Railroads

TRANSPORTATION MODES
Dr. Dilara Berrak TARHAN

Railroads

 The ‘railway’ or ‘rail’ is a terrestrial-guided
mass transport system. Trains move on their
own (diesel traction) or through remotely
transmitted power (electrical traction) using
steel wheels rolling on a dedicated steel
guideway defined by two parallel rails.

 The railway transports passengers and freight.
 Its capability can extend to cover any distance

in any environment (urban, suburban,
periurban, regional, and interurban). Its range
for passengers transportation is usually suited
to approximately 1,500 km2, while for freight
the distances can be much greater.

 From a transport system point of view, it is by
default considered to comprise three
constituents:
• Railway infrastructure.
• Rolling stock.
• Railway operation.

Railway infrastructure
 The term ‘railway infrastructure’ describes the railway

track and all the civil engineering structures and
systems/premises that ensure the railway traffic.
 The railway track consists of a series of components
of varying stiffness that transfer the static and
dynamic traffic loads to the foundation. Hence, the
railway track comprises successively from top to
bottom the rails, the sleepers, the ballast, the sub-
ballast, the formation layer, and the subgrade.

 The rails are mounted on the sleepers on top of elastic
pads to which they are attached by means of a rail
hold-down assembly called the rail fastening.
 Rails, sleepers, fastenings, elastic pads, ballast, and
sub-ballast constitute the ‘track superstructure’, while
the subgrade and the formation layer constitute the
‘track substructure’.

 The upper section of the track superstructure that
comprises the rails, the sleepers, the fastenings, and
the rail pads forms what could be commonly called
the ‘track panel’. Switches and crossings by means of
which the convergence, cross section, separation, and
joining of tracks at specific points of the network are
accomplished are also considered to be part of it.

 The lower part of the track superstructure that
comprises the ballast and its sublayers is called ‘track
bed layers’. The track bed layers and the track
subgrade, considered as a whole, are called ‘track
bed’.
 Apart from the ballasted track bed (conventional or
flexible track bed), a concrete track bed (slab track or
rigid track bed) is more and more frequently used.
The latter solution has proven to be very efficient in
the case of underground track sections, where
maintenance requirements are greatly restricted.

 A third track bed system seldom applied is the
‘asphalt concrete track bed’, or otherwise called the
‘semiflexible track bed’. This solution is used on
certain occasions in Italy and Japan for the
construction of new high-speed lines. It is also
extensively used in North America for the restoration
of short lengths in critical segments of the track
(tunnels, switches and crossings sections, and
transition zones before or after major civil engineering
works).

 The track systems and premises are separated into:
 Lineside systems that comprise the level crossings as
well as the electrification, signalling, and
telecommunication systems.
 Facilities and premises that comprise the stations, the
depots, and other building facilities (administration
buildings, warehouses, etc.).

 Two special terms are usually used to describe the
track structural characteristics along its length:
 ‘Plain’ track (line): A segment of a railway track that
does not have any switches and crossings
configurations on it (turnovers, crossovers, etc.).
 ‘Open’ track: A segment of a railway track that does
not have any tunnels, bridges, overpasses, high
embankments, deep cuttings, and stations/stops on it.

Rolling stock
 ‘Rolling stock’ is the term employed to describe all

railway vehicles, both powered and hauled, used as
power, trailer, or engineering vehicles.
 The power vehicles are self-propelled, that is, they are
equipped with traction motors. These vehicles may:
 Serve the sole purpose of hauling the trailer vehicles
and are then called ‘locomotives’ (or ‘traction units’ or
‘engines’).

 Transport a number of passengers and are then called
either ‘single railcars’ or ‘railbuses’ (when they have a
driver’s cab at one or both ends) or ‘motor cars’
(when they are remote controlled from other
vehicles).
 Be used for shunting, hence they are called ‘shunting
locomotives’ or ‘shunters’ or ‘switchers’.

 Locomotives and single railcars, depending on the
type of traction power they utilise, are classified into:
(a) steam, (b) diesel, (c) electric, (d) hybrid, (e) gas
turbine, and (f) fuel cell locomotives/railcars. All these
categories may be further classified based on a series
of criteria specific to each category.
 The trailer vehicles are not self-propelled. They serve
the purpose of transporting people or goods. They
may be classified into three basic categories
depending on their use, namely:

 ‘Passenger vehicles’ (or ‘passenger cars’ or ‘coaches’
or ‘carriages’) intended to transport passengers.
 ‘General-use freight vehicles’ (or ‘freight cars’ or
‘good’s wagons’ or ‘trucks’) intended to transport
goods.
 ‘Specific-use freight wagons’ intended for the
transportation of certain types of freight only.

Figure 6.1:Categories of rolling stock

 A ‘train’ or ‘trainset’ or ‘consist’ is an operational
formation consisting of one or more units, while a unit
may, in turn, be composed of several vehicles.
 The combination of locomotives and trailer vehicles
forms the loco-hauled passenger or freight trains
depending on the category of the trailer vehicles
(Figure 6.2). When two locomotives are included in the
same train formation then the operation is called ‘2-
loco operation’.

