larger electrical capacity for the substations even if the average power demand
from each train is relatively small.
Different methods are proposed in the literature to reduce the power peak, therefore improving the energy efficiency in a railway electrical network. The train service frequency, nominal braking, acceleration rate, braking effort and other power
system configurations are regarded as key factors for power reduction, through
which the total power peak could be reduced [39]. An intelligent traction control
103
6.1. INTRODUCTION
method is proposed in [35]. In this study, trains reduce their acceleration power
to lower the current peaks in wayside substations. Such a method is reported to
achieve a 31% power peak reduction, while not affecting the service quality. More
generally, coordinated train control of multiple trains has also been considered and
a reduction of the power peak was listed one of the main targets [37].
The synchronism between the operations of trains in an electrical network will
affect the network receptivity which is to describe how well the regenerative braking energy can be used. For trains with the capability of regeneration, as reported
in [38], synchronism management for the operation of adjacent trains could be
considered as a feasible solution to reduce the power peak. A procedure of desynchronising the departure time of trains within a metro system is presented in [36].
Departure time in a the time table is considered as one of the factors which affects
synchronism between operations of trains. Reduction of the power peaks will be
achieved through better braking power recovery which can be varied by desynchronising the departure time of trains. Similarly, the synchronism can also be changed
through the journey time allocations between the inter-station sections. However,
such a method will directly involve other issues such as service quality or customer
experience. A study presented in [124] has demonstrated that by dynamically varying the journey running time and dwell time at the station, the total service quality
and total energy consumption will also be changed. Though no electrical network
analysis was involved in this study, the varying of journey time allocations provided a feasible solution to reduce the power peak and total power cost. It has
been demonstrated that reduction of the power peak and energy consumption can
be achieved by searching for an optimal distribution of the running time of trains
along the journey [34]. An optimal distribution of inter-station journey time in an
electrical railway network will enhance regenerative braking power recovery due
to improved network receptivity, lower the power loss inside the substation due to
a reduction of the power peak [26].
To investigate further the relationship between the journey time allocation and
104
6.2. DC RAILWAY NETWORK MODELLING

the electrical network energy efficiency, this chapter describes the development of
a multiple-train model with regenerative braking in a DC electrical network which
is mainly applied regional or suburban railway networks as introduced in Section
2.2.1. With higher density of trains, a DC network is suitable for a study on the coordination between trains. Different kinds of DC railway electrical network modelling have been discussed in several articles [139142]. A multiple-train model in
an electrical network is illustrated in both [119] and [143]. The railway DC network model proposed in this chapter achieves the instantaneous states of an electrical network by the LF method in association with the Least Square Minimisation
(LSM) method. The study proposed searches for the optimal journey time allocation for each inter-station run to maximise multiple objectives including the energy
efficiency and the service quality. The service quality is measured by the time
consumption while energy efficiency will be affected by the energy loss within the
substations and the electrical circuits, both of which are related to the power peak.
A GA is applied to search for the optimal allocations and results achieved from this
method have been bench-marked by the one achieved through a Brute Force (BF)
search.
6.2
6.2.1
DC railway network modelling

DC electrical railway network
In a DC electrical railway network, all the feeding routes are regarded as resistive
[140]. A simplified network is shown in Figure 6.1.
A similar DC traction load flow study including earthing models has been covered in [142]. For the sake of simplicity, the leakage resistors have been ignored
in this study. A diagram shown in Figure 6.1 demonstrates a typical DC electrical
network with a running train [144].
In Figure 6.1, R sub is the substation internal resistor. It is regarded as constant
105
Figure 6.1: A simplified DC railway electrical network diagram
Figure 6.2: Physical location arrangement of stations and substations in a DC railway network
and 0.05 is used in this study. R1 , R2 , R3 and R4 are the feeding line resistors
which are dependent on the location of train. The resistant rate adopted in this
study is 40.61 /km. All the value used is typical for a DC railway [22].
The DC rectifier substation does not allow the current to go back into the power
supply system and it is regarded as a constant voltage source. The output voltage
value in this chapter is adopted as 780 V DC.
The train will be regarded as a power source during braking and a power consumer in the normal motoring mode. Output power is positive when the train is
regenerating and negative while the train is absorbing the traction power from the
network.
Figure 6.2 shows the physical location arrangement of stations and substations
in a typical DC network. Note that the route consists of two parallel tracks.
106
Figure 6.3: Nodal analysis
6.2.2
DC electrical analysis
Electrical network analysis is a procedure to produce a set of equations which can

describe the internal electrical relationship between all the junctions in the network.
The procedure is based on fundamental electrical law, i.e. Kirchhoffs circuit laws.
Nodal analysis and mesh analysis are two ways to analyse a DC electrical network.
In this study nodal analysis are used to analyse the network [145]. Nodal Analysis
(NA) is based on the principle of conservation of electrical charge. The principle of
conservation of electric charge implies that: at any node or junction in an electrical
circuit, the sum of currents flowing into that node is equal to the sum of currents
flowing out of that node.
In Figure 6.3, using nodal analysis, it is concluded that all the current which
goes into junction A must equal zero, as shown in Eqn. 6.1.
I1 + I2 + I3 = 0
(6.1)
U B U A UC U A
+
+ I3 = 0
R1
R2
(6.2)
Consequently:
Because I3 is the terminal current of the train and U A is the terminal voltage of
107

the train:
I3 = It
(6.3)
U A = Ut
(6.4)
Rewrite Eqn. 6.2:

!
!
!
1
1
1
1
+
Ut +
U B + UC = It
R1 R2
R1
R2
In Eqn. 6.5, the term R11 +
R2
(6.5)
is referred to as self admittance of junction A,
and 1
and 1
is the mutual admittance between A and B, B and C respectively
R1
R2
[145]. The current It is also called the injection current for junction A when It is
positive in direction, as shown in Figure 6.3.
6.2.3
Single train simulation using coasting control
Single train simulation in this study is done by time based modelling, as discussed
in Section 4.3.1. A typical urban railway vehicle with a maximum power output of
656 kW has been modelled. The specific tractive effort and the resistive curve is
shown in Figure 6.4.
An Ordinary Derivative Equation (ODE) solver is applied to obtain various vehicle states along an inter-station journey. Meanwhile, in order coasting control is
adopted to meet the dynamic time allocation for each inter-station journey. Figure
6.5 illustrates an idea of vehicle state switch behind the train running trajectory
optimisation using coasting control.
In Figure 6.5, a vehicle state consists of current vehicle speed, distance, time
and energy consumed since the initial state. Vehicle states have been created using
both motoring operation and coasting operation. The energy consumption of states
with duplicate speed, distance and time will be compared first. States with more
energy consumption will be eliminated. States with unrealistic elements, such as
108
Figure 6.4: Maximum tractive effort and resistance curve of a typical urban railway
vehicle.
Figure 6.5: Vehicle state switch using coasting control.
109
Figure 6.6: Optimised train running trajectory and instant power output using
coasting control strategies for journey between station 1 and station 2
too much time consumption, undesirably low speed etc will also be ruled out. A
similar searching procedure, also covered in Section 5.6 is applied to search for
the optimal coasting point to meet the dynamic journey time allocation. Figure
6.6 shows a searched train running trajectory and instantaneous power output using
coasting control on the 1991 m long journey from station 1 to station 2.
Single train simulation produces a running profile with vehicle states and corresponding instant power demands. The produced running profile should meet the
time constraint imposed by the dynamic journey time allocation. The instant power
output will be used later to simulate the total DC network, from which the energy
efficiency of the total network can be determined.
6.2.4
Iterative power flow calculation
To achieve this, an additional equation is added to account for the instantaneous

train power:
Pt = Ut It
110
(6.6)

where Pt is the power demand for each train.
The junctions outside the substation and junctions where the trains are located
will also be accounted for. There are 3 substations, and several trains along the forward and backward routes. The number of trains Nt on each route is determined by
the service headway T h (which is the departure time difference between two subsequent trains) and total journey time which is the sum of all inter-station journey
time allocations T total .
$
T total
Nt =
Th
%
(6.7)
where bXc is the greatest integer less than or equal to X. It is noted that T total
is different for the routes of different directions.
A s
..
m
A
(M+N+3)1
..
Am1( M+N+3)
..
.
A sM+N+3
U1
..
.
U M+N+3

=

I
I1
..
.
M+N+3
(6.8)
Assume that there are N trains moving forwards, i.e. from Station 1 to Station
5 for a period of headway time and M trains travelling backwards, i.e. from station
5 to station 1. In Eqn. 6.8, subscripts 1 to 3 denote the junctions outside of substations. Subscripts 4 to N+3 denote nodes of the forward trains, and subscripts N+4
to M+N+3 denote the backward trains. The superscript s implies self-admittance
and m implies mutual admittance between two nodes. For mutual admittance, the
subscripts denote the trains.
An admittance matrix is required to perform the NA. This is done by calculating
the resistance between two junctions using the resistive rate. If two junctions are
not adjacent to each other, the resistance in between is set as infinity and as a result,
the mutual admittance in between will be zero. It is obvious that the admittance is
a sparse matrix.
Eqn. 6.8 is a non-linear equation as the relationship between Ui and Ii is non-
111
Figure 6.7: Non linear relationship between the terminal voltage and current of a
train
linear. Expected problems may arise due to the surplus voltage during regeneration.
However, in practice, when surplus voltage occurs, a bank of resistors will be connected within the train power supply system to consume the surplus power and
clamp the output voltage at a certain level. Meanwhile, for substations, whenever
the voltage outside of a substation is over 780V, the current out of the substation
is virtually zero to reflect the non-reverse conductivity of diodes. Figure 6.7 and
Figure 6.8 demonstrate this non linear relationship between the terminal voltage
and current for trains and substations. It is noted that the current will be kept as
constant as long as there is an injected current from the substation. No current will
be injected if the terminal voltage is over 780V and the substation is virtually shut
down at this moment.
In Figure 6.7, 3 regions based on the level of voltage are defined. Between the
range [450,850] the relationship between voltage and current will be determined
by Eqn. 6.6. However, for voltages over 850 V and below 450 V, the current will
be linearly reduced to zero.
In Figure 6.8, the constant injected current can be calculated using Eqn. 6.9.
I sub =
U sub
R sub
112
(6.9)
Figure 6.8: Non linear relationship between the terminal voltage and injected current out of substation.
where, U sub is a constant value 780V and R sub is 0.05 [22].
To obtain the solutions in terms of instant current and voltage, the LSM method
is used in this study. The set of scalar Ui are dependent on scalar Ii . Fa is used to
denote the electrical relationship, defined in Eqn. 6.8.
Ia = Fa (U)
(6.10)
The subscript a implies that the corresponding matrix is an admittance matrix.

