IEEE Transactions on Vehicular Technology

Energy-Efficient Speed Profile Programing of Optimal Train

Control with Electric Locomotive

Journal: IEEE Transactions on Vehicular Technology

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Manuscript ID: VT-2015-01143

Suggested Category: Regular Paper

Date Submitted by the Author: 29-Jun-2015

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Complete List of Authors: Yang, Jie; Beijing Jiaotong University, State Key Laboratory of Rail Traffic
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Control and Safety; Jiangxi University of Science and Technology, Electrical

Engineering and Automation
Jia, Limin; Beijing Jiaotong Unversity, State Key Laboratory of Rail Traffic
Control and Safety
Lu, Shaofeng; Xi'an Jiaotong-Liverpool University, Department of Electrical
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and Electronic Engineering

Ge, Ji; University of Toronto, Department of Mechanical and Industrial
Engineering
Li, Zhuoyue; Beijing Jiaotong Unversity, State Key Laboratory of Rail Traffic
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Control and Safety

Eco-driving, Energy-efficient train operation, Heavy-haul train, Electric

Keywords:
locomotive, Computational efficiency
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Page 1 of 12 IEEE Transactions on Vehicular Technology
IEEE TRANSACTIONS ON VEHICULAR TECHNOLOGY 1

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Energy-Efficient Speed Profile Programing of
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6 Optimal Train Control with Electric Locomotive
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9 Jie Yang, Limin Jia*, Xiukun Wei, Shaofeng Lu, Ji Ge, Member, IEEE, and Zhuoyue Li
10
11
12 r (v ) Basic resistance per unit mass
13 Abstract—Optimal speed profile programing is one of the most ωj Additional resistance per unit mass
14 important footstone of energy-efficient train operation. Inspired
wr , wt Curve additional resistance and tunnel additional
15 by the driver’ driving behavior, this paper proposes a fast resistance per unit mass
16 algorithm for speed profile programing by means of hierarchical ij Track gradient additional resistance per unit mass
17 planning. The novelty of this work lies not only in the α Central angle of the curve
18 establishment of a total factor lumped model of energy
Ltrain , Ltun Length of the train and the tunnel
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19 consumption for freight train with electric locomotive but also in
the 6-dimensional railway line space for force analysis, and the ρ a , ρb , ρ c Empirical constants of rolling resistance, track resistance,
20 and aero-dynamics resistance
paper combines theoretical approaches with logical analysis to
21 simplify the mathematical proof of optimal strategy on no-steep ρr , ρt Empirical constants of curve resistance and tunnel
22 resistance
tracks in two steps. More specifically, an average speed equivalent
ϕh
r
23 Friction coefficient
algorithm is proposed for the analysis of steep track. The
24 point-mass train operation model based simulations verify the Kb Braking shoe pressure
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25 existence of an optimal area (not only a point) under certain M Mass of the train
26 calculating precision. Bidirectional iteration is adopted to g Acceleration of gravity
27 eliminate the steady speed error. The speed-ceiling-profile is ϑh Braking coefficient
sketched as the upper limits of the speed profile, and the
28 vlim , v 'lim , v ''lim Speed constrain, static speed constrains, and dynamic
speed-reference-profile is served as the director of local strategy
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29 speed constraints
optimization. The idea of maintaining run time relatively stable Q sf1 (i )
30 The status of first signal lamp ahead in the ith time step
section by section provides great convenience to convert a difficult
31 global optimization problem to a much easier local optimization g '' Relationship between dynamic speed constraints and
signal lamp
32 problem. Simulations show the advantages of the proposed
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algorithm to be fast and easy to conduct in engineering. Tui

33 Duration of the previous control output alternative
34 Td
Minimum duration of control output alternative
35 Index Terms—Eco-driving, energy-efficient train operation,
TCu
heavy-haul train, electric locomotive, computational efficiency. Duration of variation trend
36
Tb
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37 Air-fill time
38 Tb min
Minimum air-fill time
39 NOMENCLATURE Traction energy consumption and energy input from the
eti , eni
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40 ci Resultant force per unit mass of the i th time step net per unit mass of the ith time step
∆t
41 f t (vi , ui ) Traction force per unit mass Time step
42 vi , v0 , vS Speed of the ith time step, speed of starting point, and Ft max (vi , ui ) Maximum traction force
43 speed of end point Fadh max maximum adherence force
44 ui Control output alternative
Acceleration of the ith time step and maximum
ai , amax
45 b0 Braking force per unit mass acceleration
46 pi Pressure of train pipe Pai Power of auxiliary systems
47 Time of the ith time step, time of starting point, time of η ,η r
ti , t0 , t S , T Motor efficiency and energy regenerative efficiency
48 end point, running time
Ua Control sets of accelerating mode
49 si , S Displacement of the ith time step, trip distance
50 Uh Control sets of speed holding mode
51
52 This research work was supported in part by the National Key Technology Uc Control sets of coasting mode
Research and Development Program of the Ministry of Science and
53 Ub Control sets of braking mode
Technology of China under Grant 2013BAG24B03 and in part by the National
54 Natural Science Foundation of China under Grant 61305019.
f b (vi , ui ) Braking force of regenerative braking per unit mass
55 J. Yang, L. Jia, and Z. Li are with the State Key Laboratory of Rail Traffic
56 Control and Safety, Beijing Jiaotong University, Beijing 100044, China Control output alternative of pneumatic braking and
(e-mail: 15405993@qq.com; jialm@vip.sina.com; 13120963@bjtu.edu.cn). uba , ubb blended braking
57 S. Lu is with Xi'an Jiaotong-Liverpool University, Suzhou 215123, Jiangsu
58 Province, China (e-mail: Shaofeng.Lu@xjtlu.edu.cn). λri Weight of the reward function
59 J Ge is with University of Toronto, Toronto M5S 2E83G8, Canada (e-mail:
Holding peed
gechunxi@126.com). Vh
60
 IEEE Transactions on Vehicular Technology Page 2 of 12
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Speed of Coast-Brake Switching Point (CBSP)
perturbations. This is just what automatic driving system need
2 Vb
most. If we carefully analyze driver’s behavior it will be
3
λc Proportional coefficient of coasting range noticed that the decision-making process can be understood as a
4 three level hierarchical dynamic optimization process. In the
5 γ Rotary allowance
first level, to roughly distribute running time, and sketch speed
6 profile’s outline before start the trip. In the second level, to
x0 Location of reduced limits begin
7 refine the speed profile programing section by section based on
8 xHCSP Location of hold-coast switching point the line detail of track gradient, curve radius, length of tunnel,
9 and the other influence factors of force analysis. In the third
10 xHASP , x AHSP Location of hold-accelerate and accelerate-hold
switching point level, to dynamically detect the difference between offline
11 programing and actual running as well as real time disturbances
12 t HASP , t AHSP Time of hold-accelerate and accelerate-hold switching
point during driving, and then adjust the driving strategies
13 dynamically based on his knowledge and driving experience.
14 Vh 0 Holding peed in reduced limits
15 C. Main contents
16 I. INTRODUCTION Inspired by drivers driving behavior, it is believed to be
17 feasible to realize the high performance automatic train
18 R AILWAYis one of the most important means of
transportation, and it plays an important role in the operation (ATO) by the technology roadmap of: offline optimal
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19 development of human society. Till the end of 2014, China speed profile programing → online data acquisition → multi
20 ranks second all over the world with over 112 thousands km objective online speed profile optimization → train speed
21 railway line. Among this, high-speed railway has broken dynamic control.
22 In this paper, we will introduce the work about the offline
through 16 thousands km, accounting for about 60% of global
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23 optimal speed profile programing based on China’s special
total high-speed railway. At the same time, railway consumes
24 engineering background as follow:
huge amount of energy in its daily operation. For example,
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25 Firstly, besides the literature review, a total factor lumped

