UIC CODE 345

1st edition, June 2006

Original R

Environmental specifications for new rolling stock

Spécifications environnementales pour le matériel roulant neuf
Umweltspezifikationen für neue Schienenfahrzeuge
Leaflet to be classified in Volume:
III - Finance, Accountancy, Costs, Statistics

Application:
With effect from 1 June 2006
All members of the International Union of Railways

Record of updates
1st edition, June 2006 First issue

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Contents

Summary ..............................................................................................................................1

1- Introduction ................................................................................................................. 2

1.1 - Structure of the leaflet........................................................................................... 2

1.2 - Scope and approach ............................................................................................ 2
1.3 - Target audience for this leaflet ............................................................................. 3
1.4 - Key environmental areas for railways................................................................... 4
1.5 - Economic effects .................................................................................................. 5
1.6 - Opportunities and risks ......................................................................................... 5

2- Legal framework of procurement .............................................................................. 7

2.1 - Key environmental legislation ............................................................................... 7

2.2 - Legal framework for the integration of environmental aspects with
respect to EU public procurement ...................................................................... 10
2.3 - Integrated product policy (IPP) ........................................................................... 11

3- Environmental specifications in invitations to tender........................................... 12

3.1 - Considering environmental aspects in the procurement process ....................... 12

3.2 - Types of specifications ....................................................................................... 16
3.3 - Degree of quantification of environmental specifications.................................... 18
3.4 - Detailed description of environmental specifications .......................................... 19
3.4.1 - General prerequisites....................................................................................... 19
3.4.2 - Energy efficiency.............................................................................................. 19
3.4.3 - Noise emissions............................................................................................... 23
3.4.4 - Diesel exhaust emissions ................................................................................ 25
3.4.5 - Materials/Recycling/Waste............................................................................... 28
3.4.6 - Others .............................................................................................................. 32
3.5 - Approach to the evaluation of environmental aspects in tenders ....................... 35

Appendix A - Quantification of specifications ................................................................ 38

Appendix B - Overview of all specifications ................................................................... 40

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Appendix C - Background information for key areas..................................................... 41
C.1 - Energy efficiency ................................................................................................ 41
C.2 - Noise .................................................................................................................. 45
C.3 - Diesel exhaust emissions ................................................................................... 47
C.4 - Materials, recycling, waste.................................................................................. 48
C.5 - Other................................................................................................................... 50

List of abbreviations ..........................................................................................................54

Bibliography .......................................................................................................................56

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Summary

The Leaflet addresses all relevant aspects for the integration of environmental aspects into the
procurement process: from invitations to tender to evaluating tenders with regard to their
environmental performance. The leaflet is derived from the UIC project PROSPER (“Procedures for
Rolling Stock Procurement with Environmental Requirements”).

It is the aim of this leaflet to contribute to harmonisation of the environmental procurement

framework in the rail sector at European, and in the long-term global level. By doing so the process
of procurement is to become more efficient, enabling new rolling stock with a sound environmental
performance to be procured more cost effectively.

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1 - Introduction

UIC Leaflet 345 addresses all relevant aspects for the integration of environmental aspects into the
procurement process. It is designed to enhance the procurement of rolling stock for both setting up
invitations to tender and evaluating tenders with regard to their environmental performance. The
leaflet is derived from the UIC project PROSPER (see Bibliography - page 56).

It is the aim of this leaflet to contribute to harmonisation of the environmental procurement framework
in the rail sector at European, and in the long-term global level. By doing so the process of
procurement is to become more efficient, enabling new rolling stock with a sound environmental
performance to be procured more cost effectively.

Please note that this leaflet is designed as a guidebook and it is thus not possible to demand
compliance "clause by clause". Instead the content of this leaflet will have to be adapted to suit the
existing procurement procedures and the economic needs and environmental priorities of each
operator. The status of this leaflet is "recommended".

1.1 - Structure of the leaflet

In point 1 the scope and overall aim of the leaflet is outlined. In point 2 - page 7 the legal framework for
procurement is sketched. The core of the leaflet is point 3.4 - page 19 in which detailed descriptions of
environmental performance specifications are given. In point 3.1 - page 12 an outline is given showing
how environmental performance can be incorporated into the procurement process. Point 3.5 - page 35
outlines how the tender evaluation process can be structured. Background information on the key
environmental areas covered is given in appendix. A list of abbreviations can be found on page 54.

A background paper accompanying this leaflet entitled "Legal Aspects of Eco-Procurement" (see
Bibliography - page 56) was developed within the PROSPER project. It specifies the legal framework
in greater detail and gives additional information on the issues covered in this leaflet.

1.2 - Scope and approach

This leaflet is intended to provide assistance for the procurement of new rolling stock for passenger
as well as freight transport (multiple units, locomotives, wagons and coaches). It addresses all the
relevant areas in the context of integrating environmental aspects into the procurement process. The
leaflet adopts a functional approach using performance-related and not solution-related environmental
specifications.

In general, a life-cycle perspective is favourable when assessing environmental impact. In this respect
the recommendations given in this leaflet aim at improving environmental performance focussing on
the most crucial issues within the whole life-cycle. In many cases the long life span of rail vehicles
shifts the use phase into the centre of attention. On the other hand, operators are best equipped to
improve performance during use at the procurement stage.

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The following key questions in the process of procurement of rolling stock are addressed:

What are the key environmental areas to be addressed in invitations to tender?

The key areas of energy consumption, noise emissions, exhaust emissions and materials/recycling/
waste are considered. Furthermore, other miscellaneous issues such as the forthcoming
environmental aspect of electromagnetic fields, have been included in the leaflet in line with the
precautionary principle1.

How should the procurement process be organised to enhance the environmental

performance of new rolling stock?
As the procurement of new rolling stock is influenced by a large number of different actors inside and
outside the railways, it is crucial to have a clear view of the process steps needed and the categories
of experts that must be involved in procurement of rolling stock and the role they must play in order to
achieve a clearly defined environmental performance.

Which environmental specifications should be used in invitations to tender?

The focus of this leaflet is to harmonise a set of qualitative environmental specifications that cover the
key aspects governing the environmental performance of railway operations. In this leaflet target
values are given for those specifications for which they could be derived from the applicable
legislation. For all other quantifiable and measurable specifications no values are defined. Instead,
operators should set requirements for performance values in order to assess the environmental
performance of new rolling stock under specific conditions and at the same time improve the
information bases for the respective specification.

In this respect it has to be pointed out that this leaflet is to be considered a first step towards a list of
harmonised environmental standards in rail procurement. The specifications which can be handled
(and verified!) at present are listed. Further harmonisation requirements and ongoing efforts are
pointed out in the respective sections.

What approach should be used to evaluate tenders?

An approach to the evaluation of tenders should integrate assessment of the environmental as well as
the economic performance with respect to Life-Cycle-Costs (LCC). A five-phase model for the
evaluation process is proposed.

1.3 - Target audience for this leaflet

This leaflet is aimed at users within the rail business who are involved in the procurement of new rolling
stock, but who are not directly concerned with environmental aspects. Technical and purchasing
experts in particular are therefore identified as the main user groups, but environmental experts will
also find valuable information here. The leaflet will help the user to:
- prioritise environmental aspects for rail vehicles,
- integrate environmental specifications in invitations to tender in a consistent manner and
- evaluate tenders in terms of meeting environmental requirements.
Although the leaflet is primarily geared towards assisting operators, it is also intended to be useful for
engineering and purchasing staff of manufacturers in the supply chain (system integrators, system
manufacturers, sub-suppliers, etc.).

1. For a definition of the precautionary principle, see the European Commission's Communication COM
(2000) 1.

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1.4 - Key environmental areas for railways

Noise
Noise Energy Efficiency
Energy Efficiency

Diesel Exhaust
Diesel Exhaust Materials/
Materials/
Emissions
Emissions Recycling/Waste
Recycling/Waste

Fig. 1 - Key environmental areas

The most relevant environmental areas for railways at the moment are noise, diesel exhaust
emissions and energy efficiency.

Noise and Diesel Exhaust Emissions are highly relevant for railways because of increasing public
pressure in these areas leading to stricter legislation which partly is in force already (Environmental
Noise Directive, TSI for High-speed noise, and Non-Road Mobile Machinery Directive) or will enter into
force in the near future (TSI Noise for conventional rail). Further steps or stricter emission limit values
are foreseen in these two environmental fields by the legislator.

As far as Energy Efficiency is concerned, railway transport has very clear advantages compared to
other modes of transport. However, competitors are putting a lot of work into reducing their energy
consumption. In view of this, energy efficiency is of high priority for the railways because cutting
energy consumption:

- helps to maintain/strengthen the competitive position of railways compared with other modes of
transport

- helps to cut the Life-Cycle-Costs of railway operation and

- is in line with international agreements on climate protection, such as the Kyoto Protocol.

Materials/Recycling and Waste is subject to extensive international legislation. It has increasingly

become a priority for the rail sector over the last decade due also to customer requirements. Since the
concept of an Integrated Product Policy (IPP) is becoming more and more relevant in the EU, resource
consumption and the ability to reintegrate materials into the material cycle are high on the agenda. For
the industry as well as railways this represents the need for environmentally sound selection of
materials and technology, improving knowledge of restricted materials used in vehicles to avoid
hazardous waste, occupational health impact during manufacture and maintenance and improving
vehicle recyclability, thereby cutting resource consumption. Although not generally applicable to rail
products, the EU directives WEEE and RoHS (see List of abbreviations - page 54) set the scene and
lay down a strategy from a regulatory point of view.

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1.5 - Economic effects

The complex interaction between environmental and economic performance of rolling stock is of vital
importance for the railways. The economic effects of specific measures to improve environmental
performance depend primarily on the framework conditions of the relevant key area (legislation,
regulations, policy, standards etc.) as well as the technologies used (technological potential, degree
of innovation, maturity, availability, market size) and cover a wide range from being highly cost
reducing to highly cost intensive.

In order to guarantee the competitive advantages of railways in comparison to other modes of

transport, improvement of environmental performance in non-regulated areas must be brought about
in a highly cost efficient way. To identify the best solutions a detailed assessment of the environmental
and economic effects of the applicable technological options must be carried out.

A qualitative evaluation of the impact of improving environmental performance showed in many cases
an increase in investment costs. A thorough analysis of economic effects should not focus on initial
investment costs only but be based on a LCC perspective and take into account future developments
in the legal, political and technological framework conditions.

- Improving energy efficiency is believed to have clear benefits in terms of LCCs. As energy
efficiency is also one of the outstanding environmental aspects for railways, very high priority is
accorded to the associated specifications.

- Achieving noise and exhaust emission levels lower than the legally mandatory levels can lead to
increasing LCC, at least under the current legislation and using the technologies available.
Limiting electromagnetic fields in accordance with current recommendations is believed to have
no significant influence on operating costs but to slightly increase investment costs.

- Ambivalent effects on LCC have been noted for improving the environmental performance in the
materials/ recycling/ waste area. There often appears to be a compromise between higher
investment costs and lower end-of-life and sometimes also maintenance costs. End-of-life costs
of rolling stock are quite difficult to assess. The technical standard for dismantling and recycling
facilities, as well as the respective legislation, is very difficult to estimate over a thirty year time
frame. However, the high costs of asbestos or PCB disposal for example demonstrate the need
for a thorough LCC analysis.

1.6 - Opportunities and risks

Sound strategic management should always take into account environmental risks and opportunities
as well as the investment perspective (short, medium and/ or long term). This is especially true for the
long life-span of rail vehicles, which calls for a long-term risk/ opportunity perspective in the
procurement of these vehicles. Changing framework conditions (e.g.: operating conditions,
relationships with competitors, legislation, customer requirements) could impose risks but could also
create opportunities for railway operators. In line with the overall trend in society, the demand for
environmental performance is increasing - a fact which also holds true for the rail sector.

Despite the uncertainties associated with long-term assessments generally, it is a necessity from a
prudent business perspective to take such long-term assessments into account and make every effort
to minimise future risks. Taking environmental aspects into account in such assessments may not only
outweigh investment costs (e.g. by avoiding high retrofitting costs in the life span of vehicles), but may
also create advantages towards other modes of transport.