Meanwhile, as shown in both Figure 6.7 and Figure 6.8, the non-linear relationship
between U and I can be presented in Eqn. 6.11.
In = Fn (U)
(6.11)
A distinction between Ia and In may exist if U is not a solution of Eqn. 6.11. E i

denotes the absolute difference between ith elements of Iai and Ini .
E i = |Iai Ini |
Based on Eqn. 6.12, E is used to denote the total square sum of each E i :
113
(6.12)
6.3. METHODOLOGY
E=
M+N+3
X
(E ) =
i=1
i 2
M+N+3
X
(Iai
Ini )2
M+N+3
X
(Fa (U i ) Fn (U i ))2
(6.13)
I=1
i=1
If, by any means, the minimum value of E can be found, the set of scalar U
will be sufficiently close to the real solution. LSM is applied to find the set of x to
minimise Eqn. 6.13.
6.3
6.3.1
Methodology
Objective function
As introduced in Section 6.1 the system cost function is based on two considerations.
Firstly, the service quality of the journey time should be taken as the optimisation target. It is assumed that people prefer a shorter journey time. The shorter the
journey time is, the better the service quality will be and higher fitness value will
be obtained.
For any inter-station journey, the service quality is calculated using the equations as follows:
Q s = Wi Mi
(6.14)
Wi = T i /T total
(6.15)
Mi =
0.5
mode = f ast
mode = normal
mode = slow
where:
114
(6.16)
6.3. METHODOLOGY
Q s is the total quality of service;
Wi is the weight of the current journey;
Mi is the fitness value for the journey time.
It is noted that inter-station journey running is categorised into three running
modes: fast-mode, normal-mode and slow-mode. In order to provide equivalent
service difference between each mode, 1, 0.5 and 0 are used in Eqn. 6.16. Each
mode corresponds to a type of journey with a certain amount of journey time cost.
Intuitively, the journey in fast-mode consumes less time. Meanwhile, the ratio
that the inter-station journey time takes in the total journey time determines the
importance it takes in the entire journey, therefore it is also imposed in the journey
quality evaluation. In other words, the larger portion it takes in the total journey
time, the more important an inter-station will be and the more easily it will affect
the total journey quality.
The energy efficiency is then taken into account. The evaluation of the energy
efficiency can be achieved by the following equation:
Es =
Eout
Ein
(6.17)
where:
Eout : the total output energy, i.e. the total terminal energy consumption for
all trains;
Ein : the total input energy from the substations, i.e. the total injected energy
from substations.
It is noted that if more power is consumed in the internal impedance of a substation,
lower energy efficiency will be achieved.
The weightings for both service quality and energy efficiency which contribute
115
6.3. METHODOLOGY
to the total evaluation function is shown as follows.
= W1 Q s + W2 E s
(6.18)
where, W1 , W2 [0, 1], W1 + W2 = 1 and is the total evaluation function output.

In this study W1 = 0.4 and W2 = 0.6 are arbitrary adopted to reflect individual
importance of two elements.
6.3.2
Journey time allocation
It is understood that journey time allocation will affect both service quality and
network energy efficiency. The procedure of producing the dynamic journey time
allocation is introduced as follows.
Firstly, all inter-station operations are simulated using a flat-out driving style.
Based on the results of the simulation, the minimum time T min will be recorded for
1
2
3
4
each simulated inter-station journeys. T min
, T min
, T min
and T min
denote the minimum
time for the four inter-station journeys for the forward route where a train runs from
5
6
7
8
station 1 to station 5 and T min
, T min
, T min
and T min
to denote the minimum time for
4 inter-station journeys on the backward route where a train runs from station 5
to station 1. The minimum time costs for all the inter-station runs are represented
1
2
5
8
as [T min
, T min
, , T min
, , T min
]. Based on the minimum journey time, for each
inter-station the journey time at each running mode can be calculated using equations shown in Eqn. 6.19. The journey times selected for each mode of journey are
typical values for regional railway services.
i
T alloc
1.1T min
i
=
1.2T min
1.3T min
mode = f ast
mode = normal
(6.19)
mode = slow
Furthermore, in order to represent various journey time allocations, each run-
116
6.3. METHODOLOGY
ning mode for each inter-station journey is coded using a characteristic number.
In this study, number 1 is used to represent a fast mode operation for an interstation journey, number 2 denotes a normal mode operation and number 3
denotes a slow mode operation. Therefore, an 8-member array consisting of 8
characteristic numbers will represent a journey time allocation since the index of
numbers in the array suggests the journey it is corresponding to while each characteristic number provides the information of the journey time. For example, array [1, 1, 3, 3, 1, 2, 3, 2] will represent a time allocation for 8 inter-station journeys
shown as follows:
1
2
3
4
5
6
7
8
[1.1T min
, 1.1T min
, 1.3T min
, 1.3T min
1.1T min
, 1.2T min
, 1.3T min
, 1.2T min
]
It is noted that a combination of journey time selections suggests a set of journey profiles which is pre-obtained from a single train simulation using coasting
control. Such a pre-obtained journey profile is then used to calculate the DC electrical status within a headway time. Using Eqn. 6.14 and Eqn. 6.17, the evaluated
value for such journey time allocation can be calculated.
6.3.3
The genetic algorithm
A GA is used to search for the optimum journey time allocation for each interstation journey. The results are compared with the one obtained by the brute force
searching method. Each solution for the evaluation function is encoded as a chromosome in a population. The process of the GA is illustrated in a diagram shown
in Figure 6.9.
In Figure 6.9, the solution of the evaluation function is encoded as a chromosome. The evaluation function is comprised of both a service evaluation and an
energy efficiency evaluation. Because the evaluation is to be maximised, it can
be used as the fitness function directly. The fitness function calculates the fitness
value for each solution in one generation based on the ranking in all the solutions.
117
6.3. METHODOLOGY
Figure 6.9: Genetic algorithm implementation chart flow

The fitness function makes sure that the better evaluated solutions are selected with
a higher possibility to be operated for next generation. After the GA operations,
including reproduction, recombination and mutation, a new generation of chromosomes is produced and the whole process is taken iteratively until the termination
criterion is met as introduced in Section 3.4.2.
Reproduction is for the best solution(s) to have a chance of going directly into
the next generation. In this study, only one best solution is selected for the next
generation. The cross-over recombination process was taken between two chosen
chromosomes. The possibility of two chromosomes being selected is based on the
ranking of respective evaluated values amongst all solutions. Intuitively, the best
solution will have the highest possibility of being selected for recombination. After
different test search, the mutation rate is set initially at 0.2, which means that for 20
chromosomes, around 4 chromosomes are produced from each mutation for better
118
Figure 6.10: Entire optimisation procedure using Genetic Algorithm.

search performance,. However, it will help to make a broader exploitation within
the solution space. Mutation tends to happen more frequently for better solutions
and only one number is allowed for change.
More generally, the entire optimisation process, including all the afore-mentioned
modelling and calculation can be illustrated using Figure 6.10. In each iteration,
an entire journey profile will be generated using the genotype information which is
also a feasible solution. A DC network analysis is then done to evaluate the fitness
function using the journey profile and results of the evaluation will guide the GA
continue to search for better solution.
6.4
Results and discussion
All journey running curves for different journey times are stored in a look-up table
and the running trajectories are assumed to be stationary for the simplicity of this
study. One journey time allocation can be determined by a set of characteristic
numbers and each number will correspond to one typical train running trajectory
in the look-up table. As a result, the entire train running trajectory for the whole
119
Figure 6.11: Train speed vs. time

journey can be obtained and will be used to calculate the total energy efficiency
and service quality. Figure 6.11 demonstrates a typical train running trajectory vs.
distance from station 1 to station 5.
It is assumed that trains are operated automatically and each train runs exactly
along the running curve under the hypothetical condition that strict constant headway time and constant station dwell time (30 s) are maintained. By regarding the
train operation as a periodic process, each running train will be distributed along
the routes with constant headway time. Meanwhile, the instantaneous position of
each train can be determined using the relationship between journey time and distance shown in Figure 6.12. Five stations have been pin-pointed with no change in
distance in a 30-second dwell time.
Subsequently, the DC electrical network characteristic will be determined at
each position along an inter-station journey, because not only the speed but also the
instant power output of trains can be determined, as shown in Figure 6.6. The instant status of the DC electrical network is calculated using DC electrical analysis.
Figure 6.13 and Figure 6.14 present the instant voltage and current output from the
three substations. Note that 240 s is selected as a typical headway time for regional
120
Figure 6.12: Train distance vs. time

railway network. All trains follow the same trajectory, with a headway time of 240
seconds and initially there are trains at 0 s, 240 s, 480 s, and 720 s respectively.
This also is highlighted using red circles in Figure 6.12.
The introduction of fluctuation to the journey time will not only directly affect
a single train power performance, but also the trains nearby within the electrical
network. The energy efficiency of the total network will subsequently be affected.
Because the change in journey time will significantly change the synchronous time
for train braking operations in an inter-station operation, the total energy recuperation rate will vary accordingly.
Figure 6.15 shows one of the GA evolutions. It is noted that the best solution of
[2, 1, 1, 1, 1, 1, 1, 1] and 0.85 evaluation function output has been achieved with the
energy efficiency of 0.82. This implies that in order to achieve the higher efficiency
and better service quality at the same time, it is good to increase the journey time
slightly from fast mode operation to a medium fast mode for the first inter-station
journey. Fast mode is preferable for train operations on other inter-station journeys.
121
Figure 6.13: Instant voltage output across a headway time 240s.
Figure 6.14: Instant current output across a headway time 240s.
122
6.5. SUMMARY
Figure 6.15: Evolutionary fitness function output vs. generation in the GA