China’s Railway consumes about 16.53m tons of standard coals
26 model of energy consumption will be introduced, as well as a
in 2014 [1]. Hence, the study of railway energy-saving shows
27 6-dimensional railway line space, so as to provide a reliable
28 great importance for social, economic values, and
basis for accurate force analysis and relate calculation.
eco-environmental protection.
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29 Secondly, we will discuss the optimal strategy in no-steep

30 A. Problem statement track by a new way of two steps mathematical proof. These two
31 parts can help to program optimal speed profile in normal line
Generally speaking, energy consumption in railway system
32 conditions except steep track which is the focus of the third
can be divided into traction and non-traction energy
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33 parts.
consumption, and over 70% of the energy consumption owes to
34 Thirdly, an average speed equivalent algorithm will be
the traction system, especially for heavy-haul trains. However,
35 proposed to realize quick, adaptable, and efficient steep track
passenger train is always the research focus of optimal train
36 sections optimization in a simpler way.
control. Hence, it is necessary to pay more attention to optimal
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37 Finally, Case simulations of test train with HXD3 electric

38 freight train operation. locomotive shows the optimizing effect.
39 Existing researches of energy-efficient train operation
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40 mainly focused on the problems of speed profile optimization II. LITERATURE REVIEW
41 and speed control (tracking the speed profile), especially the
Since 1960s, many researchers have done many outstanding
42 former, as you can see from the following part II literature
contributions to energy-efficient train operation. The
43 review. In fact, the key of this problem is a fast and efficient
methodology tree can be roughly drawn as Fig.1.
44 algorithm of speed profile programing that can draw an
45 eco-driving speed profile based on given conditions of running
46 time, travel distance, train formation, line detail and etc.
47 China’s railway is the most complex and fast-growing one in
48 all over the world with the characters of huge network, long
49 runs, various types of locomotives, and mixed traffic of
50 passenger and freight train. It’s a challenge to all existing
51 technologies. Been encouraged by the great success of
52 high-speed railway in the “12th Five-Year Plan”, freight train
53 and its energy-saving operation will be one of the focuses of the
54 “13th Five-Year Plan” for national science and technology
55 development.
56
57 B. Reference meaning of driving by excellent driver
58 Excellent experienced drivers can flexibly deal with all kinds
59 of complex conditions, and reasonably response to various
60 Fig. 1. Methodology tree of energy-efficient train operation.
Page 3 of 12 IEEE Transactions on Vehicular Technology
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A. Mathematical and optimal theories a 3-dimensional space of running time, speed, and distance, he
2
Sidelnikov [2] first proposed the problem of driving also did a comparative analysis between GA, dynamic
3 programming (DP), and Ant Colony Optimization (ACO), and
4 strategies optimization. In 1982, Scheduling and Control Group
(SCG) was founded in the University of South Australia under suggested to improve the robustness by means of combinatorial
5 algorithm. Ke [28] developed a combinational optimization
6 the led by Milroy. Since then, the group has contributed a lot in
the field of train modeling and operation strategy optimization, techniques to solve the online optimization problem in which
7 train operation modes are determined by the MAX–MIN ant
8 especially Howlett, Jiaxing Cheng, Benjamin, Pudney, Xuan,
Albrecht [3-9], whose work has paved a firm theoretical system algorithm. Murphey [29] proposed a machine learning
9 framework that combines DP with machine learning to learn
10 foundation for train optimal control. They successfully proved
the existence and uniqueness of the optimal strategy in no-steep about energy optimization. Jiateng Yin [30] presented two
11 intelligent train operation algorithms based on expert system
track which contains maximum acceleration, speed hold, coast,
12 and reinforcement learning without using precise train model
and maximum brake. The existing driving assistant system of
13 information and offline optimized speed profiles. Domínguez
Metromiser and Energymiser, and GE’s new developing
14 and Cucalaa [31] used Multi Objective Particle Swarm
onboard control system Trip Optimizer are both based on their
15 Optimization to collaboratively optimize train running time,
theories.
16 speed, and energy consumption. Shigen Gao [32] proposed an
Khmelnitsky [10] tried to solve the problem of optimal
17 adaptive fault-tolerant control schemes for automatic train
control through the application of maximum principle and
18 operation system.
co-state equation which takes regenerative braking into account.
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19 In summary, models are the foundation of energy-efficient
Liu and Golovicher [11] discussed the analytical solution that
20 train operation optimization, while train operation has too many
gives the sequence of optimal controls and equations to find the
21 control change points. Besides, Baohua Mao [12], Rodrigo [13], constraints, some model parameters changes over time, and
22 Sheu [14], Qing Gu [15] and some others did a lot of fruitful there are still some un-modeled dynamics. Hence, the energy
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23 research works. Mathematical methods are based on accurate consumption mechanism is too complex to be completely
24 models which are hard to get sometimes. So, constrains modeled. To meet the requirements of energy-efficient,
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25 simplification and calculation errors are inevitable in most precision, dynamic, and multi-objective from the engineering
26 cases, it is a good choice to search solutions combined with application background of China’s railway, which is the most
27 computational intelligence (CI). complex railway system, this paper tries a new combinational
28 method with mathematical analysis and human driving
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29 B. CI experiences.
30 Yasunobu [16] applied Fuzzy to the study of train operation
31 control firstly, and successfully applied the technology in the III. TOTAL FACTOR LUMPED MODEL OF ENERGY
32 design of Automatic Train Operation (ATO) system. Limin Jia CONSUMPTION
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33 [17] and his team are trying their best to improve the
A. Review of the mathematical basis
34 technology of Chinese railway automation since 1990s. They
35 proposed the idea of representation and modeling of drivers’ Ideally, the discrete motion of point-mass train can be
36 professional knowledge and decision making processes in formulated as
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37 machine language by Fuzzy, and successfully applied Fuzzy ci = f t (vi , ui ) − r (vi ) − ω ji ( xi , vi ) − b0 ( pi , vi )