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Minimising operational costs

Sound environmental performance in many fields contributes to minimisation of operational costs.

Some issues can quite easily be addressed in LCC assessments (see point 1.5 - page 5). Most
prominent is energy consumption. In view of the mid and long-term increase in energy supply prices,
energy efficient vehicles will become a business prerequisite. Furthermore, there are various other
minor issues which could contribute to reducing operational costs (for example, reducing the wear of
braking material reduces emissions and contributes to lower maintenance costs).

Reducing business risks

A change in the legal framework in particular could pose severe business risks for railways.
Readjustments (modernisation and upgrading) during the life-cycle of rolling stock are normally very
costly especially if the respective technical solutions have not been integrated into the design of the
vehicle. European and national legislation does not normally focus on the existing fleet but rather on
new vehicles and consequently does not cause restrictions in operation in most cases.

However, some very general legislation (such as the EU directive on ambient air quality) may trigger
action at national or regional level which could restrict the operability of rolling stock with low
environmental performance. In addition, local authorities could demand specific environmental
performance in tenders for service contracts. High environmental performance in new rolling stock
thus increases the proportion of an operator's fleet able to fulfil a greater variety of demands.

Strategies for the rail sector

Optimising the environmental performance of rail vehicles in a pro-active way can create opportunities
for the whole rail sector. With a view to other modes of transport (road and air), it is important to
maintain and extend the environmental advantage of rail transport in order to gain the strong support
from politics and the public which is needed to be a successful mode of transport in the future. If the
rail sector adopts the strategy of complying with legal requirements only, the reputation of the railways
could be damaged and a loss of opportunities in intra-modal, as well as in inter-modal, competition
could result.

By further developing environmental standards for the rail sector, risks can be minimised and business
opportunities enhanced via improved environmental performance with minimised LCCs.

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2 - Legal framework of procurement

2.1 - Key environmental legislation

The following tables give an overview of international, EU and national legislation concerning the four
environmental key areas of noise, diesel exhaust emissions, energy efficiency and materials/
recycling/waste, as well as miscellaneous other issues. The focus of this overview is on legislation
which is applicable in Europe. The current status and future trend of legislation and other regulations
are covered.

Detailed information on the legal framework of each key area can be found in the background
document "Legal Aspects of Eco-Procurement" (see Bibliography - page 56).

Noise

Legislation Other regulations Trend

Harmonisation at EU-level - EU green and white - No trend limit values
papers
- TSI Noise for HST (EU - Noise-level related route
Directive 2002/735/EC) pricing (e.g. Switzerland,
and conventional railways the Netherlands)
(EU Directive 2001/16/EC)
- TSI revision process

Diesel exhaust emissions

Legislation Other regulations Trend

Harmonisation at EU level - UIC Leaflets 623/624 - Decreasing limit values
"Exhaust emission tests
- EU Directive 97/68/EC on for diesel traction engines" - Stage IIIA (2005-2009 of
non-road mobile EU Directive)
machinery is extended to - EU Directive on ambient
railway applications by its air quality - Stage IIIB (from 2011 on)
Amendment 2004/26/EC subject to revision in 2007

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Energy Efficiency

Legislation Other regulations Trend

No harmonisation at EU level - International agreements - EU draft directive on
on climate protection (e.g. energy end-use efficiency
Kyoto Protocol) and energy services (COM
(2003) 739))
- Indirect measures and
incentives: taxes, emission - EU directive on eco-design
trading requirements for energy-
using products (EuP, not
valid for vehicles)

- 2008-2012: 8 %-9 % EU
average reduction for CO2
emissions

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Materials, recycling and waste

Legislation Other regulations Trend

Harmonisation at EU level - Restricted materials and - REACH process (see List
EU directives on: recycling/recovery rates of abbreviations - page 54)
for electric/electronic
- Classification of equipment (EU Directive - More substances will be
dangerous substances 2002/96/EC - WEEE) included
(EU Directive 67/548/EEC
and its amendments) as - (EU Directive 2002/95/EC - Reduction of target values
well as corresponding RoHS) for harmful substances
Commission Regulation
EC No 1488/94 on risk - Restricted materials and
assessment of existing recycling/recovery rates
and Commission Directive for end-of life vehicles (EU
93/67/EEC on risk Directive 2000/53/EC -
assessment of notified ELV; not valid for rolling
substances stock)

- Marketing and use of - Montreal Protocol on

certain dangerous substances that deplete
substances (EU Directive the ozone layer
76/769/EEC and its
amendments) - OSPAR Convention for the
Protection of the Marine
- Dangerous preparations Environment of the North-
(EU Directive 1999/45/EC East Atlantic
and its amendments)
- Stockholm Convention on
- European waste catalogue persistent organic
(EWC - EU Commission pollutants (POPs, see List
Decision 2000/532/EC) of abbreviations - page 54)

- EU battery legislation,
Directive 91/157/EEC

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Other

Legislation Other regulations Trend

EMF - European Council - Harmonisation efforts on
Recommendation 1999/ EU level
- EU Directive 2004/40/EC 519/EC on the limitation of
on exposure of workers to exposure of the general - Low precautionary limits
EMF public to electromagnetic
fields (stricter than EU - No trend limit values
- Stringent national Directive 2004/40/EC)
legislation (Switzerland,
Italy, Finland stricter than - Generally accepted
ICNIRP (see List of recommendations
abbreviations - page 54) (ICNIRP values)

- National
recommendations

2.2 - Legal framework for the integration of environmental aspects with

respect to EU public procurement

Essentials

EU legislation for procurement in the transport sector explicitly permits and encourages the integration
of environmental issues in the award procedure. The so-called "Utilities Directive" covers all state as
well as non-state enterprises operating in the field of transportation which act based on special or
exclusive rights (e.g. awarding authorities, operators, leasing companies, etc.).

Scope of the utilities Directive

The scope of the procurement process, guided by Council Directive 93/38/EEC ("Utilities Directive")
and the corresponding Commission Regulation (EC) No 1874/2004 of 28 October 2004 (see
Bibliography - page 56), also include non-state enterprises operating in the field of transport
procurement, which act based on special or exclusive rights where supply or service contracts
exceeding a (net) order value of € 473 000 - or construction orders exceeding € 5 923 000 - are
awarded. Thus the procurement of new rolling stock for railways must in most cases comply with the
"Utilities Directive".

Modifications by the "new" consolidated regulations for awarding contracts

By 31 January 2006 at the latest the EU Member States have to implement the new "Utilities Directive"
2004/17/EC (see Bibliography - page 56). From an environmental point of view, the most significant
change compared to the previous version is the explicit statement that the integration of environmental
issues into the award procedure is now permissible and desired. Furthermore, it clarifies that the
production process may be taken into consideration for the awarding procedure.

Essentials of the awarding procedure

The contracting authority is basically free to determine the requested scope of performance. It has
procurement autonomy which is subject only to the prohibition of direct and indirect discrimination.

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In essence, a comprehensible description of performance is required, which is guided by European
standards and specifications. Selection of the appropriate tenderer (according to the qualification
criteria) must be separated from the evaluation of the offers (according to the awarding criteria). The
awarding party determines the decisive criteria for the evaluation of the tender. The central principles
of the awarding regulations regarding disclosure, transparency, objectivity and equal treatment must
be respected.

Besides the qualification criteria and the awarding criteria, additional criteria may be taken into
consideration when taking the awarding decision. These additional criteria must not be contrary to the
exclusion and qualification criteria standardised in the "Utilities Directive", must not discriminate
between participants and must respect further prohibitions and orders of the EU treaty; they have to
be announced in parallel to the other contract conditions, must be verifiable in an objective manner
and must not leave the awarding party unrestricted freedom of choice.

2.3 - Integrated product policy (IPP)

All products cause environmental degradation in some way, whether as a result of manufacturing, use
or disposal. Integrated Product Policy (IPP) as proposed by the EU seeks to minimise these by looking
at all phases of a products' life-cycle and taking action where it is most effective and utilising input from
all relevant stakeholders.

The life-cycle of a product is often long and complicated. It covers all the areas from the extraction of
natural resources, through design, manufacture, assembly, marketing, distribution, sale and use to
eventual disposal as waste. At the same time it also involves many different actors such as designers,
industry, marketing experts, retailers and consumers. IPP attempts to stimulate each part of these
individual phases to improve their environmental performance.

With so many different products and actors involved, there cannot be one simple policy measure for
everything. Instead a whole variety of tools - both voluntary and mandatory - will be used by EU to
achieve this objective. These include measures such as economic instruments, substance bans,
voluntary agreements, environmental labelling and product design guidelines.

This leaflet supports the EU's IPP approach by defining environmental requirements specifically for
rolling stock. Thus the environmental impact of rolling stock in the life cycle will be reduced efficiently.

For further information, please visit the EU Commission's web pages on Integrated Product Policy:
http://ec.europa.eu/environment/ipp/home.htm.

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3 - Environmental specifications in invitations to tender

3.1 - Considering environmental aspects in the procurement process

The procurement process for new rolling stock is characterised by a range of different requirements
to be fulfilled and a large number of actors involved. For efficient integration of environmental
requirements into the railway procurement process, it is important to clarify and define the roles of the
different players in the process and be aware of the interfaces involved and information required at the
various process stages.

For example, the question of who sets the requirements for the environmental performance of rolling
stock is not always easy to answer and differs from country to country and company to company. In
addition to legal requirements and requirements voluntarily set by the railway operator, additional
requirements may be set by infrastructure operators or national authorities which put transport
services out to tender such as regional rail transport. These additional requirements must also be
taken into account in the procurement process.

Fig 2 - page 13 proposes a generic procedure for the procurement process (highly simplified) and
proposes a method for integrating environmental aspects into the procurement process, based on this
leaflet.

The subsequent explanations provide definitions of the interfaces to the environmental aspects and of
the tasks that have to be performed to integrate environmental aspects, as well as a description of the
input needed to carry out these tasks.

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 Procurement process Environmental tasks Input/Output

New rollingstock
New rolling stock
shall beprocured
shall be procured
Tasks Input
. Internal implementation of set . External requirements
Step 1
of environmental specifications . Environmental policy of
. Market investigations - the company
Preparation of the . UIC leaflet 345
identification and assessment
procurement project
of good practise examples
. Assessing additional external
and internal requirements Output
. Draft invitation to tender . Draft invitation to tender
Frame requirements
Frame requirements forfor . Draft for the evaluation of tenders . Draft for the evaluation of
the
the procurement
procurement ofofthe
the tenders
rolling stockare
rolling stock aredefined
defined

Step 2 Tasks Input

. Determination of the . Draft invitation to tender
Drawing up the invitation
environmental specifications . UIC leaflet 345
to tender including target values and
detailed descriptions of the
required environmental
Invitation to
Invitation to tender
tender performance Output
is present,
is present, rolling stock . Detailed environmental
rolling stock manufacturer
manufacturer are invited specifications (target values,
are invited environmental performance)

Step 3 Tasks Input

. Evaluation methodology to be . Draft for the evaluation of tenders
chosen . UIC Leaflet 345
Evaluation of tenders . Evaluating the environmental
performance of the tendered
rolling stock
. Life Cycle Cost and Risk Output
Assessment . Results of the evaluation
The
Theresult
result ofof the
the
evaluation
evaluation isispresent
present

Step 4 Tasks Input

. Fixing defined environmental . Results of the evaluation
Decision on a tender/contract performance, milestones for
the follow-up on environmental Output
performance, verification . Rolling stock with defined
procedures environmental performance

Rolling
Rolling stock with
stock with
defined performance
defined performance parameters
parameters will be
will be procured
procured = activity

= incidence

Fig. 2 - Procedure for the integration of environmental aspects into the railway procurement process

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3.1.1 - Step 1: Preparation of the procurement project

The preparation of the tendering phase in terms of environmental requirements is a fundamental step
towards integrating environmental aspects into the procurement process. Prior to drafting a tender,
the operator should perform market investigations to identify the technological state of the art and
analyse examples of good practise which could serve as benchmarks.

