Important Warning
This document is one of a set of standards developed solely and specifically for use on the rail network owned or managed by the NSW
Government and its agencies. It is not suitable for any other purpose. You must not use or adapt it or rely upon it in any way unless you are authorised in writing to do so by a relevant NSW Government agency.
If this document forms part of a contract with, or is a condition of approval by, a NSW Government agency, use of the document is subject to the terms of the contract or approval.
This document may not be current. Current standards are available for download from the Asset Standards Authority website at www.asa.transport.nsw.gov.au.
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Owner: Manager Systems Engineering Process, Asset Standards Authority
Authoriser: Principal Manager Network Standards and Services, Asset Standards Authority
Approver: Director, Asset Standards Authority on behalf of ASA Configuration Control Board
Version Summary of change
For queries regarding this document, please email the ASA at standards@asa.transport.nsw.gov.au or visit www.asa.transport.nsw.gov.au
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The Asset Standards Authority (ASA) is an independent body within Transport for NSW whose purpose is to drive excellence in asset standards management by creating opportunities for increased innovation, while ensuring safety and efficiency in design, construction and delivery.
The ASA is responsible for engineering governance, assurance of design safety and ensuring the integrity of transport and infrastructure assets.
The ASA promotes and contributes to the development of industry capability by developing and publishing guidance material in relation to organisation-level competency frameworks, promoting sustainable development of technical and engineering capability.
This document provides an overview of network architecture and how it applies to TfNSW, describes the methodology adopted by the ASA in developing a transport network architecture model for heavy rail, gives a brief snapshot of the draft architecture and discusses the benefits to TfNSW stakeholders.
The systems engineering group of the ASA has developed this document to share its progress on developing a model-based systems engineering interpretation of the rail network. This document has been developed with consultation from the TfNSW cluster and is developed with reference to published architecture models.
This document aims to provide a single reference and progress update for the development of a heavy rail transport network architecture model by the ASA.
This document is a first issue.
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1.
Introduction ............................................................................................................................................5
2.
Purpose...................................................................................................................................................5
2.1.
Scope ..................................................................................................................................................................... 5
3.
Reference documents ...........................................................................................................................5
4.
Terms and definitions ...........................................................................................................................6
5.
Background ............................................................................................................................................7
6.
Transport network architecture............................................................................................................7
6.1.
Network architecture for TfNSW .......................................................................................................................... 8
7.
Approach to development of network architecture ...........................................................................9
8.
Model mechanisms................................................................................................................................9
8.1.
Architecture model structure ............................................................................................................................. 10
9.
Process development..........................................................................................................................11
9.1.
Identify scope of work ........................................................................................................................................ 11
9.2.
Manage stakeholders.......................................................................................................................................... 12
9.3.
Develop architecture model ............................................................................................................................... 13
10.
The UK railway architecture framework ............................................................................................15
10.1.
Enterprise viewpoint model ............................................................................................................................... 16
10.2.
Concept activity viewpoint model...................................................................................................................... 16
10.3.
Solution viewpoint model................................................................................................................................... 16
11.
Draft NSW heavy rail network architecture.......................................................................................17
11.1.
NSW enterprise viewpoint .................................................................................................................................. 17
11.2.
NSW concept viewpoint...................................................................................................................................... 18
11.3.
NSW solution viewpoint ..................................................................................................................................... 19
11.4.
Benefits for NSW stakeholders .......................................................................................................................... 20
12.
Network architecture development schedule ...................................................................................21
13.
Future direction....................................................................................................................................22
Appendix A - The railway architecture framework......................................................................................23
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The Asset Standards Authority (ASA) is working with Transport for New South Wales (TfNSW) to develop a common transport network architecture that will provide a stable framework for network asset planning and investment decisions.
This document describes the purpose, rationale, strategy and schedule of the ASA approach to developing a transport network architecture.
It aims to provide a common understanding of goals, capabilities and concept activities to ensure effective engagement by key stakeholders.
This document describes the TfNSW methodology of developing an architecture model for the heavy rail passenger network.
This document focuses on the heavy rail passenger system. The intention is to expand the scope to include other rail transport modes of rapid transit metro and light rail before including all TfNSW transport modes, including roads and ferries.
