CHAPTER 2

LITERATURE REVIEW
2.1 INTRODUCTION

Chapter 1 dealt with the overview of global energy situation in general and the transport
sector in particular. The details of railway organisation, its genesis, its zones, departments,
workshops, share in passenger and freight traffic, energy consumption were described in
detail. The basic concepts and definitions related to the current study were also described.
The current chapter presents the review of existing literature both from research
perspective as well as from railway perspective in the context of present research study.

From the literature available it appears that railway workshops being state owned entities,
the research focus is yet to gain attention. The literature review has been segregated into
five segments as follows:
1. Literature dealing with research in the energy sector
2. Literature connected with research pertaining to environmental issues
3. Literature regarding research carried out in the transportation sector
4. Literature on barriers and drivers to energy efficiency
5. Literature pertaining to Indian Railways (IR)

Literature about IR contain media releases by Hon'ble Minister for Railways, Annual
Report and Accounts of Indian Railways, Indian Railways Annual budget statistics.
Chairman Railway Board, Member Mechanical and Member Electrical articles. Chief
Electrical Engineer's articles appearing in Indian Railways magazine. National Academy
of Indian Railway men (NAIR) magazine Abhivyakti, etc.

These articles mainly describe the policies adopted by the organization entities viz. the
Railway Board, Research Designs & Standards Organisation (RDSO), Indian Railway
Institute for Electrical Engineers (IRIEEN), Zonal Railways, Divisions and Workshops to
reduce their energy consumption by way of introduction of Energy Efficient Technologies
(EETs) and phasing away obsolete technologies. Initially, various options for achieving
energy efficiency are discussed and then the environmental issues are traced. The various
literature pertaining to energy consumption, efficiency and environmental aspects of
railways are discussed. Towards the end, some research gaps are also identified which
helped in framing the objectives of this study.

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2.2 ENERGY SECTOR RESEARCH AND PUBLICATIONS

This section delves into the various publications of global agencies like International
Energy Agency (lEA), The Energy & Resources Institute (TERI), Inter-Governmental
Panel for Climate Change (IPCC) and research articles published.

Transport sector accounts for about 19% of global energy use and 23% of energy related
CO2 emissions and these shares are likely to rise in future (lEA 2013). Given the current
trends, transport energy use and CO2 emissions are projected to increase by nearly 50% by
2030 and more than 80% by 2050. Thisfixtureappears to be not at all sustainable.

To avoid the worst impacts fi-om climate change, global CO2 emissions must be cut by at
least 50% by 2050 (IPCC, 2014). To achieve this, transport sector will have to play a
significant role. Even with deep cuts in CO2 from all energy sectors, if transport does not
reduce CO2 emissions well below current levels by 2050, it will be very difficult to meet
targets such as stabilizing the concentration of GHG emissions at a level of 450 ppm of
CO2 equivalent. Substantially changing transport trends will require both the adoption of
current best available technology, and the longer term development and deployment of a
range of new technologies. It will also require strong policies to ensure rapid uptake and
fixll utilization of these technologies, and to encourage sensible changes in travel patterns.
The benefits of strong decarburization in transport also extend to energy security.
Transport oil use can be cut by more than half in 2050 compared to today's level, vastly
increasing the likely stability and security of supplies. Energy carriers such as hydrogen
and electricity also have better energy security characteristics, since they can be produced
from a wide range of primary energy sources rather than just oil.

It projects that the World economy is to triple by 2035 and population to expand almost by
one quarter. Per capita consumption of India, China along with south East Asia is shifting
the centre of gravity of global energy system to Asia. Energy production and demand has
implications that will be felt well beyond the national territories. Developing policies to
improve efficiency and attracting investment will be vital for enhancing energy security,
affordability and sustainability. There is a need for cooperation intra regionally and with
global partners.

India to maintain the GDP growth rate of 10% in eleventh five year plan the energy
requirements of the country would increase rapidly (TERI, 2010). The study indicates that
there exists a significant scoi>e for reducing energy (@581 Million tonne oil equivalent

23
(Mtoe) in 2031) if efficiency measures are deployed on both the demand side as well as
the supply side. The total energy consumption in the transport sector is estimated to
increase by 14 times from 34 Mtoe in 2001 to 461 Mtoe in 2031. It suggests efforts to
enhance rail based movement and public transportation to reduce transport sectors
dependence on oil.

Ming Yang (2006) in his study on "Energy efficiency policy impact in India: case study of
investment in Industrial energy efficiency" has identified the effectiveness of energy
policy and capital investment in energy efficiency technologies in the industrial sector in
India. The Indian energy policies relating to industrial energy efficiency over the past 25
years are briefly reviewed, and a comparison study of these energy efficiency policies and
strategies in India and China has been carried out. Interviews were conducted with a
number of government policy-making institutions and a national industrial development
bank. This paper concludes that current energy policies and strategies in India need fiirther
improvement to promote energy efficiency investment and energy efficiency technology
development in the industrial sector.

Chakraborty (2010) in his article "Carbon footprints and the Indian Industries" mentions
that human induced activities are spreading up global warming which in turn is creating
numerous and varied negative impacts on human life and the environment. A 'Carbon
footprint" is a measure of the impact that human activities have on the environment in
terms of amoimt of GHG emitted for carrying such activities. It is measured in units of
CO2 (tons of CO2) emitted on an annual basis. Carbon audit is adopted by some industries
to find out inefficient and costiy energy practices and then necessary steps are taken to
identify opportunities for improvement of methods around the issue of climate change. He
mentions that UK Dept. of Environment, Food and rural affairs (DEFRA) along with
Carbon Institute has developed PAS 2050 - Publically Available Specification, a newly
created audit system to help companies to measure their carbon footprints. In India,
Carbonyatra.com has been launched which is India's first carbon footprint calculator
which enables Indians and public worldwide to calculate and offset their carbon emissions
by purchasing carbon credits through renewable and carbon reducing projects and fight
global warming. He mentions that many Indian companies have already installed wind
energy, solar cells and bio fuels for ensuring constant supply of energy to their plants.
Lastly he has suggested various measures to government to encourage reduction of carbon
footprints viz., clear cut fiscal incentives to encourage investment in green and

24
environment friendly technologies, introduction of carbon tax, fiscal benefits like reduced
excise duty for greener fuel like Compressed Natural Gas (CNG), tax benefits for
construction of green buildings and introduction of carbon labels.

