From Train Driver to Cost Driver -...

From Train Driver to Cost Driver:Systems Engineers, Project Managers

and Project Engineers

Annual General Meeting of Railway Civil Engineers’ Association1 Great George Street, 20 April 2010

From Train Driver to Cost Driver

Systems Engineers, Project Managers, Project Engineers

Felix Schmid, FIMechE, FIRSE

School of Civil Engineering

University of Birmingham


AGM Railway Civil Engineers Association 2010Slide 2

Overview of Presentation• A touch of relevant history;

• Natural characteristics of the railway;

• Reasons for railway complexity;

• Rail vs. road transport management;

• Project management and systems engineering;

• Project life-cycle models;

• Team roles in projects.






406 Years Ago – the 1st British Railway• Strelley to Wollaton coal

tramway:– First overland railway;

– Built by Huntingdon Beaumont (who died an undischarged bankrupt in Nottingham goal);

– Partnered by Sir Percival Willoughby, owner of Wollaton Hall;

– “alonge the passage now laidewith railes, and with suche or the lyke Carriages as are now in use for the purpose”.

• Opened 1 October 1604.



Strelley to Wollaton and Lenton• Above quote is from Sir Percival Willoughby’s lease to

Huntingdon Beaumont dated 1 October 1604;• Sir Percival was Lord of the Manor of Wollaton and

Huntingdon Beaumont was his business partner and lessee of Strelley coal pits;

• Wagonway or tram-road built to carry coal from the StrelleyPits to a point near Wollaton Lane (now Wollaton Road);

• Overland route on wooden rails was approximately two miles long and was built between October 1603 and October 1604;

• Vehicles used to carry coal on the rails were referred to as wagons or carriages;

• Horse traction was adopted from the start; • Wagonway cost approximately £166* to build, however, it is

not clear exactly what was included.






Relevance to Today• Used successfully until at

least 1615;• 1840s Ordnance Survey map

shows a tram-road from Strelley to Lenton;

• Likely that this is a later version of the Strelley to Wollaton tram-road;

• Went through middle of what became Raleigh Cycle Works;

• And it had been easy and quick to build…

• Why THEN and not NOW?






An Analysis of the Determinants of

Complexity in Railways

Armitage, Hafter, Harris, McKechnie, Perrow, Qureshi, Reason, Schmid








Determinant: Railway Variability

Variability

Organisational

Physical

AdhesionWeather

Deterioration

Staff Perform.Client Demand

StakeholdersThird Parties

Economy

Definition: Extent to which tasks must depart from a constantly recurring pattern (McKechnie).



External and Internal Variability• External variability:

– Operational impact of weather;– Demand variation;– Economic cycle impact;– Stakeholder vacillation;– Subsidy regime variation;– Impact of connecting services;– Third party behaviour.

• Internal variability:– Variable passenger behaviour;– Variable staff performance;– Variable wheel-rail adhesion;– Spontaneous system failures;

• Issue raised by McKechnie.

L

M

H

VH






Railways and Economic Variability

Rail TransportDemand

TransportDemand

Road TransportDemand

Air TransportDemand

WaterwaysDemand

Transport Goods & People by Rail Service

Quality

TransportProduct

Pro

fit?

Constraints / ControlsTimetable, Management Systems

Mechanisms / ProcessorsPeople, Rolling Stock, Infrastructure,

Power, Supplies, Finance



Determinant: Railway Dispersion

Dispersion

Variability

Organisational

Physical

Organisational

Physical

AdhesionWeather

Deterioration



Economy

Staff LocationAsset LocationClient Location

Job FunctionsAsset Information

Hierarchy

Definition: Extent to which assets, resources and people required for correct operation of system are distributed over a large area / along corridors (Schmid).






Dispersion and Linearity• Linear infrastructures:

– 10 m wide and 1000s km long;– Great impacts on environment;– Environmental impact varies.

• Distributed assets:– Assets difficult to reach;– Assets difficult to maintain.

• Dispersed staff:– Supervision vs. management;– Management only long term;– Supervision must be strong;– Fast decision taking locally.

