RAILWAY TECHNOLOGY AND INNOVATION – DRIVERLESS TRAINS

By Alan Trestour – Customer Director, Alstom Transport and

Alan De-Reuck – Customer Director, Alstom Transport

1. Definition of train Automation 2. H

 istory of driverless system and levels of
train Automation
The notion of Automatic Train Operation (ATO) defines the
operational safety levels against functional requirements
needed to help automate train operations.

The International Association of Public Transport (UITP)

has defined five Grades of Automation (GoA) for trains.
The GoA’s are defined according to basic functions of train
operation and split in operational responsibilities whether it is
for humans or the system itself.
– GoA 0 is a train driver on-sight operation, similar to a tram
system running in street traffic, reliant entirely on train
driver to manage the system safety.
– GoA 1 is a train operation where a train driver controls
starting and stopping, operation of doors and handling
of emergencies or sudden diversions, but with an
Automatic Train Protection (speed and signal past at
danger protection control).
– GoA 2 is semi-automatic train operation (STO) where
stopping is automated but a driver in the cab starts the
train, operates the doors, drives the train if needed and
handles emergencies. Many ATO systems are GoA 2.
– GoA 3 is driverless train operation (DTO) where starting
and stopping are automated but a train attendant operates
the doors and drives the train in case of emergencies.
– GoA 4 is unattended train operation (UTO) where
starting and stopping, operation of doors and handling of
emergencies are fully automated without any on-train staff.
Figure 2 – First Light rail automated transit systems (VAL)
Historically, ATO was first used on automated guideway
transits and subways which were easier to ensure safe
transportation of humans. The name ‘VAL’ was originally
used for this system of operation because it represented
the route of the first line – Villeneuve d’Ascq à Lille (i.e.:
Villeneuve d’Ascq to Lille) – this system was the first fully
automated driverless metro in Europe, starting service in
1983 and can cope with unanticipated demand by inserting
additional trains into the network as required, remotely from
the control centre. The control centre computer system
automatically speeds up or slows down trains in order to
maintain a timetable. The “train” length is just 26 metres
in length (two linked cars), 2 metres in width and with a
passenger capacity of 152 per twin-unit train the VAL trains
are smaller in size and mass than traditional suburban trains.
They partially make up for their low passenger capacity
however by being able to operate at headways of as close
as 60 seconds.

Figure 1 – Grades of Automation

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The advantage of using ‘lightweight’ trains such as these
is that it reduces the cost of building the overall system.
Shorter trains require shorter (cheaper to construct) stations
whilst lighter-weight railcars require physical infrastructure
which is of a lower mass and therefore also less expensive
to construct.
Most ATO system operators elect to maintain a driver
(train operator) to mitigate risks associated with failures
or emergencies; however, this operational arrangement is
made at the discretion of the train service operator.
More recently, modern rail systems are linked with
Automatic Train Control (ATC) and in many cases Automatic
Train Protection (ATP) where normal controller operations
such as route setting and train regulation are carried out
by the computer system. An ATO and overlay of ATC/ ATP
combined systems work together to maintain a train within
a defined tolerance of its timetable. The combined overall
system marginally adjusts operating parameters such as the
ratio of power to coast when moving and station dwell time,
in order to bring a train back to the required timetable slot
defined for it.
Figure 3 – Typical CBTC System
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From standalone “Speed Code systems” to CBTC
(Communications Based Train Control)
“Speed Code systems” were first introduced in the 1960s,
to manage automatic operations of guided vehicles including
light trains.
A Speed Code system transmits a signal indication from the
interlocking to the train via the rails. This system met the
main requirements of operators including:
– Presentation of a “cab-signal” on the driver display
– Full safety from the ATP supervision
– Driver assistance with ATO operation
– Some reduction in equipment (only a few back-up
line-side signals are required)
This technology however has two limitations. Firstly, the
train only sees a code for the speed to be reached by the
next track circuit section. There the train does not have a
view of the track speed profile and the train-running speed
is not optimized. Secondly, very short track circuits of 50
metres are required if the trains are to be able to run at
short intervals (headway); this makes the implementation
of such a system fairly complex with much trackside
equipment to be maintained.
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The CBTC technology was first developed in the 1980s as 4. A

an improvement to the previous existing “Speed Code”
systems. Definition of a CBTC system is a “continuous,
automatic train control system utilizing high-resolution
train location determination independent of track circuits;
continuous, high-capacity, bidirectional train-to-wayside
data communications; train-borne and wayside processors
capable of implementing Automatic Train Protection (ATP)
functions, as well as optional Automatic Train Operation
(ATO) and Automatic Train Supervision (ATS) functions.”, as
defined in the IEEE 1474 standard.
 lstom Transport achieved the implementation of a radio-
based moving block on a driverless heavy metro in 2003
on the Singapore North-East line, the world’s second
longest fully underground, automated and driverless, rapid
transit line with a waveguide transmission system.
5. T
 he implementation of CBTC to modern radio (compact
and standardized), was achieved both by Alstom Transport
and Siemens in Beijing for the 2009 Olympics.
3. Drivers, benefits and Risks of driverless metros