At this phase, the harmonised set of environmental specifications as defined in this leaflet should be
used as a basis for drawing up the invitation to tender (and later for the evaluation of tenders). This
first approach should be completed by including additional internal and external requirements resulting
from specific national legislation, a particular focus of the operator's environmental strategy, etc.
Furthermore, it helps to clearly define responsibilities and interfaces.

Harmonised set of Environmental specifications

The internal implementation of UIC Leaflet 345 provides the basic set of harmonised environmental
specifications to be integrated into the draft invitation to tender.

Involved: Environmental and technical experts

Input: UIC Leaflet 345
Output: Internal set of basic environmental specifications.

Additional external and internal requirements

In the next step the railway should assess additional external and internal requirements for the
environmental performance of the kind of rolling stock to be procured not yet or not sufficiently covered
by the UIC leaflet. Examples are:

- Specific national or regional legislation and regulations

- Specific requirements from national and/or local authorities or infrastructure operator (if
applicable)

- Requirements from other stakeholders (e.g. customers, NGOs, general public).

Involved: Environmental and technical experts

Input: External requirements, Environmental policy of the company, UIC Leaflet 345
Output: Overview of additional external environmental requirements.

Draft invitation to tender

Involved: Technical, environmental and purchasing experts

Input: UIC Leaflet 345, outcome of the assessment of external and internal requirements
Output: Customised set of environmental specifications for the invitation to tender.

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Draft for the evaluation of tenders

Involved: Technical, environmental and purchasing experts

Input: UIC Leaflet 345, outcome of assessment of external and internal requirements
(priorities)
Output: Draft document for the evaluation of tenders.

- Procedure for the evaluation of tenders

- Procedure for the impact on the decision in favour of a certain tender and implementation of
environmental performance criteria in the contract

- Responsibilities for evaluating the environmental performance of the tendered rolling stock.

3.1.2 - Step 2: Drawing up the invitation to tender

The invitation to tender has to be drawn up in detail taking into account the above-mentioned draft
document. Consequently the environmental specifications from the draft document have to be
substantiated and adapted to suit the particular procurement project.

Involved: Technical, environmental and purchasing experts

Input: UIC Leaflet 345
Output: Invitation to tender with detailed environmental specifications including target
values and detailed descriptions of the required environmental performance.

3.1.3 - Step 3: Evaluation of tenders

Involved: Technical, environmental and purchasing experts

Input: UIC Leaflet 345, especially the evaluation strategy laid out in point 3.5 - page 35
Output: Results of the evaluation of environmental performance.

For the evaluation of tenders the proposed evaluation methodology has to be suited to the
procurement project. This can be done by assigning priorities according to the results of the
assessment described in step 1 (see point 3.1.1 - page 14) and by taking into account the impact on
initial investment and Life-Cycle-Costs.

The evaluation should be carried out in close cooperation between the technical, environmental and
purchasing departments. The result of the environmental evaluation should be documented and be
part of the decision in favour of a certain tender.

3.1.4 - Step 4: Decision on a tender/contract

Involved: Purchasing, technical and environmental experts

Input: Results of the evaluation of the tenders
Output: Rolling stock with defined environmental performance.

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In negotiations with the manufacturer, the defined environmental performance of the rolling stock
proposed is to be laid down in the contract. In addition, milestones for the follow-up on environmental
performance, as well as for verification procedures, must be agreed upon.

3.2 - Types of specifications

Environmental specifications are used to assess the environmental performance of new rolling stock.
In order to guarantee maximum transparency and comparability as well as a high level of acceptance,
the applied set of specifications has undergone a harmonisation process within the rail sector.

A framework has been developed to structure the environmental specifications to be used in the
tendering process (see table 1 - page 17). It differentiates between mandatory and voluntary
specifications and divides them into two groups (environmental performance mainly dependent on
design or dependent on operation). Target values for the mandatory specifications are defined by
legislation/regulations and therefore must be met by any tenderer. However, compliance with the
applicable legislation is only the minimum requirement and in general a better environmental
performance will yield better evaluation results from the environmental point of view.

The following general strategic orientations can be attributed to the different types of specifications:

- Legally Mandatory Specifications

For the specifications in the first row, the environmental performances are legally regulated. A
potential better performance than the legal baseline could represent a more sound long-term
investment in rolling stock because it reduces the risk of future expenses and efforts to meet
higher environmental legal standards.

- Voluntary specifications
The second row contains specifications which are not governed by legislation. These
specifications can be used in invitations to tender according to the environmental strategy of the
company, national requirements and priorities as well as economic assessments.

- Performance mainly dependent on design

The first column comprises specifications which have a direct influence on the environmental
performance of rolling stock basically independent of the operation of the rolling stock. As
examples the rate of renewable materials and the specific mass are fixed by construction and do
not change during the lifetime of the vehicle unless design changes are made to the vehicle.

NB : It must be recognised that for most specifications in this category, environmental performance
is not fully defined by design only. Operational patterns may retain a small amount of influence
e.g. the rate of leakages can increase due to insufficient maintenance.

- Performance mainly dependent on operation

The environmental performance with respect to issues addressed in the second column depends
to a high degree on how the new rolling stock is actually used in operation. The design is certainly
a precondition to obtaining a good performance. But whether or not it is reached in practice
depends to a large extent on operational patterns and the infrastructure on which the rolling stock
is used. Energy meters for example will not yield any reduction in energy consumption by
themselves, but are a prerequisite for energy efficient driving campaigns with which energy
consumption can be reduced dramatically.

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 Table 1 : Structured overview of environmental specifications

Performance mainly Performance mainly

dependent on design dependent on operation
Key area Specification Key area Specification
Noise - passing-by noise not applicable not applicable

- stationary noise

- starting noise
Legally Diesel - diesel exhaust
mandatory exhaust emissions
specifications emissions
Materials - legally restricted
materials
Others - electromagnetic
fields
Energy - specific mass Energy - traction energy
consumption
Materials - unwanted and
controlled
- on-board energy
materials
consumption
- hazardous waste
- energy
recovery/
- recycling rate regeneration

- renewable - energy
materials management for
Voluntary parked vehicles
specifications
- energy metering
devices
Others - emissions from Diesel exhaust - diesel exhaust
brake friction emissions emissions -
material specific load
conditions
- spillage/leakages
- diesel exhaust
emissions at
longer
standstills

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The approach can be used in an operational sense for the actual evaluation of tenders (see point 3.5
- page 35) as well as in a strategic sense for an assessment of the more general procurement strategy
of a railway company or design strategy of a manufacturer.

For those specifications for which performance largely depends on operations, analysis must be
carried out as to how specifications correlate with the existing framework conditions under which the
operators work. For example:

- The specification of Energy Management for Parked Vehicles requires certain design options to
be specified. These have to be made with respect to operation and maintenance procedures
which differ from operator to operator. A consideration here could be whether a remote control
(e.g. via GSM) is necessary (and cost effective) or if manual setting of energy management
schemes on board trains is preferable.

- Systems for dynamic braking need to be in line with railway infrastructure (electricity grid). The
achievable reduction in energy consumption also depends considerably on operational patterns
(train density in a certain area).

In return, operators will have to analyse and in the long run adapt their internal processes and
technical infrastructure if they want to exploit the full potential for improvement associated with the
listed specifications. This holds especially true in the field of energy consumption where a reduction is
preferable not only under environmental, but also economic aspects.

3.3 - Degree of quantification of environmental specifications

Depending on the extent to which specifications are quantifiable, the following four categories can be
assigned to environmental specifications:

- Target specification
Target Specifications are environmental specifications to be quantified by the manufacturer for
which target values are set by the operator.

- Performance specification
Performance Specifications are environmental specifications to be quantified by the manufacturer
for which no target values are set. Instead the manufacturer is asked to specify certain
performance value to be calculated or measured under defined conditions.

- Compliance specification
Compliance Specifications are environmental specifications not to be quantified focusing on
compliance with existing legislation or standards.

- Design provision
Design Provisions are qualitative environmental specifications which describe a special piece of
equipment or component with a certain functionality (e.g. provision of rolling stock with energy
meters).

A more detailed description of the classification and the applied quantification scheme can be found
in Appendix A - page 38.

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3.4 - Detailed description of environmental specifications

In the following the Environmental Specifications recommended for use in invitations to tender are
listed by key area and described in more detail according to the following scheme:

- Title of specification

- Introduction
The relevance of the Environmental Specification is described.

- Definition
The General definition of the Environmental Specification is given and specific issues concerning
verification or measurement procedures are described. In areas where this is of high importance,
detailed measurement procedures are given in Appendix C - page 41, but in some cases there
will only be a reference made to the document where those procedures are specified.

- Environmental performance indicator

For all quantifiable specifications (target and performance specifications) the respective indicator
is stated.

- Target value
Target values are given for Target Specifications only.

- Application
The range of application is specified (multiple units, locomotives, passenger coaches, freight
wagons).

- Type of specification

• Mandatory,
• Voluntary - Environmental performance defined by operation and design;
Environmental performance mainly preconditioned by design.

- Degree of quantification
The specification is classified according to the quantifiability scheme laid out in point 3.3 - page 18.

An overview of all specifications listed by key area is given in Appendix B - page 40

3.4.1 - General prerequisites

Compliance with legislation

The existing body of environmental regulations is broad and varied. By fulfilling this precondition the
manufacturer ensures that the applicable legislation with respect to the environment (national/
European/international) has been observed when the vehicle is delivered to the customer.

3.4.2 - Energy efficiency

Energy efficiency of rail vehicles is the area with the least dense legal framework, but is of
environmental relevance and has the highest potential to minimise life-cycle costs. Energy costs may
even exceed investment costs for some locomotive types several times during the life cycle.

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3.4.2.1 - Traction energy consumption

Traction energy accounts for the largest share of energy consumption by trains. Greater efficiency
bears high environmental and economic potential.

The manufacturer should calculate the energy consumption for the requested operation pattern such
that the energy-related LCC costs of the train in operation can be taken into account. This operation
pattern can either be one (or a set of several) specific route(s) or a standardised pattern (e.g. speeds,
distance between stops, track gradients, etc.) which approximate the future service pattern of the
vehicle.

Information about the energy efficiency of the engine at different payloads can be requested
additionally to get an impression of the performance of the traction unit.

Definition of environmental specification

Energy consumption of traction unit
Environmental performance indicator
Calculated traction energy consumption (kWh or litres of fuel) for specific operation pattern
Application: Multiple units, locomotives

Type of specification: Voluntary

Environmental performance mainly dependent on operation
Degree of quantification: Performance specification

The calculated values must be verifiable by measurements afterwards. Agreement on the

measurement method to be applied, including framework conditions and acceptable tolerances will be
of particular relevance.

For the long-term perspective, energy consumption should not be calculated for specific (individual)
operational patterns but according to harmonised patterns with a standardised methodology
(standardised definition of simulation and verification measurements) in order to allow for an easy to
handle comparison of different vehicles.

NB : A feasibility-study "Harmonisation of test cycles for energy consumption of rolling stock" has
been approved by the CTR (Technical and Research Commission of the UIC). Based on this
study a joint project between the railways and industry is foreseen to define an appropriate
approach and develop comparable energy consumption standards.

3.4.2.2 - On-board energy consumption

Energy consumption for comfort purposes amounts to about 20 % to 30% of the total energy
consumption in passenger transport in central and northern European countries (heating). With an
increased proportion of air-conditioned vehicles, on-board energy consumption is set to become an
issue of growing importance in southern European countries too. Energy consumption for comfort
functions can be optimised by a set of different "intelligent" technologies, such as CO2 detectors to
optimise interior air quality according to passenger density.

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 Definition of environmental specification
Energy consumption for auxiliaries and comfort functions
Environmental performance indicator
Calculated on-board energy consumption (kWh) for defined conditions
Application: Mainly vehicles in passenger transport

Type of specification: Voluntary

Environmental performance mainly dependent on operation
Degree of quantification: Performance specification

The railway has to specify the layout parameters and external conditions for comfort functions in the
invitation to tender and there should be an agreement on the concrete calculation method.

3.4.2.3 - Energy recovery/regeneration

Energy recovery with dynamic brakes offers very considerable potential for saving, especially for:

- electric multiple units and locomotives on AC lines and

- on local and regional lines (AC and DC lines) with frequent stops.