• Distributed information:– Some railways lack overview;– Assets are difficult to control.

• Issue raised by Schmid.

L

M

H

VH



Classic Example of Dispersion






Determinant: Railway Diversity

Div

ersi

ty

Dispersion

Variability

Phy

sica

l

OrganisationalOrganisational

Physical

Organisational

Physical

AdhesionWeather

Deterioration



Economy

Staff SkillsTypes of OperationsStakeholder Requirements

Asset TypesAsset PerformanceAsset Lives


Definition: Number of distinct and different sub-activities that are performed within an integrated system of tasks (McKechnie).


Hierarchy



Maintenance System

Axles & Wheels

Communi-cations &SignallingSystems

Electrification &Power Supplies

Station SystemsSleepers & Ballast

Traction &Braking Systems

Substructure System

Con

trol

Sy

stem

s

Ope

rati

ons

Man

agem

ent

Vehicle Structures

RailRail

VCS

CIS

CIS: Customer Information Systems / VCS: Vehicle Control Systems

ATP

Bogie

Range of Railway Subsystems






Subsystem and Component Diversity• Subsystems diversity:

– Switches and crossings;– Electrification equipment;– Power supplies & substations;– Train control and signalling;– Rolling stock and traction.

• Component diversity:– Microprocessors;– Sensors and effectors;– Thyristors, GTOs, IGBTs;– Precision mechanical systems;– Electrical machines.

• Materials diversity:– Steel and concrete structures.

• Issue raised by McKechnieas ‘heterogeneïty’.

Williams, ORR, 2006

L

M

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VH



Asset Life Diversity: 1 to 200 Years• Long life railway assets:

– Cuttings, embankments;– Culverts, bridges, viaducts,

flyovers, dive-unders, tunnels;– Stations, offices, depots.

• Medium life railway assets:– Tracks, rails and signals;– Locos, carriages, ferries;– Wagons, track machines,

• Short lived railway assets:– Ticket machines, ticket gates;– Computers, cars and trucks;– Staff uniforms and hand-tools.

• Issue raised by Armitage.

S

M

L

VL






Determinant: Railway Interdependence

Interdependence

Div

ersi

ty

Dispersion

Variability

Phy

sica

l


Physical

Organisational

Physical

AdhesionWeather

Deterioration



Economy




Definition: Extent to which performance of the system, as a whole, is reliant on and facilitated by exchange of information to co-ordinate individual tasks (McKechnie).


Hierarchy



Maintenance System

Axles & Wheels

Communi-cations &SignallingSystems

Electrification &Power Supplies

Station SystemsSleepers & Ballast

Traction &Braking Systems

Substructure System

Con

trol

Sy

stem

s

Ope

rati

ons

Man

agem

ent

Vehicle Structures

RailRail

VCS

CIS

CIS: Customer Information Systems / VCS: Vehicle Control Systems

Many Subsystems

ATP

Bogies

and Interactions

Thi

rd P

arti

es






Nature of Coupling in Railways

Interdependence

Div

ersi

ty

Dispersion

VariabilityTight

Coupling

Physical

Organisational

Phy

sica

l


Physical

Organisational

Physical

Wheel / RailPanto / OHLEPoints Systems

AdhesionWeather

Deterioration



Economy




Staff SkillsAsset Information

TimetablesInterfaces

Definition: The extent to which two components or activities must be linked to achieve an appropriate performance (after Perrow).



Loose Coupling vs. Tight Coupling• Loose Coupling:

– Processing delays possible;– Sequence & order can be changed;– Alternative methods available;– Slack in resources possible;– Buffers and redundancies are fortuitously always available.

• Tight Coupling:– Time-dependent behaviour, i.e., delays in processing not possible;– Invariant sequencing;– Only one method to achieve goal;– Little slack available;– Buffers and redundancies must be designed in as part of the system.

• Issue raised by Perrow.






Characteristic Aspects

Motion restricted to single degree of freedom along track

Low coefficient of friction between wheels and rails

Stiff interface between wheels and rails

Distributed linear infra-structure subsystem

Strengths G No steering required; Predictable motion; Narrow swept path; Linked consists (trains); High standard of safety.