Figure 6.2: Types of trains

 The combination of single railcars with motor cars
and/or trailer vehicles forms the ‘railcars’.
 The railcars can move in both directions without the
need for a shunting locomotive in contrast with loco-
hauled trains, which need a shunting locomotive.
 The term ‘Multiple Unit (MU)’, either Electric (EMU) or
Diesel (DMU), refers to a trainset of more than one
unit in which all units are capable of carrying a
payload (passengers, luggage/mail, or freight).
Specifically, they exhibit the following characteristics :

 Units are railcars formed by single railcars, motor cars,
and/or trailer vehicles, which are semi-permanently coupled.
 A driving cab is provided at each end of the unit. Drivers
just change ends at the terminus.
 The train length can be varied by adding or subtracting
units.
 Power equipment is distributed along the whole train (only
motor cars and single railcars have power equipment).

 Example formations of Multiple Units are:
 PR + TC + PR + PR + TC + PR.
 PR + MC + MC + PR.
 PR + PR + PR + PR.
 where:
 PR: Single railcar.
 TC: Trailer vehicle (Car).
 MC: Motor Car.

 ‘Push–pull’ trains are hauled passenger trains with
(Figure 6.3):
 A locomotive at the front (pull–push) or at the rear
(push–pull).
 An unpowered vehicle at the rear or at the front, with
a driving cab allowing the train to be driven from
either end (Driving Van Trailer (DVT) or cab car or
control car).
 A number of intermediate passenger trailer vehicles.

Push–pull trains can move in both directions without the need for a shunting locomotive
unit. The locomotive is controlled remotely through a train cable length when the DVT is
leading. Alternatively, a push–pull train, especially a long one, may have a locomotive on
both ends.
Figure 6.3: Pull–push/Push–pull train formations

Figure 6.4 Technical and commercial railway operation activities

 Sound maintenance is a prerequisite for the smooth
operation of the railway system. Maintenance is
characterised as a ‘horizontal activity’, since it applies
to all three constituents of the railway system.
 Subsequently, definitions for several terms, which are
directly related to the operation of a railway system
and will reappear in later sections, are provided. The
definition of these terms at this point is consistent
with the structure of the book and is aimed at
facilitating the reader.

 ‘Track’: Refers to the railway permanent way, which
is defined by two parallel rails. The term ‘track’ is
mostly used when one refers to the infrastructure
(superstructure, substructure, civil engineering
structures, and systems/premises) of a railway
system. A track links two stations. It is comprised of
track sections. The permanent way may include one
track (single track), two tracks (double track), or more
than two tracks.

 (Railway) ‘Line’: Refers to the railway permanent
way, which is defined by two parallel rails. The term
‘line’ is mostly used when one refers to the
geographical integration and the operation of a
railway system. A line usually connects two stations of
importance. A line may include one track (single track
line), two tracks (double track line), or more than two
tracks.

 ‘Railway network’: Denotes all tracks (lines) that are
located within a specific geographical area (continent,
country, region, and county) as a whole.
 ‘Main line’ or ‘main track’: Refers to all the
lines/tracks used by the trains servicing the routes
included in the current ‘timetable manual’ of a railway
network.

 (Scheduled) ‘Railway route’: Refers to a specific
link defined by an origin and a destination station and
is included in the current ‘timetable manual’ of a
railway network.
 ‘Railway corridor’: Denotes the line(s) that
connect(s) two wider geographical locations without
necessarily constituting a railway route (e.g., the
railway corridor X Thessaloniki–Salzburg and Europe–
Asia railway corridor).

 ‘Track section’: This term is used in the process of
calculating track capacity (UIC, 1983). A track section
connects two overtaking or crossing stations (in general
terms, non-neighbouring stations), or two turnovers
under the condition that the number and the proportion
of different types of passing trains do not alternate
more than 10%. It is comprised of more than one track
subsection. In a wider sense, the term may simply refer
to a segment of track.

 ‘Track subsection’: This term is also used in the
process of calculating track capacity. A track
subsection connects two neighbouring overtaking or
crossing stations as well as one overtaking or crossing
station with a turnover (UIC, 1983- International Union
of Railways (UIC)).

Classification of railway systems based on speed
 Based on its speed a railway system may be placed

into one of the following three categories:
 Conventional-speed rail.
 High-speed rail.
 Very high-speed rail or super-fast rail.

 As of yet, there exists no universally accepted
definition of distinguishing between conventional,
high, and very high-speed rail. On the contrary,
various approaches may be found in the relevant
literature as proposed by different railway
organisations or researchers.

Classification of railway systems based on
functionality/provided services
 In general, the railway systems fall under the category

of terrestrial-guided transport modes (moving along a
dedicated corridor – ‘fixed permanent way’).
Depending on the permanent way they use, these
guided transport modes are distinguished into railway
(Figure 6.5), aerial (i.e. aerial cable car), road (e.g.
BRT, trolley), and magnetic levitation systems.

 The term ‘railway system’ may include all transport
means whose rolling system involves at least one iron
component (steel wheels on rails or rubber-tyred
wheels on a steel guideway).
 Railway systems transport passengers (passenger
railway systems) or goods (freight trains).

Figure 6.5: Classification of railway
transport systems.

 On the basis of the geographic/urban environment in
which they operate, and generally on their
functionality/provided services, passenger railway
systems are distinguished into (Figures 6.6 – 6.19):
 Intercity systems.
 Suburban/regional systems.
 Urban systems.
 Steep gradient railway systems.