International standards
AS/NZS ISO/IEC/IEEE 42010 Systems and software engineering – Architecture description
AS ISO 10007 Quality management systems – Guidelines for configuration management
ISO 15288 Systems and software engineering – System life cycle processes
Other references
Department of Defense Architecture Framework (DODAF); dodcio.defense.gov
INCOSE Systems Engineering Handbook: A guide for system life cycle processes and activities v.3.2.2, June 2006
Ministry of Defence architecture framework (MODAF); www.gov.uk
NSW Long Term Transport Master Plan 2012
Object Management Group (OMG) Requirements Interchange Format (ReqIF) v1.0.1
OMG Systems Modelling Language (OMG SysML) version 1.3
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TRAK metamodel, Dec 2013; TRAK Steering Group, chaired by the UK Department of
Transport
The following terms and definitions apply in this document:
AEO Authorised Engineering Organisation
ASA Asset Standards Authority architecting process of conceiving, defining, expressing, documenting, communicating, certifying proper implementation of, maintaining and improving an architecture throughout a system’s life cycle
DBSE document-based systems engineering
ISO International Organization for Standardization
LTTMP long term transport master plan
LUL London Underground Limited
MBSE model-based systems engineering
MODAF Ministry of Defence architecture framework
OMG Object Management Group
RSSB Rail Safety & Standards Board
SME subject matter expert subject matter expert a person assessed or recognised as having the highest level of competence (including knowledge, skills and practical experience) in a particular field or discipline
SysML systems modelling language
TfNSW Transport for NSW
TRAK The Rail Architecture Framework
UML unified modelling language
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With the introduction of the ASA, and the development of the Authorised Engineering
Organisation (AEO) framework, it was highly likely that each AEO would interpret standards and approach engineering differently.
To resolve these issues, an approach to engineering for the NSW railways was proposed. The principles around this strategy were that there should be an upper level of commonalities such as:
 a language that ensures consistency between engineering across disciplines from a standards and engineering perspective
 a type approval process for new and novel systems, equipment and technologies
 an understanding of the elements of the NSW railway system
 a consistent and collaborative approach to the documentation and presentation of standards
 an ability to clearly link standards to elements in the NSW railway system
 an open standards approach to the development of engineering to prevent dependence on any proprietary system of software or hardware
 promoting new international standards and technologies
Furthermore, the approach had to be future-proof to the extent that information captured today could still be used in the near future.
This document provides an introduction to network architecture modelling. It outlines the processes that the ASA is using to develop a model and the architecture that the ASA is basing its model on.
Section 11 provides an overview of the draft network architecture for heavy rail.
A transport network architecture is an architecture description used to provide multiple points of view to a whole transport system by expressing fundamental concepts or properties of the system through its elements. An architecture description captures the conventions and common practices used across the system for different stakeholders and domains of application. It aims to provide multiple viewpoints of the system to communicate understanding of the system and its requirements. Each viewpoint satisfies an audience with an interest in a particular set of aspects of the system.
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An architecture description assists the understanding of the system’s behaviour, composition and change, which in turn affect the functional need, operational use and maintenance of the system.
Historically, investment projects for TfNSW physical assets have been characterised by poorlydefined business and system requirements, leading to a weak basis for implementing new or altered assets. This has led to rework, budget overruns, schedule overruns, commercial disputes, project delays and cancellations.
The ASA is working towards implementing a model-based systems engineering approach to assist solution development and acquisition. A model-based systems engineering approach would ensure that more precise sets of requirements are provided to suppliers with less room for interpretation.
A transport network architecture model offers a reference framework to define 'solution agnostic' enterprise goals, network capability, concept activities and functions. The model helps the following:
 creating topic-based network standards
 performing network functional analyses
 performing network performance analyses
 identifying network asset configuration information
The architecture model can be used to support network design and develop network asset planning practices including:
 procuring new or altered assets
 establishing robust business requirements
 synthesising functional and performance system requirements
The architecture model can support the understanding of inter-relationships and interfaces between functions, various system elements and components. It will assist specifiers of requirements for new or altered assets to understand and specify comprehensive business level, functional level and system level requirements specifications for proposed works.