38 Prediction, two-level hierarchical intelligent control, and
39 multi-objective optimization into railway automation systems. v0 = vS = 0
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40 M. Khanbaghi [18], H. S. Hwang [19], Yun Bai [20], and t0 = 0, tS = T (1)

41 some other researchers did very important works about train
42 intelligent control by means of Fuzzy. Fuzzy has unique Force analysis of the train operation is very complex, and it
43 advantages in describing complex object, and disadvantages in can be roughly divided into traction force f , braking force b0 ,
44 systematically design. So, it is often combined with Neural and resistance w . f does not appear with b0 at the same time.
45 Network (NN), Genetic Algorithm (GA), and etc.
Researchers began to use GA in optimal solution seeking in Resistance w can be divided into basic resistance r and
46
1990s. Chang [21] applied it to solve the optimal coasting additional resistance w j . Additional resistance w j can also be
47
48 problem. Qiheng Lu [22] did his research by the changeable divided into track gradient additional resistance i j , curve
49 chromosome length multi-objective GA. Lejeune [23] studied
additional resistance wr , and tunnel additional resistance wt .
50 the relationship between train running time and energy
consumption by means of Multi-objective Evolutionary Basic resistance is usually given by Davis equation
51
52 Algorithm. Xiang Li [24] made energy consumption a r (v ) = ρ a + ρb ⋅ v + ρ c ⋅ v 2 (2)
53 constraint of train operation to research the collaborative
54 optimization problem of speed profile and timetable. GA has Additional resistance is
55 both the advantages of random search, potentially parallelism,
scalability, and the disadvantages of slow searching, too much ω ji ( xi , vi ) = i j ( xi ) + ωr ( xi , vi ) + ωt ( xi , vi )
56
57 control variable changing, and inevitable speed fluctuation. So, ρr ⋅ α (3)
it is often combined with other algorithms too. ≈ i j ( xi ) + + ρt ⋅ Ltun
58 Ltrain
59 Moreover, many other distinguished researchers have tried
60 various ways in their researches[25]. Shaofeng Lu [26, 27] built
 IEEE Transactions on Vehicular Technology Page 4 of 12
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Normally, there are 3 types of braking: pneumatic braking C. Operating constraints modeling
2
(mechanical braking), electric braking, and blended braking 1) Acceleration constraints
3 (emergency braking). Electric braking in HXD3 locomotive is
4 The safety of running train and braking train mainly depends
regenerative braking, and braking force of it could be on train’s acceleration and its change rate. Heavy acceleration
5 calculated by piecewise interpolation according to the BC.
6 or change rate will lead to coupler broken and damage of the
Braking force of pneumatic braking is goods. The safety evaluation of the acceleration is an important
7
content of the next stage of multi objective online speed profile
8
b0 = ϕh ⋅
∑K b ⋅103
= ϕ h ⋅ ϑh ⋅103 (4) optimization. In the first stage we simply limit its maximum
9 M ⋅g
10 and minimum value as
11 B. Traction Characteristics (TC) and Braking Characteristics amin ≤ a ≤ amax (5)
12 (BC)
13 2) Accurate parking
TC is a set of lines that shows the traction force change along
14 Accurate parking means appropriate brake to park at the
with speed. Each kind of locomotive has a corresponding TC.
15 precise point and time. Accurate parking reflects the degree of
E.g. TC of HXD3 electric locomotive is shown in Fig. 2.
16 600
trip distance and running time satisfying the schedule, and it
17 guarantees the efficiency of railway transportation. The
18
7N
accurate parking evaluation is another important content of the
500
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19 6N
next stage of multi objective online speed profile optimization.
20 5N
Here, we simply limit the maximum distance error as
400
21
sT − S ≤ se max (6)
22 4N
r
300
23 3N
8N
3) Speed constraints
24 9N
10N
13N
Static speed constrains of the railway line and the dynamic
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200
25 2N 11N 12N
speed constraints during train following can be formulated as
26
27 100
1N
0 ≤ vi ≤ vlim
28 vlim = min(v 'lim , v ''lim ) (7)
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0
29 0 20 40 60 80 100 120
v ''lim = g ''(Q (i ))
s
f1
30
31 Fig. 2. TC of HXD3 electric locomotive (25t axle load). 4) Switching constraints of control output alternatives
32 Switching constraints of control output alternatives reflect
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33 There are always 3 kinds of electric braking: rheostatic the response characteristics from electrical system and
34 braking, regenerative braking, and reverse connect braking. mechanical system, which can be formulated as
35 Traction motor turns into generator in regenerative braking, and
36 converts kinetic energy of the train into electrical energy which if : ui ≠ ui −1 and Tui−1 ≥ Td and TCu ≥ Tc
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37 is sent back into the net through the converter and pantograph. then : ui = ui
38 Braking force during regenerative braking can be calculated (8)
39 else : ui = ui −1
by piecewise interpolation according to the Braking
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40 Characteristics (BC) as shown in Fig. 3. if : Tb < Tc , then : ui = uc , else : ui = ub