Parikh et al (2002) in their paper titled "Projecting India's energy requirements for policy
formulation" have presented an integrated energy system model which provides a unique
combination for easing the difficulties of policy formulation. Eleven alternate scenarios
are built, designed to map out extreme points of feasible action. The authors find that even
after employing all domestic energy resources to the fiiU potential, there will be a
continued rise of fossil fuel use, continued importance of coal and continued rise in import
dependence. Energy efficiency emerges as a major option with a potential to reduce
energy requirements by as much as 17%.

2.3 ENVIRONMENTAL ISSUES

This section probes on the environmental impacts of energy use based on reports provided
by United Nations Economic and Social Commission for Asia and the Pacific (UN
ESCAP), Environmental Performance Index (EPI), IPCC, and research articles.

EPI (2012) -The report ranks 132 nations on 22 performance indicators spanning 10
policy categories reflecting facets of both environmental public health and ecosystem
vitality. The indicators are environmental health. Water, Air Pollution, Water resources.
Biodiversity and habitat, forest, fisheries, agriculture and climate change. The objective is
to reduce environmental stress on human health, promote ecosystem vitality and sound
natural resource management. Switzerland is ranked at the top and India ranks 125 out of
132 nations. The report ranks India at a low rank which is a clear indicator for the need to
undertake strong and sustainable measures to improve the environment. Being the largest
transporter, IR needs to look into the aspect of environment and go for environmentally
benign measures and technologies to contribute towards improvement of the environment.

UN-ESCAP (1995) Asian Development Bank (ADB) in their report on Health effects of
pollutants (State of environment in Asia and the Pacific, have mentioned the various
pollutants and their harmful effects on the health which are summarized below in Table
2.1. It is evident that the pollutants have long term detrimental effects on human species as
well as the flora and fauna.

25
 Table 2.1: Major Pollutants and their Effects on Health

Pollutant Health Effects

Interferes with absorption of oxygen by hemoglobin (RBC): Impairs
perception and thinking, slows reflexes, causes drowsiness and can cause
Carbon
unconsciousness and death. It affects foetal growth in pregnant women
Monoxide
and tissue development in young children.
Lead Affects circulatory, reproductive, nervous and kidney systems; is
suspected of causing hyperactivity and lowered learning ability of
children
Irritates mucous membranes and may lead to a variety of respiratory
diseases; fine particles may cause lung cancer and exacerbate morbidity
Particulate
and mortality from respiratory dysfunctions, a strong correlation exists
Matter
between suspended particulates and infant mortality in urban areas.
Sulphur A harsh irritant, it exacerbates asthma, bronchitis and emphysema, causes
Dioxide coughing and impaired lung function
Nitrogen Can increase susceptibility to viral infections such as influenza; irritates
Oxides lungs and causes oedema and impaired lung function
Hydrocarbons Lead to unpleasant effects such as eye irritation, coughing, and sneezing;
drowsiness and symptoms akin to drunkenness.
Irritates mucous membranes of respiratory system causing coughing,
choking and impaired lung function; cause eye irritation, headaches and
Ozone
physical discomfort, reduces resistance to colds and pneumonia, can
aggravate chronic heart disease, asthma, bronchitis and emphysema
Toxic Are suspected to cause cancer, reproductive problems, and birth defects.
Substances Benzene and asbestos are known carcinogens linked to leukemia and lung
cancer; aldehydes and ketones irritate the eye

Michael Burkhardt et al (2008) in their paper "Diffuse release of environmental hazards by

railways" have investigated the environmental hazards emitted by Swiss Federal Railways
(SBB) during their regular operation in 7200 km tracks. They found out that the main
substances emitted are metals, hydrocarbons and herbicides. Most of the metal emitted is
released particles emitted by friction of iron followed by other metals. The emission of
hydrocarbons may be diffusive or at point sources. The wooden sleepers seem to be the
most important source of hydrocarbons followed by lubricants fi'om track switches and
wheel flanges. The emissions reflect a spatial and temporal exposure pattern. The authors
feel that the assessment is valuable for regulatory authorities working on soil and water

26
protection as well as rail companies to determine their necessity for water and soil
protection measures. The authors recognized the sources of abrasion and arrived at the
statistics as given in Table 2.2.

Table 2.2: Sources of Abrasion and Pollutions

Sources of abrasion Emissions (t/a) Proportion (%)

Brakes 1912 73

Rails 550 21

Wheels 124 5

Contact lines 38 1

Total 2624 100

Most of the oil aind grease used were applied for mechanisms e.g. engines, gearings,
buffer, and bearing, and on winding tracks and tracks with significant slope. The most
significant metals emitted were iron 2176 t/a, copper 46 t/a, zinc 20 t/a, and manganese
15.5 t/a.