Low rolling resistance; Low rolling surfaces wear; Efficient propulsion; High speed operation; Energy efficiency.

Low energy dissipation; High tonnages / period; Low forces in track bed; Predictable motion; Smooth operations; Potentially long track life.

Product reaches customer; Production process controll-

able throughout system; External events rarely affect

all of system; Part opening of new

systems.

E Track-based power supply. Energy recovery potential. Low wheel-rail damping. Multiple feeder options.

Weaknesses G Guidance function cost; High route blockage risk; Low network flexibility; Complex route changes; No collision avoidance.

Limited braking rate; Low acceleration rate; Seasonal adhesion variation; Line of sight inadequate; Low rolling surface wear.

Stiff rolling interface; Low inherent damping; Noise & vibration issues Cost of track & structures; Cost of inspection.

Environmental impact affects linear strips of terrain;

Remote management of local problems difficult.

E Complex electrification; Limited design options.

Risk of slip and slide; Torque control required.

High impact environment for traction drives.

Voltage drop along route; Many supply points needed.

Technical requirements

G Variable geometry elements; Train position detection; Locking of route elements; Junctions & stations.

Signalling system; Adhesion control; Artificial wear required; Regular maintenance.

Load rack design; Testing & inspection; Accurate maintenance; Regular maintenance.

Provision of redundancy; Protective features (tunnels,

galleries, fences etc.).

Operational requirements

G Timetabling & planning; Strict rulebook for all staff.

Path allocation to trains; Stringent safety rules.

Strong procedures. Scheduling of services; Several layers of control.

Management tools

G Rigorous selection of staff; Modelling of train services.

Simulation of individual train behaviour.

Maintenance management; Technical understanding.

Delegated authority; Strong supervision.

Training G Responsibility; Staff competence.

Environmental awareness; Safety ethos.

Strong engineering skills; Safety ethos.

Rule based behaviour; Adaptive behaviour.

Physical Characteristics of the Mode



Tightly Coupled Mechanical Systems• Wheel and rail interface:

– Steel on steel stiffness;

– Motion control by conicity;

– Traction and braking with small contact area;

– Track held by ballast.

• Pantograph and overhead:– Overhead relative to rails;

– Low contact force limits wear;

• Switches and crossings:– Accurate mechanisms needed;

– Must be locked for trains.






Railways are Tightly Coupled Systems• Single degree of freedom of movement of rolling stock

requires infrastructure with variable geometry;• Limited adhesion requires train control and signalling;• Stiffness of wheel / rail interface requires accurate

infrastructure and high quality maintenance;• Linear (distributed) nature of the railway infrastructure

propagates failures and is open to environmental influences;

• Need for reliable timetabled operation and good resource management;

• Interface and interaction management is essential.

L

T



Nature of Interactions in Railways

Interdependence

Div

ersi

ty

Dispersion

VariabilityTight

Coupling

ComplexInteractions

Physical

Organisational

Physical

Organisational

Phy

sica

l


Physical

Organisational

Physical

Wheel / RailPanto / OHLEPoints Systems

Product = ProcessRegulations

AdhesionWeather

Deterioration



Economy


Stiff InterfaceMaintenance



TimetablesInterfaces

Definition: The way in which subsystems and activities relate to each other during normal and disturbed operations (after Perrow).


Hierarchy






Operational Interactions• Linear Interactions:

– Segregated subsystems;– Easy substitutions;– Few feedback loops;– Single purpose, separate controls;– Direct information;– Extensive understanding.

• Complex Interactions:– Parts and units not in a production

sequence are close together;– Unfamiliar or unintended

feedback loops;– Indirect or inferential information

sources;– Limited understanding of some

processes.

• Perrow’s Interactive Complexity



Linear vs. ‘Complex’ Interactions• Railway interactions:

– Train sequences;– Conflicts at junctions;– Passenger behaviour;– Staff behaviour;– Trespass and vandalism.

• Maintenance activities:– Rolling stock and track;– Structures and stations.