41 600

42 5) Other constraints
43 Besides the above constraints, train operation also can be
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44 influenced by environmental conditions and weather

45 conditions, including wind, rain, snow, temperature, signal
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system, adhesion coefficient, track regularity, traction weights,
46 1N 3N 4N 5N 6N

train formation, the difference between trains such as TC,

47 300
empirical rolling resistance, track resistance, aero-dynamics
48
resistance, friction coefficient, motor efficiency etc.
49 200
2N 7N 8N 9N 10N

50 11N 12N
D. Construction of 6-dimensional railway line space
51 The railway line information is expressed by a center line
100
52 message of vertical and cross section. Among them, vertical
53 section shows the projection of the center line on the vertical
0
54 0 20 40 60 80 100 120
plane, indicating the track gradient along the railway line. Cross
55 section shows the projection on the horizontal plane, indicating
56 Fig. 3. BC of HXD3 electric locomotive (25t axle load). the track curves.
57 Through information acquisition and analysis from monitor
58 device LKJ2000, the paper designs a program module of
59 6-dimensional (distance, speed limitations, curve radius,
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gradient, tunnel, and electric phase separation) railway line Taken together factors of motor efficiency and energy
2
space in Matlab. The space is indexed by distance coordinate, consumption of auxiliary systems, total energy input from the
3
containing the information that forces calculation of wr , ws , i j net in each time step is
4
5 needs. Fig. 4 shows 6-dimensional railway space of a test line. 1
6 eni = ⋅ eti + Pai (12)
η
7
8 2) Speed holding mode
9 Speed holding mode is in fact a derivative mode of
10 accelerating mode, in which traction system realizes speed hold
11 by precisely voltage and frequency control of frequency
12 converters, to keep traction force be equal to resistance force.
13 But in some old type locomotives, it is normally realized by
14 chattering control of U h = {ui , ui + 1} , train speed track the
15 speed profile within certain error scope. So, the energy
16 consumption in speed holding mode is almost the same with
17 accelerating mode, while the traction force is
18
f t (vi , ui ) = ω0 (vi ) + ω j ( xi , vi ) (13)
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19
20
3) Coasting mode
21
Locomotive neither track nor brake in coasting mode, train
22
simply freewheels. Control subset contains only one control
r
23 Fig. 4. 6-dimensional railway space of a test line.
24 output alternative U c = {0} . Kinetic energy is consumed to
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25 E. Energy consumption modeling overcome the resistance during coasting, and traction system
26 Train operation can be divided into several control modes by does not consume energy, power net only supply the energy
27 referring to the idea of multi-mode control, and each mode cost of auxiliary systems.
28 corresponding to a control subset which contains several eti = f t (vi , ui ) = 0
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29 control output alternatives. It can be divided into three modes of (14)

30 powering, zero, and braking based on the traction system’s eni = Pai
31 working conditions. And it can also be divided into four modes
4) Braking mode
32 of acceleration, speed hold, coast, and brake based on the train
Train braking control is a relatively independent field, and
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33 operation character, corresponding to SCG’s four phases theory

many researchers have been working on it, especially the
34 [5]. Here, the later is adopted, that is divided into four modes:
optimal regenerative braking. Here, pneumatic braking and
35 accelerating mode, speed holding mode, coasting mode, and
blended braking control output alternatives are both simplified.
36 braking mode. HXD3 locomotive is taken as example to
To a HXD3 locomotive, its braking control set is
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37 introduce the energy consumption modeling in above four

38 modes. U b = {ui ∈ [−13, 0), uba , ubb } (15)
39 1) Accelerating mode
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40 Different locomotive types have different control Locomotive does not consume traction energy during
41 alternatives (grade of train operation notch), to a HXD3 pneumatic braking, that is eti = 0 . Kinetic energy turns into
42 locomotive in accelerating mode, its control set has 13 heat, and dissipates into the air during braking. Regenerative
43 alternatives. In fact the traction converter of new type braking not only has no consumption but also turns kinetic
44 locomotive has been designed based on the Variable Voltage energy back into the electricity, and sends it back to the net. In
45 and Variable Frequency technology, theoretically, the traction order to facilitate the calculation, a reward function is
46 motor can track the precise train speed the controller constructed as
47 commanded.
eri = η r ⋅ f b (vi , ui ) ⋅ vi ⋅ ∆t (16)
48 U a = {ui ∈ (0,13]} (9)
49 The reward function is multiplied by a weight λri for its
50 Each alternative corresponding to a certain TC line that
interruption to the net when its feedback energy is counted in
51 describes the relationship between traction force and train
the objective function.
52 speed. And the resistance force can be deduced by (2) and (3).
53 The traction energy in the ith time step is eni = −λri eri + Pai
54 n (17)
55 1 E = ∑ eni , i ∈ [0, T]
eti = ⋅ f t (vi , ui ) ⋅ vi ⋅ ∆t (10)
56 ηt i =1

57
58 min{Ft max (vi , ui ), M ⋅ amax , Fadh max } IV. OPTIMAL SPEED PROFILE IN NO-STEEP TRACK
f t (vi , ui ) = (11)
59 M ⋅g The problem of eco-driving strategies for short journeys was
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IEEE TRANSACTIONS ON VEHICULAR TECHNOLOGY 6