Manorama Yearbook (2012) in the article "Environmental Efforts" states that UN General
assembly had designated year 2011 "The International year of Forests" to raise awareness
on sustainable management, conservation and sustainable development of all types of
forests. "Forests for people" was the main theme of the year. According to World Bank
estimates more than 1.6 billion people depend on forests for their livelihood. The forest
product industry is a source of economic growth and employment, with global forest
products traded internationally in the order of 270 billion dollars. The UN's Food and
Agriculture Organisation (FAO) estimates that every year 1, 30,000 km of world's forest
are lost due to deforestation. Conversion to agricultural land, unsustainable harvesting of
timber, unsound land management practices and creation of human settlements are the
most common reasons for this loss of forested areas. According to World Bank,
deforestation accounts for up to 20% of the global greenhouse gas emissions that
contribute to global warming. FAO data estimates that the world's forest and forest soil
store more than 1 trillion tons of carbon twice the amount found in atmosphere. The World
Bank estimates that forests provide habitat to about two thirds of all species on earth and

27
that deforestation of closed tropical rainforests could account for biodiversity to as many
as 100 species a day.

Transport sector needs a significant and urgent shift as the current trend of increase in
vehicle population is imposing a major and incalculable cost not only for this generation,
but for those yet to come (Pachauri R.K., 2012). There is therefore a need for major efforts
to increase public transport infrastructure and modernization of Indian Railways so that its
share of passenger and freight traffic increases over time as opposed to the trend in the
recent decades of perceptible decline. The level of ownership of personal vehicles in India
was around 70 per thousand in 2006 as compared to a little over 500 per thousand in the
developed world. A major effort in this direction is long overdue at the national, state and
local levels. Essentially, public transport would require the creation of local capability to
devise appropriate public transport system and access to financing given the fact that
public transport requires lumpy investments.

Globalization and liberalization policies of the Government in 90's has increased the
number of road vehicles nearly 93% from 1980-81 to 2003-04 (Ramachandran and
Shwetmala 2009). These road vehicles mainly consume nonrenewable fossil fiiels and are
a major contributor of GHG particularly CO2 emissions. They have calculated the country
level emissions for Railways, Shipping and Airways based on fiiel types and find that
road; rail and air are responsible for 80%, 13% and 6% emissions respectively. They
mention that as IR has an important role for long journey movement of both people and
freight and the last decade has seen a sharp increase in number of passengers and freight
movement and consequent fiael consumption. Present consumption of railways is around
5.1% of total transport energy with 77.5% met from diesel and the balance through
electricity.

2.4 TRANSPORT SECTOR

This section delves on the research publications on transport sector in general and railways
in particular.

Transport plays a very important role in the overall development of the national economy
in India and an efficient transport system is a prerequisite for sustained economic growth
(TEDDY 2008-09). The transport sector accounts for 19% of total energy consumed by
the country and is growing exponentially. Indian transport system comprises a number of
distinct modes and services. These modes include roads, railways, inland water transport,

28
coastal shipping, airports and airlines. The sector has progressed manifold in the past 50
years of planned development both in spread and capacity. While this has brought
immeasurable benefits, it has not been without deleterious benefits. India being one of the
largest consumers of fossil fiiels, the importance of energy use and emissions in the
transport sector within the energy scene has grown substantially in recent decades. India is
fifth largest crude oil consumer in the world and is likely to take the third slot in coming
years. More than 75% of country's crude oil requirement is met through imports. In India
energy requirement in transport sector grows at an average rate of 3% per annum, it is
likely to grow to 2.1 quadrillion Btu in 2015 and 3 quadrillion Btu in 2030. Petroleum
products continue to dominate energy use in transport sector. Of the total energy
consumed in transport sector only 1.5% is met through electricity and the remaining
98.5% is met through petroleum products. Use of alternate fuels in the transport sector
remains relatively modest. The total demand for petroleum products is growing at the rate
of 6% per annum. The transport sector consumes more than 40% of petroleum products as
compared to other sectors.

Energy consumption in Indian transport sector is growing at an alarming rate (Ramanathan

2000). Energy is consumed both by passenger and fi-eight traffic, and it is generally not
possible to apportion energy consumption exclusively to passenger or fi-eight traffic,
without making some assumptions on the energy consumption norms of vehicles. In this
paper, a holistic methodology, called the Data envelopment analysis (DEA), is used to
study the energy efficiencies of transport modes in India without any need for such
assiamptions. The analysis shows a gradual improvement in energy efficiency of rail
transport, while road transport in the late eighties was more efficient than in the nineties.
Road transport in 1993-94 was only 63% as efficient compared to rail transport in that
year.

Siu (2007) in his study about innovative lightweight transit technologies for sustainable
transportation has analysed that the phenomenon of building more roads to relieve traffic
congestion achieves nothing more than encouraging more vehicles to use them resulting in
more congestion which is one of the prime sources for bad air quality and inefficient use
of energy. Facing with these problems, a number of major cities are either building or
planning to build mass transit railways, as a backbone to enhance mobility and network
connectivity.

29
Past few decades in India a gradual transformation has taken place from rail dominated
transport to road dominated transport (Ramanathan and Parikh 2006). Infrastructural
problems such as lack of roads and rail network are a limiting factor. They conclude that
the passenger traffic in India is likely to grow at 5% a year and freight traffic more than
5% in the period 1990-2021 and hence energy efficiency improvements can reduce future
energy consumption and CO2 emissions by 26%. They opine that @ 45% reduction in
energy requirements and CO2 emissions are expected if the modal split is promoted in
favour of public transport modes.

Political and economic framework will have increasing importance in the coming fiiture
for improving railway energy efficiency (Gunther Ellwanger 2004). He highlights the need
for greater integrated cooperation between all stake holders to harvest potential energy
efficiency gains for the rail system. The study revealed that the average external cost of
transport per passenger (in Euros per 1000 km) was least for Rail at 18 and highest for Car
at 72. The results are as follows C a r - 72, Aviation 52, Bus 32 and least is Rail -18.