The optimal result obtained by the GA is compared with the one obtained from
the BF method. By searching all of the possible combinations of running mode,
which is 38 = 6561, it is finally found that the best time allocation mode vector is
as follows [1,1,1,2,1,1,1,1]. In this global optimal solution, only the fourth interstation run is allowed to increase its journey time to normal running. Figure 6.16
demonstrates the distance vs. time for four journeys with different inter-station
journey time allocations. Along with two searched journeys, one by GA in black
and one by BF in red, journeys with the longest and shortest journey time allocation
are also included.
6.5
Summary
In this chapter, the journey time allocation within a DC railway network is discussed. The simulation on a multiple-train system within a DC electrical railway
is demonstrated. This study firstly produces a look-up table which contains the
optimised single train running trajectories for various journey time requirements.
A set of journey time lengths are then selected and the electrical energy efficiency
123
6.5. SUMMARY
Figure 6.16: Distance vs. Time for forward journeys with different journey time
allocation
and service quality are calculated. The evaluation function output can be consequently produced based on the journey time allocation. Finally, GA is used to find
a good solution to identify the respective journey time for each inter-station run.
The researched results are bench-marked using the global optimal result by a BF
method.The results suggest that increasing part of the inter-station journey time
reserve will result in the best trade-off between service quality and total energy
efficiency of the network.
124
Chapter 7
A power management strategy for a
Diesel Multiple Unit train
In the driving system of a hybrid electric vehicle, regenerated energy can be stored
in energy storage devices on board [146] [59] [121]. This application introduces
the concept of power management strategy to manage the different power systems
on board. In this thesis, taking inspiration from the hybrid electric vehicle, the potential to apply power management strategies to a more commonly deployed type
of train, i.e. the DMU train is investigated. The use of multiple power systems in
railway applications is common to modern rolling stock. Prime movers are usually
distributed along the length of the train, and are able to provide distributed traction. If the traction power for such vehicles comes from individual diesel engines,
the supervisory controllers for each multiple unit may be decoupled and operated
independently and this can potentially save energy.
The traditional traction system of a DMU train consists of several similar or
identical power systems. Multiple unit trains usually operate individual engines in
a synchronised manner. This means that engines can often operate well outside
their optimum operating region. For example, a set of engines may all work with
a low power output resulting in an inefficient operation. The central hypothesis of
the current thesis is that by decoupling the engines and operating them individually,
125
7.1. REVIEW OF POWER MANAGEMENT STRATEGIES

the overall efficiency can be improved using some optimisation techniques.
This chapter will firstly review the current technologies applied in the power
management of Hybrid Electric Vehicle (HEV) and then take a typical DMU train
as a case study target and demonstrate the application of advanced power management strategies in such a railway vehicle. DP will be used to develop the off-line
global optimisation strategy, and the results will then be used to develop the on-line
rule-based strategy [48, 49].
7.1
Review of power management strategies
The idea of hybridisation of a propulsion system was originally conceived from

the motivation to extend the working range of electric automobiles [40]. However,
there are numerous additional benefits of these systems. A hybridised design with
both prime mover (Internal Combustion Engine or Fuel Cell) and on-board energy
storage device is often able to utilise a significantly down-sized prime-mover. The
energy storage device can enable the prime mover to operate within its optimum
efficiency range and also capture braking energy [5, 46]. There is a large body
of research which has focused on elevating the efficiency of components, such as
power electronics devices [147, 148] and batteries [4345].
In order to take full advantage of hybridisation, effective power management
strategies are necessary. Four key goals of a hybrid system are summarised below
[47]:
Maximum fuel economy;
Minimum emissions;
Minimum system costs;
Good driving performance.
The power management strategy needs to consider: the optimal engine operating region, engine dynamics, minimum engine speed, battery state of charge,
126
7.1. REVIEW OF POWER MANAGEMENT STRATEGIES

relative power distribution, etc [149]. These strategies can be primarily divided
into two categories: rule-based and optimisation-based [149].
A rule-based strategy consists of sets of if-then rules in an expert system. These
sets of if-then rules can be obtained from heuristics, human experience or simulation results. A rule-based strategy attributes its notable advantages to having
no requirement for the future journey profile to be known, and it is also suitable
for on-line applications. The main idea behind a rule-based strategy for HEVs is
Load leveling. This method tries to keep the Internal Combustion Engine (ICE)
operating in its optimal region. The difference between the output of the Internal
Combustion Engine (ICE) and the demands of the driver will be met by the energy storage device [150]. Recent work has shown that Equivalent Consumption
Minimisation Strategy (ECMS) can be used to determine an effective rule-based
strategy to achieve a fuel saving [151]. Within the scope of rule-based strategies,
fuzzy rule-based strategies [152154] as a robust control method, are suitable for
highly non-linear, multi-domain, time-varying systems such as HEV propulsion
systems.
Several optimisation-based control strategies for the power management of HEVs
have already been proposed. These control strategies could generally be categorised into two groups: global off-line optimisation and on-line optimisation [155,
156].
Global optimisation methods are rarely suitable for on-line implementation.
DP [59, 157] is a global optimisation method, but suffers from a long computation
time for complex problems. Additionally pre-acquisition of the future data eliminates the possibility of online application. However, where less computational time
is not a priority and multiple stage decision making process is achievable, DP still
makes a significant contribution. In addition, with its global optimisation characteristic, DP can be applied in the design phase or can be used to improve online
power management strategies. The other optimisation methods such as Non-Linear
Convex Programming [158], Genetic Algorithms [159, 160], and Optimal Control
127
7.2. TYPICAL DMU TRAIN
(a) Train configuration overview
(b) Train drive system overview
Figure 7.1: A typical 3 coach DMU train

Theory [161,162] have all been applied to develop the power management strategy
of HEVs.
7.2
Typical DMU train
Figure 7.1(a) shows a schematic of the traction system arrangement of a DMU

train. A diesel engine which has the maximum output power of 560 kW is installed
in each car. The sizing of the engines used in this work has been closely based on
realistic vehicles, for example, the British Rail (BR) Class 185. Figure 7.1(b) is a
simplified overview of the driving system [163].
Table 7.1 presents some technical data for this type of vehicle.
128
7.3. ENGINE DESCRIPTION
Table 7.1: Typical technical data for DMU type vehicles

Track gauge
1435 mm
Number of cars per unit
2 to 6 cars; basic version 3-car unit
Unit length
71.276
Max. operational speed
160 km/h
Power supply
1 Diesel motor (560 kW) in each car
Unladen weight
approx. 168.5 tonnes
Maximum axle load
18.5 tonnes
An Eco-Mode programme has actually been initiated in-service for the Class
185 to maximise energy efficiency [50]. The Eco-Mode Phase 1 yielded significant savings, and in the next phase of the work the fuel economy is expected to
improve further. The core concept of Eco-Mode is the selective use of the 3 engines [163]. The work presented in the current thesis is inspired by the selective
operation concept and investigates this concept more thoroughly from a mathematical and optimisation viewpoint. The technique discussed in this chapter uses
global optimisation, theoretically leading to improved fuel economy and optimal
operation of the three engines.
7.3
Engine description
7.3.1
Engine efficiency map
The diesel engine is represented by a nonlinear static efficiency map which describes the instantaneous Brake Specific Fuel Consumption (BSFC) of the engine
with different engine speeds and engine output power.
= f (Pe , )
(7.1)
= /Pe
(7.2)
Pe = T
(7.3)
Where Pe is the engine output power, is the fuel rate in grams per second
129
7.3. ENGINE DESCRIPTION
Figure 7.2: Controlled diesel engine power efficiency characteristic

(gs1 ), is BSFC in grams per Joule (gJ 1 ), T is the engine output torque and is
the engine speed. To simplify, engine energy efficiency is defined by Eqn. 7.4:
= Pe /P f
(7.4)
Where the P f is the power converted from the fuel at a fuel rate of .
The engine speed and power in this simulation have been limited to a single
operating line on a typical engine efficiency map, i.e. each engine output power
corresponds to a unique engine speed. The relationship between output power
and fuel cost is convex [158]. This convex shape indicates that the most efficient
operating point is below the maximum power output [151]. A characteristic fuel
efficiency curve of a diesel engine used in similar simulation studies is displayed in
Figure 7.2 [121]. In Figure 7.2, the engine is supposed to work along a controlled
torque-speed trajectory in the efficiency map.
7.3.2
Diesel energy consumed calculation
Each iteration step in the STMS is one second, which is precise enough for the purpose of this study, thus the average power over that time step is numerically equivalent to the energy consumed in the time step. The total diesel energy consumption
130
7.4. PROBLEM DEFINITION

is calculated by integrating the power history and considering the chemical conversion efficiency presented in Figure 7.2. Between one iteration step and the next,
there is a limitation by the power slew rate of each engine. It is a limitation imposed
on each engine to avoid any unrealistic output power jump, i.e. an engine cannot
simply provide its maximum power output in one second. It has been assumed that
in 7.3.1, within one second, the Maximum Power Switch (MPS) Pmps from one
state to another is 30 kW. This means that the maximum total power difference
from one second to the next is 90 kW. The value of Pmps can be changed but this
does not affect the concept demonstrated in this study.
7.4
Problem definition
The optimisation is inspired by the fact that the total power demand can be met by
a combination of unique power outputs from each engine. Additionally, the individual engine states are constrained by previous engine states and restrict the future
engine states (governed by the positive and negative engine power slew rates). This
enables a complex decision making procedure to be defined in order to calculate
the required output power from each engine.
The first part of this section will introduce the optimalisation objective and
constraints. The second part will review the relationship between engine states and
fuel cost.
7.4.1
Objective and constraints
The objective of the power management strategy is to improve the fuel economy of
the vehicle by distributing the power demand between the 3 engines. This can be
formulated as an optimisation problem:
min J(x) subject to G(x) 0

x
131
(7.5)

The cost function J(x) represents the total fuel cost in an arbitrary duty cycle
within a time length tc as expressed in Eqn. 7.6. G(x) 0 accounts for the linear
constraints shown in Eqns. 7.7.
J(PA , PB , PC ) =
tc
fuelrate(PA , PB , PC ) dt
(7.6)
The operating limitations of each engine set the boundaries for each engines
power PA , PB , PC . Eqn. 7.7 illustrates that at any time during the journey, the
engine cannot exceed its operating limit defined by Eqns. 7.8 and 7.9.
PA min (t) PA (t) PA max (t)

PB min (t) PB (t) PB max (t)
PC min (t) PC (t) PC max (t)
t [0, tc ]
(7.7)
The upper limit Pe min and lower limit Pe max of each engines power output vary
depending on the previous engine output Pe pre , MPS (the maximum power slew
rate) Pmps and Maximum Power Output. The decision process can be expressed as
follows:
Pe min
Pe max
Pe pre Pmps
=
Pe pre + Pmps
=
Pmax
if Pe pre Pmps > 0

(7.8)
if Pe pre Pmps 0
if Pe pre + Pmps < Pmax
(7.9)
if Pe pre + Pmps Pmax
It is assumed at every instance that the drivers power demand Pd should be satisfied
since the drivers power demand should fall into the engines operating limit. As a
result, the following condition should be met:
Pd (t) = PA (t) + PB (t) + PC (t)
132
(7.10)
Figure 7.3: Engine power states approximation
7.4.2
Total power state vector and diesel fuel cost
The total power state vector is represented by [PA (t), PB (t), PC (t)]. As stated in
Eqn. 7.10, the entire engine output should meet the current power demand. If all
the possible combinations of engine outputs are plotted in 3-D space, a triangle
plane is produced as shown in Figure 7.4.
In Figure 7.4, some of the engine states, represented by black circles, have been
plotted on a triangular plane. At any point on this plane the magnitude of the total
power state vector is constant. Since the entire engine output must be non-negative,
this triangular plane is only in the positive quadrant vector space, mathematically
expressed as Q = ((X, Y, Z)|X, Y, Z 0) R3 .
The number of possible engine power state vectors is innumerable. This will
cause the search space for a minimum cost route to become too large to obtain an
answer. The feasibility of dynamic programming strongly depends on the finite
elements of the search space.
In order to produce a model with a finite number of engine power state vectors,
some approximation has been made. This approximation makes the assumption
that, within a selected power range, the change in energy consumption of an engine
remains negligible. For example, if the power range is selected as [0, 30 kW], the
difference in energy consumption for an engine output changing within the range
of 30 kW is regarded as negligible.
133

