Clean European Rail-Diesel

D5.4.2 Recommendations regarding future emission reduction approaches and strategies of rail diesel traction in Europe

Due date of deliverable: 30/09/2013Actual submission date: 03/12/2013

Leader of this Deliverable: Henning Schwarz, UIC/DB

Reviewed: N

Document status

Revision Date Description

1 14/05/2012 1st outline

2 31/08/2012 2nd draft

3 01/10/2012 3rd draft

4 31/10/2012 4th draft

5 07/03/2013 5th draft

6 08/03/2013 6th draft

7 10/03/2013 7th draft – as edited during the meeting Brussels 8/9 March 2013

8 18/05/2013 8th draft – preparatory document for meeting Berlin 28/29 May 2013

9 29/05/2013 9th draft – as edited during the Berlin meeting 29th May 2013

10 23/07/2013 10th draft – with input from SP5 partners after Berlin Meeting

11 06/09/2013 11th draft – preparatory document for meeting Paris 18/19 Sep. 2013

12 03/12/2013 12th final

Project co-funded by the European Commission within the Seven Framework Programme (2007-2013)

Dissemination LevelPU Public XPP Restricted to other programme participants (including the Commission Services)

RE Restricted to a group specified by the consortium (including the Commission Services)

CO Confidential, only for members of the consortium (including the Commission Services)

Start date of project: 01/06/2009 Duration: 48 months

CLD-D-UIC-049-01 Page 1 of 23 03/12/2013

TABLE OF CONTENTSExecutive Summary...........................................................................................................................3

List of Figures.....................................................................................................................................4

Introduction........................................................................................................................................5

1. Key Results of the Sustainability & Integration Sub-Project...........................................................5

1.1 Emission Status and Development..........................................................................................5

1.2 Rail Diesel Fleet Scenarios......................................................................................................7

1.3 Cost Benefit Analysis...............................................................................................................8

1.4 Emerging Technologies and Hybrid.........................................................................................9

1.5 Conclusions............................................................................................................................14

2. Recommendations to Further Reduce Emissions........................................................................15

2.1 Recommendations to the European Commissions................................................................15

2.2 Recommendation to Member States & Public Procurement Authorities................................17

2.3 Recommendations to Railway Operators...............................................................................18

2.4 Recommendations to Engine Manufacturers and Vehicle Integrators...................................19

2.5 Recommendations to Infrastructure Managers......................................................................21

Acknowledgements..........................................................................................................................23

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EXECUTIVE SUMMARYThe results achieved in the CleanER-D project proved that the share of total emissions from rail diesel traction is very low compared to the whole transport sector (less than 2.5% for NOx and 4.5% for PM in 2008).

Substantial reductions of the total emissions of the European Diesel fleet from 1990 to 2008 have been achieved already and further significant reductions are expected until 2020 (NOx more than 35% and PM more than 45% compared to 2008). Beyond this an additional reduction of emissions is possible with existing and emerging technologies as well as hybrid solutions.

However, the key factor for further emission reduction is to accelerate the market uptake of IIIB compliant rail diesel engines into the vehicle fleet, as the fleet scenario highlights a substantial percentage of pre-NRMM engines in the future. In 2020 the share of stage IIIA and IIIB engines is estimated to be 30% for locomotives and 41% for DMUs. This share can only be increased if adequate market conditions will be provided, i.e. legislation framework, incentives as well as technologies with low LCC.

The socio-economic impact of the introduction of the stages IIIA and IIIB was investigated in a cost/benefit analysis. The benefits for society are measured as avoided external costs, due to reduced emissions compared to a continuation of UIC II emission standard. These benefits cumulate to about 1.4 billion € by 2020, whereas the engine introduction costs cumulate to 680-780 million € for the railway sector. However, system integration and vehicle platform development costs could not be considered within the CleanER-D project and would have to be included in any impact assessment.

Based on these results recommendations to all involved stakeholders were developed, in order to activate further potential and accelerate emission reduction of rail diesel traction in Europe for the future.

The key recommendations1 from the CleanER-D consortium to the main stakeholders are as follows:

European Commission “Create framework conditions supporting an increase of fleet renewal rates”

Member States and Public Procurement Authorities

“Provide framework conditions and incentives supporting an increase of fleet renewal rates and the use of innovative technologies”

Railway Operators “Use every possible economic solution over the life of the vehicle to introduce energy efficiency and emission reduction technologies in the rail diesel fleet”

Engine Manufacturers and Vehicle Integrators

“Provide economically viable solutions, which reduce emissions, fuel consumption and LCC”

Infrastructure Managers “Support energy efficient operation by intelligent traffic flow management on the network”

1 The key recommendations are presented in detail in chapter 2.CLD-D-UIC-049-01 Page 3 of 23 03/12/2013

LIST OF FIGURESFigure 1-1: Total NOx Exhaust Emissions from Rail Diesel Traction in EU27 & EFTA, CleanER-D

estimation until 2020..................................................................................................................6

Figure 1-2: Total PM Exhaust Emissions from Rail Diesel Traction in EU27 & EFTA, CleanER-D estimation until 2020..................................................................................................................6

Figure 1-3: Diesel locomotives fleet development (European Railway operators, EU27 & EFTA) 2008 – 2020...............................................................................................................................7