Sharma and Manimala (2008), in 'Sustainability of The Indian Railways Turnaround: A

Stage Theory Perspective', says turnarounds are like exciting thrillers which describe
dramatic recovery of declining organizations. Since such recoveries have great relevance
for the economic development particularly of developing countries facing resource
scarcity, researchers with increasing interest have enriched the turnaround literature,
especially in the last four decades. Research has highlighted many facets of tumaroimd.
These include turnaround actions, strategies, types, elements, stages etc. Though the
research covers largely the private sector entities, but effort, though little, is not
nonexistent for the public sector. The paper examines a large complex departmental
commercial organization of the Government of India and it's much-talked about
turnaround in the theoretical perspective of stage theory. The paper not only fills up the
gap of research in public sector but also uses the established stage theory model to answer
the question of sustainability of the Indian Railways turnaround. The analysis goes back to
the theoretical propositions which are by and large supported by the analysis of the
turnaround of the Indian Railways.

Rachna Gangwar (2009), "Indian Railways in the Past Twenty Years: Issues, Performance
and Challenges" attempts to understand the development process of Indian Railways over
the past twenty years, the study covers issues and strategies related to financial and

30
physical aspects of revenue generating freight and passenger traffic from 1987-2007.
Study also covers the developments in the parcel, catering and advertising sector.

The share of rail transport in hidia has continued to fall year on year from 2001-2008 from
24%) to 20%) as per study carried out and published in South Asian Association for
Regional Cooperation (SAARC) journal of Transport (Ghai, 2011). The major pollutants
are CO2, CO, NOx, NMVOC, SOx and total suspended particles. CO2: CO2 emissions
attributed to freight traffic on railways is invariably less as compared to road fransport. In
case of passenger traffic, CO2 emissions are less in diesel fraction compared to electric
fraction. This is because of polluting effects of coal used in thermal power plants. CO:
There are insignificant emissions in case of rail transport, both for passenger and freight
traffic both for electric and diesel fraction. In case of road fransport, emissions from diesel
buses are far less, compared to passenger cars. NOxi NOx emissions are lower on rail
compared to road for passenger and freight fraffic. NMVOC- NMVOC emissions are
negligible in case of rail fransport compared to roads both for passenger and freight fraffic.
In case of road, fransport emissions are lower in diesel bus compared to passenger cars.
TSP: emissions are lower on rail with diesel traction than on road. The environmental
advantage of rail, as per study by Asian Institute of Transport Development is that rail
consumes 75 to 90% less energy for freight and 5 to 21% less for passenger as compared
to road. Rail fransport uses only one fifth of the efforts required by road fransport to move
a specific amount of material due to various reasons be in longer frains, low friction
between wheel and rail, less stoppages etc. Now a day's railway has infroduced
regenerative braking so that during braking the energy is pumped back to the system and
not lost in the form of fiictional heat.

2.5 DRIVERS AND BARRIERS TO ENERGY CONSERVATION

Various researchers have undertaken extensive work in the industrial sector and their
research publications pertaining to the various drivers and barriers to energy efficiency are
cited below.

Nagesha and Balachandra (2006) had studied the Barriers to Energy Efficiency in Small
Scale Industry Clusters; by using the Multicriteria based prioritization method duly using
Analytical Hierarchy Process. Somashekar and Nagesha (2010) have arrived at ten vital
factors influencing domestic household energy consumption using Factor Analysis (FA)
and Principal Component Analysis (PCA) method of factor extractiouT

31
Dias et al (2004), in their study on "Energy education: breaking up the rational energy
use" have revealed that education is one of the best ways to transform the human behavior
for the rational use of energy. They conclude that for sustainable balance between nature
and energy availability require more responsibility in treatment of energy questions mainly
through education, which represents long term investments.

Patrik Thollander et al (2013), in " Beyond barriers- A case study of driving forces for
improved energy efficiency in the foundry industries in Finland, France, Germany, Italy,
Poland, Spain and Sweden" have focused on studying the drivers for energy efficiency and
found that economical considerations is the top drivers in foundries.

AVH Sola and AAP Xavier (2007) in their paper titled "Organizational human factors as
barriers to energy efficiency in electrical motors systems in industry' have studied the
correlation between organizational human factors (OHF) and the level of energy losses in
organizations. They carried out research in ten industries of the following sectors: pulp
and paper; food; wood ^ d chemical products. The losses of electric energy were
determined in motor systems with the aid of a mathematical model and the evaluation of
27 OHF identified in the literature review was made with the supervisors in the industries
by means of a structurized questiormaire. Seven OHF had presented significant correlation
with energy losses and sij^tf them are inversely proportional to the losses, in accordance
with linear regression analysis. The inversely proportional factors to the losses also with
significant correlation are considered determinative OHF and constitute barriers for energy
efficiency in organizations. These barriers are linked with the following organizational
areas: management system; education of employees; strategically vision. The purpose is to
subsidize the formularization of institutional policies in organizations to improve the
energy efficiency in the productive sector. The study recommends the implementation of
the determinative OHF in organizations as a way to transpose the human barriers for
energy efficiency.