• System control:– Management of nodes;– Staff allocation to duties;– Rolling stock schedules.

• Issue raised by Perrow.L

C






Regulatory Control of Interactions• Intricate legal framework:

– Interoperability regulations;– Technical Specifications for

Interoperability;– Road traffic regulations;– National health and safety law;– European rail safety law.

• Intricate standards system:– CEN Standards;– UIC ‘standards’;– National regulations;– Internal standards.

• Issue raised by Qurashi.O

UT

OF

DA

TE A

FTE

R 5

YE

AR

S!

L

M

H

VH

E



The Products

of the R

ailway are

VERY Perishable

What Core Issue have we forgotten?






Product LifeHarris

LowMed

ium

HighVery H

igh

Short

Medium

LongV

ery Long

Low

Medium

High

Very High

Low

MediumHigh

Very High

Med

ium

Ver

y H

igh

Exc

essi

ve!

Low

Hig

h Long

Ver

y Sh

ort

Shor

tMed

ium

Low

Very High

Medium

High

Seven Dimensions of Complexity

WaterRailNuclear

SubsystemDiversityMcKechnie

VariabilityMcKechnie

DispersionSchmid

Asset Life Diversity

Armitage

InterdependencePerrow and McKechnie

Regulations& StandardsQureshi



Rail Infrastructure Owner, Manager and Maintainer

Train Operator, Maintainer and Lessor

Train Consist or Traffic Unit

Wheelset(s)

Rails

Bogie(s)

Track Structure

Vehicle Structure 1(Load Platform 1)

Traction System

Train-borne Control

VS2(LP2)

Braking Systems

Traction Supply

Trackside Control

Embankments, Bridges, Viaducts, Culverts, Drainage Tu

nn

els,

Ove

r-B

ridg

es, S

tati

ons,

Ter

min

als

Traffic Control

Infrastructure Maintenance and Renewals

Rolling Stock Acquisition and Maintenance – Customer Interfaces

Rai

l Tra

nspo

rt O

per

atio

ns

Man

agem

ent

Infr

astr

uct

ure

M

anag

emen

t

Rai

lway

Int

egra

tion

an

d I

nno

vati

on M

anag

emen

t

Wheel-

Rail I/F

EU Dimension: Disaggregated Railway System






Such Complexity Creates Risks & Costs• Types of risk bearing events:

– Spontaneous incidents;– Modification with unknown consequences;– Unusual sequences of events;– Undetected deterioration and decay.

• Consequences of events:– Damage to business reputations;– Injuries to humans or damage to buildings and equipment;– Single fatality and multiple fatality outcomes;– Catastrophic outcomes (Bhopal, Chernobyl, Upton Nervet).

• Human error and technological failures.

It’s a Complex System:Let’s apply Railway Systems Engineering






Characteristics and Requirements• Widely scattered staff and large, distributed asset base:

– Complex management and maintenance arrangements.

• Single degree of freedom for trains:– Complex (time varying geometry) devices to set up routes.

• Low adhesion between wheel and rail:– Complex train control and communications systems.

• Stiff interface between wheel and rail:– Complex maintenance management.

• Load distribution over large area:– Complex structures and their maintenance issues.

• Long life of technology:– Complex technology, compatibility and interoperability;– Strategic replacement and renewal management required.



Rail Systems Engineering & Integration• Railway Systems Engineering and Integration (RSEI) is

concerned with:– Managing the people, resources and processes required to conceive,

design, build, operate, maintain, renew, close and decommission railways of all types;

– Respecting the limits and constraints imposed by the natural physical, organisational and operational characteristics of the rail mode, in an effective and efficient manner;

– Satisfying the system’s stakeholders and environmental concerns.

• RSEI is not just about technologies, components, interfaces, know-how and processes;

• RSEI is about developing people to carry out their tasks better and more effectively, while respecting the constraints of a highly complex technical and organisational system.

• ‘Integration’ goes beyond systems engineering…






Features of Rail (Construction) Projects• Many phases: projects require long lead-times:

– Preparatory works, groundwork and structures;– Permanent way, signalling installation…

• Scope, scale and complexity:– Many subsystems affected even by ‘small’ projects;– Linear civil works and electrical systems;– Legacy systems involved in many projects.