Figure 1-4: DMUs fleet development (European Railway operators, EU27 & EFTA) 2008 – 2020...8

Figure 1-5: Cumulated avoided external costs (benefits) vs. cumulated life cycle technology costs for introduction of NRMM stages IIIA/IIIB (2008 – 2020), European railway operators, EU27 & EFTA..........................................................................................................................................9

Figure 1-6: Technologies considered in Scenarios 1, 2 and 3 within SP6.......................................10

Figure 1-7: Total PM exhaust emission until 2030 – scenario with hypothetical “zero emission” stage vs. high commissioning of IIIB engines..........................................................................11

Figure 1-8: LCC-reduction for regional train (3x 560 kW, diesel-electric system architecture) due to hybridization within a 20 year time period, related to the medium price scenario....................12

Figure 1-9: LCC-reduction as well as investment and replacement cost for ESS for regional train (3 x 560 kW, diesel-electric system architecture) due to hybridization within a 20 year time period.................................................................................................................................................13

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INTRODUCTIONThe current document summarises in chapter 1 the key results achieved in the CleanER-D project in particular of the sub-projects SP5 (Sustainability & Integration), SP6 (Emerging Technologies) and SP7 (Hybrid).

Based on these results the CleanER-D consortium derived recommendations towards all involved parties such as

The European Commission Member States and Public Procurement Authorities Railway Operators Engine Manufacturers and Vehicle Integrators and Infrastructure Managers

These recommendations could activate further potential and accelerate the emissions reduction of rail diesel traction in Europe in the future (see chapter 2).

1. KEY RESULTS OF THE SUSTAINABILITY & INTEGRATION SUB-PROJECT

1.1 EMISSION STATUS AND DEVELOPMENT

As data from the European Environment Agency show the total emissions from rail diesel traction are very low today compared to the whole transport sector (less than 2.5% for NOx and less than 4.5% for PM in 2008).

The total emissions of both NOx and PM have already decreased by about 35% from 1990 to 2008 (EEA) and it is expected that emissions will further decrease due to:

introduction of cleaner technologies, re-motorisation schemes and a shift from locomotives to DMUs in passenger transport,

better operating regime – like driver trainings, less idling or higher load factors,

the electrification of the European rail network has increased by approx. 4% in the past years (2003-2008); this trend will most likely continue in the next years, with higher rates in the UK.

The emission scenario developed in the CleanER-D project estimates that the total emissions of NOx and PM from rail diesel traction will further decrease by approx. 37% for NOx and approx. 46% for PM until 2020 compared to 2008 (see Figure 1-1 and Figure 1-2).

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Figure 1-1: Total NOx Exhaust Emissions from Rail Diesel Traction in EU27 & EFTA, CleanER-D estimation until 2020

Figure 1-2: Total PM Exhaust Emissions from Rail Diesel Traction in EU27 & EFTA, CleanER-D estimation until 2020

[For details see D5.1.2].

CLD-D-UIC-049-01 Page 6 of 23 03/12/2013

176,63 172,21 167,90 163,18 157,99152,55

146,95141,53

135,95128,70

121,89116,13

110,25129,72

71,78

38,19 38,47

0

50

100

150

200

250

2008 2009 2010 2011 2012 2013 2014 2015 2016 2017 2018 2019 2020

ktTotal NOx Exhaust Emissions from rail diesel traction, EU27 & EFTA

CleanER-D SP5 estimation

Total NOx emissions NOx locomotives NOx DMUs

3,663,54

3,433,31

3,183,04

2,892,75

2,612,43

2,262,11

1,962,52

1,09

0,90 0,87

0,0

0,5

1,0

1,5

2,0

2,5

3,0

3,5

4,0

4,5

5,0

2008 2009 2010 2011 2012 2013 2014 2015 2016 2017 2018 2019 2020

ktTotal PM Exhaust Emissions from rail diesel traction, EU27 & EFTA

CleanER-D SP5 estimation

Total PM emissions PM locomotives PM DMUs

1.2 RAIL DIESEL FLEET SCENARIOS

The data analysis has shown that the number of rail diesel vehicles at UIC member companies in the EU27 and EFTA decreased from 2003 to 2010. For diesel locomotives there was a significant drop in numbers (from 16,700 in 2003 to 13,300 in 2010) but only about 75 % of these locomotives were in active service (2010: 10,200 active diesel locomotives). The number of DMUs increased slightly (from approx. 6,900 in 2003 to 7,100 in 2010).

Based on extensive surveys and data analysis, a CleanER-D SP5 rail diesel fleet scenario was developed covering also the non-UIC diesel fleet (see Figure 1-3 and Figure 1-4). In this scenario the number of active diesel locomotives decreases significantly from 14,100 in 2008 to approx. 9,150 in year 2020 and the number of DMUs increases from 8,900 to approx. 11,100 in the same period.

The share of stage IIIA and IIIB compliant engines for locomotives will be about 30% and for DMUs about 41% by 2020.

[For details see D5.1.2]

Figure 1-3: Diesel locomotives fleet development (European Railway operators, EU27 & EFTA) 2008 – 2020

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13963

6468

145

2142

600

0

2000

4000

6000

8000

10000

12000

14000

16000

2008 2009 2010 2011 2012 2013 2014 2015 2016 2017 2018 2019 2020

Diesel locomotives fleet development (European railway operators, EU27 & EFTA)Status: Current fleet is UICII and older as well as IIIA engines. Approx. 150 new locomotives p.a.