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systematically discussed by Ian Milroy in 1980 and Kim Tyler ∂H ∂F
2
in 1982[5], and they showed the journeys have four phases: = − f ′(u ) + β (21)
3 ∂u ∂u
maximum acceleration, speed hold, coast, and maximum brake.
4 So, the speed profile optimization in level track is in fact a If we define
5 problem of switching point (SP) location.
6 ∂F
There are three types of SP in level track: acceleration-hold ξ (u ) = f ′(u ) / (22)
7 switching point (AHSP), hold-coast switching point (HCSP), ∂u
8 and coast-brake switching point (CBSP). AHSP is a relatively
9 The operation strategies should be considered in five
easier problem of find the proper holding speed. So, many different cases
10 strategies (pairs of holding speed and CBSP) could be
11 β > ξ (u )
enumerated by 2-dimensional enumeration based on given u (t ) = p
12 running time and distance. Each strategy corresponds to a speed u (t ) ∈ (0, p )
13  β = ξ (u )
profile as shown in Fig. 5.
14 u (t ) = 0 0 < β < ξ (u ) (23)
15 u (t ) ∈ (−q, 0) β =0
16 
u (t ) = −q β <0
17
18 Notice that, H ′(t )=0 in all cases. From the Pontryagin
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19
20 principle we know that the Hamiltonian is constant along the
21 entire optimal trajectory. So, we let µ ∈ R ,and we have
22
µ = H (t ) = − f ′[u (t )] + α (t ) ⋅ v(t ) + β (t ) F (t ) (24)
r
23
24 From (19) we get
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25
26 v(t ) ∂F µ + f [u (t )] ∂F
α ′(t ) − (t )α (t ) = − (t ) (25)
27 F (t ) ∂x F (t ) ∂x
28
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29 Let
30 Fig. 5. Train operating strategies comparison with different Vh and SP.
b v( s） ∂F
31 D (t , b ) = ∫ ⋅ ( s )ds (26)
32
s =t F ( s ) ∂x
There must be a minimum energy consumption strategy
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33 among them, which could be found out by accumulating the We get

34 energy consumption of every time step of every strategy
35 respectively. But it is computational demanding. Howlett & b µ + f [u ( s)]
α b − α (t ) ⋅ e D ( t , b ) = ∫ de D (s,b ) (27)
36 Pudney found out the equation of optimal CBSP and holding s =t v( s )
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37 speed in no-steep track [6]. This paper will introduce a simpler

38 new way in two steps: Firstly, deduce the equation in level track. For a train on level track we can write
39 Secondly, prove the equation also effective to no-steep track.
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Af (u )
40
A. Level track F ( x, v , u ) = + B (u ) − r (v ) (28)
41 v
42 Firstly, we construct Hamiltonian just as [6].
Where A>0 is a constant value. So Hamiltonian is given by
43 H ( x , v , α , β , u ) = − f (u ) + α v + β F ( x , v , u ) (18)
44 Af (u )
45 So we have H ( x , v , α , β , u ) = − f (u ) + α v + β [ + B(u ) − r (v)] (29)
v
46
47  dα ∂H ∂F The adjoint equations are
48  dt = − ∂x = − β ∂x
 (19)  dα
49  d β = − ∂H = −α − β ∂F  dt = 0
50  dt ∂v ∂v  (30)
51  d β = −α + β [ Af (u ) + r ′(v)]
52 It is a control problem with ( x, v ) ∈ [0, S ] × (0, V] ⊆ R 2 and,  dt v2
53 (α , β ) ∈ L ⊆ R 2 . Let u = u (t ) , t ∈ [a, b] , and the same with
54 So the maximized Hamiltonian can be written as
55 x(t ), v(t ), α (t ), β (t ) .then
Aβ
56 H (u ) = ( − 1) f (u ) + β B (u ) +L (31)
∂F v
57 H ′(t ) = [− f ′[u (t )] + β (t ) (t )]u ′(t ) (20)
58 ∂u The same as (20), equation (31) should also be considered
59 with five different cases:
60
Page 7 of 12 IEEE Transactions on Vehicular Technology
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1
2 u = p β >v/ A AHSP and HCSP can be calculated easily by integration.
u ∈ (0, p ) β =v/ A
3  B. No-steep track
4 u = 0 0< β <v/ A (32) 1) Speed holding in small gradients tracks
5 u ∈ (−q, 0) β =0 In the previous sections we considered level track with
6  maximum power, speed hold, coast, and maximum brake. Will
7 u = −q β <0 speed hold be the optimal strategies if there are some no-steep
8 track sections with small gradients in the speed holding modes?
Hence, the condition
9 The answer is positive. It can be proved by the following:
10 β =v/ A (33) Suppose train A travels on a level line LA and passes the
11
12 is corresponding to the speed holding mode, and it is the key to section x1 x2 with an optimal holding speed Vh . A similar train
13 the entire optimal strategies.
Differentiating both sides of (33) and rearranging it refer to B travels on a line LB and passes the no-steep section x1 x2 at
14
15 (30) can get the same holding speed as shown in Fig. 6. Suppose line LA is
16
ϕ ′(v) the same with LB except the small gradient section.
17 α= (34)
18 A
Fo
19 Where ϕ (v) = v ⋅ r (v) .
20
From (30) α equals to a constant value C at the same time.
21
For ϕ (v) is convex, so holding speed v = Vh is followed by
22
r
23 ϕ (Vh )
24 f (u ) = (35)
A
Pe

25
26 For Hamiltonian is constant along the entire optimal
27 trajectory, that is µ =H (t ) , so we can take (33) and (34) into
28 (29), then we will get
er

29
30 ψ (Vh )
31
µ= (36)
Fig. 6. Train operating in no-steep track compare with level track.
A
32
Where ψ (v) = v 2 r ′(v) .
Re

33 Calculating the energy consumption in section x1 x2 of train

34 Suppose the train coast in t ∈ [a, b] , that is the HCSP is t = a A and train B as
35
with Vh = v(a) till CBSP t = b with Vb = v(b) . So we can get
36 E A = FA ( x) ⋅ ( x2 − x1 ) = (ω0 ) ⋅ ( x2 − x1 ) (41)
D (a, b) = 0 . And from (27) we can get
vi

37
38 EB = FB ( x) ⋅ ( x2 − x1 ) = (ω0 + ω j ) ⋅ ( x2 − x1 ) (42)
b de D ( t ,b )
39 α b − α (a ) = µ ∫ =0 (37)
ew

s = a v (t ) The energy consumption values from basic resistance are the

40
41 same if the holding speed is the same. So
42 If we evaluate the Hamiltonian at t = a and t = b , from (34),
(36), and (37) we can get ∆E = E1 − E2 = ω j ⋅ ( x2 − x1 ) = Mg ∆h (43)
43
44 ϕ ′(Vh ) As is shown, ∆E = Mg ∆h is the energy to overcome the
45 α (a ) = (38)
A gravity. Because train A passes the section with an optimal
46
holding speed, it is reasonable to conclude that train B does not
47 µ
48 αb = (39) waste any energy except overcoming basic resistance and the
Vb gravity. That is to say passing no-steep track with holding speed
49
as level track is the optimal strategy. Conclusion 1 therefore can
50 So we get the key equation of holding speed Vh and the be drawn:
51 Conclusion 1. For electrical locomotive with stable electrical
speed of CBSP Vb as
52 efficiency in no-steep track, it is the optimal strategy to keep
53 ψ (Vh ) travel speed hold as far as possible.
54 Vb = (40)
55
ϕ ′(Vh ) 2) SP in no-steep tracks
The same with conclusion 1, to a kind of no-steep tracks with
56 Based on this equation, the 2-dimensional enumeration small gradients, operating train by the same strategies as in
57 problem will be simplified to 1-dimension enumeration of Vh level tracks (including the accelerating mode, speed holding
58 mode, coasting mode, braking mode, and all the SPs in the
59 which can be got easily. Once the Vh and Vb are settled the
whole journey), the energy consumption difference will be
60
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IEEE TRANSACTIONS ON VEHICULAR TECHNOLOGY 8