It is also possible to equip diesel electric vehicles so that they use recovered energy for comfort
functions in passenger transport. Energy storage systems are still not in standard service but might
also be considered in future invitations to tender.

Definition of environmental specification

Equipment of the train with energy recovery/regeneration/storage
Application: Locomotives and multiple units

Type of specification: Voluntary

Environmental performance mainly dependent on operation
Degree of quantification: Design provision

The railway must specify the detailed functionality of the energy recovery/regeneration/storage system
in the invitation to tender.

3.4.2.4 - Energy management for parked vehicles

Auxiliaries and comfort functions result in a considerable amount of energy consumption in parked
trains, for example if they are heated/air-conditioned overnight. An automatic control system can
considerably reduce energy consumption during parking hours. The saving potential is expected to be
3 % to 5% of total energy consumption (15% - 25% savings for comfort energy consumption).

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The railway must further specify the functionality of the energy management system in the invitation
to tender. In order to exploit the existing saving potential, it is vital that the automatic control system is
compatible with maintenance and service duties and the procedures followed by the railway operator.

Definition of environmental specification

Energy management/control system for comfort functions at longer standstills
Application: Multiple units, passenger coaches

Type of specification: Voluntary

Environmental performance mainly dependent on operation
Degree of quantification: Design provision

3.4.2.5 - Energy-metering devices

An energy meter does not minimise energy consumption by itself, but it is a very important prerequisite
that provides valuable data to identify energy saving potential for rolling stock. The energy meter could
also be used for the driver to control energy consumption with respect to his driving style.

Definition of environmental specification

Energy metering devices
Application: Multiple units, locomotives

Type of specification: Voluntary

Environmental performance mainly dependent on operation
Degree of quantification: Design provision

The railway has to specify the detailed functionality of the energy-metering devices in the invitation to
tender.

3.4.2.6 - Specific mass

The mass of a vehicle is a decisive parameter for later energy consumption in operation. Weight
losses are more significant in operations with frequent stops and a high share of energy consumption
for acceleration (e.g. regional transport) than in high speed applications.

Although this specification is redundant with the more general specifications on energy consumption
(see above), it is recommended that it be used additionally, because the vehicle mass or specific mass
are easy to measure and verify.

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 Definition of environmental specification
Vehicle mass
Environmental performance indicator
Locomotive: Absolute mass
MUs and passenger coaches: Mass per seat a
Freight wagons: Mass per payload
Application: All kinds of rolling stock

Type of specification: Voluntary

Environmental performance mainly preconditioned by design
Degree of quantification: Performance specification
a. For passenger coaches and MU the unit should be mass per (seat + x * square meter) to account for passengers standing. X is typically
0 for a high speed train, and at least 4 for a metro train.

3.4.3 - Noise emissions

The general trend in noise regulation is to set common European emission limit values for vehicles in
addition to the existing reception limits along certain tracks. At EU level, the Technical Specification
for Interoperability (TSI) for High Speed has defined limit values for high speed trains and is already
in force. The TSI for conventional rail was approved by the "Article 21 Committee" in November 2004,
will be notified by the EC in the second semester of 2005 and will then come into force six months
later. All three specifications listed below - passing-by noise, stationary noise and starting noise - are
addressed in the TSI. The TSI for conventional trains refers to vehicles which operate or partly operate
on the interoperable railway network - the main section of the European railway network. However, it
is highly recommended that the specifications be used for all rolling stock procurement. In many
European countries, national noise legislation must also be respected.

3.4.3.1 - Passing-by noise

It is highly recommended that passing-by noise be addressed in each invitation to tender even if there
is no regulation in force for the specific case of the tender.

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 Definition of environmental specification
Passing-by noise
Environmental performance indicator
As specified in TSI
(LpAeq,Tp in 7,5 m distance for conventional trains and TEL in 25 m distance for high-speed trainsa;
measurement conditions also specified in the TSI)
Target value
As defined by TSI
Long-term goal
To be defined
Application: All types of rolling stock

Type of specification: Mandatory

Environmental performance mainly preconditioned by design
Degree of quantification: Target specification
a. In the ongoing high speed TSI revision process, a change to LpAeq, Tp in 25 m distance has been proposed

The railway has to specify the value in the invitation to tender. The value must be fixed in the contrat.

3.4.3.2 - Stationary noise

It is highly recommended that stationary noise be addressed in each invitation to tender even if there
is no regulation in force for the specific case of the tender.

Definition of environmental specification

Noise emissions at standstill with all equipment running
Environmental performance indicator
As specified in TSI (LpAeq,Tp in 7,5 m distance)
(measurement conditions specified by TSI)
Target value
As defined by TSI
Long-term goal
To be defined
Application: All kinds of rolling stock

Type of specification: Mandatory

Environmental performance mainly preconditioned by design
Degree of quantification: Target specification

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The railway has to specify the value in the invitation to tender. The value must be fixed in the contract.

3.4.3.3 - Starting noise

It is highly recommended that starting noise (noise emissions from accelerating from standstill) be
addressed in each invitation to tender even if there is no regulation in force for the specific case of the
tender.

Definition of environmental specification

Noise emissions during starting process
Environmental performance indicator
As specified in TSI (LpAFmax in 7,5 m distance)
(measurement conditions specified by TSI)
Target value
As defined by TSI
Long-term goal
To be defined
Application: Multiple units, locomotives

Type of specification: Mandatory

Environmental performance mainly preconditioned by design
Degree of quantification: Target specification

The railway has to specify the value in the invitation to tender. The value has to be fixed in the contract.

3.4.4 - Diesel exhaust emissions

Exhaust emissions from diesel engines constitute a key rolling stock-related environmental aspect of
high public interest, on account of health concerns primarily.

Exhaust emission limit values for "non-road mobile machinery" in Europe are governed by EU
Directive 97/68/EC. The scope of the directive was extended to include rail vehicles in 2004 with
amendment 2004/26/EC (see Bibliography - page 56). The limit values for Stage III A for NOx, CO,
HC, PM emissions will be binding from 2006 for railcars and from 2007 or 2009 respectively,
depending on the power rating for locomotives. As a next step, III B is foreseen for 2012, however
there will be a review of the feasibility of these values before the end of 2007.

Special attention must be paid to the fact that the directive not only refers to new vehicles but also to
reengining. Thus when procuring new rolling stock, account must be taken of the fact that stricter limit
values may be applicable for future reengining. Consequently, it is important to make design
provisions allowing for the necessary upgrades (e.g. sufficient space in locomotives for particle filters).

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Although diesel exhaust emissions are governed by EU Directive 97/68/EC, amended by EU Directive
2004/26/EC, it may be advisable from a strategic point of view to achieve lower emission values (the
values outlined previously in the Directive), since DMUs and locomotives with better performances
offer a broader range of serviceability if individual local authorities demand stricter emission
requirements (e.g.: to comply with EU Directive 1999/30/EC on ambient air quality), or to use low
emission vehicles in tunnels or maintenance facilities as well (see Bibliography - page 56).

Definition of environmental specification

Exhaust emissions for NOx, CO, HC and PM
Environmental performance indicator
Emission in g/kWh for standardised load factors (load cycles)
Target value
As defined by EU directive 97/68/EC amended by EU directive 2004/26/EC and their equivalent in
national lawsa
Long-term goal
Stage III B values
(only achievable by exhaust gas after-treatment - feasibility subject to technical review of the
directive before 31 December 2007)
Application: Diesel multiple units and locomotives

Type of specification: Mandatory

Environmental performance mainly preconditioned by design
Degree of quantification: Target specification
a. Until EU Directive 97/68/EC, amended by EU Directive 2004/26/EC, enters into force, it is recommended that the UIC Leaflets 623 and
624 be applied in the European Union.

The railway has to specify the applicable values in the invitation to tender, in line with the directive
mentioned above.

3.4.4.1 - Diesel exhaust emissions - Specific load conditions

This specification asks the manufacturer for the exact emission factors of the diesel engine. This
information can be used e.g. to compare different engines, to design and optimise low emission driving
patterns for sensitive areas ("city mode"), or to calculate emissions from a company's vehicle fleet for
communication purposes.

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 Definition of environmental specification
Exhaust emission of NOx, CO, HC, PM according to the "approval certificate" (for each load stage
of the applied test cycle, e.g. ISO 8178 F or C1) (see Bibliography - page 56)
Environmental performance indicator
Emission in g/kWh
Application: Diesel multiple units and locomotives

Type of specification: Voluntary

Environmental performance mainly dependent on operation
Degree of quantification: Performance specification

The manufacturer provides a test report with the exact emission factors of the diesel engine. Besides
the weighted emission factor according to the test cycle applied (e.g. ISO 8178 F or C1), the emission
factors of each measured load stage have to be provided. This would allow the operator to individually
weight the load stages. The emission factors required must be measured in the approval procedure
in accordance with EU Directive 97/68/EC, amended by EU Directive 2004/26/EC, before the engine
is put on the market, signalling that no additional measurements are needed.

NB : The basis is the approval certificate of the respective engine. If no statement is made with
respect to deterioration at the individual load points, it should be assumed that the deterioration
factor for the whole engine also applies to each load point.

3.4.4.2 - Diesel exhaust emissions at longer standstills

Diesel engines often have to run at standstill to ensure an electricity supply for comfort functions, e.g.
at passenger stations or during short-term parking. As exhaust emissions (and noise) from running
diesel engines often disturb passengers and residents (especially in densely populated areas and
close to stations or depots), measures to reduce the necessity of running diesel engines or other ways
of avoiding exhaust emissions at passenger stations should be considered, such as integration of a
separate on-board energy supply or a connection to an external electricity supply for multiple units and
passenger coaches of locomotive-hauled trains.

Definition of environmental specification

Measures to prevent exhaust emissions at longer standstills
Application: Diesel multiple units and locomotives

Type of specification: Voluntary

Environmental performance mainly dependent on operation
Degree of quantification: Design provision

If an external electricity supply is considered a possible solution, the railway has to specify its
operation in accordance with the existing infrastructure.

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3.4.5 - Materials/Recycling/Waste

3.4.5.1 - Legally restricted materials

At national, European and international level the use of several substances is restricted (i.e.
prohibited) in all circumstances or restricted in some circumstances or applications, such as PCB in
transformers or CFC (see List of abbreviations - page 54) in air conditioners (at EU level: regulated by
Council Directive 76/769/EEC and its amendments, specific legislation on ozone depleting substances
and other miscellaneous legislation). Compliance with such legislation on listed applications/use is
mandatory (it must be recognised that very few substances are prohibited in all circumstances, as
opposed to the number of substances with specific limitations).

Definition of environmental specification

Legally restricted materials - either for all or for selected uses/applications
Mandatory performance
Compliance with legislation (exclusion of legally forbidden materials)
Application: All kinds of rolling stock

Type of specification: Mandatory

Environmental performance mainly preconditioned by design
Degree of quantification: Compliance specification

To ensure a high level of information within this complex field, the operator should inform
manufacturers of specific national legislation in the invitation to tender.

3.4.5.2 - Unwanted and controlled materials

Unwanted materials

In addition to legally restricted substances, the use of certain other substances should be reduced (in
specific applications). The selection of such substances should be based on an exchange of
information between operators and manufacturers taking into account risk assessments as well as
feasibility and the financial impact of material exclusion. Going beyond the legal standards can be
attractive for operators in order to minimise the financial risk associated with the impact of forthcoming
legislation (use of a particular material to be prohibited in future) or end-of-life costs of rolling stock.
Public sensitivity towards certain materials could also play an important role in the choice of such
unwanted materials and uses. In practice, many operators have their own lists of unwanted materials
which go beyond the legal standard.

Controlled materials

In addition to the aforementioned material exclusions, there may be other reasons for creating a
specific information flow on the presence of certain substances/materials in the rail vehicle or some of
its components. Train operators need to know what (hazardous) substances/ materials are present in
their trains in order to develop the right operation/ maintenance/ dismantling/ recycling policies and
procedures. In addition, a detailed inventory of (hazardous) materials supports operators' ability to
demonstrate their environmental performance (e.g. environmental report).