Repowering and decommissioning of old vehicles included.

UIC II and older IIIA (incl. remotorisation) IIIB

(70.2%)

(23.3%)

(6.5%)

Figure 1-4: DMUs fleet development (European Railway operators, EU27 & EFTA) 2008 – 2020

1.3 COST BENEFIT ANALYSIS

The socio-economic impact of the introduction of the stages IIIA and IIIB was investigated in a cost/benefit analysis. The benefits for society are measured as avoided external costs, due to reduced emissions compared to a continuation of UIC II emission standard.

Based on the fleet scenario and related emission reduction the external costs caused by NOx and PM will reduce by more than 40% from 2008 to 20202. This reduction is a result of fleet development, fleet change and fleet renewal with NRMM stages IIIA & IIIB compliant engines in new and existing rail diesel vehicles. In total the introduction of stages IIIA and IIIB will generate societal benefits from cumulated avoided external costs of about 1.4 billion € until 2020.

In the same period the life-cycle costs for the introduction of engines only with the emission stages IIIA and IIIB in comparison to UIC II emission standard cumulate for the railway sector to about 780 million € in the high technology cost scenario and 680 million € in the low technology cost scenario (see Figure 1-5). In these costs system integration and platform development costs for the industry are not included.

2 External costs from exhaust emission from rail diesel traction: 2008: PM: 299 million €, NOx: 1485 million Euro. 2020: PM: 161 million €, NOx: 927 million €. See D5.3.4 Final report on the implications of further emission reductions (Sustainability Impact Assessment)CLD-D-UIC-049-01 Page 8 of 23 03/12/2013

8163

6513

650

2338

2250

0

2000

4000

6000

8000

10000

12000

2008 2009 2010 2011 2012 2013 2014 2015 2016 2017 2018 2019 2020

DMUs fleet development (European railway operators, EU27 & EFTA)Status: Current fleet is UICII and older and IIIA engines. Approx. 250 new DMUs p.a. Repowering

and decommissioning of old vehicles included.

UIC II and older IIIA (incl. remotorisation) IIIB

(58.7%)

(21.1%)

(20.3%)

Figure 1-5: Cumulated avoided external costs (benefits) vs. cumulated life cycle technology costs for introduction of NRMM stages IIIA/IIIB (2008 – 2020), European railway operators, EU27 & EFTA

[For details see D5.3.2 and D5.3.4]

1.4 EMERGING TECHNOLOGIES AND HYBRID

Emerging TechnologiesAfter-treatment technologies can lead to further reduction of emissions however there are implications and trade-offs that can prove to be complex and potentially critical for their implementation, particularly those related to systems integration. Cutting the emission levels has the tendency to yield to heavier and bigger propulsion units. In addition the fuel consumption rises, which might be compensated with emerging engine technologies. In general terms, the outlook for meeting potentially more restrictive emission levels beyond Stage IIIB would require the use of a multi-technology after-treatment design combining EGR, SCR and DPF capabilities making it necessary to develop again new vehicle platforms because of new weight and volume requirements. For example simulation work in SP6 (Emerging Technologies) has shown for engines up to 560 kW that such combined designed propulsion unit (BSNOx 1 g/kWh) is about 18 % heavier than a conventional Stage IIIB propulsion unit. Similarly, it is considered that technologies currently in the research domain for automotive Euro VI heavy duty application could eventually achieve a status that would allow them to be the state-of-the-art for railway application in the future. While predicting a timeframe for this is not possible at this stage, it can be estimated that this will not be feasible before at the very least 2020. The key factor for simultaneous pollutant emissions and fuel consumption reduction is - and will be - the correct integration of those emerging technologies that will be gradually available for production series application.

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Three key scenarios were explored as can be seen in Figure 1-6 below. All three scenarios consider measures beyond Stage IIIB. These have been considered only for engines up to 560 kW.

Figure 1-6: Technologies considered in Scenarios 1, 2 and 3 within SP6

The process of diluting new technology into the market is a long and complex one that is not only constrained by the speed of progress in technology but also constrained by legal frameworks, demand from operators and strategic decisions made years before the emergence of a new technology.

In addition there is a pre-tender period where OEMs invest capital and time to R&D of components for engine development as well as system integration and platform development.

Against this background about 10 years between new legislation is essential to allow for satisfactory engine and integration developments.

[For details see D6.2.2, D6.2.4 & D6.3.1].

The emission scenarios within SP5 (Sustainability & Integration) up to 2030 revealed that a high commissioning rate of IIIB engines after 2020 could yield even higher emission reduction than a hypothetical introduction of a “zero emission” stage (see Figure 1-7). An earlier uptake of higher commissioning rates of stage IIIB would even further increase the positive effect.

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Stage IIIB

Emissions

EGR

+ D

PF

SCR

EGR

+ D

PF +

SC

R

EMER

GIN

G T

ECH

.

SCENARIO 1 SCENARIO 2 SCENARIO 3

Stage IIIB

Emissions

EGR

+ D

PF

SCR

EGR

+ D

PF +

SC

R

EMER

GIN

G T

ECH

.