Modern CBTC technology has been developed in a series of

stages from 1980 to today:

1. Bi-directional transmission (train to track, track to train) for

moving block was implemented in 1985 using a cable loop
placed between the rails (as shown on the photo below)
on a medium capacity line in Vancouver.

Figure 4 – Cable loop

2. Alstom Transport, Siemens and Ansaldo developed the

function of transmission of the track in running profile
(description of track and speed) to the train in 1987.

3. The implementation of CBTC on a driverless heavy metro

with transmission by a cable placed between the rails was
achieved on Paris Line 14 (METEOR)

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Urban transit systems such as urban rail in large cities
are facing continuous increases in ridership demand around
the world as a result of urban economic activity encouraging
transit in ever increasing numbers to and from within
the cities.
since they are virtual and have no stationary signal associated
with them that can be observed by a driver-operated train
without ATC equipment. Thus the increased line capacity can
only be effectively used after the system has been converted
to full ATC operation.

This increase in urban transit demand is translated by Reduced Operating Costs

pressures on the system with respect to: Reduction in Operating cost by controlled energy
consumption and optimizing deployment of resources.
– Augmentation in capacity of the transit system
No driver required. These experienced resources can be
– Higher performances in availability and reliability
trained as service employees, available to passengers inside
of the system
the carriages and on platforms to look out for disruptions
– Increased complexity of the operating environments (such and possible crime, thus increasing the subjective security,
as timetable and resources management) supply information and answer passenger queries and other
general passenger assistance.
– Higher operating costs
Improve safety and passenger satisfaction
• Benefits of driverless systems
Former drivers who were behind a closed door before,
There are many benefits for choosing an automated, busy with the operation of the train can be trained for
driverless system. Some of these benefits include: redeployment as key customer service attendants, more
visible and responsive to passenger needs.
Increasing the capacity
Automatic Train Regulation: Operating flexibility and
Conventional suburban lines are built for a train frequency
improved on time running reliability
of between 180 to 200 seconds headways (or 3-3 ½
ATC-controlled trains in storage tracks can be activated
minutes), which are typically maximum frequencies of train
instantly, making it possible for the line controller to put
movements during morning and evening peak hours. With
additional trains into passenger service at a moment’s notice
a new ATC system in place, additional (virtual) blocks exist
when he observes unexpected increases in passenger
between stationary block signals, thus significantly increasing
numbers on the line. The fact that resource notice and
line capacity – a typical example being train frequency of 90
central control interface are minimal enables this to be
seconds achieved on the Moscow Metro with up to 9 million
achieved at relatively short notice.
persons travelling on these trains on a daily basis. However,
these new blocks can only be used by ATC-operated trains