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 Definition of environmental specification
Unwanted and/ or controlled materials which are potentially hazardous to health or the
environment
Environmental performance indicator
Weight ratios or absolute amounts of defined (hazardous) materials
and
Inventory degree of controlled materials
(Ratio of hazardous substances/uses which actually underwent a full disclosure, relative to all the
unwanted and controlled substances/uses which should undergo a full disclosure)
Recommanded performance
1. Exclusion of unwanted materials

2. Inventory of (hazardous) materials, primarily for LCA and recycling purposes (controlled
materials)
Application: All kinds of rolling stock

Type of specification: Voluntary

Environmental performance mainly preconditioned by design
Degree of quantification: Performance specification

For any restrictions beyond the legal level, it is advisable to specify in the tender those components in
which (hazardous) substances have to be avoided (unwanted materials). A general prohibition of
substances is often difficult to verify in practice. Thus the operator should highlight those components
in which high concentrations of certain (hazardous) substances could be anticipated and where
exposure is potentially high (e.g. potential contact with passengers), but for which substitutions exist.

As with unwanted materials, the operator should specify the controlled materials (substances and
components) to be evaluated by the manufacturer. The manufacturer should then provide information
if the requested substance is present (weight ratio or absolute weight) and state why the specific
solution was chosen (e.g. high cost of alternatives). To validate the quality of the information provided,
the amount of detail in the inventory should also be assessed.

The number of unwanted/controlled materials and uses must be limited to a feasible number for the
sake of manageability by industry. The development of a sector wide agreed and standardised list of
unwanted and controlled materials is still lacking and can be considered a medium-term goal in this
field for the rail sector. A first attempt to define a harmonised list of unwanted and controlled materials
has been made within the EU-funded project REPID. In order to be in line with other activities in this
field at EU level, the outcomes of the existing risk assessments and of the upcoming REACH process
on the classification of hazardous substances must be taken into consideration.

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3.4.5.3 - Hazardous waste

Knowledge of materials which are classified as hazardous waste at the end of their life-cycle or during
operation and maintenance of a vehicle is not only important for ecological reasons but is also
necessary in order to be able to calculate life-cycle-costs and keep end-of-life costs low.

Definition of environmental specification

Materials and components which during the lifespan and/or at the end of the service life of the
vehicle will have to be treated as hazardous waste
Environmental performance indicator
Total weight of hazardous waste (according to European waste catalogue)
Application: All kinds of rolling stock

Type of specification: Voluntary

Environmental performance mainly preconditioned by design
Degree of quantification: Performance specification

The amount of hazardous waste is not defined by the total amount of hazardous substances but by
the total weight of the respective components/parts (including consumables and spare parts) and
other units which are classified as hazardous waste and have to be treated as such. In this context,
the declaration of hazardous waste does not depend on a full and detailed material list. Adopting a
much more practical and usable approach, the manufacturer should only be asked to provide detailed
information on those components or parts (including consumables and spare parts) which would have
to be treated as hazardous waste according to the European Waste Catalogue if they had to be
disposed of at the time at which the contract is signed.

3.4.5.4 - Recycling rate

Recycling of product materials is an important parameter for the public and at political level. The clear
objective of European Union policy is to enhance the recycling of product materials (e.g. with the
Integrated Product Policy - IPP).

For the automotive sector Directive 2000/53/EC (see Bibliography - page 56) has defined the values
for the recyclability of new road vehicles to be met by 2006:

NB : ISO standard 22628 gives a calculation method for the "Recyclability and Recoverability" of
road vehicles. It could also serve as a guideline for the rail industry.

- reuse and recovery: 85 % by weight

NB : Recovery includes material recycling and incineration with energy recovery

- reuse and material recycling: 80 % by weight

Under the same directive, the following values are to be met by 2015:

- reuse and recovery: 95 % by weight

- reuse and material recycling: 85 % by weight.

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Although there are still no regulations in force for the rail sector, rail vehicles should contribute to the
European policy of avoiding waste generation. Standards in the automotive industry should be
considered a bottom-line benchmark. A high rate of recycling as the result of sound material
separation by disassembly is believed to have a positive impact on the maintainability of rolling stock
as well.

As there are still no standard values for the parameters entitled "material recycling rate" and "material
that can be incinerated" for use in invitations to tender, railways must coordinate closely with
manufacturers on recycling rates of rail vehicles.

The railway could define a target value for "material recycling rate after use" alone or a target value
for all forms of recycling (including both "material recycling rate after use" and "material that can be
incinerated with energy recovery").

Definition of environmental specification

Recyclability
Environmental performance indicator
Defined value for recyclability:

- material recycling rate after use and/or

- recycling rate after use including incineration with energy recovery

Application: All kinds of rolling stock

Type of specification: Voluntary

Environmental performance mainly preconditioned by design
Degree of quantification: Performance specification

A recycling rate based on the criterion "recyclability" alone is a rather theoretical indication and gives
only an upper limit which can be reached under optimum conditions (e.g. use of good technological
standards, well organised collecting systems).

3.4.5.5 - Renewable materials

Renewable materials have been used for a number of years in road vehicle construction in particular
to enhance environmental performance and this has been publicised by the automotive industry. The
railways could also increase the amount of renewable materials in their rolling stock. But care must be
taken to ensure that renewable materials are compliant with safety and hygiene specifications, fire
prevention requirements and that the weight of renewable materials does not run contrary to efforts to
decrease the energy consumption of the train nor crash safety and the overall environmental
performance.

The railway company has to specify the target weight/ratio of the renewable materials in the vehicle
in the invitation to tender.

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 Definition of environmental specification
Use of renewable materials
Environmental performance indicator
Weight ratios of renewable materials in vehicle
Application: Multiple units and passenger coaches

Type of specification: Voluntary

Environmental performance mainly preconditioned by design
Degree of quantification: Performance specification

3.4.6 - Others

3.4.6.1 - Electromagnetic fields

Problems associated with electromagnetic fields concern mostly electromagnetic compatibility

(interaction between train appliances and signal technology or screen phenomena). More recently,
potential health problems caused by electromagnetic fields ("electrosmog" or EMF, see List of
abbreviations - page 54) have been discussed. Even in the absence of consistent and reliable
information about the effects of "electrosmog" caused by railway operations, railway companies
should apply the precautionary principle and ensure low emission levels where protective measures
can be put into practice at reasonable cost.

Existing EU legislation regulates the exposure of staff to electromagnetic fields in the workplace. The
limit values given in EU Directive 2004/40/EC correspond to the ICNIRP recommendations on
occupational exposure. In addition, the EU Council Recommendation 1999/519/EC provides limit
values for the exposure of the general public to electromagnetic fields (see Bibliography - page 56).
They correspond to the ICNIRP recommendations for the general public and are the basis of much
national legislation and numerous recommendations. These values are up to five times stricter than
the occupational exposure limit values in order to take account of highly sensitive people (e.g.:
children, pregnant women). With respect to the precautionary principle, the limit values should be met
in all places where passengers are even briefly present.

Certain spectra of electromagnetic fields can affect the operation of life-supporting devices (e.g.
pacemakers, insulin pumps). Compatibility with these devices must be ensured by the manufacturer.

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 Definition of environmental specification
EMF exposure in all areas of the vehicle where people are present
Mandatory compliance
As defined in 2004/40/EC for all areas where staff may be present
Target compliance
As defined in EU Council Recommendation 1999/519/EC for all areas where passengers may be
present
Application: All kinds of rolling stock

Type of specification: Mandatory

Environmental performance mainly preconditioned by design
Degree of quantification: Compliance specification

The legal baseline is represented by EU Directive 2004/40/EC. Nevertheless, the limit values given in
EU Council Recommendation 1999/519/EC should be regarded (with respect to the precautionary
principle) as objectives. In addition, national legislation may have to be considered for Switzerland,
Italy and Finland.

The manufacturer must present a protocol of the measurements upon delivery of the vehicles.

3.4.6.2 - Emissions from brake friction material

Particulate emissions from brake pads or disc brakes can contain toxic substances or particulate
matter. If measures can be put into practice at reasonable cost Railway companies should apply the
precautionary principle and ensure low emission levels.

Due to the increasing number of composite brakes in rail vehicles and growing public awareness of
the health risks related to dust emissions, the issue should be addressed as part of the procurement
process for new rolling stock.

Definition of environmental specification

Emissions from brakes which are harmful to health or the environment
Environmental performance indicator
Concentrations of defined hazardous materials in brake friction material
Application: All kinds of rolling stock

Type of specification: Voluntary

Environmental performance mainly preconditioned by design
Degree of quantification: Performance specification

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To date, no harmonised measurement procedure exists for brake friction material emissions. An
assessment of the brake friction material can serve as a first step towards reducing the risk of
hazardous emissions. The operator should demand a materials declaration from the supplier of the
brake friction material specifying all concentrations of toxic substances contained (checklist of
substances has to be specified by operator), possible references are substances listed in regulations
on occupational health e.g. MAC, AFS or national COHSs (see List of abbreviations - page 54) and
the forthcoming European standard on "Brake Pad Friction Materials" (see Bibliography - page 56).

In addition, in order to minimise exposure levels for staff and passengers, air intake designs for
coaches, MUs and locomotives should seek to reduce the intake of brake friction material emissions
into the vehicle. Due to the unpleasant smell of many brake emissions this is generally advisable with
regard to passenger comfort. Intensified regenerative braking also helps to minimise dust emissions
from brake wear.

3.4.6.3 - Spillage/Leakages

Definition of environmental specification

The manufacturer verifies that measures to prevent environmental damage due to spilling of oil,
leakages, grease, coolant, and other substances have been taken.
Application: All types of rolling stock

Type of specification: Voluntary

Environmental performance mainly preconditioned by design
Degree of quantification: Compliance specification

This specification does not apply to biodegradable lubricants.

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3.5 - Approach to the evaluation of environmental aspects in tenders

The descriptions of the specifications introduced in point 3.2 - page 16 together with an economic
assessment provide a basis for the evaluation of tenders in terms of environmental issues and their
respective costs.

Taking into account the priority settings and strategic orientations laid out in point 3.2 and the need to
integrate important additional internal and external requirements (see points 2.2 - page 10, 2.3 -
page 11 and 3.1 - page 12) as well as economic criteria, the following evaluation phases and steps
are suggested:

Tender for new rolling stock

Phase A Compliance with mandatory standards

Step 1: compliance with legislation
Step 2: compliance with target values

Phase B Compliance with other required standards

Step 3: compliance with additional targets

Evaluation of performance
Phase C Step 4: specifications defined by legislation
Step 5: specifications mainly defined
by operation
Step 6: specifications mainly defined by design

Phase D Economic assessment

Step 7: specifications defined by legislation
Step 8: specifications mainly defined by
operation
Step 9: specifications mainly defined by design

Phase E
Integration of evaluation results
Step 10: integration (environmental + economic)

Evaluated tender

Fig. 3 - Strategy for the evaluation of environmental aspects in tenders

for new rolling stock and refurbishment or upgrading

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Phase A: Compliance with legal standards
(mandatory environmental performance
Input: Compliance statement, Environmental Specifications (mandatory), target values
Step 1: Compliance with applicable legislation (general precondition)
Step 2: Compliance with defined target values derived from legislation
(specific precondition)
Output: Compliance/non-compliance

Phase B: Compliance with other necessary environmental standards not governed by

legislation
Input: Additional targets
Step 3: Compliance with target values set by local authorities, infrastructure operators or other
3rd parties
Ouput: Compliance/non-compliance

Phase C: Evaluation of environmental performance not governed by legislation/

additional requirements or exceeding legal standards
(voluntary environmental performance)
Input: Environmental Specifications and their priorities, additional internal and external
requirements, knowledge base for current good practice
Step 4: Environmental performance for target specifications exceeding legal standards
Step 5: Environmental performance for the specifications for which performance is mainly
defined by operation. Prevailing operational schemes and existing infrastructure have
to be considered in the assessment (see also point 3.2 - page 16)
Step 6: Environmental performance for the specifications for which performance is mainly
preconditioned by design
Output: Overall environmental performance, performance with respect to good practice,
already defined future standards and forthcoming standards/ standards in discussion

Phase D: Economic assessment of the improved environmental performance

Input: Environmental Specifications and their priorities, additional internal and external
requirements, knowledge base for current good practice
Step 7: Cost/benefit analysis of environmental performances better than legally required
Step 8: Cost/benefit analysis of environmental performance defined by operation-dependent
specifications. The main focus in this step of the economic assessment will be the
Energy Efficiency specifications. Prevailing operational schemes and existing
infrastructure have to be considered in the assessment (see also point 3.2)

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 Step 9: Estimation of costs and benefits for environmental performance defined by design-
dependent specifications
Output: Estimated LCC effects for improved environmental performance (per key area and per
environmental specification)

Phase E: Integration of evaluation results

Input: Compliance with additional targets, result of evaluation of environmental
performance, results of respective economic assessment, ranking of priorities
Step 10: Integration of the results of the evaluation
Output: Aggregate result of evaluation

The overall result of the evaluation of a tender concerning environmental aspects is obtained by
integrating the results of the environmental performance evaluation and the corresponding economic
assessment. Due to the fact that environmental performance is determined by quantitative as well as
qualitative specifications, the integration procedure is not a straight-forward and fully quantified one.
Instead, the results of the environmental and economic evaluation of the top priority specifications
should be grouped together e.g. by strategic targets and then weighted so as to adequately reflect the
respective importance of these targets.