SCENARIO 1 SCENARIO 2 SCENARIO 3

Figure 1-7: Total PM exhaust emission until 2030 – scenario with hypothetical “zero emission” stage vs. high commissioning of IIIB engines

[For details see D5.3.4]

Hybrid SolutionsThe potential of hybridization to reduce fuel consumption as well as emissions was analysed and demonstrated in the SP7 (Hybrid Solutions) by using different Energy Storage Systems (ESS) for several vehicles on defined duty cycles as well as various system architectures. Today it can be concluded that the mainly beneficial applications are regional/suburban DMU and shunter locomotives. The results prove that a reduction of fuel consumption up to 20 % compared to eco-driving can be achieved for DMUs. Energy management strategies can allow even higher savings up to 25 %. The reduction of CO2-emissions is in the same range as for the fuel consumption.

A simultaneous overall reduction of all emissions including CO2, NOx and/or PM is contradictory in some use cases. This trade off can be solved by energy management strategies and appropriate system architectures.

One promising example: For a shunter locomotive with Start-Stop strategy and downsizing of Internal Combustion Engines (ICE) from 1000 kW to 560 kW PM-emissions can be reduced up to 73 %, while NOx can be decreased up to 57 %. At the same time fuel consumption is lowered by 34 %, if a traction battery of 235 kWh is applied and when avoiding a big share of its predominating idling operations (see D7.5.4).

Not considering the fact, that the NRMM is not specifying emissions on a system level, the reduction of PM-emissions by hybridization (overall system view) is not as high as the legislative requests by 90 % for the step from IIIA to IIIB (only engine view). Therefore a hypothetical replacement of after treatment systems to reach the defined limits of emissions for stage IIIB due to use of ESS is unrealistic.

Besides the fuel and emission reduction potential of hybrid solutions a significant downsizing of ICE can be possible depending on the duty cycle and use case in order to optimize the best fit for LCC (for example use one ICE instead of three in a DMU, see D7.5.3).CLD-D-UIC-049-01 Page 11 of 23 03/12/2013

LCC assessment indicates that certain combinations for system architectures (type of ESS and transmission) and duty cycles (service types) can have lower LCC than corresponding non-ESS configurations, even though every transmission type (diesel-electric, diesel-mechanic. diesel-hydraulic) has a different baseline of LCC for a non-hybrid solution. From the LCC perspective view there are promising ESS technologies based on electric, hydrostatic or kinetic principles.

The [DE: diesel-electric propulsion, BAT: hybrid with Lithium-Ion battery, DLC: hybrid with Double-Layer Capacitor, FW: hybrid with flywheel, Bat/DLC: hybrid with hybrid ESS (both Bat & DLC), LC:Life Cycle, ESS: Energy Storage System, EoL: End of Life] and Figure 1-9 below show the calculation for a 20 year period for different fuel cost scenarios (low/ medium/ high) for another promising example: regional DMU (diesel-electric system architecture with 3x 560 kW ICE).

[DE: diesel-electric propulsion, BAT: hybrid with Lithium-Ion battery, DLC: hybrid with Double-Layer Capacitor, FW: hybrid with flywheel, Bat/DLC: hybrid with hybrid ESS (both Bat & DLC), LC: Life Cycle, ESS: Energy Storage System, EoL: End of Life]

Figure 1-8: LCC-reduction for regional train (3x 560 kW, diesel-electric system architecture) due to hybridization within a 20 year time period, related to the medium price scenario

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Figure 1-9: LCC-reduction as well as investment and replacement cost for ESS for regional train (3 x 560 kW, diesel-electric system architecture) due to hybridization within a 20 year time period

Within the Cleaner-D project investigations for hybridization of diesel-driven rolling stock with energy management possibilities were analysed in detail for the first time by a European-funded project consortium. Operation and field experiences are still at the beginning, but an optimization of ESS with energy management and operational strategies can already be done. Generally every application or use case has to be assessed for the benefit of hybridization.

It is necessary to prove the various energy management strategies of hybrid solutions in revenue service operation in order to gain more reliable data and experience. Additionally new train generations will need an optimization of the overall system architecture with energy management and customer’s operational strategies. For example electrification of auxiliaries is necessary if Start-Stop strategy and emission-free tunnel operation are used.

[For details see D7.5.3 and D7.5.4]

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-184780

-161683

-138585

-115488

-92390

-69293

-46195

-23098

0

23098

46195

DMU 560kW DE BAT, low

DMU 560kW DE BAT,

med.DMU 560kW DE BAT, high

DMU 560kW DE DLC, low

DMU 560kW DE DLC,

med.DMU 560kW DE DLC, high

DMU 560kW DE FW, low

DMU 560kW DE FW, med.

DMU 560kW DE FW, high

DMU 560kW DE Bat/DLC

V1, low

DMU 560kW DE Bat/DLC

V1, med.

DMU 560kW DE Bat/DLC

V1, high

LC Fuel Cost LC Lubrictaing Oil Cost LC Coolant Cost LC engine maintenance Cost First cost ESS system Replacement cost ESS module at EoL

10 %

5 %

- 5 %

0 %

- 10 %

- 15 %

- 20 %

- 25 %

- 30 %

- 35 %

- 40 %

1.5 CONCLUSIONS

The total emissions from rail diesel traction are very low today compared to the whole transport sector (NOx: less than 2.5%; PM less than 4.5% in 2008). And emissions of NOx

and PM have already decreased by about 35% from 1990 to 2008.