Figure 6.6: High-speed intercity
railway (THALYS)

Figure 6.7: Conventional-speed intercity train, Helsinki,
Finland (hauled electric passenger train)

Figure 6.8: Suburban railway, Berlin, Germany (double-
deck electric railcar)

Figure 6.9: Suburban railway, Greece (diesel railcar)

Figure 6.10: Metro (with driver), Athens, Greece

Figure 6.11: Metro (driverless), Paris, France

Figure 6.12: Driverless light metro, Copenhagen,
Denmark

Figure 6.13: Modern tramway, Athens, Greece

Figure 6.14: Monorail (suspended system), Memphis,
Tennessee, USA

Figure 6.15: Monorail (straddled system), Sydney,
Australia

Figure 6.16: Driverless self-propelled railway systems of
low/medium transport capacity. (From POSCO ICT Co.,
Ltd., 2015.)

Figure 6.17: Driverless cable-propelled railway systems
of medium transport capacity, Birmingham airport
system, UK.

Figure 6.18: Cog railway, Arth Goldau, Switzerland

Figure 6.19: Funicular, Graz, Austria.

 The intercity railway serves trips greater than 150
km and usually links major urban centres. Terminal
stations are usually located in large urban centres. It
includes high-speed trains, very high-speed trains
(Figure 6.6), and conventional-speed trains (Figure
6.7).

 The suburban/regional railway (Figures 6.8 and 6.9
is a railway means of transport with characteristics
adapted to commuter services within the limits of the
influence area of major urban areas (suburbs and
satellite regional centres). Its range can exceed 100
km and may even reach up to 150 km. The
nomenclature varies.

 The length of the route and the frequency of the
service are usually used to distinguish three
subsystems. When covering distances of 10–40 km, it
is designated as a suburban railway. The track is
usually electrified, and the operation is characterised
by very high-frequency services (usually trains run
every 15–30 min). When covering distances of 30–50
km, it is designated as commuter or periurban or
urban rail.

 The track is usually electrified and the operation is
defined by relatively high-frequency services (usually
trains run every 20–60 min). Finally, when it covers
greater lengths (50–150 km), it is designated as
regional railway (usually trains run every 1–3 h). One
of the two terminal stations is usually located in a
small or medium sized urban centre.

 Urban railway systems include:
 The metro (Figures 6.10 and 6.11).
 The light metro (Figure 6.12).
 The tramway (Figure 6.13).
 The monorail (Figures 6.14 and 6.15).
 The driverless railway systems of low/medium
transport capacity (Figures 6.16 and 6.17).

 Out of the above systems, the first three serve trips
that are performed exclusively within a city (urban
transport), whereas the latter two are mainly used for
trips with a different character. More specifically:
 In essence, metros move underground and are
characterised by great transport capacity and high
implementation cost.

 Trams are integrated into the road arteries of the city,
using a specialised track superstructure.
 The light metro is, based on its construction and
operation features, a system somewhere between the
tram and the metro. Light metro and tram belong to
the so-called ‘Light Rail Transport Systems’ (Light Rail
Vehicles – LRVs or Light Rail Transport systems – LRTs).

 The monorail moves using a system of rubber tyres
(this is the most common type) on an elevated
guideway comprising a single beam made of concrete
or steel. It serves short distances mainly within the
urban environment and is particularly suitable for trips
within recreation areas (thematic parks, zoo parks,
etc.), as well as for connecting the city centre to the
airport. In recent years, monorails are increasingly
used as a means to circumvent land scarcity issues in
congested cities.

 Finally, driverless systems of low/medium transport
capacity move on an exclusive transport corridor
using either single vehicles with a transport capacity
of 3–25 persons (Figure 6.16) or trains of low and
medium transport capacity. They are either cable-
propelled (Figure 6.17) or self-propelled electric
systems, and they belong in the category of
Automated People Movers (APMs).

 In the urban environment, such systems may serve as
feeders for heavy rail transport systems. However,
they usually operate for the service of trips within
airports, large hotels, casinos, congress centres and
health centres, educational institutions, and big
companies’ premises.

 The steep gradient railway serves small-distance
connections with an important difference of altitude
between the two edges of the railway line. They are
separated into rack railways (Figure 6.18) and cable-
propelled railway systems (Figure 6.19).

 The rack (or cog) railway is mainly used to approach
remote mountain developments and tourist resorts on
tracks with longitudinal slopes usually exceeding 50–
70‰. Apart from the two classical rails, the cog
railway superstructure includes a special toothed rack
rail mounted between the two conventional running
rails.

 The wheelsets of the power vehicles are fitted
with one or more cog wheels that bind in the
rack rail. The required supplementary traction
force is achieved through the engagement of
the rack rail teeth with the locomotive pinion
teeth.

 Cable-propelled railway systems for steep gradients
use vehicles that are hauled via cables. On the basis
of the technique that is used for their traction, they
are divided into funicular (non-detachable, cable-
propelled vehicles for steep gradients), cable railway
(detachable, cable-propelled vehicles for steep
gradients), and inclined elevator.

 The funicular operates using two vehicles that move
on rails with the aid of a cable; one of the vehicles is
ascending while the other one is descending. The
cable rolls over pulleys which are mounted on the
track superstructure. The vehicles are permanently
connected to both ends of the cable and start and
stop simultaneously.