When comparing different tenders with respect to their environmental performances, a reasonable
balance must be struck, for example between:

- Additional initial investment costs and decreased future costs to meet already defined or
forthcoming long-term legal standards.

- Increased initial investment costs and lower operating costs (including maintenance) or end-of-life
costs.

With reference to the second example, rolling stock energy consumption is clearly one key factor in
the decision on which proposed train offers the best cost/benefit ratio.

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Appendices

Appendix A - Quantification of specifications

Environmental specifications can be classified according to the following criteria:

- Flexibility with regard to design solutions (functional approach = free choice of design options to
achieve the required environmental performance, as compared to a design-oriented approach =
restriction of possible design options).

- Required degree of quantification (to be quantified, not to be quantified).

- Existence of target values (target values defined, target values not yet defined, no target values).

Fig. 1 illustrates the resulting quantification process:

yes Functional
Functional
Functional no
approach?
approach?
approach?

yes Quantification
Quantification
Quantification no
required?
required?
required?

yes Target
Target values
Targetvalues
values no
defined?
defined?
defined?

Target
Target
Target Performance
Performance
Performance Compliance
Compliance
Compliance Design
Design
Design
Specification
Specification Specification
Specification Specification
Specification
Specification Provision
Provision
Specification Specification Provision

Fig. 1 - Quantification process for environmental specifications

Design Provision (DP)

Design Provisions are qualitative environmental specifications which describe special equipment or
component with a specific function (e.g. provision of rolling stock with energy meters). The
manufacturer should provide technical information relating to the special equipment detailing its
performance (example: energy metering devices).

Compliance specification (C)

Compliance Specifications are environmental specifications not to be quantified focusing on

compliance with existing legislation or standards. The manufacturer must simply state whether or not
the rolling stock or certain components conform with the required legislation/standard (example:
spillage/leakage).

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Appendices

Performance Specification (P)

Performance Specifications are environmental specifications to be quantified by the manufacturer for

which no target values are set. Instead the manufacturer is asked to specify a certain performance
value to be calculated or measured under defined conditions.

Depending on the environmental specification concerned there can be different reasons why it is not
feasible or recommended to define target values despite the fact that the specification is quantifiable
and measurable:

1. For certain specifications the comparable information or data basis is too poor to define target
values. If the operator asks for performance values the data basis will improve gradually.

2. Certain specifications are highly dependent on framework conditions (e.g. according to specific
national or operational conditions) and therefore yield very complex sets of values. In this case it
does not make sense to define a target value for every single constellation of framework
conditions.

3. For some environmental specifications too many special cases exist (e.g. type of vehicle, comfort
class) so that it is not feasible to set up a target value. By using performance values, operators
still have the possibility of assessing individual cases.

The Performance Specifications to which scenario 1 applies can be developed into Target
Specifications over the mid or long-term if the necessary information basis has been built up and/or
the gap between the interests of operators and manufacturers closed. The Specifications
characterised by scenarios 2 and 3 will retain their status as Performance Specifications in the
foreseeable future.

In the individual tender, however, target values may be given for performance specifications if the
operator has sufficient knowledge in this specific field (from previous projects) (example: Traction
energy consumption).

Target specification (T)

Target Specifications are environmental specifications to be quantified by the manufacturer for which
target values are set. These are directly taken from the applicable legislation/ regulations/ standards.
Alternatively, they can be developed within the framework of a consensus process between operators
and manufacturers. The leaflet gives the target values derived from legislation as baseline values any
tenderer has to meet. The actual performance of a given item of rolling stock may be better (for
example: diesel exhaust emissions).

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Appendices

Appendix B - Overview of all specifications

The following table lists the set of environmental specifications shown in table 1 - page 17 by key
areas. It shows the application of each specification as well as the type and range of quantification.

Table 1 : Recommended environmental specifications for use in invitations to tender

Type of Degree of
N° Environmental Specification Applicable for
specification quantification
Energy efficiency
1 Traction energy consumption MUs, locos O P
2 On-board energy consumption Mainly MUs, O P
pass. coaches
3 Energy recovery/regeneration MUs, locos O DP
4 Energy management for parked vehicles MUs, pass. O DP
coaches
5 Energy-metering devices MUs, locos O DP
6 Specific mass All D P
Noise emissions
7 Passing-by noise All Mandatory T
8 Stationary noise All Mandatory T
9 Starting noise MUs, locos Mandatory T
Diesel exhaust emissions
10 Diesel exhaust emissions DMUs, D-locos Mandatory T
11 Diesel exhaust emissions - specific load DMUs, D-locos O P
conditions
12 Diesel exhaust emissions at longer DMUs, D-locos O DP
standstills
Materials/Recycling/Waste
13 Legally restricted materials All Mandatory P
14 Unwanted and controlled materials All D P
15 Hazardous waste All D P
16 Recycling rate All D P
17 Renewable materials MUs, pass. D P
coaches
Other
18 Electromagnetic fields All Mandatory P
19 Emissions from brake friction material All D P
20 Spillage/Leakages All D C
Abbreviations:
O: Environmental performance mainly defined by operation; D: Environmental performance mainly preconditioned by
design (as introduced in point 3.2 - page 16); C: Compliance Specification; T: Target Specification; P: Performance
Specification; DP: Design Provision (as introduced in point 3.3 - page 18); MU: Multiple Units; DMU: Diesel Multiple
Units

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Appendices

Appendix C - Background information for key areas

C.1 - Energy efficiency

C.1.1 - Relevance of this key area

Energy efficiency is a key challenge for today's railway companies. Due to the advantages of the
wheel/track system with its low rolling resistance, the energy efficiency of railways remains an
outstanding competitive advantage, especially compared to aviation and individual road traffic. Further
enhancement of this advantage would improve both the environmental and economic competitiveness
of the railways. Reducing energy consumption could contribute considerably to the improvement of
overall cost efficiency because the energy costs make up a substantial portion of life-cycle-costs:

Table 2 : LCC for locomotives

Locomotive for Locomotive for
passenger service freight service
Initial investment cost 23 % 12 %
Energy cost 46 % 74 %
Maintenance cost 31 % 14 %
[EVENT 2003]

There is general agreement on the potential for the railways to achieve considerable energy savings
over the short, mid and long term. Exploitation of this potential is highly plausible due to the positive
cost-benefit ratio associated with many measures in this field. It should be stressed, however, that a
Life-Cycle-Cost (LCC) oriented approach is required to demonstrate the economic advantages of
most energy saving measures, i.e. today's focus on initial investment must be overcome.

In order to identify the most promising offers during the procurement process, the comparison of
different tenders regarding energy efficiency needs to become much more transparent. This would
also lead to competition between the different manufacturers to achieve more energy efficient designs.
As a long-term objective, generally accepted test cycles or consumption standards (as already
established in the automobile sector) and energy efficiency classes (as established e.g. for household
electrical appliances) should be developed.

C.1.2 - Technical state of the art

The energy consumption of rolling stock is attributed to three main areas:

- Energy for train motion (energy for overcoming running resistance and inertia as well as grade
resistance).

- Losses in traction equipment (heat losses from the engine and auxiliaries).

- Energy required for passenger comfort (air-conditioning, lighting, etc. in passenger transport).

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Appendices

These three areas cannot be optimised in isolation as different elements often have to be weighed up
against each other, for example between mass reduction and energy use for comfort functions:
improved insulation of the vehicle body will increase weight and thus increase traction energy
consumption. This means that strategies to reduce the energy consumption of rolling stock will only
be successful if a systemic approach is applied that will optimise the whole energy system of a given
train or locomotive.

A wide range of existing and forthcoming technologies, concepts and measures addressing the
different influencing factors described above can be used to improve energy efficiency. For a
well-structured and systematic state-of-the-art overview of application ranges, economic and
environmental potential as well as relevant experience and projects in this field, see the web-based
database developed as part of the EVENT project (see: http://www.railway-energy.org).

C.1.2.1 - Reduction of energy consumption for train motion

Weight reduction

The weight of rolling stock is a decisive indicator for energy consumption in operation - especially for
local and regional transport applications. Technologies for weight reduction include the use of new
lightweight composite materials, lighter traction components and integrated lightweight design.

Reduction of air resistance and friction

Air resistance plays an important role in energy consumption, especially in high speed and intercity
applications. Given the present state of high speed technology, raising the maximum speed from
280 km/h to 350 km/h would increase energy costs by about 60% [IZT 2003] (see Bibliography -
page 56). Technological options for reducing air resistance in high speed transport include covering
bogies with smooth fairings, covering the underfloor equipment, streamlining the lateral coach design
and reducing resistance from the pantograph, optimising windows, doors and the transition between
coaches as well as coating the train surface with an aerodynamically smooth material. With regard to
freight transport, covering open wagons or placing different wagons of different heights into the
optimum aerodynamic order could cut energy consumption considerably.

Friction and curve resistance are less important for railway applications due to the relatively low
wheel/rail interaction. Both effects account for less than 10% of a train's overall energy consumption.
Nevertheless, friction could be reduced by lowering curve resistance, e.g. by wheel flange lubrication.

Energy-efficient driving

Driving assistance systems can be implemented to optimise traction energy consumption. Such
systems make use of existing time buffers in the timetable and give permanent feedback to the driver
about the most efficient driving style. Pilot projects have been carried out at some railway companies,
e.g. at NS Reizigers on a relatively small scale and at Deutsche Bahn on a much larger scale. These
projects have revealed overall saving potential of more than 5% of the total energy consumed (and up
to 20% on certain routes for individual drivers). At system level, approaches for energy efficient driving
include energy-efficient timetabling and the optimisation of traffic fluidity.

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Appendices

C.1.2.2 - Reduction of conversion losses

Electric traction

Conversion losses in electric traction derive mainly from transformers, inverters and auxiliaries,
whereas gears play only a minor role. New technologies such as high temperature superconductor
(HTSC) transformers would increase efficiency dramatically, but they will only be available at
reasonable prices in the medium or long-term. In the short-term, intelligent control algorithms for
individual traction components or their interaction offer considerable potential for improved efficiency.
Improved motor management by means of optimised traction software is often a cost and
energy-efficient option.

Diesel traction

Recent developments in diesel technology have improved the efficiency of diesel combustion engines
by 15-20%, for example, by using higher injection pressures and common rail fuel injection
technology. But the balance between efficiency of the combustion engine and diesel exhaust
emissions must be taken into account. In contrast to electric traction, transmission plays an important
role in the energy efficiency of diesel trains. Electric and mechanical transmission have certain
advantages compared to hydraulic transmission. If electric transmission is combined with an energy
storage unit, energy efficiency can be increased substantially (see point C.1.2.3 - page 43). Modern
mechanical transmission systems, as used in diesel mechanical multiple units for example; have a
very high degree of efficiency and can be used in a wide range of applications.