Figure 5 – Evolution of rail ATC and Interlocking equipment over time

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• Securing a driverless system corridor
An important consideration for CBTC full UTO systems is
that they are generally totally closed systems of operation
– fully segregated and secure right of ways with controlled
access. Generally, this requires building high chain-link
fencing along the corridor tracks with CCTV cameras and
monitored secured access gates.
Perimeter intrusion detection systems linked to the
CCTV system are also recommended – these provide
instantaneous information on the location and nature of
the intrusion to the Operating Control Centre (OCC). If
at grade road crossings are present, they all need to be
replaced by over/under pass for the UTO tracks. If the line
runs next to a freight route, specific provision will have to
be taken to prevent encroachment secured right of way
following a derailment.
• Operating risks of automatic driverless trains
Automated railways work on the basis of the trains collecting
information about the line ahead, signals, maximum speeds,
train positions etc. as they travel, very much reliant on the
robustness of the communications network. Should the
communications fail, the system fails – bringing operations
to a complete stop within the controlled area, as this is
the only realistic way of ensuring absolute safety. Where
there are railway staff on the trains it is often possible for
them to override the ‘no code / automatic stop’, but for
safety (to reduce the risk of colliding with a train in front –
especially when in tunnels) when in this emergency mode
the trains are normally restricted to a very slow speed.
Typically, this will be something like 10mph or 15km/h. If
the fault is ‘just’ that one train has lost the ability to receive
the communications signal, then it is usually possible for
the train to be driven at this speed to somewhere where it
can be taken out of service without blocking the rest of the
route. But, realistically at that very slow speed it is inevitable
that all other trains behind it (plus the passengers!) will
experience significant delays.
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4. D
 riverless systems functionality & Technology
enablers for driverless system
The main objective of CBTC is to increase capacity by
safely reducing the time interval (headway) between trains
travelling along the line.
Traditional legacy signaling systems were designed to
ensure the detection of the trains in discrete sections of the
track called ‘blocks’. Each block is protected by signals that
prevent a train entering an occupied block. Since every block
is fixed by the infrastructure, these systems are referred to
as fixed block systems.
Unlike the traditional fixed block systems, in CBTC systems
the protected section for each train is not statically defined
by the infrastructure (except for the virtual block technology,
with operating appearance of a moving block but still
constrained by physical blocks).
This can be achieved with the trains continuously
communicating their exact position to the equipment in the
track by means of a bi-directional link (train to track and track
to train); either using inductive loops or radio communication.
A trackside computer tracks all trains in the assigned
section of line and calculates an appropriate movement
authority for each train. As a result, trains are routed
continuously and can then run at shorter headways than
when driven manually on sight.
– In fully automated mode, metro trains are driven by the
automatic train control (ATC) together with control and
protection of the line by interlockings.
– To this end, the trackside computers are constantly
exchanging data with the computers of the higher-level
system in the control centre and the computers on board
the train by radio (using high frequencies).
– On board, the Automatic Train Operation (ATO) system
replaces the metro driver and controls the train’s speed.
– The ATO computer is continuously monitored and,
if necessary, corrected by the Automatic Train Protection
(ATP) system which comprises track side and train
borne elements.
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Figure 6 – Conventional fixed block system

Figure 7 – Moving block system

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Figure 8 – CBTC Communications Network
Please refer below for the definitions of the
system’s elements.
Automatic Train Protection (ATP): The ATP system
(includes on board and trackside components) is responsible
for the basic safety function. It avoids collisions, red signal
overrunning (SPAD) and exceeding speed limits by applying
brakes automatically. A line equipped with ATP corresponds
(at least) to a GoA1.
Automatic Train Operation (ATO): Ensures partial
or complete automatic train piloting and driverless
functionalities. The ATO system performs all the functions
of the driver, except for door closing. The driver only needs
to close the doors, and if the way is clear, the train will
automatically proceed to the next station. This corresponds
to a GoA2. Many newer systems are completely computer
controlled; however, most system operators still elect
to maintain a driver, or a train attendant of some kind to
mitigate risks associated with failures or emergencies. This
corresponds to a GoA3.
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Automatic Train Control (ATC): It performs automatically
normal controller operations such as route setting and train
regulation. The ATO and ATP systems work together to
maintain a train within a defined tolerance of its prescribed
timetable. The combined system will marginally adjust
operating parameters such as the ratio of power to coast
when moving and station dwell time, in order to bring
the train back to the timetable slot defined for it. There is
no driver, and no staff assigned to accompany the train,
corresponding to a GoA4.
ATC equipment is made of:
train-borne equipment, including:
• UNIVIC computer which implements both ATP and ATO
functions and interface with other onboard ATC equipment
and train equipment (traction, doors control, emergency
brake…) on a redundant network (2 computers on trains).
• Beacon antenna, which sends an energizing signal to
activate the balises on the track that reads messages sent
back to the balise, detects the precise balise location and
sends information to the UNIVIC.
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• Odometer, which measures the wheel rotations for
calculation of distance and speed by the UNIVIC.
• DMI, which in the event of manual driving will present the
train control indicators to the driver in a backup operation
included degraded model (in UTO configuration).
Track side equipment, including:
• Zone Controller (ZC), which calculates the right location and
movement for each train and supervises the PSD.
• Line Controller (LC), which provides the TSR on request
and line data update permanently to each train.
• Balise which provides localization information to the train,
and are placed every 200m along the track.
Finally, two other key components of the CTBC are the
ATS (Automatic Train Supervision) and the DCS (Data
Communications System).
The DCS allows the overall system to have a continuous
communication between all parts of the CBTC system and
can also provide telecommunication services (radio and LAN
networks) for non-vital signalling functions such as PIS and
CCTV. The DCS network is configured fully redundant and
uses standard protocol between all sub-systems.
The ATS is a traffic management function, and is dedicated
to the overall monitoring of all signalling and train operation
data and to the management and supervision of the traffic
regulation algorithms including scheduled timetable and
headway. It automatically issues commands on track routing
and assigns new operational missions to trains. The operator
can also intervene in event of a degraded operation to move
the train manually (via a joystick).
The DCS allows the overall system to have a continuous communication between all
parts of the CBTC system and can also provide telecommunication services (radio
and LAN networks) for non-vital signalling functions such as PIS and CCTV.
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5. High level of Safety on driverless trains:
There is no compromise on the safety of passengers on
driverless systems, as summarized by the following points:
• In the event of an emergency call or emergency
brake activated by a passenger, the OCC (Operations
Control Centre) will obtain direct audible and visual
communication link thanks to full passenger CCTV
surveillance inside trains. Therefore, each incident is
monitored live and appropriate intervention can be
triggered quickly and effectively.
• In the event of a fire break out inside the train, smoke
detector and temperature sensors will trigger an instant
alarm in the OCC and the train is stopped automatically
at the next station, where personnel can investigate the
cause of the fire alarm.
• A public-address system in the passenger area serves for
the announcement of operational and traffic information.
If required, passengers can contact the OCC at any time
via the emergency call point. A passenger who triggers an
alarm is connected directly via an audio visual radio.
• Visual and audible signals announce closing of passenger
doors on the train. The train doors are interlocked with
Platform Screen Doors (PSD), by means of flashing light at
the doors as well as a beeping sound. The information is
also relayed to persons of impaired vision and hearing.
The above functions combined together with the speed
control, monitoring and train spacing protection make the
driverless trains one of the safest modern transport systems.
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BEIJING AIRPORT EXPRESS