 The ascending vehicle uses the gravitational force of
the descending one (counterbalance system). The
system usually connects distances of less than 5 km,
with constant longitudinal gradients of around 300–
500‰ (max value recorded in practice is 1,100‰)

 The cable railway also uses vehicles that run on
conventional rails, using a cable which moves
constantly and at a constant speed. The difference
between the two systems lies in the fact that for the
cable railway, the vehicles are not permanently
connected to the cable. The vehicles can stop
independently, disconnecting from the cable, and may
start again, reconnecting to the cable. This process
may occur either automatically or manually (San
Francisco system, USA).

 The inclined elevator or inclined lift or inclinator is a
variant of the funicular. It operates using a single
vehicle which is either winched up at the station on
the top of the inclined section where the cable is
wound on a winch drum or the weight of the single
vehicle is balanced by a counterweight so that the
system operates as a funicular. It usually connects
distances of less than 1.5 km, with constant
longitudinal gradients of around 500–700‰. This
system can serve extremely steep gradients.

 Freight trains, as seen in Figures 6.2 and 6.5, are
distinguished into trains transporting:
 Conventional loads (axle load Q ≤ 25).
 Heavy loads (axle load Q > 25).
 Dangerous (hazardous) goods.
 Small parcels.

THE CAPABILITIES OF THE RAILWAY
SYSTEM
 Advantages and disadvantages of the railway
 Table 1.1 presents the advantages and disadvantages

of the railway compared with other means of
transportation.
 Some of the advantages/disadvantages of the railway
system are discussed below, while Section 1.5.3
presents a comparison between the level of service
provided by the railway and that of other competing
transportation systems. Specifically:

 High transportation capacity: The steel-on-steel
contact significantly reduces the specific rolling
resistance (15 N/t for the railway, 150 N/t for a tourist
coach, 300 N/t for a road truck) (Metzler, 1981).
 A locomotive can, therefore, pull a greater load than a
road vehicle by applying the same tractive effort.
Also, a train is formed of many vehicles, thus allowing
it to increase or alter its transporting capacity
according to the demand.

 For example, in order to transport 700 passengers, a
train of length between 280 m and 300 m is needed.
For the same number of passengers to be transported
by road, it would require:
 Fifteen coaches with 44 seats covering a length of
road of 1,050 m.
 Hundred and seventy private cars with 4 seats in
each, covering a road distance of 11,900 m including
a necessary safety distance.

 High-speed capability: Nowadays, technical advances in the
areas of rolling stock and the track allow a train to move
safely on a straight track of good rolling conditions at running
speeds Vmax > 300 km/h (Vmax = 350 km/h in China).
 China holds the record for the fastest average running speed
between two successive intermediate stops at Var = 317.7
km/h (Beijing Nan–Nanjing Nan, S = 1,021.9 km) and for the
fastest commercial speed at Vc = 304.1 km/h (Beijing Nan–
Shanghai, S = 1,307.6 km, one intermediate stop) based on
2019 data (Hartill, 2019). France retains the world speed
record with a test train (574.8 km/h) recorded on 3 April 2007.

 With regard to passenger transportation, trains in
many countries run on conventional lines at speeds in
excess of 160 km/h, while there are 19 countries
globally operating very high-speed lines (Vdmax ≥
250 km/h).
 As far as freight transport is concerned, numerous
countries operate trains moving at speeds between
100 km/h and 120 km/h. Table 1.2 shows values for
characteristic speeds which apply for the railway
globally (at the end of 2019).

 Rail services regardless of weather conditions (Figure
6.20): Safety in train operation and train movement is
generally not affected by extreme weather conditions
(fog, snow, ice, strong winds), and cancellation of
scheduled services due to weather conditions is
seldom needed (see Chapter 17). Given this fact, the
railway ensures regularity in its services, a quality of
great importance to its users.

Figure 6.20: Rail services regardless of weather
conditions

 Passenger comfort/relaxed state of mind: Provided that it offers a
satisfactory level of service, the railway is generally viewed in a
positive light in comparison with road and air transport, as the
passenger:Has greater comfort in terms of space when the train is
moving; he/she can move about more, visit the restaurant car, work
on the train. It should be noted that for very high-speed trains (i.e.,
trains running with V ≥ 250 km/h), there is no obligation for
passengers to wear a seatbelt.
 Can enjoy the view throughout the whole journey.
 Is transported ‘on terra firma’ without having to drive him/herself,
which psychologically is more comforting.

 Occupies a small space: A double-standard gauge track
occupies a space of about 1/3 of that of a two-way highway
with three lanes per direction (Figures 6.21 and 6.22).
Indicatively, for 1 km of high-speed railway line, 3.2
hectares of land are needed, while for the same amount of
highway length, 9.3 hectares of land are needed.

 Increased requirements in track geometry alignment:
The design of a railway line is more demanding both
in terms of the horizontal alignment and in terms of
its longitudinal alignment compared with that of a
road. Regarding its horizontal plane, the curve radii
for the intercity and suburban/regional railway must
be greater than Rc ≥ 250–300 m in ‘open’ track
sections (outside the area of stations).