The network architecture provides the capability to map standards from a management perspective to functions from a solution perspective into one model. This will assist AEOs in applying relevant standards.
Figure 1 shows how the network architecture feeds into the network requirements, and how
these both contribute to topic-based standards.
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Figure 1 – Architecture, requirements and standards
The ASA developed an initial, simple architectural model, defined a structure for its development and developed a process for expanding and clarifying the model into a networkwide architectural framework.
Architectural models for transport networks have been developed in other countries and jurisdictions but are new within TfNSW. The ASA approach was to seek best practice from the international rail industry and other applicable industries.
The ASA developed an architecture model for heavy rail using ISO 42010 and the INCOSE
Systems Engineering Handbook , which recommend using an architecture description language
(ADL) and architecture framework.
Architecture description languages and architecture frameworks are two mechanisms widely used in architecting and build on the concepts of architecture description. An architecture framework establishes a common practice for creating, interpreting, analysing and using architecture descriptions within a particular domain of application or stakeholder community. An
ADL provides one or more models to frame stakeholder concerns.
The ASA adopted unified modelling language (UML) as its ADL, and the UK railway architecture framework (TRAK) as its architecture framework.
Section 10 provides a description of the UK TRAK metamodel. Appendix A includes a
schematic of the TRAK metamodel.
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The ASA divided the architecture into manageable sections that would provide a coherent and structured model. The structure was developed from the enterprise, concept, and solution viewpoints represented in the UK TRAK model, and the boundaries from UML based design.
The ASA is using systems architecture software that provides the capability to clearly link standards to elements in the NSW railway system.
Figure 2 shows the high level structure of the ASA draft network architecture model, where an
'enterprise' model is supported by a 'concept' model, that itself is realised by a 'solution' viewpoint model. The engineering disciplines that support the heavy rail network all interconnect and contribute to developing the physical, system or resource items that form the solutions represented in the solution viewpoint.
Enterprise viewpoint model supports
Concept viewpoint model realises
Solution viewpoint model
Physical, system, or software resource items
(inc. new /novel items)
Heavy rail engineering disciplines (inc. other engineering disciplines )
Figure 2 – Architecture model structure
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Having defined the tools and the method, the ASA established a process to develop the network architecture; that comprises identifying the scope, managing stakeholders, and developing the network architecture framework.
Sections 9.1 through to 9.2 outline the process the ASA is using to develop the heavy rail
network architecture and provides details of its progress. Figure 3 provides a high level
summary of this process.
Figure 3 - Heavy Rail Network architecture development process
The scope of work was defined so that it could be clearly communicated to all stakeholders before developing the architecture model.
The program management office of ASA worked closely with the individual developing the architecture model to identify and define the scope of work, produce work lists, project deliverables and schedules.
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The first phase was the identification of the inputs and stakeholders that were engaged, both in general and specific, to the scope of the model development.
Architectural design needs to meet stakeholder requirements. All stakeholders were engaged to provide input into the network architecture.
Developing the network architecture involves multiple stakeholders from diverse organisations and all divisions of TfNSW; making it crucial to have well-placed stakeholder management. This involved identifying the stakeholders, explaining the goals of the architecture project, defining their scope and responsibilities and establishing communication protocols.
The stakeholders are typically those who use the architecture model to their benefit or have a vested interest in it. To address stakeholder needs, a scope of work was identified before developing any architecture model. The scope of work defined the stakeholders. Examining existing documentation and subject matter expert guidance helped to reach out to other stakeholders. The scope of work also defined the stakeholder interfaces, roles and responsibilities as part of developing the architecture models.
Initially, the stakeholders identified to assist in developing the transport network architecture for
TfNSW were:

ASA Network Standards

ASA Network and Asset Strategy

TfNSW Planning and Programs Division

TfNSW Transport Projects Division

Sydney Trains

TfNSW Customer Experience Division

TfNSW Transport Services Division

Authorised Engineering Organisations representing the wider rail industry
Stakeholders need to be engaged in the project so that they are available and able to contribute, that their information and views are accurately captured and relevant, and are able to provide acceptance of the material.