The fleet and emission development scenarios until 2020 estimate a considerable further reduction of emissions (NOx more than -35% and PM more than -45%) with a share of stage IIIA and IIIB engines of 30% for locomotives and 41% for DMUs.

An additional reduction of emissions would be possible if the migration of current engine technologies into the fleet will be accelerated, this is seen as the key factor to further reduce the fleet emissions.

The migration of new technologies into the fleet can only be accelerated if adequate market conditions will be provided (legislation framework, i.e. time between new legislation, and incentives as well as technologies with low LCC), which increase the fleet renewal rates.

The introduction of stages IIIA and IIIB will generate societal benefits from cumulated avoided external costs of about 1.4 billion € by 2020, whereas the costs for the railway sector for the introduction of stage IIIA and IIIB technology cumulate to 680 – 780 million €. However system integration and platform development costs for the industry could not be considered within the CleanER-D Project and would have to be included in any impact assessment.

Emerging after-treatment technologies can lead to further reduction of emissions. However, there are implications and trade-offs that can prove to be complex and potentially critical for their implementation, particularly those related to systems integration. Cutting the emission levels has the tendency to yield to heavier and bigger propulsion units. Thus, the key factor for simultaneous pollutant emissions and fuel consumption reduction is - and will be - the correct integration of those emerging technologies which needs further investment and time to develop.

The outlook for meeting potentially more restrictive emission levels beyond Stage IIIB would require the use of a multi-technology after-treatment design.

Hybrid technologies could substantially reduce fuel consumption and hence CO2 emissions up to 25 % as well as NOx and PM emissions depending on the duty cycle, system architecture and if appropriate energy management strategies will be applied. Furthermore a downsizing of the internal combustion engine can be achieved in some cases. LCC assessment shows that certain combinations of Energy Storage Systems (ESS), transmission and duty cycle can have lower LCC than corresponding non-ESS configurations. The positive results have to be further validated in full revenue service operation.

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2. RECOMMENDATIONS TO FURTHER REDUCE EMISSIONS

2.1 RECOMMENDATIONS TO THE EUROPEAN COMMISSIONS

Key Recommendation:

“Create framework conditions supporting an increase of fleet renewal rates”

Specific Recommendations

Legislation (NRMM Directive)

1. Any potential further exhaust emission limit stage should allow enough time for the engine manufacturers and OEMs to develop viable technical solutions and to provide stability to the railway market (e.g. 10 years after publication of the new legislation)

The experience with the introduction of the stage IIIA and stage IIIB has shown a lack of time for the sector to develop economically feasible solutions to reduce emissions. The result was a market distortion, which delayed procurement projects of rail operators due to the short time frame and legislative uncertainty. This led to lower numbers of engines sold and thus reduced the market uptake and the respective emission reduction potential.

At the moment, the industry doesn’t see a sufficient acceptance of stage IIIB locomotives, so that even the CleanER-D fleet scenario seems to be optimistic. This might partly coincide with the economic crisis since 2008, but there is a risk that this new technology will not gain a sufficient share in the vehicle fleet in 2020. Thus it is recommended to leave enough time between the introduction of a new stage for the development of the engine and the integration into the vehicle.

The CleanER-D project proposes a period of 10 years after publication of the new legislation.

2. Any potential further exhaust emission limit stage should be designed as to provide the framework for a business case for the rail operators, i.e. new limit values should be set as to allow lower fuel consumption

Fuel consumption dominates the LCC by far (more than 80% of the LCC of the propulsion system LCC). This means that fuel consumption is the leading indicator impacting the LCC. If fuel consumption is reduced by a few percent the economic incentive for an operator to purchase a new engine/vehicle is already considerable, which in return would lead to a higher market acceptance.

A further potential emission regulation should take this into account. Thus, a possible next emission stage should be designed as to reduce exhaust emissions and fuel consumption at the same time. Furthermore the emission regulation should be kept in in a range that allows keeping basic existing vehicle design limitations (i.e. space, weight, high power).

3. Another impact assessment would be required to validate requirements for further emission limits based on the results of the cost benefit analysis and methodology developed by the CleanER-D project and taking into account system integration and platform development.

The definition of limit values determines the choice of a certain after-treatment technology or a mix of technologies and thus influences strongly the LCC (i.e. fuel consumption and maintenance of the after-treatment system). The LCC have a strong impact on the acceptance of the market and the number of engines sold.

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In order to avoid market distortions with the reverse impact on the emission reduction an impact assessment would be required using CleanER-D methodology, which also takes into account the system integration and platform development costs for the industry.

Framework for Market Incentives

1. Establish a legislative framework, which allows member states to provide market incentives

Market incentives could help to accelerate migration of clean technologies into the fleet: A legislative framework, which allows member states to provide market incentives, would accelerate market acceptance, fleet renewal rates and exhaust emission reduction. Member states should also be enabled and encouraged to entitle Local Authorities to financially reward clean emission levels in new contracts for public transport services (‘Green Public Procurement’ initiatives).