 In terms of its longitudinal alignment, the effective
operation of a railway network sets the gradients for
the intercity and suburban/regional railway at imax =
3–4% with usual gradients at less than 2–2.5%. In the
case of roadworks, the corresponding values lie
between 8% and 10%.

Table 1.1: Advantages and
disadvantages of the railway

Table 1.2: Railways – characteristic speeds
(2019 data)

Figure 6.21: Comparison between occupied space (right-
of-way) of a double-standard gauge track and a highway
for approximately the same transport capacity

Figure 6.22: Right-of-way for a double high-speed
railway track and for a highway (2 × 3), Mundener
bridge, Koln-Frankfurt, Germany

 Table 1.3 shows the characteristic gradient values for
various means of transport and networks.
 Low wheel–rail adhesion coefficient: In railways, the
contact surface between the rail and the wheel
features a small adhesion coefficient due to the
nature of the materials in contact (steel on steel). In
road transport, this coefficient is approximately three
times greater (Metzler, 1981).

 The small adhesion coefficient acts negatively on two
basic operations, namely, braking and starting the train.
The greatest braking distance required to stop the train
automatically sets a maximum speed limit as well as a
maximum longitudinal gradient for the railway.
 Furthermore, the wear on the wheel–rail contact surface
created by the friction between the wheel and the
brakes is a major financial burden for the maintenance
and operation of a railway network.

As a result of the lower adhesion coefficient, the necessary braking
length for the same speed and weight is greater for a train than it is for a
private car.
Table 1.3 Characteristic values of longitudinal gradients for different means

of transport and network cases

THE ECONOMIC CHARACTERISTICS OF
RAIL TRANSPORT
 The railway industry poses a number of specific
problems for transport economists and regulators that
are only partially shared with other transport modes.
These elements are the multi-product nature of the
activity, the particular cost structure of railroad
companies, the role played by infrastructures and
networks, the existence of indivisibilities in inputs and
outputs, the organization of the rail transport as a
public service, and the existence of externalities in the
transport system as a whole .

 These characteristics not only define a
descriptive framework for this sector, but also
jointly determine the main factors that should
be considered when studying in detail the
appropriate economic regulation for the rail
industry.

 The multi-product nature of the activity
 Rail companies are, in most cases, multi-product firms that

provide different types of freight and passenger transport
services. In the case of freight, together with the usual transport
of bulk freight, rail operators also supply complete cargo
wagons or trains, parcel and postal services, as well as other
services of intermodal transport. In the case of passenger
transport, long-distance traffic usually coexists with local
services (suburban and
commuter trains), regional services, and even with high-speed
trains on certain corridors or
routes.

 The implications of the multi-product nature of the
activity can be examined at different levels. At the
accounting level, for example, it is often difficult to
allocate total operating costs among services. For
instance, many of the costs of running a long-distance
train (including not only infrastructure costs but also
variable costs) are shared by different types of traffic
and these joint costs coexist with other costs not
affected by changes in output.

 Some cost elements may be attributable to a
particular traffic (for example, passengers), but most
of them (wagons, energy, staff,...) may not. Thus, cost
interdependence requires simultaneous decisions on
prices and services, which, in practice, makes any
regulatory task much harder.

 At the cost level, another important aspect to be
considered in the multi-product setup of the rail
industry is the sub-additivity of the cost function faced
by a railroad.
A cost function is sub-additive when the provision of
services by a single firm is more efficient (in terms of
a lower unit cost) than the same production carried
out by two or more companies.

 This idea conveys two relevant implications for the rail
industry. First, is it more efficient for a single firm,
rather than two separate firms, to supply both
infrastructure and transport services? Second, if the
infrastructure and services are separated, is the
supply of such services more efficient within the
context of a monopoly, or should two or more firms
participate.

 This analysis is connected with the advantages and
disadvantages of the separation of infrastructure from
services and will be discussed below in depth after
first describing in more detail the cost structure of a
typical railway company.

The cost structure of railways
companies
 Railways costs are often classified into four broad cost
categories:
 (i) train working costs, which include the costs of the
provision of transport services (fuel, crew,
maintenance and depreciation of rolling stock);
 (ii) track and signaling costs (including the operation,
maintenance and depreciation costs of the
infrastructure);

 (iii) terminal and station costs; and finally
 (iv), administration costs.
 The first two cost categories, typically, are prevalent
in most companies and change according to several
factors.

 Among train working costs, the cost of rolling stock
items depend on both their amount and the distance
they run. Fuel costs depend on car-kilometers run for
each type of vehicle, while train crew costs vary
according to train-kilometers run. Track and signaling
costs usually rely on the length of the route (since
they all usually rely on a single, standard-quality
track).

 The amount of track and signaling required, however,
changes with the number of trains for which paths are
required, although this relationship is not constant.
Terminal and station costs depend on the traffic
volume, but they vary considerably with the type of
traffic. Finally, administration costs fluctuate
depending on the overall size of the firm, although the
precise nature of this dependence is difficult to
determine in general.

The particular role of rail
infrastructure
 Since the birth of the rail industry in the last century,
mainstream economists have always considered that
the larger the size of a railway company, the greater
was its efficiency. The existence of substantial fixed
costs (particularly, those associated with
infrastructures) traditionally led economists to assume
the presence of important economies of scale in this
industry, and thus the provision of rail transport
services was typically regarded as a textbook example
of a natural monopoly.