C.1.2.3 - Reduction of braking losses

Although energy recovery with dynamic brakes is a standard technology, it still offers a high degree of
potential for savings, especially for electric multiple units and locomotives on AC lines and on local
and regional lines with frequent stops. The main obstacles to regenerative braking are currently the
limited receptivity of the catenary (especially for DC systems), old rolling stock not equipped with
dynamic brakes, insufficient braking power of dynamic brakes for locomotive-hauled (and especially
for heavy) freight trains, unfavourable operational designs for drivers' cabs and limited acceptance by
some drivers of the use of regenerative brakes.

Short-term options for overcoming these obstacles include driver training programmes and improved
driver's cab designs. Mid and long-term options include upgrading of DC networks, on-board and
stationary energy storage systems, and inverter units in substations.

Recovery of braking energy is not restricted to electric traction. Diesel electric vehicles can for
example easily be equipped to use recovered energy for comfort functions in passenger transport.

Dynamic/regenerative braking should also be considered when procuring new freight wagons or
passenger coaches. Regenerative braking is most effective at full load and without using the wagon's
brakes. Therefore all the kinetic energy of a train is transformed by the locomotive only. Many wagon
buffers are not dimensioned for the resulting forces and could be damaged/destroyed. For full load
dynamic braking, care must be taken to ensure that wagons are equipped with adequately
dimensioned buffers.

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Appendices

C.1.2.4 - Reduction of on-board energy consumption

Energy consumption for comfort functions accounts for up to 20% of the total energy consumption in
passenger transport in central and northern European countries. The majority (about 80%) is used for
air conditioning, i.e. heating and cooling. Higher efficiency can be reached for example by
demand-controlled regulation of fresh air intake, improved coach insulation, smart windows as well as
the use of waste heat from traction components or intelligent control systems for the air-conditioning
of parked trains. The saving potential for the latter option is expected to lie between 3 and 5% of total
energy consumption. These different options should be considered in a systemic approach.

C.1.2.5 - Measurement and documentation of energy consumption

Measuring energy consumption by means of energy meters does not save energy by itself. However,
reliable data on energy consumption helps to identify potential for improved efficiency and allows for
precise monitoring of energy saving measures. It is also an essential condition for fair energy billing,
an issue of growing importance in liberalised railway markets.

It is important to note that the requirements of energy meters are more demanding if energy saving
potential is to be identified, compared to metering for billing only. While for billing a sampling rate of
15 minutes is generally sufficient, a rate of 1 to 5 minutes is necessary to identify energy consumption
peaks.

The energy meter should be easily accessible by the driver (or better still: visible from the driver's seat
during service) to guarantee direct feedback of energy-efficient driving.

C.1.2.6 - Train designs

Improvement of energy efficiency cannot only be achieved by optimising existing or applying new
technological solutions (e.g. for traction, comfort functions etc.) but also by choosing the best and most
appropriate train design for a given operational context at the pre-tendering stage. As regards
passenger transport, energy consumption is determined by two main characteristics of train design:
the use of space (seats per m2) and flexibility. A high number of seats per m2 means low energy
consumption per passenger km. This could be achieved, for example, by using double-decker
vehicles or wide-body vehicles. High flexibility to react to variable passenger volumes can be attained
by flexible train sets that are split up at a certain point on the route.

C.1.3 - Measurement procedures - test cycles

At present in Europe only two well-established test cycles exist for measuring the energy consumption
(and exhaust) of rail vehicles: the ISO 8178 F and C1 cycles. Although these reflect some major
working profiles relatively accurately, considerable deviations are possible in practice, especially
between shunting and main line conditions.

Table 3 : Definition of test cycles ISO 8178 F and C1 - share of working points in %

Speed Full power (rated speed) Partial load (intermediate speed) idle
Torque, % 100 75 50 25 10 100 75 50 25 10 0
Cycle C1 15 % 15 % 15 % - 10 % 10 % 10 % 10 % - - 15 %
Cycle F 25 % - - - - - - 15 % - - 60 %

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Appendices

A number of other test cycles or load profiles are used by national railway companies or industrial
producers. However, comparability is limited, if possible at all. A feasibility study entitled
"Harmonisation of Energy Consumption Standards for Railways" (see Bibliography - page 56) is
currently under way. One aim of the study is to assess whether or not test cycles can be an appropriate
tool for obtaining comparable standards for rolling stock energy consumption.

C.2 - Noise

C.2.1 - Relevance of this key area

The Green Paper "Future Noise Policy" of November 1996 (see Bibliography - page 56) by the
European Commission states that the "public's main criticism of rail transport is the excessive noise
level". This proves both that noise is indeed perceived by the public to be the major negative
environmental impact of railways and that there is growing awareness of this issue at political level,
resulting in stricter noise regulations. Previously, noise was primarily regulated by setting limit values
for noise reception along railway lines, especially at hot spots and on recently constructed lines. The
trend over the last decade has been for legislation to set noise emission levels for rolling stock as well.
This trend is set to continue in the context of further harmonisation at EU level (interoperability) and
the decoupling of responsibilities for railway infrastructure and operation of rolling stock.

C.2.1.1 - Separation of responsibilities

The general trend of setting emission values (instead of reception values) is in line with the trend
towards liberalisation and harmonisation at EU level. With the separation of railway network operators
and rolling stock operators, reception levels result in undefined responsibilities.

C.2.1.2 - Holistic approach

It must be borne in mind that overall noise emissions are not only dependent on rolling stock but also
on the condition of the track. Rough rails can cancel out reductions achieved by low noise rolling stock,
or even result in initial noise levels being exceeded. Therefore a systemic approach is needed.

C.2.1.3 - Noise barriers vs low-noise rolling stock

Investment in trackside railway noise barriers makes up about 8% of the overall investment in new
railway lines. In addition, there is growing public opposition to immense noise barrier walls for
aesthetic reasons. When constructing new lines for high speed trains it could therefore be a cost
effective as well a more readily acceptable option to invest in low-noise rolling stock rather than being
obliged to comply with strict reception levels by installing expensive noise barriers. This rationale was
adopted for the German ICE trains and was one of the drivers behind the noise reduction efforts.

However, current regulations and public funding do not support this rationale. Large sums of public
funding are available for trackside railway noise barriers but cannot - at present - be transferred into
noise reduction initiatives for rolling stock. This is because such investment could be interpreted as a
subsidy for an individual railway company and therefore as distortion of competition.

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Appendices

C.2.2 - Technical state of the art

The primary sources of noise are engines, electric motors, gears, and cooling fans (predominantly at
standstill, starting and low speeds), wheel-rail contact (predominantly at medium speeds),
aerodynamics (for speeds > 200 km/h), as well as brakes.

Anti-noise measures include: damped wheels, disc brakes, composite brake pads, silent cooling fans
and gears, wheel skirts, bogie shrouds.

Rail roughness as well as other preconditions (sleeper type, fastener, rail type) have a major influence
on noise emissions as a whole and on measurements carried out to assess compliance with noise
limits.

C.2.3 - Measurement procedures

Standards and comparability

Various acoustic indicators are currently in use. It is quite difficult to compare the noise limit values
(proposed or legal) due to the varying measurement procedures and different definitions of acoustic
indicators used (LpAeq,Tp; LAmax and TEL). The general tendency (e.g. EU TSI) is to measure LpAeq,Tp
at a distance of 7,5 m for conventional trains (≤ 190 km/h) and TEL (transition exposure level) at a
distance of 25 m for high speed trains (> 190 km/h)1.

Noise emitted is usually measured as acoustic pressure at a distance of 7,5 m (LpA 7,5) or 25 m
(LpA 25). Data of LpA 7,5 is not directly comparable to LpA 25 data since the theoretical difference (LpA 7,5
should be 20 lg (25/7,5) dB(A) = 10 dB(A) lower than LpA25) is not met in practice. Experimental data
shows a difference of about 6 dB(A) for freight trains and 7 dB(A) for passenger trains2. For
conventional trains a 7,5 m distance is becoming the accepted standard in Europe.

Furthermore, when carrying out tests, repeatability is very difficult to obtain. Measured values depend
on:

- condition of the test tracks,

- external conditions (weather, ...),

- passing conditions of train (e.g. : percentage of traction power applied).

The condition of the tracks has a decisive influence on noise emissions from passing trains. Grinding
of rails can reduce the noise level by as much as 7 to 10 dB(A). It is difficult to compare noise limit
values with the various specifications on rail condition [O&D 2002] (see Bibliography - page 56). The
latest standards (TSI) demand a test track with specified conditions. For data with different
measurement / track conditions, comparability is very limited.

1. In the ongoing revision process of the high-speed TSI, a change to LpAeq,Tp in 25 m distance is being
proposed.
2. The Swiss Federal Office of Transport published limit values for both 25 m and 7,5 m distance. The
difference in noise level is 7 dB(A).

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Appendices

C.2.4 - References

Links

http://www.aeif.org/
European Association on Railway Interoperability
Download of legislation texts

http://ec.europa.eu/transport/rail/index_en.html
Directorate-General for Energy and Transport / Rail transport
Download of legislation and background papers

C.3 - Diesel exhaust emissions

C.3.1 - Relevance of this key area

Exhaust emissions from diesel engines constitute a key rolling stock-related environmental aspect of
high public interest (for health reasons among others).

In the long-term, exhaust emissions from railway diesel engines will have to be compared to those of
road vehicles. In view of the relatively strict existing EURO emission levels for road transportation and
their further reduction, a considerable concerted effort is required on the part of the whole railway
sector to retain its advantages in environmental performance. This effort should be based on a
long-term emission reduction strategy with relatively strict limit values.

C.3.2 - Technical state of the art

Actual and mid-term limit values, as defined in the EU directives mentioned above, should be
attainable with existing technologies, although optimisation of engines to reach the NOx limit values
could result in higher fuel consumption. The limit values for 2011/2012 set out in EU Directive
2004/26/EC (see Bibliography - page 56) will only be attainable by implementing innovative technical
solutions, e.g. catalytic converters and/or particle filters. At present, very few applicable systems are
available, especially in the high power range. Filter technologies have been developed for applications
in cars, trucks, buses and smaller ships. However, due to the different sizes and load patterns, the
scope for transferring the technology to railway use may prove limited, or further research and
development input may be required.

C.3.3 - Measurement procedures - Test cycles

Diesel exhaust emissions are measured in g/kWh. As part of the revision process of EU Directive
97/68/EC1, diesel exhaust emissions are to be measured using the ISO 8178 F test cycle for
locomotives and the ISO 8178 C1 (see Bibliography - page 56) cycle for multiple units; for further
details and working points of the test cycles refer to point C.1.3 - page 44.

1. Amended by Directive 2004/26/EC of 21 April 2004, published in the European Journal dated 30 April 2004

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Appendices

C.3.4 - References

Links

http://www.dieselnet.com
Useful overview of the status and progression of EU legislation to regulate emissions from non-road
(off-road) mobile equipment/Directive 97/68/EC (see Bibliography - page 56) and its amendments.

C.4 - Materials, recycling, waste

C.4.1 - Relevance of this key area

The environmental key area materials/recycling/waste constitutes a very heterogeneous and complex
field:

- Many different and often complex materials are used in rail vehicles.

- The corresponding legislation is highly specialised and differentiated.

- The very long life-cycles of rolling stock make recycling approaches difficult (what will be the
recycling approach / technological state-of-the-art in forty years' time?).

- The relatively low total quantities of rolling stock waste (small number of trains in comparison to
cars for example) make dedicated recycling systems difficult to establish and operate.

- A high level of freedom is necessary for manufacturers to allow for environmentally optimised
design and production processes.

There are basically two different approaches to optimising environmental performance in this field:

- direct approach:
influencing the rolling stock design process directly and at each single step by means of a
sophisticated tool based on environmental specifications and explicit material lists, etc.

- functional approach:
influencing the design and production process of rolling stock indirectly by defining strategic aims
and setting priorities (e.g. high resource efficiency, use of renewables, design for environment
(DfE), high recycling quota).

The actual choice of materials for a new train or its components and the corresponding design is
primarily the responsibility of the manufacturer. Therefore, the operator's influence is rather limited in
this field (unless the operator has specified a certain material or solution). From an operator's point of
view, the functional approach is much more efficient. It allows the manufacturer to design his product
including end-of-life properties and ensures maximum freedom to find solutions with optimum
cost/benefit ratios.