The core aim of Human Resource Management is to attain the organization effectiveness.
Transport is one of the service sSctors in India. Indian Railways is the life line of India
(Kasinath Sopan, 2011). The real assets of Indian Railways are the Human Resource^ The
Indian Railways organization structure depicts the superior subordinate relationship in
vivid manner. The density of human resource in Indian Railways is at 22 Human Resource
per kilometer .The electrification network is at 29 percent to the total route kilometers
.However, the electrifications network should fiirther increased to 50 percent in order to

32
render the best services to the commuters. The socio-economic development is linked with
the number of railways stations; hence the railway stations should further increase. The
electric engines are eco - friendly, fastest and cheapest hence. The number of electric
engines should further increase in number in order to render best services to the goods and
commuters in Indian Railways. The Human Resource cost to the Total cost in Indian
Railways is at 55 percent due to the implementation of the VI pay commission. The
market share of Indian Railways is at 30 percent during the year 2008-09 hence, the
Railway Board ought to take decisions in tapping the small consignments also to boost up
the productivity and net revenue. However, the Indian Railways should focus on the core
activities and the non core activities should be given to the BPO.

2.6 LITERATURE PERTAINING TO INDIAN RAIL\\ AYS

This section deals with publications from various Hon'ble Minister of Railways, IR
Aimual Accounts statements, Expert Group on Modernisation Report, Chairman Railway
Board, Member Electrical, Member Mechanical, Chief Electrical Engineers press releases

IR is a vital organisation for national integration having 14 lakh dedicated committed and
determined Rail pariwar (Minister of Railways, 2013). IR must remain financially
sustainable so that the resources generated can be ploughed back for efficient upkeep,
operation and maintenance of the system. Steep increase in input costs has led to loss of
Rs 24,600 Crores in 2012-13 due to 12,335 passenger train operation. Mounting scarcity
of the resources continues to stare us at the face and thin spreads of funds has only
compounded the problem. During XI plan IR could not meet the target of doubling and
guage conversion. Considering the vastness of the nation, taking into account the large
areas still aspiring for rail connectivity the target needs to be much higher and the rail
network has to be expanded at a much faster rate than has been possible till now. Planning
commission has pegged the railways XII plan at Rs 5.19 lakh crore with gross budgetary
support of Rs 1.94 lakh crore, internal resources at 1.05 lakh Crores, market borrowings at
1.2 lakh crore and Rs 1 lakh crore expected through PPP route. Raising 1.05 lakh crore i.e.
Rs 20,000 Crores per annum for next 5 years is onerous task for IR.

IR remains committed to protecting the environment and promoting use of BET.

> IR has set up railway Energy Management Company to harness potential of solar
and wind energy.

33
 > IR is setting up 75 MW wind mill plants and energizing 1000 level crossings with
solar power.
> Deployment of new generation EE electric locomotives and EMU saving Rs 60
Croresin2011-12.
> Encourage more usage of agro based and recycled paper and ban plastic in
catering.

IR won the national EC awards for its contribution in EC. IR is motivating students to
study and undertake research on IR related issues at M.Phil and PhD levels. Fellowships
with stipend are being instituted at national universities. A chair at TERI to promote
railway related research is being instituted to reduce the carbon footprint of IR.

Recession period has affected developed countries of Europe and America adversely and
the whole world is looking towards India which has maintained an 8% economic growth
(Dinesh Trivedi, 2011). He said that India has emerged as an engine for growth for the
whole world and Indian Railways (IR) in turn is undoubtedly engine of growth for India as
its nation's lifeline and the mainstay of coimtry's transport infrastructure. He urged all
railway men and women to join hands for substantial expansion and modernisation of IR
which includes improvement in productivity and efficiency, safety, security, comfort and
other amenities of passengers. Emphasizing on the need to modernize railway operations
in all respects, Minister announced that an expert committee has recently been constituted
under the chairmanship of Shri Sam Pitroda to reconamend ways and means to modernize
IR to meet the challenges of economic growth, the aspirations of common man, the needs
of changing technology and the expanding market.

IR has started manufacturing of new generation 6000 hp electric locomotives with

regenerative braking in CLW (Muniyappa K.H., 2011). 10.5 MW wind mill plant has been
commissioned in Chennai and two more wind mill power plants of 10.5 MW capacities
each have been sanctioned one in Jaisalmer in Rajasthan and the other in Southern
Railway. IR fiirther proposes to set up wind mill plants of 72 MW capacities in the states
of Andhra Pradesh, Kerala, Kamataka, Tamil Nadu and West Bengal. IR is also
harnessing solar power by providing solar photo voltaic modules of varying capacities at
Railway stations, office buildings, training institutes and level crossing gates.

IR are one of the least polluting modes of transport and efforts are steadily being made to
make railway operations environment friendly (IR Annual Report and Accounts 2012).

34
Some of the steps taken in this direction are as follows. Eliminating the use of wooden
sleepers by development of composite sleepers made of a polymer matrix, typically
polyethylene with reinforcing fibers. IR has undertaken afforestation on its vacant land on
a large scale and brought 0.48 lakh hectares under green cover. The year 2011-12 was
declared as "The year of Green Energy" and to commemorate the same activities like
creating awareness for green energy initiatives, tapping non conventional energy sources,
energy conservation measures were undertaken by the zonal railways. So far IR has
harnessed 10.5 MW of wind energy and about 4.5 MW of solar energy at level crossing
gates, wayside railway stations, street lights, solar water heaters at training
institutes/running rooms/hospitals/rest houses/canteens/base kitchen etc. During 2011-12,
capacity addition of about 326 kWp in solar energy was made which included
provisioning of solar lighting systems at 134 railway stations, 734 level crossings, 10
office buildings, 306 street lights and 111 number solar based water heaters. Besides solar
projects for capacity addition of 4.69 MWp are being initiated. Wind plants of about 93
MW are also planned in wind rich states. As EC initiative, IR has started use of energy
efficient electric locomotives and EMUs with 3 phase regenerative braking system, head
on generation for eliminating use of DG sets in trains. EC initiatives including
replacement of T8 FTL by energy efficient T5 and CFL fittings, provision of LED lights,
energy efficient ceiling fans, occupancy sensors, use of star rated equipments etc has
reduced energy consumption thus saving 1.03% of electricity (2458 million units during
2011-12 as against 2484 million units during 2010-11) for non traction apphcation despite
about 5% increase in connected load. Diesel locomotives have been steadily upgraded
with various innovative measures like microprocessor control, roller suspension bearing,
conmion rail direct injection etc which has resulted in steady improvement in specific fiiel
consumption rates resulting in saving of fiiel consumption of Rs 4500 Crores per annum.
Shunting loco WDS 6 use in place of WDM 2 has potential of saving Rs 32 lakh per loco
per annum on present day fuel price.