An approximation procedure is presented in Figure 7.3. The procedure begins
by dividing the power demand evenly into three portions, it then decreases the
power output from Engine C, adding the amount of power reduction into Engines
A and B. Considering all the possibilities for division between Engines A and B
for each reduction in power output from Engine C, the procedure continues until
all of the power output from Engine C has reduced to zero, or either of Engines A
or B has increased to maximum power output. Engine B performs the same process
by reducing its power output and adding the same reduction amount into Engine
A. All along the process, the power output from Engine A is no less than Engine
B, and Engine B is no less than Engine C, to avoid any vector duplication. The
reduction amount for each engine is limited by the search gap previously defined.
With the assumption of the selected power range, the number of engine state
vectors is significantly reduced. This approximation avoids missing any important
power states in the searching procedure. For example, at a lower power demand,
the searching procedure should be able to get access to the working mode with few
engines.
An axis transformation is performed to demonstrate the relationship between
the engine states and the fuel cost. The new Y axis and X axis are shown in Figure
7.4. The new Z axis is perpendicular to both the new X and Y axes and represents
the fuel cost based on the data within the triangle.
The transformation has the following features:
1. The higher the power demand, the larger the area covered by the triangle;
2. The three vertices of the triangle each represent single engine operation;
3. The edges of the triangle represent dual engine operation;
4. Any point on the surface (not on an edge or vertex) represents triple engine
operation.
After the axis transformation, by applying the fuel cost functions shown in
134
Figure 7.4: Total power state vector in 3-D spaces; the magnitude of the vector is
100 at any point at the triangular surface.
Eqns. 7.3 and efficiency characteristics shown in Figure. 7.2 described in Section
7.3, the relationship between different total power state vectors and fuel cost is
demonstrated in Figure 7.4 for both high and low total power demands.
In Figure 7.5(a) and Figure 7.5(b), it is easy to identify that a significant change
occurs when power demand increases from 100 kW to 800 kW. When the power
demand is 100 kW, the fuel cost is highest in the center area and lowest in the edge
area. This implies the most fuel efficient operation is to use one engine. At 800 kW,
the shape of the fuel cost surface is inverted and the most efficient operation is
where all three engines are used equally. It is noted that the rate of fuel can be
transformed into rate of energy using the energy density data in [164].
Both of the cases in Figures 7.5 raise the possibility of complex dynamic decision making. Subject to the total power demand, the most efficient engine operation
will change dynamically. The constraints of the power slew rate of each engine add
additional complexity. The solutions and results of this problem are discussed in
Section 7.5 using two different types of methodology.
135
7.5. SOLUTIONS AND RESULTS
(a) Fuel cost map for power demand of 100 kW
(b) Fuel cost map for power demand of 800 kW
Figure 7.5: Relationship between engine states and fuel cost under various power
demands
7.5
Solutions and Results
This section proposes two typical methodologies for fuel efficient power management strategies [149]. Section 7.5.1 investigates the application of one global optimisation strategy: DP based on Bellmans Principle of Optimality [73]. Section
136

7.5.2 discusses an adaptive on-line power management strategy developed from
DP. Due to the requirement for the whole journey profile to be known in advance,
and the intensive CPU time associated with this method, DP is not suitable for online optimisation. However, the results from DP can provide expert system rules
information which can be incorporated into on-line applications [165].
7.5.1
Dynamic Programming
Introduction
The general introduction of Dynamic Programming can be found in Section 3.3.
In this case study, the basic form of a dynamic programming functional equation is:
f (S ) = optdD(S ) {R(S , d) f (T (S , d))}
(7.11)
where:
S is the engine state at each time step
d is the engine power change at each pair of adjacent time steps
R(S , d) is the fuel cost in the current engine state S
f (T (S , d)) is a next engine state transformation or transition function, assumed as a zero cost for engine states transition
sums the fuel cost for a single decision.
Optimal Substructure
An optimal decision consists of a series of engine state vectors, i.e.[PA (t), PB (t), PC (t)],
where PA (t), PB (t) and PC (t) is the instant power output from engine A, B, and C
respectively. The optimisation problem is now changed into seeking an optimal
decision in the decision space which could minimise the total fuel cost defined in
Eqn. 7.11.
137

To illustrate this idea more explicitly, a diagram is shown in Figure 7.6.
In Figure 7.6, each circle symbolises one possible engine state at that power
demand. There are N power demand data and each power demand is denoted by
Pi . Here i is the time sequence number of the power demand. S i, j denotes the
engine state vector for the jth engine state at power demand Pi , where j Mi if
there are Mi possible power state vectors for a power demand of Pi . Each engine
has a fuel cost based on the fuel efficiency map in Figure 7.2, denoted as Ei, j for
each power state vector S i, j . The solid line arrows represent the search directions
and the dashed arrows are for the optimal path.
Generally, there are innumerable possible power state vectors. To simplify the
search, some assumptions have been made:
There are two types of state vector which should always be included in the
engine state vector search space. The reason for that is because these two
types of state vector represent two extreme working conditions of engines.
One is an evenly operating mode vector, in which power demand is evenly
divided between all the engines, and the other is the least engine operating
mode vector, in which the fewest possible number of engines are used to
achieve the power demand;
The engine power states are assumed to have quantised values (with an increment of 30 kW). The value of the increment is nearly 1/20 of the maximum
engine power output and this can offer reasonable search precise. This will
reduce the number of possible power state vectors without compromising the
grade of global optimality;
To avoid duplication of power state vectors, one assumes that power output
from engine A is no less than B and power output from B is no less than C.
For one engine state vector, it makes no difference if one of the engine output
powers is generated by engine A or B. The order of the elements in a engine
state vector is not important and what it matters is the combination of the
138
Figure 7.6: Dynamic programming evolution diagram

elements;
During the braking and stopping operation, the power demand is zero and
all engine outputs are zero. The engine does not need to provide any power.
Since both the braking and stopping operation are necessary for all the solutions, the searching route will definitely go through zero output states, i.e.
the zero power states are one of the optimum state series. The optimisation could be operated separately from a zero power demand to the next zero
power demand in a smaller searching space, exactly as shown in Figure 7.6;
The optimisation procedure is performed backwards shown in Figure 7.6. Suppose that the minimum fuel cost from S N3,2 to the final state S N , is through S N2,6 .
Now it can be concluded that the fuel cost from states S N2,6 to the final state S N
must also be the minimum. This is the case because if there are other possible
routes between S N2,6 and the final state S N which cost less fuel and are also reach139

able from S N3,2 , this path could easily be substituted to yield a lower fuel cost
from S N3,2 to the final state S N . More generally speaking for such engine state
problems, an optimal solution to a problem (searching for a minimum fuel cost
through S N3,2 to the final cost), contains an optimal solution to the sub-problem,
i.e. obtaining the minimum fuel cost engine state vector series through S N2,6 .
This property is referred to as optimal substructure, as illustrated in Section 3.3.3,
making DP a suitable method for such a problem [77].
Solution
Dynamic Programming aims to find an optimal solution recursively from the optimal solutions to sub-problems as discussed in Section 7.5.1. Fi [ j] denotes the
minimum fuel cost engine path from engine states S i, j to the final engine state. If
Fi [ j] finally defines the minimum fuel cost engine path from S 1,1 to final states
S N,1 , the optimal engine states path is found, denoted as F . F is defined in Eqn.
7.12:
F = min(E1,1 + F2 [1], E1,1 + F2 [2], . . . E1,1 + F2 [M2 ])
(7.12)
Where, E1,1 is the energy consumption of the first engine state. For the first step,
from S N,1 to S N1, j , F N1 [ j] could be defined in Eqn. 7.13:
F N1 [1] = E N,1 + E N1,1
F N1 [2] = E N,1 + E N1,2
...
F N1 [MN1 ] = E N,1 + E N1,MN1
(7.13)
Note that if S N,1 is not reachable for any engine states S N1, j , the corresponding
F N1 [ j] should be set to infinity to rule this engine path out of the future searching
range. Also note that, for each F N1 [ j], the next engine state to achieve the minimum fuel cost F N1 [ j] should be stored to find the optimum engine states path. It
140

is proposed that another storage space is specified, named as Ri [ j] to store the next
engine state for Fi [ j].
Now consider the more general case for any Fi [ j] where i = 1, 2, 3, . . . , N 1
and j = 1, 2, 3, . . . Mi . The minimum fuel cost engine path through engine state S i, j
can be derived from the minimum fuel cost engine path from previously calculated
minimum fuel cost Fi1 [ j] where j = 1, 2, 3, . . . Mi . The definition of Fi [ j] can be
found in Eqn. 7.14.
Fi [ j] = min(Fi1 [1] + Ei, j , Fi1 [2] + Ei, j , . . . Fi1 [Mi1 ] + Ei, j )
(7.14)
By combining Eqns. 7.13 and 7.14, a more general form for the minimum fuel
cost Fi [ j] is defined.
E N, j + E N1,1
if i=N
Fi [ j] =
min(Fi1 [1] + Ei, j , Fi1 [2] + Ei, j ,
if i N
. . . Fi1 [Mi1 ] + Ei, j )
(7.15)
After the final minimum fuel cost F1 [1] is found, it is straightforward to find
the next engine state to achieve this fuel cost from R1 [1]. By doing this recursively, each engine state through the whole optimum path can be identified and the
minimum fuel cost engine states path is found.
7.5.2
Adaptive online strategies
Dynamic programming is able to obtain the global optimal engine states path for
the journey. However, the whole journey profile must be obtained in advance. This
is obviously not possible for online power management [165]. This section will
discuss the development of an adaptive online strategy for a potential real time
operation using the results generated from DP.
141
Table 7.2: Threshold power demand value

Pth1
382 kW
Pth2
686 kW
Threshold power demand

Based on the results of Dynamic Programming, it is found that with a different total
power demand, there is a preferred number of engines which produce the best fuel
economy, referred to as the Preferable Number of Engines (PNE). When the power
demand is intermediate, e.g. during the course of cruising, the global optimisation
path shows that the best way to supply the traction power is to use only 2 engines
rather than 3. This type of characteristic can be used to develop a rule for an online intelligent power management strategy. From the current power demand, it is
possible to calculate the preferable engine power split between the three engines.
Figure 7.7 illustrates the general idea of preferred engine number decision making based on current power demand. The threshold values are decided based on the
following two presumptions:
There are no engine states where two of the engine output powers are zero
for power demand above Pth1 ;
There are no engine states where any of the engine output powers are zero
for power demand above Pth2 .
These two threshold power values Pth1 and Pth2 are listed in Table 7.2 using the
results from the DP optimisation as demonstrated in details in Figure 7.11(a).
Problem Formulation
After the preferable number of engines based on the two thresholds Pth1 and Pth2 ,
has been chosen, each preferable engine output can be determined, as shown in
Table 7.3.
142
Figure 7.7: Preferable number of engines for various power demands