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The ASA's initial engagement with stakeholders introduced the project; its goals, deliverables, project background and identified where each stakeholder could contribute. This allowed stakeholders to understand the work and familiarise themselves with the network architecture language and principles. The stakeholders were informed of their role, responsibilities, boundaries and interfaces in the network architecture development process.
The architecture is a functional model and is solution-agnostic. This was clearly communicated to stakeholders, to allow them to gain better appreciation of the model and bring them into the mindset of systems engineering.
The project plan and schedule were presented to the stakeholders so they became familiar with the deliverables and timelines. Stakeholders became aware of their scope of work and responsibilities in developing the network architecture.
A communications plan formalised stakeholder engagement and participation to understand their relevance and input required for the project to develop the architecture models. The communications plan included determining the frequency and method of involvement with each stakeholder.
Stakeholders and other working groups for industry were engaged through presentations, meetings and workshops, as well as ad hoc communications via email and telephone.
A simple correspondence plan was presented to the groups of stakeholders that identified the forms of communication, key contacts and frequency of formal communications.
Following a defined architecture development process helped to:
 develop a final draft that is endorsed and approved by all relevant stakeholders
 develop a final draft that stays within the intended scope and timeline
Researching completed models, standards and published papers that are based on best industry practice can provide an idea, basis or whole structure to the network architecture. Input to the ASA model development came from operational procedures, technical specifications, domain knowledge, standards and research publications for both current and proposed systems.
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Having adopted the systems engineering approach from ISO 15288: 2008 later than many industries and international rail operators, the ASA was provided with an advantage to tap into resources that assisted its network architecture development.
Before incorporating research documents into the network architecture, the information was shared with stakeholders for comment and approval.
Initial models were developed with all relevant stakeholders. The main task was to establish a model structure. The ASA followed the INCOSE Systems Engineering Handbook , which states
"An initial set of functions is defined to carry out the system's overall mission. Requirements are derived to quantify how well the functions must be performed and to impose constraints on the system".
This approach has been adopted throughout the solution-level architecture, where 'concept activities' outline the 'overall mission process' and supporting functional requirements are established to define the system.
Because the model includes stakeholders from different organisations and disciplines, it is important to maintain consistency in terminology and architecture interfaces. All relevant engineering disciplines were engaged when looking at interfaces to the current scope of work.
Stakeholders were engaged to review the model. Reviewing the model led to an iterative process to refine the model through a set of workshops, meetings and independent reviews.
The review process contained the following actions:
 remove or add functions for model refinement
 maintain consistent terminology
 maintain architecture interfaces
 ensure reliable sources
 discuss thought processes
Note: During the review process, it was important to keep track of any baseline versions to serve as the basis for defining change, conducting verifications and for other management purposes. These baselines are required, according to ISO 1000, for a configuration control board to review the audit trail models that have evolved to its current state.
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After the models were reviewed by all stakeholders, the model was changed. The resulting architecture model contains systems of systems that consider the causal effects any change makes on the overall system.
Section 11 provides an overview of the draft ASA heavy rail model architecture.
The ASA based its initial model on the UK-developed 'The Railway Architecture Framework'
(TRAK) metamodel. TRAK is a general enterprise architecture framework that sets the rules to develop systems architecture models across the aerospace, defence and transport industries. It was developed by the UK Rail Safety & Standards Board (RSSB) and has been used by
London Underground Limited (LUL) and Network Rail. TRAK is based on ISO 42010 Systems &
Software engineering – Architecture description and derived from the UK Ministry of Defence
Architecture Framework (MODAF).
The model is described through unified modelling language (UML).
The TRAK metamodel provides the opportunity to view the architecture from different viewpoints namely; management, enterprise, concept, procurement and solution viewpoints.
The transport network architecture can be developed through static or behavioural modelling.