IR is in urgent need for modernization and generational charge to assure safety, improve
productivity, take advantage of advanced technology, respond to ever increasing demand
and meet exclusive growth aspirations of the country (Expert group for modernization of
IR 2012). Focus has been on five pronged strategy related to core assets, new revenue
modes, projects, enablers and resource mobilization to key areas related to tracks,
signaling, stations & terminals, PPP, land, dedicated freight corridors (DFL), information

35
and communication technology (ICT), indigenous development, safety, funding, human
resource and organization have been focused upon. Modernization of IR will not only
make it efficient and productive but also safe. The modernization plan proposed by the
expert group requires funding of 5, 60,000 Crores in next 5 years. The 4 main sources of
funds viz., budgetary support, internal generation by Railway, monetization of blocked
assets coupled with resort to PPP and funds rising fi-om financial institutions and markets
should be harnessed concurrently in a timely manner to ensure timely implementation. The
country presently suffers from a severe and chronic under investment in railway
infrastructure. The resultant disproportionate diversion of fi-eight and passenger traffic to
roads while causing substantial loss in revenue to IR also imposes a heavy burden on the
country which is measurable in terms of much larger freight cost to GDP ratio and higher
environmental cost per route less of freight and passenger traffic than in other countries.
There is an urgent need for modernization and capacity enhancement of IR to meet
Country's social and economic aspiration in the 21*' century. The recommendations
include

> PPP Initiatives (including renewable energy projects (solar, wind etc) 1000 Crores,
energy saving project -1000 Crores, Captive power generation - 4000 Crores)

> Human resources - launch a series of in-service training programme immediately.

Offering graduate programme in railway tech at IIT and rly. Mgt. at IIM

The committee strongly recommends that next Railway Budget should focus on the
modernization plan with a vision for generational charge to take IR to new heights with
commitment to safety & growth for all.

Indian Railway the third largest network in the world under single management carried 6.7
billion passengers and 794 million tonnes of cargo in the year 2007-08 (Khurana, 2009).
The fi-eight and passengers traffic has grown at 9% and 7% per annum on consistent basis.
XI five year plan set a target of 1100 million tonnes of originating traffic (702 billion Net
Tonne Km) and 840 Crore originating passengers (942 billion Passenger KMs ) therefore
capacity enhancement is the only key to this and in this process the various measures
being undertaken are as follows .
> Running of double stack container train on both diesel and Electric trains using
light weight wagons which can improve the carrying capacity of a train.
Increase in axle loads of wagons and reduction is wagon turnaround time

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 > Dedicated freight corridor for high density network to carry the bulk of railway
fi"eight
> Augmentation of locomotives and coach manufacturing activities, port
connectivity work and terminal capacity improvement
> Use of modem technology to upgrade equipments in Railway workshops to
meet the challenges.

He underscores the importance of reassessing the HR practices to weld our employees

together and equip them to assimilate, interpret and employee need to be empowered at all
levels to think innovatively and so that we can as an organization respond djoiamically to
the expectation of the customer and changes is our envirormient. Comprehensive training
program has been devised to depute officers and supervisors to expose then to the best of
institution outside and inside the country. This clearly implies the importance attached to
the human resources for the efficient functioning of the organization as a whole.

Improved locomotive, wagons and coaches are needed to support the strategy to run
heavier longer and faster trains over IR (Praveen Kumar 2010). He suggests the following
measures in this direction. Light weight fi'eight stocks that are lighter in weight for better
pay to tare ratio's which enable higher carrying capacity. Stainless steel (SS) 29 tormes an
axle load open wagon has been designed by Research Designs and Standards Organisation
(RDSO) and production has commenced since September 2008. These wagons have to pay
tare ratio of 3.45 instead of earlier 2.5 of BOX N. The body and under fi-ame is made of
stainless steel. Similarly SS covered wagons with 22.9 axle load being introduced fi"om
Dec 08 which have pay to tare ratio of 3.4 versus 2.3 of earlier wagons. By reducing the
tare weight these wagons turn out to be more energy efficient and also reduce the fiiel
costs involved in transportation.

POH periodicity of ICF design Mail/Express coaches has been enhanced fi-om 12 to 18
months, which will subsequently enhance the availability of coaches for traffic use. This
has been possible by upgrading the vital safety and passengers amenity items which is
being carried out by all the concerned Railway Workshops. New generation light weight
SS coaches design has been finalized to combat the problem of corrosion. There are now
being manufactured in our production units. Diesel locomotives have been upgraded to
give higher horse power, better reliability and extended periodicity between successive
maintenance schedules. Up rated fuel efficient engine, microprocessor controls AC-DC
transmission, roller bearings in TM suspension unit and seated axle bearing are some of

37
the features which have resulted in vastly improved performance reducing both
maintenance and operational cost.

Indian Railway organization for alternative fuels (IROA) in collaboration with M/s
Cummins is promoting use of CNG (Dual fuel mode) along with Diesel in Diesel
Electrical Multiple Units (DEMU).