Table 7.3: Preferable power distribution based on various power demand
Power Demand Pd (kW)
NoEpre
Preferable Power Distribution
NoEpre = 1
Ppre A(Nt) = Pd
Ppre B(Nt) = 0
PpreC(Nt) = 0
Pth1 (Nt) < Pd (Nt)

Pth2 (Nt)
NoEpre = 2
Ppre A(Nt) = Pd /2
Ppre B(Nt) = Pd /2
PpreC(Nt) = 0
Pth2 (Nt) < Pd (Nt)

Pmax
NoEpre = 3
Ppre A(Nt) = Pd /3
Ppre B(Nt) = Pd /3
PpreC(Nt) = Pd /3
Pd (Nt) < Pth1 (Nt)
P pre A(Nt), P pre B(Nt) and P preC(Nt) are the preferable power outputs for
each engine. However, there is usually a discrepancy between current engine output
and preferable engine output since the power demand changes dynamically. For
example, at time nt, the total power requirement is satisfied with two engines
working and the preferable engine output is equal to the current working engine
output. At time (n + 1)t, the power demand increases, and engine C is brought
into operation. Engine C was giving zero output power at time nt. For engine C,
the discrepancy gap between current engine output and current preferable engine
143
Figure 7.8: Illustration for minimisation of discrepancy

output could be very large.
Although it is not possible to achieve the current preferable engine output due
to the power slew rate limit as illustrated in Section 7.3.2, it is possible to minimise
the current total discrepancy to achieve an output power as near as possible to the
preferable one using the non-linear optimisation techniques. Figure 7.8 illustrates
the concept of minimisation of the discrepancy between the current engine output
and the preferable engine output at the next time. At time Nt, the power demand is
Pd (Nt), and the preferable engine number is two. All the engines are working on
their preferable states as shown by the grey circles, i.e. PA = PB = P(Nt)/2 kW
and PC = 0 kW. At time (N +1)t, the power demand changes to Pd ((N +1)t) and
the preferable number of engines changes to three. At this time step, the preferable
engine output changes as shown by the black circles in Figure 7.8. Each engine
output is defined by P pre A((N + 1)t), P pre B((N + 1)t) and P preC((N + 1)t), and
XA (Nt) XB (Nt) and XC (Nt) denotes the discrepancy gap between the current
engine output and the next preferable engine output.
144
Table 7.4: Online power distribution

NoEopt = 1
PA ((N + 1)t) = Pd ((N + 1)t)

PB ((N + 1)t) = 0
PC ((N + 1)t) = 0
NoEopt = 2
PA ((N + 1)t) = PA (Nt) + XA (Nt)

PB ((N + 1)t) = PB (Nt) + XB (Nt)
PC ((N + 1)t) = 0
NoEopt = 3
PA ((N + 1)t) = PA (Nt) + XA (Nt)

PB ((N + 1)t) = PB (Nt) + XB (Nt)
PC ((N + 1)t) = PC (Nt) + XC (Nt)
XA (Nt) =PA (Nt) P pre f A((N + 1)t)
(7.16)
XB (Nt) =PB (Nt) P pre f B((N + 1)t)
(7.17)
XC (Nt) =PC (Nt) P pre f C((N + 1)t)
(7.18)
Here we define the total discrepancy gap at time Nt denoted by Dt as follows:

Dt (Nt) = |XA (Nt)| + |XB (Nt)| + |XC (Nt)|
(7.19)
The optimum change power of each engine will be the change that minimises
Dt ((N + 1)t). Dt ((N + 1)t) denotes the minimum total discrepancy, XA (Nt),
XB (Nt), XC (Nt) is each change of engine output. The result is:
Dt ((N + 1)t) = min(Dt ((N + 1)t))
(7.20)
A set of variables XA , XB and XC are introduced to minimise Dt (Nt),

where XA , XB and XC denotes the change of each engine power output during
the next time step, shown in Eqn.7.24.
To find the set of engine power change values for the minimum total discrepancy, a constrained nonlinear optimisation has been implemented [166]. The Opti145
Figure 7.9: Speed profile and speed limit
Figure 7.10: Distance time and distance elevation graph

misation ToolboxTM in MATLAB is used to solve the problem. The constraints are
listed below:
Pmps XA (Nt) Pmps
(7.21)
Pmps XB (Nt) Pmps
(7.22)
Pmps XC (Nt) Pmps
(7.23)
146
(a) Power distribution over time using dynamic programming
(b) Initial stage of power distribution by online rule based
Figure 7.11: Power distribution over time using dynamic programming and online
rule based strategy (separate version)
Pmps is the positive MPS in Section 7.3.
XA (Nt) + XB (Nt) + XB (Nt) = Pdi f f (Nt)
147
(7.24)
Figure 7.12: Power distribution over time using DP and online rule based strategy.
NoEopt
max(NoE pre , NoEact ) if Pdi f f (Nt) < 0

=
max(NoE pre , NoEact , NoEmin ) if Pdi f f (Nt) 0
(7.25)
Pdi f f (Nt) is defined as Pd ((N + 1)t) Pd (Nt) which is the power demand
difference between the current total engine output and the next total engine demand.
These constraints are set to ensure the total power demand can be met while the
individual engine power changes are minimised. Some points should be noted to
avoid undesirable results for practical operations. Some of the notations are listed
below:
NoE pre denotes the current preferable number of engines
NoEact denotes the number of current working engines
NoEmin denotes the minimum number of working engines for the next power
demand
NoEopt denotes the number of engines for optimisation, i.e. the minimisation
148
(a) Initial stage of power distribution by DP
(b) Initial stage of power distribution by online rule based
Figure 7.13: Initial stage of the power distribution for both power management
strategies
process is not always applied for all numbers of engines.
The online power distribution is summarised in Table. 7.4.
149
(a) Power distribution by DP for simple journey case study
(b) Power distribution by DP for a return journey case study
Figure 7.14: Power distribution by dynamic programming for two further case
studies
7.5.3
Results
Figure 7.9 shows the speed profile over the route, while showing the speed limit at
various sections of the journey. There is a station at 40 km.
The relationship between distance and time has been depicted in the left subplot
of Figure 7.10. The right subplot, for comparative study purposes, displays the
150

distance vs. height so that both graphs can be read to explain the current height at
a particular time instance.
The power distribution over the journey time is shown separately in Figure 7.11
and together in Figure 7.12. Since the negative braking power demand results in a
zero power output from each engine, it is omitted from these figures.
Figure 7.13 shows that at the beginning of the journey, the power demand is
increased from zero to a maximum point to accelerate the vehicle. During this
course, each engine starts in sequence. This can be explained by the Preferable
Engine Number computation, i.e. the preferable engine number for the best fuel
economy varies during the initial acceleration phase. DP helps to locate the power
change instant for each engine.
The other three subplots show the power output from engines A, B, and C respectively. Each of the subplots shows results from both of the proposed strategies.
Figure 7.13 shows a magnified view at the beginning stage for both strategies. The
high level of agreement is due to the intrinsic sub-optimal characteristics. In the
rule-based online strategy, the preferable engine output is an approximation of the
results from DP and not all of the approximation can match the global optimisation
result. Nevertheless, the power distributions using both strategies depict a high degree of agreement. In Figure 7.12, the power split computed using the rule based
strategy is shown by the solid grey area, and the power split computed using DP is
shown by the solid black line. There is very little difference between the two methods, however some differences can be observed, for example the power demand of
engine C at about 8 minutes, and after 33 minutes. To summarise, real time operation of power management can benefit from the online strategies developed using
off-line global optimisation techniques.
In order to showcase a broader prospect of the application of dynamic programming, two extra case studies have also been done. In the simple case study
of a 10 km journey, see Figure 7.14(a) for details, the vehicle will accelerate to
96 km/h with the flat gradient until braking and decelerate to the next station. The
151
7.6. SUMMARY
Table 7.5: Simulation results comparison

Method
Dynamic programming
Rule-based online
Empirical evenly split
Energy Consumed (kWh)

1888.3
1918.4
2019.8
Fuel Cost (kg)

149.1
151.4
159.5
second engine is switched on subsequently at the beginning of the journey and the
third engine is kept off until the end of the journey due to the low power requirement from the driver. In the case study on the return journey, the vehicle is set
to run backwards along the same route. The results for the power distribution are
demonstrated in Figure 7.14(b). It is shown that dynamic programming is capable
of calculating the distribution between the three engines in a different scenario.
Table 7.5 shows the simulation results for the three power management strategies. The empirical evenly split strategy means that the power requirement is evenly
divided between 3 engines all the time. The conversion between the energy consumed and fuel cost is based on the energy density [164]. As suggested, the energy
density for diesel oil for automotives is 45.6 GJ/tonne. The saving rates for both
Dynamic Programming and Rule-based online strategies compared to an empirical
evenly split strategy are 6.52% and 5.08%.
7.6
Summary
Recently, many power management strategies have been applied and realised for
hybrid vehicle propulsion systems. These strategies are applied to achieve improved fuel economy and better environmental performance. However, so far, these
technologies have not been considered for a conventional propulsion system. This
chapter takes a typical British DMU railroad vehicle as a case study and explores
the applicability and transferability of an optimal power management strategy. Due
to the electrical inter-connection configuration, which enables fewer engines to
work during the lower power requirement journey range, more advanced control
152
7.6. SUMMARY
strategies are becoming applicable for power management systems.
This chapter firstly discussed a platform for the study of power management
strategies: STMS. Through discretisation of the Newton equations and modern resistance calculation (Davis Equation), a STMS is modelled. This simulator is able
to take account of the geography and driving style to produce an online output of
the train position, speed, and current power usage, etc. Based on this, dynamic
programming, together with an adaptive on-line rule-based strategy for this typical
British DMU train are proposed in this chapter. Some improvement and modification has been adopted to decrease the search complexity and thus total computation
time while maintaining acceptable optimisation precision. Based on the results of
dynamic programming, an adaptive online rule-based strategy has also been discussed for further online simulation using large scale non-linear programming.
After transferring the energy consumed into diesel fuel cost, both of the simulation results indicate that a remarkable energy saving has been achieved using both
of the two strategies.
This chapter considers the engine efficiency map in two dimensioned space.
Further investigation is needed for the study of transient characteristics of the diesel
engine.
153
Chapter 8
Conclusions and future work
8.1
General summary of contents
The contents of this thesis can be divided into two parts.