 However, this notion has been heavily challenged in
recent decades and a number of new ideas have been
brought to the economic analysis of this industry. The
upheaval and development of the theory of
contestable markets contributed to clarifying the
proper definition of the natural monopoly concept, in
terms of the cost function being sub-additive.

 This concept implies that whereas duplicating rail
infrastructure is generally inefficient (therefore
categorizing the rail network as subject to
natural monopoly conditions), the cost relating to the
operation of rail transport services and rolling stock
once the network has been deployed can be
efficiently provided by more than one company, which
can be viewed as actual or potential competitors.

 Therefore, from the regulatory point of view, it has
been concluded that infrastructure and services can
be dealt with in different ways: the former, as a
natural monopoly, but also as a potential provider of
adequate access to any willing-to-serve operator; the
latter, however, can be treated, in principle, as any
other competitive economic activity that could be
provided by multiple competing operators or by a
single firm under some sort of concession or license
arrangement.

The existence of asset indivisibilities
 Even though this potential vertical separation can

alleviate some of the natural monopoly problems, the
rail industry remains a very capital-intensive sector
with several other indivisibilities within its productive
process. Specifically, the capital units (rolling stock,
track and stations) can be expanded only in discrete
or indivisible increments, whereas demand may
fluctuate in much smaller units.

 Consequently, increases (decreases) in supply could
clearly exceed the increases (decreases) on the
demand side, thus resulting in excess
capacity. These problems appear in connection to both
rolling stock and rail infrastructure.
Given that the unit of supply is usually a train or
wagon of a given capacity, increases in capacity can
only be achieved by the supply of additional units.

 This lumpiness of rail transport facilities has several
important implications for investment and pricing. For
example, the transportation costs of an additional unit
of traffic(freight or passengers) may be insignificant
when there is idle capacity, but may be substantial
when the capital is at the limit of its full use.

 Firms can also be forced to employ fixed assets with
differing economic lives, whose reliability spans over a
large time horizon and affects heterogeneously the
cost items described above, modifying investment
decisions, and requiring a complete accounting and
management information system. Therefore, dynamic
price and output considerations become crucial in
order to recover the real costs associated with each
period of activity.

 Similarly, a final implication of the presence of
indivisibilities in the capital assets used in the rail
industry is that innovation and infrastructure
improvement projects are usually deferred and only
carried out in small discrete amounts.

 Railway firms seldom change the entire definition of
their existing network even though in most countries
it might correspond to an inherited burden from past
decades when the structure of traffic was quite
likely different from what it is today. Instead, they opt
for partial renovations that often introduce technical
asymmetries between tracks within a country or
region, accentuating their indivisibilities and
inflexibilities.

The organization of railways transport
as a public service
 Although not derived from any of its technical
characteristics, but rather from historical and
organizational reasons, the conception of rail
transportation as a public or social service,
irrespective of its profitability, is another of the
defining elements that have determined the
worldwide industry organization and performance
during this century.

 The low rolling resistance of steel wheels on steel rails
made railroad transportation extremely fuel efficient
and relatively cheap. This allowed railroads to rapidly
grow as the first mass transportation system,
particularly for passengers, beginning in the years of
the industrial revolution.

 For military and industrial reasons, some form of
public control was envisaged in most countries, and
many imposed their control by legal mandate. Public
control over the rail industry occurred both with or
without accompanying subsidies, public service
obligations to rail transport providers in the form of
compulsory (often unprofitable) routes,
organized timetables or particular services to
strategic products or areas.

 The ultimate reason behind this control, which
remains the same today, is that this industry is
regarded as an integrative mechanism able to
overcome geographical barriers in certain areas, aid in
the economic development of undeveloped zones,
and even as a guarantee of minimum transport
services for a particular segment of the population.

The existence of externalities in the
overall transport system
 The policy goal of public service obligation is often
supported with the idea that rail transportation
contributes less to the rise of negative externalities
than other modes of transport, especially road
transport. There is abundant empirical evidence
showing that the external costs derived from
congestion, accidents or environmental impact (noise,
visual impact, pollution, etc.) could be reduced if a
substantial part of the road traffic market were
transferred to the railway sector.

 This intermodal externality arises from the fact that
road transport does not fully internalize all the social
costs that it generates and economists often
recommend the use of congestion and/or pollution
rates, for example, to take this into account. However,
when these mechanisms are not feasible or politically
viable, it might be preferable to lower railway fares in
order to obtain an overall improved intermodal balance.
These principles should also be considered when
defining the appropriate regulation for the rail industry.

 In summary, all the above mentioned characteristics –
sketched and summarized in Table 1.4 – suggest that
an analysis of the regulation of railway transport
should be carried out within a general context, taking
into account the technological and organizational
features of the industry.

Table 1.4: A summary of the economic
characteristics of the rail industry.