IR has made rapid progress in the field of electric traction and on date 33% of network is
electrified which enables carrying of 65% freight and 50% of passenger traffic (Kul
Bhushan 2013). IR plans to electrify6500 kms of track in 12* five year plan. IR has
envisaged four pronged strategy manufacturing of state of art locomotives with higher
haulage capacity - 6000 hp loco Introduction of greener energy solutions to meet rising
power demands. IR has introduced modem technology in signaling system to improve
sectional capacity and safety Modernisation of existing infrastructure. A 10 MW wind mill
has been set up in Tamil Nadu (March 2009) to meet power requirements of ICF Chennai.
This project is registered with UNFCCC and expected to earn 20,000 CER's per annum
and similarly two more wind mills of 10.5 MW capacities one each in Tamil Nadu and
Rajasthan are on the anvil.

Jain R.K (2013) in "Indian Railway Energy and Sustainable Development" observes EC
measures in non- traction use being implemented by IR are as follows:

Benchmarking of electricity usage, Use of energy efficient luminaries ,Installing Energy

Management System at stations to reduce energy consumption. Use of CFL in service
buildings, production units and residential colonies, Use of LED at A and Al class
stations. Use of 3 star and above rated products. Use of renewable energy sources, Use of
grid connected solar panel in offices workshops, station buildings. Renewable energy
source for stations, Use of solar street lights and solar water heaters. Use of wind energy in
IR, Enabling IT in power systems. IT enabled solution for power network of IR. All new
construction undertaken by IR will be as per Energy Conservation Building Code (ECBC)
and will be green buildings. Energy audit of work centers will be undertaken in phased
manner.

IR is the lifeline of India and is the cheapest, fastest and safest means of transport in India
compared to any mode of transport. The operating ratio (OR) depicts vividly the efficacy
of the management in IR. It is the ratio of the total working expenses to the gross receipts
or in plain terms the amount spent to earn a hundred rupees. During 2010-11 the OR of IR

38
was 94.59 in contrast to 81 during 1950-51 (Kasinath Sopan 2013). The OR is very high
due to implementation of 6 pay commission recommendations. During 2010-11 the
human resource cost was Rs 53706 Crores which is about 62% of the total costs thus
representing a lion's share. IR should reduce the OR to 75% by increasing the freight rates
and commuter fares to ensure funds for development. Hence Railway Board needs to draw
strategies for growth and development of IR through sophisticated technology in
accordance with the changing scenario in the globe. The output of IR is measured through
traffic output which stood at 978 billion passenger kms and 625 billion torme km of freight
kilometers.IR should focus on core activities and non core activities should be given to
Business Process Outsourcing and Knowledge Process Outsourcing for efficacy on one
hand and cost control on the other. Electrification should be enhanced to render best
services and improve productivity. The contribution of IR to Indian GDP is 1%.

South Western Railway is annually spending Rs. 20 Crores towards electrical energy
charges and small efforts on energy conservation can yield substantial results (Tempe,
2010). He highlights the \'arious measures being taken in this direction viz. replacing
incandescent lamps in all quarters by CFL or FL, use of solar water heater in place of
electrical geysers in retiring rooms, running rooms, use of solar PV lighting systems and
signaling systems etc.

As not much of the data pertaining to Railway workshops is available in print form or on
the internet it is felt that interacting with responsible officials of the concerned wings is
more beneficial to gather data. In this context the civil engineering department official has
been interacted with to understand the water recycling plant being built up. Similarly both
the Safety officers have been contacted to get information on the current issues pertaining
to the Workshops

The review of literature available pertaining to railways and its energy issues reveals that
energy and envirormient are interconnected subjects receiving global attention in research
the world over in the present era. Further,
1. For development of a nation the transport sector plays a vital role in the economy and
railways being more energ}' efficient than road transport does need more focused study to
improve its energy intensive units such as workshops.
2. The study of energy issues on railway workshops has not been covered in a holistic
manner covering the two major inputs viz., thermal energy and electric energy.

39
3. Major issues such as internal factors, human element influencing energy and
environmental aspects have not been considered in the studies.
4. The comparative study of energy and environment issues between major workshops
located at different geographical areas is currently not available.
In IR, the energy consumption by the workshops is quite substantial but still this aspect
has not been able to attract researches due to various constraints. There is an urgent need
to study the efficiency and environmental performance of these workshops both from
economic and environment perspectives as IR being a government organization should
lead by example and should shoulder higher corporate social responsibility.

The study of the proposed two major workshops situated in southern part of this nation has
never been carried out and an attempt is being made to study the same selecting the major
thermal and electrical issues pertaining to these workshops. Energy efficiency, economic
and environmental performance, internal and external factors affecting the energy
efficiency and environmental pollution and the prioritization of drivers and barriers shall
be undertaken with the help of experts in the field both from within and outside the
Railways

2.7 ENERGY ANALYSIS IN WORKSHOPS

Workshops over IR are basically service industries wherein maintenance is undertaken in

addition to manufacturing activity too. The basic purpose of an industrial process is to
convert raw material into the desired end products. In such a process requiring use of
energy, a set of given quantities of input changes its form to approach the final form of
output and as a result the energy content per unit of material keeps on changing. "Energy
analysis" aims at quantifying the energy contents of the final output. Given the system
boundary and level of analysis, energy analysis requires adequate data regarding quantity
of final output produced and corresponding energy input from different energy carriers.
One of the approaches to industrial energy analysis is to conduct an "energy audit".