Static modelling describes the network functions and their relationships, including:
 functional architecture, which describes the functions, not the assets; for example, asset = escalator; function = permit vertical movement
 physical architecture, which describes how functions are apportioned or deployed to physical systems and assets
 geographic architecture, which describes how functions and assets are deployed geographically on the transport network
Behavioural, or dynamic, modelling, which uses diagrams to describe how the network functions behave:
 use case diagrams that describe how functions are grouped within a system, and how external 'actors' interact with these functions; actors can be humans or external systems
 sequence diagrams that describe how various functions and actors interact with each other in processes
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The TRAK metamodel includes the enterprise viewpoint to cover the enduring capabilities that are needed to fulfil the goals of the larger enterprise. This viewpoint defines the overall enterprise and its scope, goals, capabilities, and metrics; and identifies the organisations that manage and realise them. These are high level needs that everything else contributes to and form part of the long term strategic objectives. The enterprise view provides a mechanism to link into higher level goals such as those described in NSW Long Term Transport Master Plan .
In the TRAK architecture, the components that comprise the views are known as 'stereotypes' and are defined as follows:
 enterprise: an organisation having 'bottom line' goals; often a collection of divisions and organisations
 enterprise goal: an objective or target for an enterprise
 capability: the ability to do a particular kind of action or the extent of someone's or something's ability
 metric: a measure
 organisation: an organised body of people, associated for a particular purpose
 standard or document: a formal document that provides requirements, specifications, guidelines or characteristics that can be used consistently to ensure that materials, products, processes and services are fit for their purpose
Only the enterprise, enterprise goal, and capability stereotypes are part of the enterprise viewpoint. The metric, organisation, and standards are part of the management and solution perspectives.
The concept viewpoint in the TRAK architecture covers the logical view of what is needed to support the capabilities in the enterprise viewpoint model. It provides the logical connections between the solutions and business needs.
TRAK refers to the activities within this viewpoint as 'concept activities' and defines them as "a high level logical process which is independent of how the activity is carried out".
The solution perspective of the TRAK metamodel provides views of the operational solutions to the concept activities. There could be more than one solution that meets the needs expressed in the concept viewpoint. This level of the model represents a hierarchical structure of 'functions'
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The ASA is focusing on developing enterprise, concept and solution viewpoint models described in the TRAK metamodel. The three sections interconnect to make up one overall heavy rail network architecture:
 enterprise viewpoint model, which expresses the high level and enterprise needs and capabilities of the system
 concept viewpoint model, which contains logical processes that describe what is needed to support the capabilities in the enterprise viewpoint, independent of how the activities are performed
 solution viewpoint model, relates to the engineering disciplines and provides the solutions that could meet the needs expressed in the concept viewpoint
Figure 4 shows the relationship between the three sections. Figure 5 and Figure 6 show more
detailed extracts of the draft heavy rail architecture.
Capability statement
Capability statement
Enterprise viewpoint
Model
Supports Supports Supports Supports
Concept activity
Concept activity
Concept activity
Concept viewpoint model
R ealises Realises R ealises Reali ses Realise s
Solution Solution Solution Solution
Solution viewpoint model
Figure 4 - Three sections of network architecture
The long term strategic objectives of TfNSW provide the business needs for the enterprise view.
TfNSW enterprise goals are derived from the NSW Long Term Transport Master Plan and other legislative documents.
The enterprise view provides a mechanism to link activities into higher level goals such as
'improve sustainability' or 'improve quality of service'.
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Figure 5 shows some of the stereotypes defined in the draft heavy rail architecture model. A
standard governs an enterprise goal whilst an enterprise aspires to an enterprise goal. This enterprise goal requires a capability which can either depend on other sub-capabilities and be quantified by a number of metrics.
Figure 5 - Snapshot of draft NSW heavy rail architecture
The concept viewpoint in the draft NSW architecture comprises a hierarchical structure of interacting activities that have been grouped into:
 asset life cycle management
 safety management
 environmental management
 railway boundary management
 various engineering operational activities
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 capacity planning
 passenger service operations
Good systems engineering practice divides complex models into manageable portions to reduce error and confusion. The solution viewpoint model in the draft NSW architecture is based on the engineering disciplines of the heavy rail network. The reasons for using engineering disciplines include:
 simplicity of maintaining of the model
 ease of interpretation of the model
 needs and use by TfNSW divisions
The software used by the systems engineering team provides the capability to create a structure whilst maintaining the communication between the other viewpoints. This allows for the creation of a single overall model comprising manageable groups.