BEIJING L1 & L2
AMSTERDAM 5 LINES
LAUSANNE M2 WUHAN L2 & L4 BEIJING L6 BEIJING FANGSHAN & L9
LILLE L1
TORONTO YUS LINE
MILAN L1 SHANGHAI L10
MALAGA L1 & L2 SHANGHAI L12 & L13 & L16
WUXI L1 & L2, NINGBO L1
GUANGZHOU L6
DUBAI AL - SAFOOH LINE
KUNMING L1
TAICHUNG
MEXICO L12
RIYADH 3 LINES
SHENZHEN L2 & L5 HONG KONG SIL (E)

PANAMA L1

SINGAPORE NORTH EAST LINE

SINGAPORE CIRCLE LINE

SAO PAULO L1 & L2 & L3

SANTIAGO L1

Radio CBTC Reference Renovation Driverless

Figure 9 – Alstom Reference Sites

6. Alstom’s driverless systems around the world
Through its cutting-edge information solutions, Alstom
brings operators the means to ensure the transport of
passengers in total safety and fluidity, optimising the
capacity of urban lines.
Alstom provides cities all over the world with its CBTC
Urbalis signalling system, which represents a footprint of
around 25% of global CBTC solutions deployed worldwide.
This range offers comprehensive and upgradeable signalling
solutions and guaranteed reliability, safety and security of
the train operations.
All four different grades of signalling control automation
from GoA 1 (ATP) to full GoA 4 (UTO) can be offered with
the Urbalis product range, and there is a solution adapted to
each metro service operating requirement.
With 9 fully UTO metro system projects awarded over the
last fourteen years (including Sydney Metro Northwest),
Alstom is constantly striving to innovate in the field of
metro driverless solutions.

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New line / Award No km km km No No

City Line/system Commissioning km
Rev / Ext Year Lines at grade tunnel elevated of trains of stations

North-East
Singapore New Line 1998 2003 1 20.0 0.0 20.0 0.0 40 16
Line

Singapore Circle Line New Line 2000 2009 1 32.0 0.0 32.0 0.0 46 29

Lausanne m2 Revamping 2001 2008 1 5.9 1.5 4.4 0.0 15 14

Shanghai L
Shanghai New Line 2007 2010 1 36.0 0.0 36.0 0.0 41 31
10 TIS SIG

Hong Kong SIL (E) New Line 2011 2017 1 7.0 0.0 6.0 1.0 14 5

Taichung Green Line New Line 2011 2018 1 16.7 16.7 0.0 0.0 36 18

Line 1
Lille Revamping 2012 2017 1 15.0 0.0 8.5 5.0 27 18
renovation

Orange
Riyadh Purple New Line 2013 2019 3 63.8 6.8 27.0 30.0 69 26
Yellow Lines

Figure 10 – Alstom’s URBALIS range CBTC deployment reference for UTO (full driverless automation) on metro lines across the world
(excludes Sydney awarded in 2014)

Paper sources:

1. UITP “METRO AUTOMATION FACTS, FIGURES AND TREND”

2. Observatory of Automated Metros home page: http://www.metroautomation.org

3. ALSTOM Urbalis 400 product range description (Alstom copyright)

4. ALSTOM CBTC RANGE – IRSE presentation June 2015

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