Instruments for market incentives could be

tax incentives for vehicles with lower emissions (e.g. lower fuel taxes),

scrapping schemes for old diesel engines

incentives to upgrade the vehicles to the latest emissions stage (financial support for the vehicle modifications required to adapt to the latest emission technology)

incentives to upgrade the vehicles with emission saving technologies at system level

Research and Development

1. Facilitate research for innovative emission reduction technology for low LCC of the propulsion system

Continued support for research into further fuel reduction and emission reduction technologies is needed, including such research into innovative technical solutions that reduce emissions by internal measures. The technologies explored within CleanER-D could help to significantly improve current systems, however further research will be needed to quantify their effects and whether they are compatible with the systems that are currently in place.

Additionally, such researched technologies should ideally look to provide economically viable solutions for both new and refurbishment of rail vehicles with a positive impact on lifecycle cost at the same time as improving emissions and fuel performance.

2. Facilitate demonstration projects with Energy Storage System solutions for DMUs and shunting locomotives

Hybrid solutions with Energy Storage Systems (ESS) are a promising technology to save fuel and reduce emissions substantially at the same time. Especially reducing emissions at “hot spots” such as standing/parking of DMUs in stations, depots and shunting yards can be achieved by energy management strategies (e.g. start-stop). The main fields of operation are shunting and in regional traffic with a high frequency of starts and stops.

Research and development should be funded on system level in order to validate the positive results in revenue service operation:

Solutions with longer life time and lower costs of ESS should be developed to

o increase the energy and power density of the energy storage technology

o achieve safe, homologated and certified ESS

o find the best fit for the different system architectures

Development of energy and emission reduction technologies like start-stop, energy management, load balancing on multiple engine systems, driver assist systems, downsizing and electrification of auxiliaries, etc.

Developing standardized and modularized ESS with a significantly longer life time as nowadays

Support as well recommendations of forthcoming standardization work for ESS in the railway sector

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2.2 RECOMMENDATION TO MEMBER STATES & PUBLIC PROCUREMENT AUTHORITIES

Key Recommendation:

“Provide framework conditions and incentives supporting an increase of fleet renewal rates and the use of innovative technologies”

Specific Recommendations1. Local Authorities should explicitly ask for IIIB technology as well as innovative technologies

for public transport in new transport service contracts (Green Public Procurement initiatives).

At the moment a better emission performance for DMUs is not financially rewarded in contracts for public transport services. Thus there is no incentive for the operator to offer clean emission technologies even if these are available. Therefore the Local Authority should explicitly ask for engines which comply with stage IIIB or further innovative technologies to reduce emissions and financially reward a better performance.

2. Provide incentives for emission reduction technologies

As mentioned in section ‘Recommendations towards the European Commission’ under ‘Framework for Market Incentives’, Local Authorities should provide market incentives in order to significantly accelerate the migration of new technologies into the fleet. Instruments for market incentives could be

tax incentives for vehicles with lower emissions (e.g. lower fuel taxes),

scrapping schemes for old diesel engines

incentives to upgrade vehicles with emission saving technologies at system level, such as Start-Stop, driving assistance or hybrid systems.

3. Incentivise Re-Powering projects

It is projected in the CleanER-D fleet scenarios that in 2020 a share of about 60% DMUs and 70% locomotives will still not comply with stages IIIA and IIIB, but with UIC II and older emission regulation. Incentives should be dedicated to explicitly address re-powering projects in order to increase the share of stage IIIA/IIIB engines significantly in the fleet.

4. Balance requirements regarding time schedule, acceleration and engine power

The tender requirements should consider in general an appropriate balancing of the installed motorisation to fulfil the normal and realistic time table. Additional acceleration ability of the vehicles beyond the demand of the time table leads to an increase of the installed power category. This would result in higher fuel consumption and an increase of the total emissions, space and weight. This space and weight could be used for the installation of more environmentally friendly technology instead, such as enhanced after-treatment systems or hybrid solutions.

The observed tendencies of increasing power demands in new procurement projects are counterproductive for the implementation of the latest emission stage for refurbishments of existing rolling stock and may render the project technically unfeasible.

For new built vehicles, the high power once installed may be detrimental to eco-driving resulting in higher fuel consumption and emissions.

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2.3 RECOMMENDATIONS TO RAILWAY OPERATORS

Key Recommendation: “Use every possible economic solution over the life of the vehicle to introduce energy efficiency and emission reduction technologies in the rail diesel fleet”

Specific Recommendations1. Promote and introduce energy and emission efficient operational schemes for rail diesel

traction

Using less fuel for traction means fewer exhaust gas emissions of CO2, NOx and PM. Therefore any approach of the operators to enhance the energy efficiency of the vehicle or during operation will be successful to reduce emissions of rail diesel traction.

The results from EU-funded Railenergy and other projects have shown that Eco-driving schemes and Driver Assistance Systems can save about 5% fuel consumption on average in daily operation. Thus it is recommended to introduce drivers training and technical driver support to further reduce fuel consumption and emissions.