• Multiple offices and distributed staff:– Communications as a major issue;

• Crossing numerous communities and jurisdictions:– Environmental protection issues (‘Nimby’ syndrome);– Effects on national and international heritage sites.

• Congested downtown / urban work sites;• Links to / extensions of existing systems (Northern Ticket Hall).



Definition of “Major Rail Projects”• Range of definitions – not official:

– Absolute definitions:• Large in pure cash terms (say, > £100M);• Extensive in project scope (say, > 100km of new signalling);• High level of complexity (say, new technologies involved);• Long time scale (say, > 3 years, requiring strategic commitment).

– Risk focused (relative) definitions:• Large in % of total route affected (say, > 30% - WCML);• Large in % of company turnover (say, > 15% - Chiltern);• Large in % of staff or public affected (say, > 20% - Thameslink);• Large in % of key resources required (say, > 30% - TCS system);• Long in terms of company’s life (say, 2 years out of 7 in franchise);• Regulatory or government approval required, e.g., T&W Act.

• Risk based definitions focus the mind much better.






Examples: Size and Complexity

environmentally sensitive areas, high complexity (signals and power systems), bridge plus tunnel system.

“PPP”Oresund Link

complex infrastructure enhancement, includes ETCS level 2 introduction, clear stake-holder aspirations, popular support.

public£2.2 bn~100 km

Bahn 2000

highly complex, tunnels and stations in very dense urban environment, difficult contracts, high risk to several parties.

PPP£5.7 bn50 km

HS1 Part 2

poor asset information, poor design, poor project management, late changes.

“PPP”£2 m100 m

Sheffield Stn.

poor understanding of technology, stake-holder difficulties, poor asset information, tight contractual terms.

private£12bn, 1000 km

WCML

highly complex, sensitive environment, very high reliability targets, good link with regulators, 44% on viaduct.

public£5.8bn50 km

West Rail HK

poor requirements capture, impossible targets, large network, planning issues, city centre work sites, technology choice.

private£1-3 bn400 km

Thameslink

very complex, 3 sub-sea tunnels, large bore, complex trains, complex funding, regulatory interference, changes.

private£12 bn65 km

Eurotunnel

Project ComplexityTypeCostProject



A £ 2 m Project in Sheffield is BIG






Why was it not all that Brilliant?



PM and SE in the UK Rail Industry• 1988 Clapham Accident:

– Hidden report recommended better project management techniques;

– Expertise brought in from other industries.

• 1994 Railway (Safety Case) Regulations:– Required a risk-based

approach to design and assurance;

– Effectively forced the railways to adopt systems engineering principles.

• 2001 Collapse of Railtrack:– Showed need for combination

approach to projects.

The link between PM and SE is still not fully understood…






History of Project Management

1950 1960 1970 1980 1990 2000

Products Facilities Projects

© Brian Halliday, Network Rail



Project Management Responsibilities• Time:

– Often referred to as programme (risk) management;– Limit programme and technology risk.

• Cost:– Financial control;– Human, financial, equipment resource management.

• Quality:– Quality management.

• Safety Risk:– Management of technical and operational risk;– Assurance and documentation of safety risk containment.

• Change Management:– Provision and control of asset information;– Configuration management throughout project life.






History of Systems Engineering

1950 1960 1970 1980 1990 2000

Products Software Projects

© Brian Halliday, Network Rail



Systems Engineering Responsibilities• Requirements Management:

– Requirements elicitation and requirements management;– Definition of system and subsystem specifications.

• Performance and Technical Risk:– Modelling of operational performance;– Evaluation of robustness of technical options.

• Cost and Capability:– Development of optimised system options;– Human, equipment and operations integration.

• Quality Systems Design:– Creation of quality management systems.

• Configuration Management:– Provision and control of asset information;– Development of configuration management systems.