Part one presents the background and literature review which includes the
first three chapters. Chapter 1 introduces different energy efficiency improvement techniques which have been implemented in industry and trialled in
other studies. Rather than developing a new set of electric devices or control techniques, using a high-level supervisory operational control philosophy will incur much less cost, and will also increase the energy efficiency
significantly. Chapter 2 is a review of railway traction systems including
from traction supply types as well as the electric drive and both AC and DC
machines. Chapter 3 reviews mathematical optimisation techniques. The
discussion in this chapter is mainly divided into numerical optimisation and
metaheuristics. DP is introduced separately due to its significance.
Part two of this thesis describes the application of the proposed high level
supervisory control in various scenarios. An introduction to modelling train
motion and traction power is presented. Three case studies under the preset research scenario are discussed from Chapter 5 to Chapter 6. In Chapter
154
8.2. CONCLUSIONS
5, based on the proposed distance based searching model for train running
trajectories, various optimisation techniques: DP, ACO and GA are applied
to search for the optimal energy efficient train speed trajectory under certain
time consumption constraints. In Chapter 6, a railway DC electrical network
is modelled and simulated using both NA and LF calculation. Based on this
model, the instant electrical states of multiple trains running on two parallel
railways can be obtained while considering the characteristics of the railway
traction power, the DC substations and the electric power transmission circuit. In Chapter 7, a case study of a typical British DMU train is conducted to
investigate the application potential of advanced energy management strategies. It is found that by using a set of energy management strategies, the distribution of power demand can be intelligently performed so that equipped
engines can operate in a higher efficiency area on the efficiency map. The
total fuel cost is found to be significantly improved .
8.2
Conclusions
The major findings and contributions are concluded as follows.
8.2.1
Single train trajectory optimisation study
Energy efficient driving strategies for railway vehicles are becoming even more important. Under certain operational, geographic and physical constraints, the energy
efficiency for the train speed trajectory can be significantly improved if effective
train control strategies are used. Due to the nonlinear constraints, the solution for
using control strategies is not easily obtained. There are two types of strategy applied to obtain the energy efficiency train speed trajectory. One of them is to effectively apply coasting operations to obtain a compromise between the running time
and energy cost. The other is to search for the feasible speed control strategy to
ultimately reduce energy consumption while maintaining the journey time require155
8.2. CONCLUSIONS
ment. This thesis proposes a distance based train trajectory search model, upon
which three algorithms have been applied to search for the optimal train speed trajectory. Instead of searching for a detailed, complicated control input for the train
traction system, this model tries to obtain the speed level at each preset position
along the journey. Based on the results depicted in Section 5.7, the major findings
in this study are concluded as follows.
By arbitrarily creating connected searching graphs consists of vehicle states,
Ant Colony Optimisation shown in Section 5.4, Genetic Algorithms in Section 5.5 and Dynamic Programming in Section 5.6 are demonstrated to find
energy efficiency train trajectory trajectory.
The performance of 3 methods have been contrasted and compared. It was
found that Dynamic Programming performed better than both the Genetic
Algorithm and Ant Colony Optimisation. Under certain circumstances the
Genetic Algorithm performed quite poorly and failed to converge onto a
good solution (particularly for large journey times). It may be possible to
tune the search algorithm, but without comparative results from alternative
methods it would be impossible to determine the existence of better solutions. Ant Colony Optimisation depended on strong heuristic information
and performed adequately well for most of the journey time allowances. It
also arrived at a solution significantly quicker than the other two methods.
For those cases where the solution space becomes small, both the Genetic algorithm and Ant Colony Optimisation failed to converge on a solution. When
the time requirement is even less, it is required to reach plausible train trajectory using more rigorous selection of candidate velocity at different distance.
However, the algorithms based on the random Monte Carlo style selection
shows less capability to reach optimum trajectory in a limited number of
iteration steps.
Dynamic Programming is the most recommended algorithms to search for
156
8.2. CONCLUSIONS
the energy efficiency train trajectory for an off-line application. Though the
computational time is significantly increased, the results obtained by Dynamic programming are robust and resilient.
More heuristic information improves robustness of algorithm. For example
Ant Colony Optimisation will maintain its searching results quality when
the searching spaces are increased due to its strong heuristic information.
Genetic Algorithm loses its optimality due to less heuristic information involved.
In general, it is recommended that more than 1 method should be used to
identify optimum trajectories because it is often possible to converge on a
solution which is plausible, yet nowhere near optimal.
8.2.2
Journey time allocation study
It is noted that in a DC railway network, power peaks are undesirable for the sake
of system safety and energy efficiency. Several methods such as intelligent traction
control method, synchronism management method etc. are proposed in literatures
and coordinated operation between trains in a network is one of the more commonly
used methods. This study adopted journey time allocation for each inter-station
operation as the coordinating tool for trains. Furthermore, this study also considers
journey time as an optimisation objective as well as the energy efficiency of the
electrical network.
By varying the journey time allocation, the regenerative power utilisation ratio
and energy loss in the substation can both vary because the synchronism of operations of trains may vary. After achieving train running trajectories under dynamic
journey time constraints, in Section 6.3, this thesis further develops a multiple electrical train model with regenerative braking in a DC electrical network using the NA
and LF methods. It demonstrates the relationship between the inter-station journey
time allocation and the total journey quality in terms of journey time and energy
157
8.2. CONCLUSIONS
efficiency. In Section 6.3.3, a GA is applied to search the optimal journey allocations and the result is bench-marked by the BF method in Section 6.4. The major
findings are concluded as follows:
Using Nodal Analysis and Load Flow methods, it is able to model multiple
trains within a DC railway electrical network. Regenerative braking and dynamic performance of electrical network can be simulated. See Section 6.2
for further details.
Energy efficiency of the electrical network can be improved by reducing the
power peaks in the substations which can be realised using operational methods such as distribution of inter-station journey time.
Increasing part of inter-station journey time is one of feasible solutions to
reduce power peaks and improve energy efficiency.
Genetic Algorithm is a solution to find the energy-efficient distribution of
inter-station journey time.
8.2.3
A power management strategy for a multiple unit train
Improved fuel consumption and lower emissions are two of the key objectives for
future transportation. HEVs, in which two or more power systems are combined,
are able to meet these objectives through the capture and reuse of regenerated braking energy, and through optimised use of the prime mover. However, more complicated power management strategies are required for such vehicles. This thesis explores the potential of applying advanced power management strategies to a DMU
train described in Section 7.2. These types of vehicles have multiple diesel engines,
which are commonly operated in a homogenous manner. The work described in
this thesis analyses the potential energy savings that may be obtained through the
independent operation of the engines. Two widely investigated power management
158
8.2. CONCLUSIONS
strategies illustrated and have been applied to a typical multiple decisions making
problem for a typical DMU train defined in Section 7.4.
In Section 7.5.1, DP strategies have been applied to the results produced by a
STMS (see Section 4.3.4 for details) to identify the optimal instantaneous power
distribution between the engines. In Section 7.5.2, an adaptive rule-based online
strategy based on the optimisation results from the DP solution is then proposed
and realised using a non-linear programming optimisation algorithm. Both of these
strategies indicate acceptable agreement and show around a 7% fuel cost reduction
in comparison with the evenly-split engine operation [49]. Based on the results
demonstrated in Section 7.5.3, the major findings are concluded as follows:
Advanced power management strategies can be applied in a conventional
Diesel Multiple Unit train to reduce fuel cost.
Dynamic Programming is applied to identify the optimal instantaneous power
distribution between the engines. An adaptive rule-based online strategy
based on the optimisation results from the Dynamic Programming solution
is then proposed and realised using a non-linear programming optimisation
algorithm.
Both of these two strategies indicate acceptable agreement and Dynamic Programming shows around a 7% fuel cost reduction and Rule-based strategy
shows around a 5% fuel cost reduction rate in comparison with the evenlysplit engine operation.
In order to save fuels, it is suggested that when a train should start up each engines sequentially when it sets off from a station. It is because fewer engines
are required for low power demands.
The optimised power management strategies become similar to a evenly-split
strategies when the power demand is high when the train is running at high
speed.
159
8.3. FUTURE WORK
8.3
8.3.1
Future work
Validation and verification
All the studies covered in this thesis are based on theoretical simulation. It provides
useful information for the energy efficiency development of railway traction engineering. Validation and verification remains to be the future work for the proposed
study context. Without doubt, the demonstrated work in this thesis has proposed
several novel energy-saving ideas. It is hoped that these ideas can provide aspirations for the further improvement of energy efficiency in the railway traction
system.
8.3.2
Single train trajectory optimisation study
The train trajectory between two pre-determined distance points is assumed to be

fixed and a simplified train running pattern is applied as described in Section 5.3.
As a result, some unrealistic trajectories may occur due to the simplicity of the
train running pattern, for example, the train may have to brake before it reaches its
maximum cruising speed. In the context of future research, it is worth searching the
most efficient train speed trajectory between two predetermined distance positions
using quick numerical searching methods.
It may also be interesting to consider trajectory optimisation for multiple trains
in a network. As the train trajectory is also affected by other trains in a railway network, it is certainly of interest that the optimisation objective function can contain
the total cost of multiple train trajectories. Such a study would be beneficial for the
design of a signalling system.
8.3.3
Journey time allocation study
For the sake of simplicity, the leakage current is omitted from the DC electrical network modelling in the journey time allocation study reported in this thesis. Mean-
160
8.3. FUTURE WORK

while, the study of multiple objective optimisation between the journey time and
energy efficiency needs further investigation. For multiple trains in an electrical
network, the operation without considering the signalling system can be regarded
as hypothetic. In addition, an unchanged headway time between subsequent trains
is only used for research purposes. In summary, the work on journey time allocation
reported in this thesis is worth more study from an engineering operations standpoint. In the next-stage research, more detailed and practical DC electrical network
modelling can be interesting. Signalling system and flexible headway train running
remain interesting for a future research context.
8.3.4
Power management strategies study for a multiple unit