Furthermore the following should be considered

Unnecessary operation of auxiliaries should be minimised

The use of a potential engine start-stop operation

Maintenance schemes should be developed, which are especially designed to enhance energy efficiency of the propulsion system, e.g. remote condition monitoring systems

In cooperation with Infrastructure Managers further initiatives should support intelligent traffic flow management in order to reduce unnecessary stops, achieve constant speed, saving fuel and avoiding emissions (see also chapter 2.5).

2. Increase the average load factor/ occupancy rate

For transport operations the key indicator is not the absolute emissions of an engine, but the productivity of the transport from A to B. Increasing the load factor makes the transport more efficient and reduces emissions per tonne-km or passenger-km at the same time. Rail operators are naturally incentivised to increase productivity and appeal of rail transport. Thus, it is also recommended from an environmental perspective to put high efforts to further increase load factors and occupancy rates.

3. Focus on LCC of emissions reduction technology in the procurement process

Generally, buyers of new vehicles and replacement engines tend to focus very much on first cost. But as railway vehicles have very long life cycles and the CleanER-D LCC model has shown that fuel consumption dominates by far the LCC for diesel traction, it is recommended to focus on LCC, i.e. on fuel consumption, when making procurement decisions. It is clear that this might be easier for big railway operators than for smaller ones.

4. Promote clean technologies in the market

Operators should make use of possible existing scope in the negotiation phase with local authorities to promote and establish cleaner technologies in the specific tender and in the market even if stage IIIB technologies are not specifically asked for in tenders for regional public transport.

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5. Introduce a reporting system that monitors the EU-wide direct exhaust emission from rail diesel traction

The CleanER-D project has delivered consistent and high quality data on past and future development of rail diesel fleet and related exhaust emissions on European scale. In order to have a solid data basis to support company internal decision making as well as decision making on political or European level, it is recommended to introduce a monitoring system for diesel exhaust emissions on a European scale as outlined in Deliverable 5.1.3, which allows a regular reporting and following up on committed sector targets.

Of course, this proposal implies improvements in company data collection on energy consumption and emissions. This data can then also be used during the evaluation process of alternative technical solutions for powering vehicles. UIC is currently developing such a framework for monitoring the emission reduction target as outlined in the sector strategy ‘Moving towards Sustainable Mobility: European Rail Sector Strategy 2030 and beyond’ adopted by members of UIC and CER in 2010.

2.4 RECOMMENDATIONS TO ENGINE MANUFACTURERS AND VEHICLE INTEGRATORS

Key Recommendation:

“Provide economically viable solutions, which reduce emissions, fuel consumption and LCC”

Specific Recommendations1. Develop new innovative solutions for application in railways (engine manufacturers)

In consideration of the marginal share of diesel engines in rail applications compared to the total market of the engine manufacturers as well as the overall decreasing quantities in the sector according to the CleanER-D fleet scenarios, a business case of new engine generations for rail traffic is increasingly difficult to generate.

The operational conditions of diesel engines in the rail sector are very specific in terms of the installation situations, mechanical and climatic requirements and load profiles.

The following requirements are essential for future railway engines and have to be addressed in the engine design:

Variants with different rated power and different exhaust after-treatment systems

Little space requirement of the engine (e.g. low building height)

Little space and weight requirement of the exhaust after-treatment systems including the necessary space requirement for media and silencer

Use technologies, which require little specific cooling capacity per net output power. The overall space of engine and cooling unit should not be increased. An increase of cooling demand increases the consumed power for auxiliary, too.

Reduce auxiliary power demand for the engine and exhaust after-treatment

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The very dense arrangement of railway engines complicates maintenance. The reduction of parts which need to be maintained should be a design goal for further emission reduction systems to reach LCC-optimized designs

Increase the efficiency of the diesel engine

At the moment a one to one transfer of engine models from other sectors is not feasible.

2. Especially for repowering projects, provide a variety of engine solutions at the latest emission stage considering overall weight and space constraints for integration into existing vehicles (engine manufacturers and vehicle integrators)

As the life cycles of rail vehicles are always much longer than the life cycles of the engines, repowering is essential for the sector.

For repowering projects the legislation opens up an exemption for Stage IIIA engines once proven, that IIIB engines are not applicable in particular vehicles.

According to the CleanER-D fleet scenarios however, in 2020 still a big share (see D5.2.1 and D5.3.4) of the considered rail vehicles won’t be equipped with Stage IIIA and IIIB compliant engines.

In order to facilitate the integration of latest emission technologies for the operators and vehicle owners, the engine manufacturers and vehicle integrators should provide a variety of different solutions and possible combinations of engine and exhaust after-treatment systems. Bearing in mind the specific installation circumstances on existing vehicles, manifold concepts might be required.

3. Optimize the traction system and auxiliaries (vehicle integrators)

The operation expenses of the diesel propulsion system are dominated at present by more than 80% (see D 5.3.2) by the fuel consumption. The vehicle integrators are supposed to optimize the overall efficiency of the train more intensively. The efficiency depends on the concept of the traction transmission (efficiency based on the type of drive max. ca. 85-95%) and efficient auxiliary systems for the engine and the hotel power of the train.

A smart vehicle control unit has to optimize the provision of power, traction needs and auxiliary demand.