The Waterfall Model (1970)

Requirements

Updated Requirements

Integration

Maintenance

Design

Implementation

Specification

Product Deliverable

Development

Maintenance



Issues in Waterfall Model• Advantages:

– Conceptually straightforward;– Good tracing of requirements;– Lots of experience from computer software industry;– Suited to development of new products.

• Drawbacks:– Does not encourage project planning;– Encourages prevarication;– Does not ensure testability;– Use of modelling tools can be difficult;– Does not encourage re-use of standard components;– Poor configuration management.






Project Time Line

Basic Vee Project Life Cycle

Definition, D

ecomposition &

Verification

Inte

grat

ion,

Tes

ting

& V

alid

atio

n

Customer / BusinessRequirements

SystemRequirements

ComponentDevelopment

System ArchitectureDesign / Development

Component Supplyand Production

Commissioning ofIndividual Assemblies

CompletedIntegrated System

OperationalCapability Achieved

Validation Activities

Operational Test Specification

System Test Specification

Assembly Test Specification



Amazing Interchange in Copenhagen






Contract Manager’s Input in Projects


SystemRequirements







Project Time Line




Project Manager’s Input in Projects


SystemRequirements







Project Time Line








SystemRequirements







Systems Engineer’s Input in Projects

Project Time Line





SystemRequirements






OperationalCapability AchievedInteractions w

ith Hum

an Factors Personnel

Human Factors Generalists and Projects

Project Time Line







Production Engineering Input in Projects


SystemRequirements







Project Time Line




Client’s Role in Projects


Project Time Line


SystemRequirements






Operational & LifeMonitoring







Example: Jubilee Line Problems• Lack of a System Specification:

• No directly traceable linkage between user requirements and particular specifications;

• No baseline system level scope document;• Result was confusion as to exact scope, loss of change control and

lack of interface management.

• Lack of Technical Integration:• Particular specifications required that systems suppliers interface and

integrate requirements with one another (rolling stock / signalling / signal control / communications / traction power);

• Suppliers were generally unwilling or unable to perform such integration – client did not have the required skills;

• JLEP tended to re-engineer rather than manage suppliers’engineering and integration and took responsibility;

• Immovable deadline for delivery set by outsiders!




SystemRequirements







Project Engineer: A Missing Link

Project Time Line







Commonalities between Specialist Roles• Clients want the BEST solution money can buy;• Systems engineers and human factors people must

strive for the BEST solution;• Clients and SE / HF people share objectives;• But clients cannot afford the BEST solution;• Project manager is responsible for delivery while

satisfying ALL stakeholders;• SE and HF are threats to the project time line;• PM must deliver value for money;• PM must have ‘stop criteria’ for SE and HF;• Conflicts are programmed in and PE could solve these.



1

Output Definition

2

Pre-Feasibility

3

Option Selection

4

Single Option Development

5

Detailed Design

6Construct

Test & Commission

7

Scheme Hand-Back

8

Project Close-Out

A

Guide to Railway Investment Projects

Stage Deliverables

1

Output Definition

2

Pre-Feasibility

3

Option Selection

4


5

Detailed Design

6Construct

Test & Commission

7

Scheme Hand-Back

8

Project Close-Out

B

Stage Gate Reviews All Projects

1

Output Definition

2

Pre-Feasibility

3

Option Selection

4


5

Detailed Design

6Construct

Test & Commission

7

Scheme Hand-Back

8

Project Close-Out

C

Stage Gate Reviews Major Projects






Project Time Line

GRIP Stages 1-6 and VEE

Definition, D

ecomposition &

Verification

Inte

grat

ion,

Tes

ting

& V

alid

atio

n


SystemRequirements








Operational Test Specification

System Test Specification

Assembly Test Specification



Conclusion• Natural characteristics of rail mode are constraining;• Rail mode is inherently complex:

– Technologically, organisationally and operationally.

• Rail transport is fundamentally different from other modes;

• European Union influence has complicated railway; • Project managers and systems engineers are conjoint

twins and need a project engineer for sense instilling;• Project teams go beyond SE, PM and PE:

– Contract managers, HF-generalists all have important roles.

• Vee project life-cycle can be helpful but requires strong PM with stop criteria!

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