International Union of Railways
 The International Union of Railways (UIC, French:

Union internationale des chemins de fer) is an
international rail transport industry body.
 The railways of Europe originated as many separate

concerns, and there were many border changes after
World War I and the Treaty of Versailles. Colonial
railways were the responsibility of the mother country.
Into this environment the UIC was created on 17
October 1922, with the aim of standardising industry
practices.
 Ticket revenue sharing was originally undertaken with
the UIC Franc currency equivalent. UIC classification
and UIC Country Codes allowed precise determination
of rolling stock capabilities and ownership, with
wagons assigned unique UIC wagon numbers. The
1990s GSM-R radio telecommunication system is an
international interoperability specification covering
voice and signalling systems for railway
communications whose specification is maintained by
the International Union of Railways project
European Rail Traffic Management System (ERTMS).

 The UIC's mission is "to promote rail transport at world level and meet
the challenges of mobility and sustainable development.“
 The UIC's main objectives are to:
 Facilitate the sharing of best practices among members (benchmarking)
 Support members in their efforts to develop new business and new areas
of activities
 Propose new ways to improve technical and environmental performance
 Promote interoperability, create new world standards for railways
(including common standards with other transport modes)
 Develop centres of competence (High Speed, Safety, Security, e-
Business, ...)

 When founded in 1922 the UIC had 51 members from 29 countries, including
Japan and China. They were soon joined by members from the Soviet Union,
the Middle East and North Africa. Today the UIC has 194 members across five
continents. Of these there are:
 73 active members (including from Afghanistan, China, Europe, India, Japan,
Kazakhstan, South Korea, the Middle East, North Africa, Pakistan, Russia, South
Africa and Taiwan, and companies operating worldwide such as Transdev)
 68 associate members (including from Africa, the Americas, Asia and Australia)
 53 affiliate members (related or ancillary businesses or services)
 On 12 November 2010, the UIC opened an African regional office in Tunis,
Tunisia with the support of SNCFT.
 On 9 March 2022, the UIC suspended all member companies from Russia and
Belarus, following 2022 Russian invasion of Ukraine.

 In order to provide a common understanding and reduce potential
confusion, the UIC has established standard international railway
terminology and a trilingual (English-French-German) thesaurus of
terms. The thesaurus was the result of cooperation with the
European Conference of Ministers of Transport (ECMT/CEMT) and was
published in 1995.

 Classification of railway vehicles
 Main articles: UIC classification of goods wagons,
UIC classification of locomotive axle arrangements,
UIC classification of railway coaches, UIC identification marking for
tractive stock, and UIC wagon numbers
 The UIC has established systems for the classification of locomotives
and their axle arrangements, coaches and goods wagons.

Some UIC regulations
 UIC plays an important role in standardization of

railway parts, data and terminology. Therefore, UIC
codes (also known as UIC leaflet) are developed
since the beginning of UIC's work. A new term for
these UIC leaflets is used by UIC for better
understanding: International Railway Solution
(IRS)

 Some UIC codes are:
 UIC 568 The 13-corded standardized connection cable with
connector is used to transmit data and commands between the
locomotive and the carriages of a passenger train.
 UIC 592-2 Large containers for transport on wagons - Technical
conditions to be fulfilled by large containers accepted for use in
international traffic. Describes the classes and categories of large
containers, handling characteristics, identification markings, and
special conditions applying to large tank containers.
 UIC 592-3 Large containers (CT), swap bodies (CM) and transport
frames for horizontal transhipment (CA) - Standard report on
acceptance tests.

 UIC 592-4 Swap bodies for grab handling and spreader
gripping - Technical conditions. Swap bodies are the
removable superstructures of road transport vehicles.
Their dimensions and some of their fittings are
standardised, particularly dimensions, strength
parameters and securing devices, of the road vehicle,
the wagon and transhipment arrangements (grab-
handling grooves, lower securing parts and, in special
cases, upper securing parts).

 UIC 596-5 Transport of road vehicles on wagons -
Technical organisation - Conveyance of semi-trailers
with P coding or N coding on recess wagons. This
leaflet sets out regulations and provisions for semi-
trailers with normal road transport characteristics for
conveyance on fixed-recess carrier wagons. The
provisions are valid for semi-trailers, gantry
equipment/industrial trucks with grab handles, recess
wagon types 1a and 1b in accordance with UIC Leaflet
571–4.

 UIC 596-6 Conveyance of road vehicles on wagons -
Technical organisation - Conditions for coding
combined-transport load units and combined-
transport lines. The leaflet sets out the coding and
organisation of loading units in respect of road
vehicles on wagons, designed to ensure compatibility
of loading units (LU) with the permissible profile for
combined transport lines. The provisions aim to
facilitate LU identification to speed-up international
traffic movements. They are applicable to semi-
trailers, swap bodies, roller units loaded on wagons
and bogies in combined transport operations.
 FU-7100 Future Railway Mobile Communication
System (FRMCS) User Requirements Specification.
Defines a set of technology independent user
requirements in the form of individual applications.
Each application has been defined to provide or
support an identified communications need that is
considered necessary for current and future railway
operation.

International Rail Transport
Committee (CIT)
 The International Rail Transport Committee
(CIT) is an association of over 200 railway
undertakings and shipping companies that operate
international passenger and/or freight transport
services.

 Shortly after the Convention concerning the
International Carriage of Goods by Rail came
into force at the beginning of 1893, the
railway companies of the majority of the
Member States thought it necessary to co-
operate more closely to facilitate the practical
implementation of the convention. The
International Rail Transport Committee was
founded in 1902.