1
∆E = Mg ∆h ,that is the minimum difference. So we get a D. Speed limits slowdown and speed-ceiling-profile
2
3 further conclusion. 1) Coast in advance when speed limits slowdown
4 Conclusion 2. For the electrical locomotive with stable We need to coast in advance when the speed limits cut down
5 electrical efficiency in no-steep track, the optimal strategy is to in some sections. And there are two ways to precisely locate the
6 keep operating phase and SP of no-steep track the same with HCSP: one is by integral; another is by bidirectional iteration.
7 level track as far as possible. By the first way, we need to find the location xHCSP that
8 C. Conclusions from simulations satisfies the equation
9
Reasonable coast would reduce the operation energy x0 x0 c( x)
10 consumption, but excessive coast at low speed would waste Vh 0 =Vh − ∫ a( x)dx = Vh − ∫ dx (45)
x = xHCSP x = xHCSP M
11 running time and lead to global energy consumption increase.
12 Equation (40) is the optimal point of balanceing the relationship As you can see from (1), (2), and (3) that c ( x) is changing
13 between running time, travel distance, and energy consumption
14 along with distance x and speed v ( x) for the resistance force
under given conditions. Is it the only optimal point under all
15 is changing along with speed v ( x) , gradients, curves, and etc.
conditions?
16 In order to answer this question, we define: So the integral is calculation demanded.
17 Here, a bidirectional iteration algorithm is introduced which
18 Vb = Vh − λc ⋅ (Vh − Vb ) (44) is much simpler and more suitable for various line conditions
Fo
19 very well.
20 Then enumeration λc from 0 to 200% by step size of 1% to Firstly, do the iterative computation without coast in advance
21 get a set of Vb , and make them CBSP separately. Energy and write down the speed information normally until train
22 consumption can be calculated for each Vb . Collect them speed exceeds the reduced speed limits : v( x0 ) > vmax ( x0 ) .
r
23
together as Fig. 7. In fact, when V2 > 153% , the program will Then deduce the xHCSP from x0 by back stepping. That is
24
terminate for Vb ≤ 0 , which means no braking will happen at the inverse iteration:
Pe

25
26 all. si = si −1 − vi ⋅ ∆t (46)
27
28 When the speed profile from inverse iteration meets the
er

29 profile from iterative computation, the crossover point is the

30 HCSP we want.
31 2) Speed-ceiling-profile (Vmin-time)
32 Speed-ceiling-profile reflects the ultimate strategy which
Re

33 means train running as fast as possible. So it is the maximum

34 speed and minimum running time in the practical operation
35 under the given conditions. The basic premise of eco-driving is
36 that running time from timetable is greater than the minimum
vi

37 running time. The speed-ceiling-profile acts as the upper limits

38 of possible strategies during strategy optimization, and it can
39 filter out part of invalid control output alternatives and reduce
ew

40 the calculation. Here is an exhibition of the minimum running

41 time speed profile based on a 5000t freight train and
42 Fig. 7. Diagram of energy consumption changed with braking point. 6-dimensional railway line space of a test line as Fig. 8.
43
44 According to SCG’s mathematical analysis, minimum
45 energy consumption should correspond to V2 = 100% . The
46 simulation shows that energy consumption keeps extremely
47 close during 93% ≤ V2 ≤ 106% , especially when
48
98% ≤ V2 ≤ 102% that the energy consumption keeps
49
50 completely the same. So, the other two conclusions could be
51 reached:
52 Conclusion 3. Considering the integration error and
53 calculation accuracy, optimal strategies always lie in a certain
54 area, not only a point.
55 Conclusion 4. Even if there is a difference between optimal
56 solution and neighboring suboptimal solution when the
57 integration error is eliminated, it would be as small as
58 negligible.
These conclusions are important to support some necessary Fig. 8. Diagram of a speed-ceiling-profile in test line.
59
60 minor adjustments in engineering.
Page 9 of 12 IEEE Transactions on Vehicular Technology
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1
V. OPTIMAL SPEED PROFILE WITH STEEP TRACK
2
3 A. Speed-reference-profile (Vreference)
4 Speed-reference-profile is the frame work of optimal speed
5 profile. In fact it is the optimal speed profile if there is no steep
6 track interrupts the speed holding phase in the journey.
7 Speed-reference-profile programing is based on Part III and
8 part IV introduced above. The programing fully considered the
9 operating constraints from the track and the locomotive. But to
10 the sections of steep slopes, curves, tunnels, and etc. where the
11 TC of the locomotive is not strong enough to keep the speed
12 constant, it just keep the holding speed as a reference of the
13 next stage optimization. Hence, the speed profile outline and
14 the SP between different phases could be properly located. It is
15 a kind of running time distribution section by section according
16 to the journey time and trip distance. Here, a
17 speed-reference-profile for a point mass train is sketched as the Fig. 10. Diagram of average speed equivalent algorithm in steep uphill.
18 dotted line in Fig. 9.
Fo
19 Firstly, it is necessary to define the upper bound and lower
20 bound of optimal strategies: there are three lines in the middle
21 of the speed profile. The upper one is the upper bound of speed
22 up in advance that the speed just reduce back to Vh after the
r
23 train pass the slop; the lower one is the lower bound which
24 means advance speed up is not necessary at all, the locomotive
Pe

25 begin maximum power at the foot of the slope until speed

26 recover Vh . There are numerous potential strategies between
27
the upper and lower bound, the green line is just what is
28
expected, whose character is its average speed equal to Vh .
er