train
In the study of power management strategies for a multiple unit train, the energy
efficiency characteristic shown in Figure 7.2 is assumed to be 2-D, in which energy efficiency only depends on the instant power output. However, in reality the
power efficiency of a diesel engine is relevant to both torque and rotation speed.
A more detailed investigation should be conducted before such energy distribution
strategies are applied to a real multiple unit train traction system.
Further research should consider some other constraints. For example, more
number of engines or electric motors can be installed to further increase the search
space. Additionally, the application of such strategies should not be limited only
to this field but can be expanded into any field with multiple power distribution
demands. In some cases, the power demands are not known in advance and this
will require a new method or improved Dynamic Programming.
On-line strategies based on the off-line global optimum strategies can be improved by using a less determinant rule-based system. Fuzzy logic and ANN are
the candidate methods to improve the currently developed rule-based system.
161
Appendix A
Electric drive for railway traction
systems
A.1
DC motor drive
According to the method of power supply to the motor drives, there are two main
types of DC traction drive: the chopper converter and the phase-control rectifier.
A.1.1
DC-DC chopper converter traction drive
The DC-DC chopper converter converts fixed DC voltage into various output voltages. Bi-directional operation is possible with a combination of step up and step
down converters, which realises regenerative braking for railway vehicles. This
type of converter is referred to as a two-quadrant converter for two different characteristics of operation. A DC-DC chopper converter helps to realise a smooth,
step-less control and fast response to the target due to the flexibility of output voltage control. Additionally, compared to traditional electro-mechanical equipment,
chopper operation significantly lowers maintenance costs as no mechanical requirement is needed in such a system.
The possibility and capability of regeneration of chopper converter traction led
to the development of wayside storage substations. These are used as an alternative
162
A.1. DC MOTOR DRIVE
(a) Schematic operational waveform
(b) Circuit diagram
Figure A.1: Two-quadrant traction chopper power operational circuit and the operational waveform
to the conventional way of consuming the energy recovered from nearby trains in
new railways of Japan [62].
The thyristor Q1 turns on and off with firing angle . The current through the
inductor increases during the on period as the voltage from the sources is higher
than the terminal voltage on the motor and decays due to the back EMF applied.
Though the current increases and then decays, the power flows from the power
supply to the motor. The equivalent circuits during states 1 and 4 labeled in Figure
A.1(a) are shown in Figure A.2.
163
A.1. DC MOTOR DRIVE
Figure A.2: Chopper power circuit corresponding to state 1 and 4 in Figure A.1(a)
With the current turning from positive to negative, the system changes into
regenerative mode where the motor acts as a generator and energy is returned to
the supply. At this stage, the operational devices are Q2 and D2 . With Q2 turning
on, the current goes through and energy is stored in inductance L; with Q2 off, the
current decays due to the negative voltage difference V s Ea 1 applied on it and the
power is delivered to the source via the diode D2 .
Figure A.3 illustrates the states of these operations.
One important feature of this circuit is that the thyristors do not work simultaneously to avoid the short circuit of the power supply. Two groups of devices, Q1 ,
D1 and Q2 , D2 work separately to realise the respective working mode. The speed
or torque requirement determines the working mode of this chopper.
It is noted that the chopper operation inherently gives rise to the harmonics
content to the output current and voltage [167]. The fundamental element of the
harmonics caused by the chopper is the chopping frequency. In addition, the substation rectifier which rectifies AC power supply into the required DC power will
usually introduce harmonics. Neither of these harmonics is desirable, due to their
1
The source voltage V s is higher than generator sources Ea .
164
A.1. DC MOTOR DRIVE
Figure A.3: Chopper power circuit corresponding to state 3 and 2 in Figure A.1(a)
interference with the signalling system along the railway line. Consequently, bulky
filters are usually employed at the power collection terminal and within the chopper
controllers to reduce the harmonics.
A.1.2
Phase-controlled rectifier traction drive
The DC power supply may either be rectified from AC at the substation, as mentioned in the previous section, or by using an on-board rectifier, giving rise to phasecontrolled rectifier traction drives.
It is preferable, as stated in [54], to adopt the half controlled bridge rectifier. The
advantages of the half controlled bridge rectifier, as compared to the full controlled
counterpart, are listed as follows:
1. Half of the thyristors are needed and the circuit costs less;
2. It operates more readily with a continuous current and leads to a higher power
factor;
3. The armature current does not need to deal with negative voltage. The current
will decay with commutating diode shown in A.4 and less torque ripple is
165
A.1. DC MOTOR DRIVE
Figure A.4: Semi-controlled single-phase bridge operation circuit and waveforms

induced.
However, the AC supply line current will be more distorted and the inversion operation becomes more difficult.
The circuit diagram is shown in Figure A.4. Diodes D2 and D4 form a freewheel path through which the current is drawn back in to AC source. In one period,
the revolution could be divided into 4 divisions.
Before T 1 is fired, the load current loops between the load. The commutating
diode and the value of the current decays gradually as the firing angle increases
to prolong the period of this current decaying process. During this interval, the
voltage imposed on the load is zero.
At the firing angle , thyristor T 1 is fired and the current goes through it, resulting in the voltage, being imposed on the load from the source. The current leads
through T 1 , the motor armature, and finally diode D2 .
As the diode will cut the current when the voltage through it becomes negative
corresponding to the current direction, the current on the diode and thyristor becomes zero and the commutating diode is effective again until the next thyristor T 3
is fired.
After thyristor T 3 is fired, the load circuit works under the same conditions as
the interval between and . It is important to note the negative supply current
166
A.2. AC MOTOR DRIVE

from the source.
A.2
AC motor drive
A.2.1
DC-fed Current Source Inverter drive
The current source inverter has the current from a DC source which is effectively
constant over a period of a few cycles [167]. In practice, the constant current is
realised by a large inductance and the value of the current is adjusted by the duty
cycle of the pre-converter before the current source inverter, as shown in Figure
A.6.
The devices in constant current inverters are required to withstand reverse voltages, due to the natural commutation; as a result, thyristors, rather than transistors
should be adopted as the switching devices, unless an anti-parallel diode is included. For the purpose of circuit protection, relatively slow response thyristors
are preferable, since it takes longer for the fault current to rise to a dangerous level
and allows protection to be applied more effectively.
Figure A.6 shows the circuit diagram for a 3-phase constant current source inverter. Thyrsitors are fired in sequence to produce a quasi-square wave load current
on each phase of the induction motor.
During regeneration, the current direction remains the same while the DC source
voltage reverses. The current lags the voltage by less than /2, however in generation mode this angle changes to the range between /2 and , bringing about the
leading angle between current and voltage.
Pulse Width Modulation (PWM), which replaces the square wave by a set of
discrete pulses in the same duty cycle, could be applied to the output current of
the inverter. The advantage of PWM is to eliminate the low order harmonics and
achieve a more stable operation of the motor.
167
A.2. AC MOTOR DRIVE
Figure A.5: Traction drives with three-phase motors and DC power supply
A.2.2
DC-fed Voltage Source Inverter drive
The VSI inverts the constant voltage into various voltage outputs on the load. Constant voltage implies that over the short time of one cycle of the output AC waveform, any change in the DC source voltage is negligible.
The reversal of power flow occurs during braking. At this stage, the induction
motor works as a generator and the inverter output frequency is lower than the
rotor rotational speed. The current direction will reverse while the phase of voltage
remains unchanged.
168
A.2. AC MOTOR DRIVE
Figure A.6: Current source inverter circuit diagram

VSI Induction Motor (IM) traction drives for DC railways take two different
types of inverters, two-level and three-level [53].
The two-level inverter limits its application to under 1.5 kV DC traction systems as the limited blocking voltage capability is 4.5 kVfor the production GTO
thyristors, considering the usual factor of three derating for successful commutating. Preconditioning choppers are required to replace the series connection of GTO
in a 3 kV DC railway to supply a proper DC link voltage in a two-level inverter [53].
Further development on the structure of inverters gave rise to the application
of line connected three-level inverters with a neutral point clamped, which is a
feasible alternative in a 3 kV DC railway. In this kind of inverter, 3 voltage states
are present in the output terminal, which are 0, +VDC /2 and VDC /2. In addition,
the virtual inverter switching frequency is four times the actual frequency. The
switching frequency thus is typically 100 Hz to 300 Hz and incurs less DC current
ripple and a better AC voltage waveform [53].
169
A.2. AC MOTOR DRIVE
Figure A.7: AC power supply with induction motor drive
A.2.3
AC-fed Voltage Source Inverter drive
The VSI could be used in AC-fed railways when the AC-DC converter is applied
between AC supply lines and VSI, as shown in Figure A.7 [53]. This AC-DC
is a four-quadrant pulse converter incorporated with PWM. It inherently has the
capability of full regeneration and unity power factor operation.
The condition of the operation can be summarised as follows:
Power is sent to, or back from the DC link output with unity power factor;
DC link voltage is maintained constant;
DC link current demand and line voltage may vary.
The converter has a sinusoidal input voltage in phase with the input current
while the output of voltage is required to be constant and ripple free. The AC
component of the output current, at twice the supply frequency, is absorbed by a
series resonant filter. The circuit diagram of a pulse converter is shown in A.8.
It is proposed that the source voltage V s and source current I s should be in
phase. To align their phases, an inductance is introduced to impose an appropriate
phase displacement between source voltage V s and the input voltage Vin . If V s and
170
A.2. AC MOTOR DRIVE
Figure A.8: Circuit diagram of a pulse converter with AC input and DC output.
Figure A.9: Phase diagram of AC-DC pulse converter

I s are known, the amplitude and phase of Vin are also known achieved via PWM
converters.
The phase diagram shown in Figure A.9 and Eqn. A.1 demonstrates the relationship between the V s , Vin and VL [167].

V s + VL = Vin
(A.1)
When the V s changes, in order to keep the I s in phase, Vin should be changed
so that the direction of VL is shifted in parallel [53]. The Vin is varied by adjusting
the modulation ratio of the GTO in relation to the constant link voltage Vo . The
direction of I s is reversed from motor mode to regenerative mode.
The application of PWM in the DC-AC converter has several advantages [167].
Firstly, it is easy to achieve the unity power factor by PWM. Secondly, it improves
the line current waveform by reducing harmonics. Thirdly, both dynamic and re171
A.2. AC MOTOR DRIVE

generative braking operations are feasible. Finally, the DC link voltage is larger
than the line peak voltage. When the line voltage surges, diodes in the converter
could clamp Vin to the DC link voltage, which could in turn protect the devices.
172
Appendix B
Optimisation Techniques
B.1
Categories of Numerical Optimisation
Depending on the characteristics of the objective function and constraints, numerical optimisation problems in the form of Eqn. 3.1 can be categorised into various sub-fields. Mathematical programming can be categorised into constrained
programming if certain constraints defined by gi () and h j () are met and unconstrained programming if I = and E = . The nature of the objective function can be regarded as linear demonstrated by the linear programming defined in
Def. B.1 or convex demonstrated by the convex programming defined in Def. B.2.
As a result, the programming problems can be divided into linear programming
and nonlinear programming, convex programming and non convex programming
respectively. If the objective function f () is continuous or the variable set only
makes sense if it is discrete, the programming problems can then be classified into
continuous and discrete programming. Other categorisations are made according
to respective emphasis on the characteristics, such as global and local optimisation, stochastic and deterministic optimisation, smooth and non-smooth optimisation etc. [66].
Definition B.1 (Linear programming). The optimisation procedure defined in Eqn.
173
B.1. CATEGORIES OF NUMERICAL OPTIMISATION