Figure 6 represents a snapshot showing the enterprise, concept and solution viewpoint
particular to station operations.
© State of NSW through Transport for NSW
Figure 6 - Solutions viewpoint snapshot
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The network architecture provides different stakeholders with multiple viewpoints of the transport system and its requirements. The various divisions and business units within TfNSW can each use the network architecture as a framework for business and operational activities.
The Asset Standards Authority Network Standards group can benefit from the framework to develop standalone topics, that could apply across multiple disciplines and functions for future network standards.
TfNSW Planning and Programs Division can use the network architecture as a framework to develop standard network requirements, which can be selected for each investment project or program. Business requirements can be based on the enterprise goals, capabilities, metrics, and concept activities provided by the model.
Transport Projects division awards the contract to develop contract design during which system requirements will be developed by the contractor. The concept activities and functions provide a functional framework for system requirements.
Sydney Trains can use this framework to ensure that it fulfils the requirements of its service level agreements. The enterprise goals, capabilities and concept activities provide a functional framework for developing performance indicators and other tools for monitoring contract compliance and operational performance.
Customer Experience division could use the enterprise goals, capabilities and concept activities to build a management framework that assures TfNSW meets its customer needs.
Asset planning, and managing asset information and configuration data benefit from this framework. The concept activities and functions provide a functional framework on which to base asset registers, perform asset planning, and develop asset data and asset classification structures.
Transport Services division can use this framework to ensure that it fulfils the requirements of its service level agreement with Sydney Trains. The enterprise goals, capabilities and concept activities provide a functional framework on which to base and monitor compliance with its contract; that is, to support planning and procurement of the best possible transport services for
NSW.
The architectural framework provides the wider rail industry, particularly AEOs that contract to
TfNSW, with an overall framework to view and understand the complex nature of the transport network. The functionality across various engineering disciplines described in the model supports the capabilities and enterprise goals. The heavy rail transport network architecture model will provide a functional framework for developing detailed design and implementation plans and managing system requirements.
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Table 1 shows the ASA schedule for developing a viewpoint for a specific discipline.
Table 1 - Sample schedule of viewpoint development
Task Name
Identify Scope of Work
Scope priority work list
Manage stakeholders
SME engagement
Develop SME positioning/scoping
Form technical committees
Form ad hoc technical working groups (TWG)
Develop/draft/edit Heavy Rail Transport Network Architecture
Approximate
Expected duration
7 days
7 days
26 days
1 day
15 days
5 days
5 days
Divide engineering discipline into manageable portions
Develop draft
Request SME review comments
Incorporate SME comments
Finish draft
Prepare for publishing
Risk review sign off by risk team
Prepare pre-approval edit and peer review (technical writer)
Delivery manager and SME final content review and approval
Submission for CCB approval
CCB meeting
CCB approval form signed off
Final document ready to be published
1 day
20 days
10 days
1 day
1 day
23 days
5 days
5 days
1 day
5 days
1 day
1 day
5 days
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The initial focus of the ASA has been to develop a static class diagram that represents a functional architecture for rolling stock and station precinct buildings for the passenger network.
There are more aspects that have only been peripherally examined as they interact with the modelled areas. Continuing the development of the existing areas and then expanding the scope across the whole network will result in a model that provides multiple views of the system that are consistent across all domains.
The current focus is on the heavy rail mode of passenger transport. Some of the concepts captured in the current model need to develop into a generic form so that incorporating other transport modes can be done using the same methodology. Alternatively, the draft heavy rail model could be included in a larger architectural framework. The ASA plans to use a multi phase approach that will begin with including other rail modes of freight rail and light rail before incorporating other transport modes.
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Figure 7 shows the TRAK metamodel as published by the TRAK steering group, chaired by the
UK Department of Transport. It illustrates the elements used to make the TRAK models. The
TRAK views that contain these elements are defined by TRAK viewpoints.
A full description and details of the TRAK metamodel is available from trakmetamodel.sourceforge.net
.
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Figure 7 - TRAK metamodel schematic
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