29
30 That is running time equals to the time that constant speed
31 running train passing the slop would cost.
32 xAHSP − xHASP
Re

33 Fig. 9. Diagram of speed-reference-profile in test line.

= Vh （47）
34 t AHSP − t HASP
B. Average speed equivalent algorithm in steep track
35
36 In lines with steep sections, the speed holding mode would 2) Steep downhill
In some steep downhill, component of gravity in the
vi

37 be interrupted by phases of maximum power (steep uphill) or

38 coast (steep downhill). Scholars all over the world has done lots downhill direction is larger than the resistance, and the speed
39 of work on this problem. Howlett [6], Xuan [7], Khmelnitsky would increase even if we turn off the engine. By the same
ew

40 [10] and etc. solve the problem by co-state equation and so on. token, we should find the right coasting point and start to coast
However, these methods need multi round calculations until a in advance before steep downhill, and the key is also to keep the
41
42 satisfactory solution is achieved, and the calculations are average speed equal to Vh . Fig.11 shows the local optimization
43 complex and high computational cost. This paper proposes a of speed profile in steep downhill.
44 new algorithm of quickly locate the SPs to begin power before
45 steep uphill and coast before steep downhill.
46 1) Steep uphill
47 Generally speaking, train needs to accelerate with maximum
48 power in advance to deal with the steep uphill section. Then,
49 how to get the correct point of increase is the key problem.
50 Inspired by the driver’s driving behavior, we try to turn the
51 difficult global optimization problem to a much easier local
optimization problem by keep the running time as stable as it
52
can section by section. The reason is similar to why we keep
53
speed and running time constant in no-steep track. The
54
difference is the train must undertake the extra resistance
55
energy consumption caused by speed fluctuation. Taking steep
56
uphill in Fig.10 as an example, the gray line indicates the
57
altitude of the railway line; and the slop in the gray line
58
indicates the steep uphill; and the line above the altitude is the
59
speed profiles of comparison strategies. Fig. 11. Diagram of average speed equivalent algorithm in steep downhill .
60
 IEEE Transactions on Vehicular Technology Page 10 of 12
IEEE TRANSACTIONS ON VEHICULAR TECHNOLOGY 10

1
C. Optimal speed profile programing tablet in the above of Fig.13 shows that the 2151.5 seconds trip
2
Optimal speed profile programing is mainly to refine the cost 2179.6 kWh electricity with 271.5 kWh braking energy
3
speed profile according to railway line detail based on the send back to the net, and the calculation time is about 30
4 seconds. The message in above of Fig.12 shows that the trip
5 reference line, during which it is necessary to keep the speed
consistent with the reference line as far as possible. In steep cost a total of 1542kWh energy (including regenerative braking)
6 with the given running time of 2200 seconds, which means the
7 track sections where the train speed will decline even if
maximum power (steep uphill) is adopted, or increase even if theoretical energy-saving potential of this trip is about 20%.
8 The shape of the speed profile in Fig.12 is reasonably,
9 turn of the engine (steep downhill), precisely locating the SP by
the average speed equivalent algorithm. Case simulation of a braking be used only to stop the train at the destination. As
10 speed holding is the junction of modes switch that broad speed
11 test line with both steep uphill and steep downhill is shown as
Fig.12. The calculation time is only about 10 seconds for a holding sections in Fig.12 make the work of speed tracking (the
12 task of next stage) and dynamic adjustment easier to execute
standard IBM compatible PC. We believe that professional
13 with as less control modes switch as possible.
programing by software engineer would make the algorithm
14 But this method is still not suitable for long steep uphill
more efficient, fast enough to support real time speed profile
15 followed immediately by a long steep downhill without enough
optimization which is a problem of rolling optimization based
16 no-steep tracks to balance the average speed.
on offline programing.
17 Case study 2. As has been introduced in the section II,
18 Shaofeng Lu has done excellent work of speed profile
VI. CASE STUDY AND DISCUSSION
Fo
19 optimization by GA (Fig.14, a), ACO (Fig.14, b), and DP
20 Case study 1. As you can see in Fig. 13, we did a (Fig.14, c) [26] in the University of Birmingham. We did a
21 comparative simulation in Dynamis 2.0, which is a professional simulation (Fig.14, d) with the same line to show that this
22 calculation software produced by the Institute for Transport, algorithm is also fit for the eco-driving strategy in the subway
r
23 Railway Construction and Operation of the university of line. The calculation time of these three methods are 1550.5s,
24 Hanover. Comparing Fig.13 with Fig.12 we can see that, Fig.12 552.3s, and 2431.8 s. The new method can draw a set of speed
is more reasonable especially in the steep uphill section from
Pe

25 profiles with different given running time T in just a few

26 3.7 to 5.2km and the steep downhill section from 7.5 to 8.5km. seconds.
27 Tractive effort in Fig.13 shows that it adopts maximum brake
28 three times and partly brake to keep speed hold with one. The
er

29
30
31
32
Re

33
34
35
36
vi

37
38
39
ew

40 Fig. 12. Diagram of speed profile programing in a test line with both steep uphill and downhill sections.
41
42
43
44
45
46
47
48
49
50
51
52
53
54
55
56
57
58
59
60 Fig. 13. Diagram of speed profile programing by Dynamis 2.0 .
Page 11 of 12 IEEE Transactions on Vehicular Technology
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1
2
3
4
5
6
7
8
9
10
11
12
13
14
15
16
17
18
Fo
19
20
21
22
r
23
24
Pe

25
26 Fig. 14. Comparative analysis with GA (a), ACO (b), and DP (c) of [26].
27
28
er

29 VII. CONCLUSIONS AND FUTURE WORK REFERENCES

30
Being inspired by driver’s driving behavior, the paper [1] Bulletin of Statistics for the China Railways 2014. Beijing, China, 2015,
31 China Rail Corp.
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Re