2.7.1 Energy Audit

A systematic approach, to monitor industrial energy consumption and to pin-point sources

of wastage, is known as an "energy-audit" (GEDA, 2005). An energy-audit study helps an
organization to understand and analyze its energy utilization and identify areas where
energy use can be reduced, decide on how to budget energy use, plan and practice feasible
energy conservation methods that enhances energy efficiency, curtail energy wastage and

40
substantially reduce energy costs. Thus, energy-audit assists in energy cost optimization,
pollution control, safety aspects and suggests the methods to improve the operating &
maintenance practices of the system (PCRA, 2005).

An 'energy-audit' study provides the vital information base for overall energy
conservation program covering essentially energy utilization analysis and evaluation of
energy conservation measures and it aims at the following (PCRA, 2005):
> Identifying the quality and cost of various energy inputs.
> Assessing present pattern of energy consumption in different cost centers of
operations.
> Relating energy inputs and production output.
> Identifying potential areas of thermal and electrical energy saving.
> Highlighting wastages in major areas.
> Fixing of energy saving potential targets for individual cost centers.
> Implementation of measures for energy conservation &. realization of savings

Methodology of an energy-audit usually involves two phases (GEDA, 2005; PCRA,

2005). In the first phase, comprehensive collection of data on operational parameters,
energy consumption, plant capacities, etc., are made through a questionnaire. This
facilitates the study of specific energy consumption (both electrical and thermal), power
sources, distribution systems and drive controls, load factor, efficiency of motors, lighting,
etc. Further, the conservation potential in each area is estimated along with techno-
economic feasibility for recommended measures. The second phase involves follow-up
action with the industry on periodic basis to ascertain the level of implementation of
recommendations and assisting them, if required, in implementing any of the
recommended measure to achieve energy efficiency.

2.8 ENERGY USE, CONSERVATION AND EFFICIENCY IN IR WORKSHOPS

The workshops, which contribute significantly to IR in several ways, consume significant

amount of energy and are making progress in energy utilization efficiency and
environmental aspects like pollution control. However, if the available literature is any
indication, it appears that the energy related aspects of workshops have not attracted the
researchers and policy makers in the past to the desired extent. It is only in the recent
times that energy and its associated issues are getting due attention in the research and
policy making circles and as such Ministry of Railways is instituting a Chair at TERI (The

41
Energy and R^isearch Institute) University and is tying up with the Indian Institutes of
Technologies (IITs). Most of the energy related studies undertaken so far in the context of
workshops oyer IR are reviewed.

Based on the available literature it may be concluded that to improve energy and
environnicntal performance of workshops in India, it is essential to have energy-led
initiatives with a scope to encompass the other related issues as well. It must have a
flexible framework to include organizational and attitudinal problems. The focus must be
on energy-intensive sub-sectors with bottom-up approach (Dasgupta, 1999), which have
to:
> Involve owners to identify constraints
> Prioritize and address these constraints
> Encourage self help
> Make iterative changes to existing technology and develop a working partnership
> Demonstrate environmental and economic benefits that could accrue to industry
> Prepare ground for teclinological change, and
> Disseminate information to encourage uptake.

2.9 ENERGY RELATED STUDIES IN IR WORKSHOPS - RESEARCH GAPS

Although some micro-level energy related studies of Workshops are reported in literature
fi"om certain zones of IR, there is scope for fUrther study. In a vast organization like IR
with varied resource base and socio-economic conditions, micro-level studies of each
region arc necessary for understanding the problems and prospects of workshops in
different regions of the nation. Experts in the energy field observe that micro-level
empirical studies are more useful than macro-level studies for guiding policies and
demonstrating the link between resource productivities and performance of enterprises.

A detailed review of available literature on energy related studies in the context of

railways has revealed the following:

> Most of the studies based on railways as only a mode of transport. The approach of
studying two major workshops is justifiable in view of the fact that more than 41
workshops exist in India, contributing significantly to employment generation.
Thus, even if energy consumed and environmental pollution is insignificant at the
individual workshop level, they become noteworthy at the national level.

42
 > These studies are not comprehensive in nature as they did not cover all the
dimensions of energy efficiency like causes, constraints and consequences of
present state of affairs, for suggesting the way forward. Further, there is hardly any
study of energy-intensive workshops from different regions of the country.

> It is said that energy consumption belongs to the realm of technology but energy
conservation, including energy efficiency, to the realm of society. As energy
consumption is the last part of a long chain of decisions and actions, it is
appropriate to discuss energy consumption within its social context (Weber, 1997).
The University of Kiel (UoK, 1998), Baranzi and Giovannini (1996), and Dasgupta
(1999) have substantiated this. Yet, the energy studies in IR in the past appear to
have ignored the influence of socio-economic context and the behavioural &
organizational aspects of workshops.

> Barrier models face physics of energy consumption and the social character of
obstacles to energy efficiency. They bring them together by focusing on technical
processes and at the same time emphasizing the social context of energy
consumption, taking human behaviour, firms, markets and institutions into
consideration (Weber, 1997). Hence, study of barriers to energy efficiency is a
usefiil step towards achieving higher levels of efficiency. However, there is a lack
of studies substantially dealing with barriers to energy efficiency in IR workshops.

> The consequence of energy inefficiency is reflected in environmental and

economic performance of workshops though energy use and its associated
environmental impact are direcfly linked, the relationship of energy use with
economic performance is not so obvious. In the context of IR Workshops, there is
dearth of literature probing these aspects.

It is with these research gaps in mind that this empirical research study of two energy-
intensive IR workshops in South India is undertaken. This study looks at energy efficiency
fi-om multiple perspectives such as energy consumption, environmental pollution, and
energy cost. Apart firom establishing the current levels of efficiency, it also estimates the
energy conservation potential in the workshops. The relevant drivers and barriers are
identified and ranked in order to fine-tune the policy initiatives for enhancing energy
efficiency in workshops over IR.

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