Recent emission saving technologies such as Driving Assistance, Start-Stop or Hybrid systems together with associated trainings for drivers have to be developed and promoted selectively. Especially the emerging Hybrid solutions with Energy Storage Systems might significantly reduce the idling operation of diesel engines at vehicle stops in stations, depots or shunting yards and supply the auxiliaries. For this purpose, the Energy Storage could be charged either motor-driven or with recuperation energy when braking the vehicle. Due to the additional weight, a Hybrid System only pays off under specific operational conditions which in case of a suburban railcar or shunting locomotive will be enhanced with the advancing development of viable storage systems.

4. Offer IIIB technology as well as innovative technologies for public transport in new transport service contracts, even if not explicitly required by the local authorities (vehicle integrators)

Even if any better emission performance is not required in tenders for public transport services the vehicle integrators should offer procurers options for further innovative technologies. So procurers can consider these as part of the bid process

The local procurement authorities should be able to choose in the end between bidders offering existing rolling stock with older emission standards and bidders offering operation with modern, eco-friendly vehicles including an advertising effect.

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5. Offer specific service concepts and structures which could ease the introduction of new engine types and technologies for the operator (engine manufacturers and vehicle integrators)

The introduction of modern engine types and technologies requests new logistic preconditions for the maintenance. Whereas bigger enterprises conduct essential maintenance operations with their own manpower in their workshop, smaller operators need alternative strategy and completion cost driven.

To satisfy all involved parties, the development of a viable maintenance concept by the engine manufacturer and vehicle integrator is essential. They should offer specific service concepts, which do not limit service for the new technologies to the components builder. Besides the concepts known today new ones provided by independent service partners or a cooperation model with the use of their own local facilities and utilities will be needed to spread the new technologies.

6. Indicate emission characteristics of NOx and PM beside the specific fuel consumption in the product specification (engine manufacturers)

The different kinds of emissions usually have an interactive impact on one another. Based on the applied technology there are inner-engine interactions, which have to be handled with appropriate measures of exhaust after-treatment for compliance with the limits of the current emission Stage IIIB.

The load and speed dependent characteristics of an engine system in terms of the specific fuel consumption can often be taken from the engine’s data sheet. For sensitizing the vehicle integrator and operator as well as for their possible exercise of influence on NOx and PM emissions, these characteristics should also be indicated in the prospective specifications of engines and power packs alongside the specific fuel consumption.

The emission characteristic diagrams would enable the vehicle integrators to develop an optimized traction and auxiliary system emission-wise. These emission characteristic diagrams could also be a base for operators to optimize the time table of their lines to contribute to lower emissions.

2.5 RECOMMENDATIONS TO INFRASTRUCTURE MANAGERS

Key Recommendation:

“Support energy efficient operation by intelligent traffic flow management on the network”

Specific Recommendations1. Support fluent traffic and eco-driving by communication board to ground

When Eco-driving operations are supported by real time interactive communication with the Infrastructure Manager, the potential of energy saving and emission reduction by eco-driving can be significantly potentiated. This can be achieved by:

Optimized traffic control: reduction of unnecessary starts and stops

Speed profile optimization in non-conflicted situations

Automatic Train Dispatching: continuous automatic re-routing of all scheduled train paths

Recent experiences from different railways proved that a variety of possibilities to improve the energy efficiency in this sense are already available.

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For example DSB demonstrated that the GreenSpeed Driving Advisory System (which through a real time data transmission land-train-land recognizes conflicts in advance and corrects optimal velocity in real time) allowed a reduction of the total energy consumption of up to 6-8% in 2012 compared to 2011 levels. Preliminary studies made by SBB envisage significant energy saving potentials. A reduction of unnecessary stops (about 2500 per day in Switzerland) and a more fluent way of driving (less braking/accelerating) can decrease the energy consumption up to 2 to 3%. Moreover, in non-conflicted situations an accurate speed profile optimization can further reduce the energy consumption by 2%. Lastly –through a continuous automatic re-routing of all scheduled train paths (Automatic Train Dispatching) – a further 1% of the total energy consumption can be reduced.

The impact and requirements for the technological communication interface to be installed have to be analysed and considered by the involved parties (Infrastructure Managers, Operators and Vehicle Integrators).

2. Energy Efficiency in long term planning

Energy efficiency can be taken into account at an early stage in the planning process of the Infrastructure Manager, for example when planning travel times, speed profiles and construction of timetables in order to avoid conflicts and optimal use of slack time. Furthermore energy efficiency requirements can be implemented into the track layout & gradients in the design phase. As the planning process and design is very complex further investigations have to be performed to evaluate the energy efficiency potential in long term planning of the Infrastructure Manager.

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ACKNOWLEDGEMENTS

The leader of this deliverable would like to thank all members of the CleanER-D SP5 contributing to this deliverable!

A special mention goes to:

Dominique Hegy (Alstom)

Bryan Donnelly (ATOC)

Andreas Degenhardt (Bombardier)

Franz Ponholzer (DB)

Roland Nolte (IZT)

Christian Kamburow (IZT)

Ulrich Beutke (MTU)

Klaus Montesi-Heimerl (Siemens)

Michael Meinert (Siemens)

Herman Rau (Siemens)

Ahmed Al-Sened (TEC)

Veronica Aneris (UIC)

Roberto Palacin (UNEW

Paul Batty (UNEW)

Judit Sandor (UNIFE)

Gert Tekale (Voith)

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