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1 [15] Q. Gu, T. Tang, F. Cao, and Y. Song, "Energy-Efficient Train Operation research interests mainly focus on Intelligent Control and
2 in Urban Rail Transit Using Real-Time Traffic Information," IEEE Trans.
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5 pp.33-39. Automation and Control in Transportation
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from China Academy of Railway Sciences,
7 fuzzy- decision making-based approach," in Proc. 4th Int. Conf. on
Comp., Comm., Control and Power Eng., 1993, pp.333-337. Beijing, China, in 1991.
8 [18] M. Khanbaghi and R. P. Malhame, "Reducing travel energy costs for a He is currently a Professor with Beijing
9 subway train via fuzzy logic controls," in Proc. IEEE Int. Symp. Jiaotong University, the Chief Scientist of
10 Intell.Control., Aug.16-18, 1994, pp.99-104.
the National Center of Collaborative
11 [19] H. S. Hwang, "Control strategy for optimal compromise between trip time
and energy consumption in a high-speed railway," IEEE Trans. Syst., Innovation Center for Rail Safety, the Chief
12 Man Cybern., Part A, Syst. Humans, vol.28, no.6, pp.791-802, Nov.1998. Scientist of the State Key Laboratory of Rail
13 [20] Y. Bai, T.K. Ho, B. Mao, Y. Ding, and S. Chen, "Energy-efficient Traffic Control and Safety. His research interests include
14 locomotive operation for Chinese mainline railways by fuzzy predictive
Intelligent Transportation Systems, Computational
15 control," IEEE Trans. Vehicul. Technol., vol.15, no.3, pp.938-948,
Jan.2014. Intelligence, Rail Traffic Control and Safety.
16 [21] C. S. Chang, "Optimising train movements through coast control using
17 genetic algorithms," IEE Proceedings - Elect. Power Appl., vol.144, no.1, Shaofeng Lu received the B. S. degree and
18 pp.65-73, Jan.1997.
Ph.D. degree in electronic and electrical
Fo
[22] K. K.Wong and T. K. Ho, "Dynamic coast control of train movement with
19 engineering from the University of
genetic algorithm," Int. J. Syst. Sci., vol.35, no.13/14, pp.835-846,
20 May.2004. Birmingham, Birmingham, U.K., in 2007
21 [23] Qiheng Lu, Xiaoyun Feng, Qingyuan Wang, “Energy-Saving Optimal and 2011, respectively.
22 Control of Following Trains Based on Genetic Algorithm,” Journal of
He joined Xi'an Jiaotong-Liverpool
r
Southwest Jiao Tong University, vol. 47, no.2, pp.265-270, Apr, 2012.
23 [24] X. Li and H. K. Lo, "An energy-efficient scheduling and speed control University after graduation. His research
24 approach for metro rail operations," Transp. Res. Part B: Methodological, interests include railway vehicle traction
Pe

25 vol.64, pp.73-89, 2014. system modeling, power management strategies, DC railway

26 [25] J. Yang, L. Jia, and X.Wei, "A Review on Intelligent Control for
networking, train trajectory optimization, and optimization
Energy-Efficient Train Operation," in Proc. 11th Int. Conf. Intel. Control,
27 Auto., 2014, pp.5160-5169. techniques.
28 [26] S. Lu, "Optimising Power Management Strategies for Railway Traction
er

29 Systems," Ph.D. thesis, Univ. Birmingham, UK, 2011. Ji Ge (M'2014) received the B. Eng (2002)
30 [27] S. Lu, S. Hillmansen, T.K. Ho, C Roberts, "Single-Train Trajectory
and M. Eng. (2005) in Mechanical
Optimization", IEEE Trans. Vehicul. Technol., vol.14, no.2, pp.743-750,
31 Jun.2013 Engineering and Automation at Jiangxi
32 [28] B. R. Ke, C. L. Lin, and C. C. Yang, "Optimisation of train University of Science and Technology,
Re

33 energy-efficient operation for mass rapid transit systems," IET Intell. China. He received the PhD degree (2012)
Transp. Syst., vol.6, no.1, pp.58-66, Mar.2012.
34 [29] Y. Murphey, J. Park, Z. Chen, M. L. Kuang, M. A. Masrur, and A. M.
in Control Science and Engineering at
35 Phillips, "Intelligent Hybrid Vehicle Power Control — Part I: Machine Hunan University, China.
36 Learning of Optimal Vehicle Power," IEEE Trans. Veh. Technol, vol.61, He joined Jiangxi University of Science and
vi

37 no.8, pp.3519-3529, Oct.2012. Technology after graduation. Now he is a

[30] J. Yin, D. Chen, and L. Li, "Intelligent Train Operation Algorithms for
38
Subway by Expert System and Reinforcement Learning," IEEE Trans.
39 Intell. Transp. Syst., vol.15, no.6, pp.2561-2571, Dec.2014.
postdoctoral fellow at Department of Mechanical and Industrial
Engineering, University of Toronto, Toronto, Canada. His
ew

40 [31] María Domíngueza, Antonio Fernández-Cardadora, Asunción P. Cucalaa, research interests include computational intelligence, computer
41 Tad Gonsalvesb, Adrián Fernández, “Multi objective particle swarm vision and its industrial applications.
optimization algorithm for the design of efficient ATO speed profiles in
42 metro lines,” Engineering Applications of Artificial Intelligence, vol.
43 29,pp.43-53, Jan, 2014. Zhuoyue Li was born in Hubei, China,
44 [32] S. Gao, H. Dong, B. Ning, Y. Chen, and X. Sun, "Adaptive fault-tolerant 1989. She received the B. E. degree in
45 automatic train operation using RBF neural networks," Neural Traffic Management Engineering from
Computing and Applications, vol.26, no.1, pp.141-149, Sep.2015.
46 Chinese People’s Public Security
47 Jie Yang was born in Anhui, China, 1979. University, China, in 20012. She is
48 He received the B. S. degree in Electrical currently working toward the Master degree
49 Engineering and M. S. degree in Control in the State Key Laboratory of Rail Traffic
50 Theory and Control Engineering, from Control and Safety, Beijing Jiaotong
51 Jiangxi University of Science and University, Beijing.
52 Technology, China, in 2002 and 2005, Now, her research interests mainly focus on Energy-Efficient
53 respectively. He is currently working toward Train Operation and its modeling.
54 the Ph.D. degree in the State Key
55 Laboratory of Rail Traffic Control and
56 Safety, Beijing Jiaotong University, Beijing.
57 He joined Jiangxi University of Science and Technology in
58 2005, and held an Associate Professor position with the School
59 of Electrical Engineering and automation since 2012. Now, his
60