3.1 is linear programming if the following conditions are satisfied.
f (x) = cT x
gi (x) = aTi x,
h j (x) = aTj x
i = 1, , m
(B.1)
j = 1, , l
The vectors c, ai , a j Rn and scalars bi , b j R are the parameters which specify

the functions f (x) ,gi (x) and h j (x).
Four general assumptions for linear programming problems include proportionality, non-negativity, additivity and linear objective function [69].
Definition B.2 (Convex optimisation). The optimisation procedure defined in Eqn.
3.1 is convex optimisation if the following conditions are satisfied.
f (x + y) f (x1 ) + f (x2 )
gi (x + y) gi (x1 ) + gi (x2 )
(B.2)
h j (x + y) h j (x1 ) + h j (x2 )
for x, y Rn and , R, there is + = 1, 0, 0
A classification according to the linearity and convexity of the numerical optimisation problem is shown in Figure B.1. Note that Linear Programming, Secondorder Conic Programming (SOCP) and Semidefinite Programming (SDP) are all
regarded as Conic Programming.
Numerical algorithms will be categorised into unconstrained optimisation algorithms for the cases where I = and E = and constrained optimisation
algorithms otherwise. For more details of linear programming, refer to [69].
174
B.2. SOME OTHER MATAHEURISTICS
Figure B.1: The classification of the mathematical programming problem
B.2
Some other mataheuristics
B.2.1
Simulated annealing
The simulated annealing algorithm was inspired by the deep and useful connection
between statistical mechanics and combinatorial optimisation [85, 86]. The term
annealing in metallurgy is a physical process used to heat up and cool down a
material in a controlled way in order to increase the effect of crystallisation. When
the temperature is high, it is easier for the atoms to become unstuck and to move
randomly to other states with higher energy. A controlled, slower cooling process
will enable the atoms to gain a higher chance of staying in a state with lower system
energy than their initial state.
By analogy, in simulated annealing algorithms, feasible solutions of an optimisation problem correspond to the states of a material. The output of the objective
function at a solution corresponds to the system energy at certain state, an optimum
175

solution corresponds to the minimum energy state.
Given a temperature T , the probability distribution of system energies P(E) is
proportional to its Boltzmann probability factor:
E
P(E) exp
kT
(B.3)
Eqn. B.3 indicates that at a lower temperature, lower internal energies P(E) can
still be achieved with a lower possibility. Such statistical probability enables the
system to have the potential to escape from a local minimum-energy state [100].
To implement the simulated annealing algorithm for a combinatorial optimisation problem, four components are required [85].
1. The description of a solution of a system;
2. A neighbourhood function which will randomly generate a move or rearrangement of the elements in a solution;
3. An objective function to be optimised;
4. An annealing schedule of temperatures and iteration time length.
Some definitions are made as follows:
Let f (s) denote the objective function where s is one of the solutions and let
sbs f denote the best-so-far solution during optimisation;
Function Initialise-Solution() will return an initial solution;
Function Initialise-Parameter() will return a set of initial parameters including: an initial temperature T 0 , termination criterion for iteration at each temperature, e.g. number of iteration Ni , termination criterion for whole program;
Function Update-Temp(T ) will return an updated temperature;
176

Function Neighbour(s) will return a new solution s in the neighbourhood of
0
current solution s;
Function Accept(s,s , T ) will return a final accepted solution for a tentative
0
generated solution s at current temperature T . The pseudo-code of Accept(s,

0
s ) is shown in Algorithm B.2;

Function Rand() will return a number nr [0, 1].
The pseudo-code for the top level of a typical simulated annealing algorithm is
presented in Algorithm B.1.
Algorithm B.1 Pseudo-code for Simulated Annealing
s Initialise-Solution()
Initialise-Parameter()
sbs f s
while Overall termination condition not met do
while Termination condition at temperature T not met do
0
s Neighbour(s)
0
s Accept(s,s ,T )
if f (s) < f (sbs f ) then
sbs f s
end if
end while
T Update-Temp(T )
end while
return sbs f
Algorithm B.2 Pseudo-code for Accept(s, s , T ) function

Require: pa [0, 1]
nr =Rand() {Randomly generate a number between 0 and 1}
0
if f (s ) < f (s) then
pa 1
else

0
pa exp f (s)T f (s )
end if
if pa nr then
0
return s
end if
return s
177
B.2.2
Tabu Search (TS)
TS is an iterative search algorithm which relies on flexible structure memory [89].

The short-term memory functions of TS constitute a form of aggressive exploration in which a best move, not necessarily an improving move, for an evaluation function is selected subject to certain constraints [87]. Therefore TS makes
no reference to a local optimum and is able to search areas beyond a local minimum
or a non-feasible area.
There are some policies in TS to prevent any reversal or repetition of moves
which can be referred to as the forbidden [87]. A tabu list is used to store solutions
already visited in the past T s iterations. An appropriate length of T s , referred
to as the tabu list length, will effectively eliminate the cycling problem whereby the
reversal moves occur and progress the search from previous T s solutions. Such a
tabu list is usually maintained in a first-in-first-out style where the oldest solution
will be deleted while the newest solution is written. By recording the occurrence
of attributes of previous solutions, the tabu restriction strategies can be applied to
prevent reversals. The abu restriction strategies are realised through a comparison
of the threshold value and the occurrence frequency in a large number of previous
solutions (a frequency-based restriction) or the occurrence rate in a certain number
of previous solutions (a recency-based restriction). In other words, the tabu restriction of a solution will be reinforced if the occurrence rate or frequency has passed
some threshold.
By contrast, if a solution is high quality and does not cause any recycling problem, it will be accepted as a new solution even if tabu restriction strategies are
already met. The strategies adopted here are called aspiration strategies which
will guide the search in a wider region. Both the T s and the aspiration strategies
takes an important part in freeing strategies in TS as they both relax some restrictions broaden the search space. By promptly deleting the elements in the tabu list,
new improved solutions can be re-considered in the future search [100].
178

While the short-term memory functions are fulfilled by storing the solutions
taken in a number of previous iterations, the intermediate term and long-term memory functions operate to intensify and diversify the search by learning from the
search behavior in a particular period of the algorithm. The intermediate term
memory function records and compares the features of a selected number of best
trial solutions in a particular period of search. The common features of all, or a
majority, of the best solutions are regarded as regional attributes of good solutions
and are used to guide the search for solutions with such attributes in the future.
The long-term memory function is applied to diversify the search by guiding it to
a region in contrast to the one found thus far during the execution of the algorithm.
Different to the random allocation of the starting point, diversification based on the
long-term memory tends to learn from the past through an evaluation criterion.
Based on such an evaluation criterion, the solutions with the features regarded to
be popular and effective in the long term past will be penalised out of the search
in the execution of diversification [87].
Before the algorithmic outline is given in pseudo-code format [84, p.50], some
definitions are given as follows.
Let f (s) denote the objective function where s is one of the solutions and let
sbs f denote the best-so-far solution during optimisation;
Let S denote a set of admissible new solutions;
Function Init-Solution() returns an initial solution;
Function Init-Memo() will initialise the memory structure of TS;
Function Generate-New-Solutions(s) returns a new set of accepted solutions
based on the tabu list, tabu restriction and tabu aspiration;
Function Best-Solution(s)
Function Update-Memo() will update the memory structure of TS according
to the iterative procedure.
179

Algorithm B.3 Pseudo-code for Tabu Search
s Init-Solution()
Init-Memo()
sbs f s
while Termination conditions not met do
S Generate-New-Solutions(s)
s Best-Solution(S)
Update-Memo()
if f (s) < f (sbs f ) then
sbs f s
end if
end while
return sbs f
180
Appendix C
Publications
Publications generated to date based on the research results in this thesis are listed
as follows.
1. S. Lu, S. Hillmansen, and C. Roberts, "A Power-Management Strategy for
Multiple-Unit Railroad Vehicles," Vehicular Technology, IEEE Transactions
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a multiple unit train," IET Seminar Digests, vol. 2010, pp. 29-29, 2010.
3. S. Lu, D. H. Meegahawatte, S. Guo, S. Hillmansen, C. Roberts, and C.J.
Goodman, "Analysis of Energy Storage Devices in Hybrid Railway Vehicles,"
in International conference on railway engineering, IET 2008 Hongkong,
2008.
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Optimising Power Management

Strategies for Railway Traction

School of Electronic, Electrical and Computer Engineering

University of Birmingham Research Archive

Case studies overview . . . . . . . . . . . . . . . . . . . . . . . .

A review of railway traction systems

Railway traction systems . . . . . . . . . . . . . . . . . . . . . .

Review of optimisation techniques

Elements of dynamic programming . . . . . . . . . . . .

Dynamic programming and the greedy algorithm . . . . .

Ant Colony Optimisation (ACO) . . . . . . . . . . . . . .

Modelling train motion and traction power

Physics of vehicle motion . . . . . . . . . . . . . . . . . . . . . .

General vehicle motion equation . . . . . . . . . . . . . .

Modelling and simulation . . . . . . . . . . . . . . . . . . . . . .

Vehicle state switch . . . . . . . . . . . . . . . . . . . . .

Operational control input . . . . . . . . . . . . . . . . . .

Energy consumption modelling . . . . . . . . . . . . . .

Single train motion simulator . . . . . . . . . . . . . . .

Single train trajectory optimisation

An optimal control view-point . . . . . . . . . . . . . . . . . . .

The pontryagin minimum principle . . . . . . . . . . . .

Singular control solution . . . . . . . . . . . . . . . . . .

Minor speed switch . . . . . . . . . . . . . . . . . . . . .

Sparse data storage . . . . . . . . . . . . . . . . . . . . .

Pheromone update and termination condition . . . . . . .

Results and discussion . . . . . . . . . . . . . . . . . . . . . . .

Optimising the coordinated train operation in a DC railway electric

DC railway network modelling . . . . . . . . . . . . . . . . . . . 105

DC electrical railway network . . . . . . . . . . . . . . . 105

DC electrical analysis . . . . . . . . . . . . . . . . . . . 107

Single train simulation using coasting control . . . . . . . 108

Iterative power flow calculation . . . . . . . . . . . . . . 110

Objective function . . . . . . . . . . . . . . . . . . . . . 114

Journey time allocation . . . . . . . . . . . . . . . . . . . 116

The genetic algorithm . . . . . . . . . . . . . . . . . . . 117

Results and discussion . . . . . . . . . . . . . . . . . . . . . . . 119

A power management strategy for a Diesel Multiple Unit train

Review of power management strategies . . . . . . . . . . . . . . 126

Typical DMU train . . . . . . . . . . . . . . . . . . . . . . . . . 128

Engine description . . . . . . . . . . . . . . . . . . . . . . . . . 129

Engine efficiency map . . . . . . . . . . . . . . . . . . . 129

Diesel energy consumed calculation . . . . . . . . . . . . 130

Problem definition . . . . . . . . . . . . . . . . . . . . . . . . . 131

Objective and constraints . . . . . . . . . . . . . . . . . . 131

Total power state vector and diesel fuel cost

Solutions and Results . . . . . . . . . . . . . . . . . . . . . . . . 136

Dynamic Programming . . . . . . . . . . . . . . . . . . . 137

Adaptive online strategies . . . . . . . . . . . . . . . . . 141

Conclusions and future work

General summary of contents . . . . . . . . . . . . . . . . . . . . 154

Single train trajectory optimisation study . . . . . . . . . 155

Journey time allocation study . . . . . . . . . . . . . . . 157

A power management strategy for a multiple unit train . . 158

Future work . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 160

Validation and verification . . . . . . . . . . . . . . . . . 160

Single train trajectory optimisation study . . . . . . . . . 160

Journey time allocation study . . . . . . . . . . . . . . . 160