Following a functional approach, the operator should provide the manufacturer with certain guiding
principles on the choice of materials, guaranteeing high standards of environmental performance:

- the precautionary principle

- the use of best available technology

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Appendices

- the principle of open communication of detailed information and documentation

- the principle of economising and recycling.

Here two different time scales must be taken into account: a shorter one for major retrofit measures
(mainly with respect to interior components) and one for the life-cycle of the vehicle itself.

In general, the following must be considered:

- If a given substance is to be excluded from trains, it will most probably be based on an analysis
of the risk posed by the substance in a specific component or used for a specific purpose. Indeed,
a substance creates a different risk if it is used: (a) as part of an alloy, (b) as an additive in a
synthetic structural substance, (c) in a part that is designed to wear over time, (d) as a component
of a coating, (e) as a component in a lubricant, (f) as a fuel component. In this respect, coherence
with the EU REACH process is advisable for any rail industry standard.

- Controlling the absence of a specific substance in a specific component (or group of components,
such as the coatings group) is feasible. Controlling the absence of a substance in an entire train
with a high level of reliability does not appear very realistic.

To promote high environmental standards, operators and manufacturers should communicate

best/good practice examples and corresponding technologies and encourage the use of components
and products with eco labels.

C.4.2 - Technical state of the art

The EU funded project REPID has sought to define a harmonised methodology for the assessment of
the environmental impact of different design solutions, focussing on materials, recycling and waste
related issues REPID 2003 (see Bibliography - page 56). In addition, REPID has also produced
software packages supporting the methodology.

Manufacturers should be encouraged to use the REPID methodology and supporting software
packages at an early stage in the design process in order to integrate the use of renewable materials,
careful resource management, to prevent hazardous waste and increase recycling efforts.

Restricted materials

A first attempt to define a harmonised list of voluntarily restricted materials ("grey list") was made as
part of the REPID project REPID 2002 (see Bibliography - page 56). However, further harmonisation
is required to define clear standards in the rail industry. The results of the REPID project will be
developed further under the auspices of the RES board (Rail Eco-procurement Specifications Board)
within the AEIF (see List of abbreviations - page 54).

Recycling rate

In the specification on the recycling rate of material after use, target values are given for the
automotive sector (as specified in Directive 2000/53/EC, which defines the values for the recyclability
of new road vehicles to be met by 2006). A calculation method for recyclability and recoverability for
road vehicles is outlined in ISO 22628 (see Bibliography - page 56).

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Appendices

C.4.3 - References

http://ec.europa.eu/environment/waste/index.htm
Background papers and general outlook on EU waste strategy

C.5 - Other

C.5.1 - Electromagnetic fields

C.5.1.1 - Relevance of theis key area

A very diverse and often non-consistent range of literature deals with the health impact of high
frequency electromagnetic fields. Only very few publications address railway specific problems
directly Grotenhermen 1998, UIC 2002 (see Bibliography - page 56).

Problems associated with electromagnetic fields relate primarily to electromagnetic compatibility

(interaction between train appliances and signalling technology or screen phenomena). More recently,
potential health problems caused by "electrosmog" have been discussed.

Even in the absence of consistent and reliable information on the effects of "electrosmog" caused by
railways, railway companies should adopt the precautionary principle and ensure low emission levels
where protective measures can be put into practice at reasonable costs.

Long and short-term effects

There are essentially two approaches to defining limit levels for electromagnetic fields - they can either
be based on short-term or long-term health effects:

- Short-term effects
EM reference levels are defined based on the directly measurable physical impact of
electromagnetic fields onto the human body (dosimetric values). Examples are local heating of
tissues or increase of corporeal temperature, which are measured in laboratory experiments.

- Long-term effects
Long-term effects have to be identified by statistical means, e.g. higher cancer rates in people who
are exposed to higher levels of electromagnetic fields over a longer period of time.

It must be noted that there is no scientific proof at present of long-term health risks connected to
electromagnetic fields where recommended maximum short-term exposure levels are not exceeded.
For this reason the ICNIRP guidelines as well as EU Directive 2004/40/EC on exposure of workers to
EMF refer to reference levels based on short term exposure.

However, the levels of electromagnetic fields thought to cause long-term effects are much lower than
those which cause short-term effects. For this reason, recommendations/legislation seeking to reduce
the risk of long-term effects contain limit values which are several orders of magnitude lower than the
ICNIRP / EU Directive values (1999/519/EC) (see Bibliography - page 56).

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Appendices

C.5.1.2 - Technical state of the art

Technical solutions

Electromagnetic fields can be reduced either by design measures or by shielding. In the first case the
aim is to find locations for the main sources of high electromagnetic fields (such as transformers)
which are further away from passenger areas. The second case comprises new interior designs for
transformers ("self-shielding"), additional return conductors for one-phase systems and shielding of
wires by means of aluminium steel shields.

New challenges

In addition to existing electromagnetic fields in the railway system (low-frequency magnetic fields
produced by electrical appliances, transformers, high-current applications, catenaries and overhead
lines), passengers and staff are increasingly exposed to EM radiation from new technologies. In
particular, with new vehicle generations, larger magnetic fields can be produced because of
multi-motor technology and much higher currents in railway vehicles.

C.5.2 - Brake friction material emissions

C.5.2.1 - Relevance of this key area

Emissions from brake friction material can contain hazardous substances. For health and
environmental reasons, such emissions should be minimised. Whereas for cast-iron disc brakes
primarily metals are emitted and contribute to metal intake and dust generation, the situation with
compound brake pads is more complex and a wider variety of potentially hazardous materials may be
emitted. Compound brakes are of high interest and relevance because of lower noise emissions
compared to cast-iron brakes. Thus an increasing number of trains - both passenger and freight - with
compound brakes or disc brakes are being put into service. This creates emissions from brakes (wear
debris and substances into which the brake friction materials are transformed under higher
temperatures) which could be a matter of growing importance in future.

However, little is known to date about the concentrations of these hazardous substances emitted into
the environment or into rail vehicles (drivers' cabs and passenger coaches). Since toxicity is a
combination of substance property and level of exposure, further investigation and the development
of harmonised testing procedures are necessary. In a Europe-wide survey (carried out by ERRI)
several European rail operators expressed the need for further information on and investigation of this
subject.

A distinction must be made between:

- The original substances in the brake friction material, which are emitted by wearing down the
friction material (literally grinding them into dust). This is the case when the material stays
relatively cool, such as in interval braking or braking with low power. The principle difficulty is that
brake pad suppliers are very reluctant to provide very detailed information on the content in order
to protect their proprietary knowledge.

- Substances into which the brake friction material is transformed at elevated temperatures
(i.e. 400 - 600° C or higher) which is the case for longer braking activities with high pressure. In
this case, compound brake pads in particular may emit substances such as Volatile Organic
Compounds (VOC e.g. Toluene, Ethylbenzene, Xylene, Benzaldehyde, Diphenylmethane),
Polycyclic Aromatic Hydrocarbons (PAHs) or Benzo(a)pyrene.

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Appendices

One of the major difficulties in the assessment of brake friction material emissions is that no standard
testing conditions exist.

Initial testing procedures for the measurement of the friction material emissions included a series of
short interval braking patterns (low temperature cases), or a continuous braking process (a continuous
brake of ∼30 minutes which is equivalent to the longest possible braking incident in Europe:
maintaining a constant speed on the 40 km Gotthard downhill slope) and which can be considered a
worst case scenario for high temperature braking.

Moreover, no limit values for emissions exist to date which would allow judgements on whether or not
certain emissions can be considered harmless. Three cases must be distinguished:

- Brake friction material emissions in drivers' cabs or in passenger coaches. In both cases,
concentrations of hazardous gases and dusts must be below the respective limit values stated in
the occupational health regulations to ensure the safety of staff. However, no common test
conditions or measurement procedures exist for determining emission concentrations.
Furthermore, the concentrations of these emissions inside the train are highly dependent on the
design of the trains, especially the location of air inlets as well as general conditions (train speed,
wind conditions, braking in tunnels, etc.).

- No assessments are available at present of the toxicity of brake friction material released into
the environment. However, in accordance with the precautionary principle, emissions of
hazardous substances should be reduced to a minimum. This is especially true for highly toxic,
carcinogenic and bioaccumulative substances. Toxicity assessments should focus in a first phase
on likely hot spots for friction material emissions such as train stations.

- Dust from brake friction material can accumulate on certain vehicle parts. Members of staff
may come into contact with quite high concentrations of such dust residue during maintenance
operations. If health risks can not be excluded outright, appropriate protective measures must be
taken (gloves to avoid skin contact, etc.). High concentrations of brake friction material dust may
also accumulate in vehicle cleaning facilities.

Consequently, the European standard (EN) dealing with the issue of brake friction material for railway
vehicles which is currently being drafted (CEN Technical Committee TC256, Work items WI171 and
173) (see Bibliography - page 56) only refers explicitly to certain substances (asbestos, lead,
cadmium, hexavalent chrome, ceramic fibre) in the brake friction material itself, the use of which is
prohibited. With reference to emissions, it is simply stated that "any other material that may produce
dust or fumes that could be hazardous to the health of maintenance personnel, operating staff or
passengers" must be avoided.

The development of general testing conditions remains a long-term goal. Such testing procedures
should be developed jointly by operators and brake friction material suppliers. The operator could then
demand from the supplier a test protocol of the brake friction material specifying all hazardous
substances emitted under "standard" braking conditions.

Beyond health and environmental aspects, emissions from brake friction material inconvenience
people living near railway lines in the form of smell nuisance. Since the smell of burnt rubber is
generally connected to health risks (whether this is true or not), smell nuisances should be avoided for
passenger comfort and image reasons (SBB 2004, ERRI 2003, see Bibliography - page 56).

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Appendices

C.5.2.2 - Technical state of the art

In addition to specifications on the brake friction material itself, the operator can make design
provisions: air inlets should be placed in such positions on vehicles as to minimise brake friction
material emission intake into the driver's or passenger coaches. For passenger coaches with
air-conditioning and ventilation systems, installation of control devices allowing for an interruption of
air intake during longer braking activities should be considered.

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List of abbreviations

AC/DC Alternating current/direct current

AEIF Association Européenne pour l'Interopérabilité Ferroviaire - European

Association for Railway Interoperability

AFS American Foundry Society

CFC Chlorofluorocarbons

CO Carbon monoxide

COHS Centre for Occupational Health & Safety

CTR UIC Technical and Research Commission

DMU Diesel Multiple Unit

EC European Commission

EEC European Economic Community

ELV End-of life vehicle

EMF Electro-magnetic field

EMU Electric multiple unit

ERRI European Rail Research Institute

EU European Union

EWC European waste catalogue

HC Hydrocarbon

HTSC High temperature superconductors

ICNIRP International Commission on Non-Ionizing Radiation Protection

IPP Integrated product policy

LCC Life-cycle-cost

MAC Maximum allowable concentration

MU Multiple unit

NGO Non-governmental organisation

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NOx Nitrogen oxide

PAH Polycyclic Aromatic Hydrocarbons

PCB Polychlorinated biphenyl

PM Particulate matter

POPs Persistent organic pollutants are chemical substances that persist in the
environment, bio-accumulate through the food web, and pose a risk of
causing adverse effects to human health and the environment.
This group of priority pollutants consists of perticides (such as DDT),
industrial chemicals (such as polychlorinated biphenyl, PCBs) and
unintentional by-products of industrial processes (such as dioxins and
furans)

REACH Registration, Evaluation, and Authorisation of Chemicals

REPID Rail sector framework and tools for standardising and improving
usability of Environmental Performance Indicators and Data formats

RoHS EU Directive: Restriction of the use of certain Hazardous Substances in

electrical and electronic equipment

TSI Technical Specification for Interoperability

UIC Union Internationale des Chemins de fer - International Union of

Railways

UNIFE The Union of European Railway Industries

VOC Volatile Organic Compounds

WEEE EU directive: Waste Electrical and Electronic Equipment

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 Warning

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(Articles L 122-4 and L122-5 of the French Intellectual Property Code).
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Printed by the International Union of Railways (UIC)

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Dépôt Légal June 2006

ISBN 2-7461-1096-2 (French version)

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