 The overriding objective of the association was to help
railways apply the convention concerning the carriage
of goods consistently and then subsequently likewise
for the parallel convention on the carriage of
passengers and luggage (which entered into force in
1928).

 To achieve this, the CIT drew up standard instructions
to augment and explain the legal texts, set up various
agreements to define the legal relationships between
the railways and produced practical instructions for
the use of staff in the field.
The CIT also contributed significantly to the work of
revising the conventions as that from time to time
became necessary.

 The management of the CIT, undertaken by the
Austrian State Railways until 1914, was taken over by
the Swiss Federal Railways in 1921.
 The two world wars and the other political events
which shook Europe during the twentieth century
seriously disrupted the application of international rail
transport law. Nevertheless each time, once
circumstances permitted, the CIT worked together
with other international organisations to re-establish
legal certainty.

 Over the last few decades, political, economic,
technical and legal evolution has required the
activities of the organisation to become even more
diversified. These developments culminated at the
end of the last century with the most significant
reform ever made to international railway law - to
make COTIF compatible with Directive 91/440/EEC on
the development of the European Union's railways.
The CIT was set up as a legal entity in its own right in

2004; it is now an association under Swiss law and is
based in Bern.

SMPS/SMGS
 The SMPS and SMGS conventions govern the international carriage of

passenger and freight, respectively, and are applied in Eastern Europe
and Asia. Most OSJD Member States (some of which are also OTIF
Member States) apply these two conventions. The overviews below
show which states apply:
 SMPS and/or the CIV Uniform Rules;
 SMGS and/or the CIM Uniform Rules.

EU Transport law
 The purpose of European legislation is to bring about

a single market in rail services within the EU. The core
areas of work are the harmonisation of safety rules
and network access conditions, interoperability,
passenger rights and the establishment of freight
corridors.

 It includes,
 TAP Regulation (454/2011) , Commission Regulation (EU) No
454/2011 of 5 May 2011 on the technical specification for
interoperability relating to the subsystem ‘telematics
applications for passenger services’ of the trans-European rail
system
 TAF Regulation (1305/2014) , Commission Regulation (EU) No
1305/2014 of 11 December 2014 on the technical specification
for interoperability relating to the telematics applications for
freight subsystem of the rail system in the European Union and
repealing the Regulation (EC) No 62/2006

 Directive 2016/797 of 11 May 2016 on interoperability
, Directive (EU) 2016/797 of the European Parliament
and of the Council of 11 May 2016 on the
interoperability of the rail system within the European
Union
 Directive 2016/798 of 11 May 2016 on railway safety ,
Consolidated text: Directive (EU) 2016/798 of the
European Parliament and of the Council of 11 May
2016 on railway safety (recast) (Text with EEA
relevance)

 Regulation 913/2010 (Rail Freight Corridors) ,
Consolidated text: Regulation (EU) No 913/2010 of the
European Parliament and of the Council of 22
September 2010 concerning a European rail network
for competitive freight
 Implementing Regulation on Framework Agreements ,
Commission Implementing Regulation (EU) 2016/545
of 7 April 2016 on procedures and criteria concerning
framework agreements for the allocation of rail
infrastructure capacity

 Delegated Decision schedule for the allocation
process , Commission Delegated Decision (EU)
2017/2075 of 4 September 2017 replacing Annex VII
to Directive 2012/34/EU of the European Parliament
and of the Council establishing a single European
railway area
 Commission Implementing Regulation (EU) 2017/2177
, Commission Implementing Regulation (EU)
2017/2177 of 22 November 2017 on access to service
facilities and rail-related services

 Directive 2016/2370/EU , Directive (EU) 2016/2370 of
the European Parliament and of the Council of 14
December 2016 amending Directive 2016/2370/EU
 PRR , Regulation (EC) No 1371/2007 of the European
Parliament and of the Council of 23 October 2007 on
rail passengers’ rights and obligations

Convention concerning International Carriage by
Rail
(COTIF)
 The Convention concerning International Carriage by

Rail (COTIF) applies in Europe, the Maghreb and the
Middle East. OTIF Member States apply the majority of
the appendices to COTIF (the CIV, CIM, RID, CUV, CUI,
APTU and ATMF Uniform Rules).

 Uniform Rules Concerning the Contract of
International Carriage of Goods by Rail (CIM)
 Convention concerning International Carriage by Rail
(COTIF)
Appendix C – Regulations concerning the International
Carriage of Dangerous Goods by Rail (RID)
 Uniform Rules concerning the Contract of International
Carriage of Passengers by Rail (CIV)
 Uniform Rules concerning Contracts of Use of Vehicles
in International Rail Traffic (CUV)

 Uniform Rules concerning the Validation of Technical
Standards and the Adoption of Uniform Technical
Prescriptions applicable to Railway Material intended
to be used in International Traffic (APTU)
 Uniform Rules concerning the Technical Admission of
Railway Material used in International Traffic (ATMF)
 Uniform Rules concerning the Contract of Use of
Infrastucture in International Rail Traffic (CUI)

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TRANSPORTATION MODES

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 Its capability can extend to cover any distance

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 The term ‘railway infrastructure’ describes the railway

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 ‘Rolling stock’ is the term employed to describe all

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Figure 6.3: Pull–push/Push–pull train formations

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 Based on its speed a railway system may be placed

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 In general, the railway systems fall under the category

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