Communication R1370 - 624792 - En | East Asia | International Politics

EUROPEAN COMMISSION

Brussels, XXX […](2013) XXX draft

COMMUNICATION FROM THE COMMISSION on interpretative guidelines concerning Regulation (EC) N !"#$%&$$# on pu'lic passenger transport services '( rail and '( road

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COMMUNICATION FROM THE COMMISSION on interpretative guidelines concerning Regulation (EC) N !"#$%&$$# on pu'lic passenger transport services '( rail and '( road !) INTRO*UCTION

Regulation (EC) No 1370 2007 of t!e Euro"ean #arlia$ent and of t!e Coun%il on "u&li% "assenger trans"ort ser'i%es &( rail and &( road and re"ealing Coun%il Regulations (EEC) Nos 11)1 *) and 1107 701 +as ado"ted on 23 ,%to&er 2007- .!is Regulation, +!i%! entered into for%e on 3 /e%e$&er 200), ai$s to %reate an internal $ar0et for t!e "ro'ision of "u&li% "assenger trans"ort ser'i%es- 1t does so &( %o$"le$enting t!e general rules on "u&li% "ro%ure$ent- 1t also la(s do+n t!e %onditions under +!i%! %o$"ensation "a($ents sti"ulated in %ontra%ts and %on%essions for "u&li% "assenger trans"ort ser'i%es s!all &e dee$ed %o$"ati&le +it! t!e internal $ar0et and e2e$"t fro$ "rior 3tate aid notifi%ation to t!e Co$$issionRegulation (EC) No 1370 2007 is of $a4or i$"ortan%e for t!e organisation and finan%ing of "u&li% trans"ort ser'i%es &( &us, tra$, $etro and rail in t!e 5e$&er 3tates- 6 %o!erent and %orre%t a""li%ation of its "ro'isions is e%ono$i%all( and "oliti%all( i$"ortant- .!is is &e%ause t!e 'alue added and e$"lo($ent in t!e "u&li% trans"ort se%tor ea%! %orres"ond to a&out 1 7 of 8/# and of total e$"lo($ent, res"e%ti'el(, of t!e 9nion- 6 +ell "erfor$ing "u&li% trans"ort se%tor is a %ornerstone of effe%ti'e so%ial, e%ono$i% and en'iron$ental "oli%(Bot! an e2ternal e2:"ost assess$ent of t!e i$"le$entation of Regulation (EC) No 1370 20072 %ondu%ted &( an e2ternal %onsultant as +ell as re"resentati'es of Euro"ean asso%iations and of 5e$&er 3tates s"ea0ing at an E9:+ide sta0e!olders; %onferen%e organised &( t!e Co$$ission on t!e i$"le$entation of t!at Regulation on 1< No'e$&er 2011 3 %alled on t!e Co$$ission to "ro'ide guidan%e on %ertain "ro'isions of t!at Regulation- /i'erging inter"retations of "ro'isions %on%erning t!e definition of "u&li% ser'i%e o&ligations, t!e s%o"e of "u&li% ser'i%e %ontra%ts, t!e a+ard of su%! %ontra%ts and t!e %o$"ensation of "u&li% ser'i%e o&ligations %an !a$"er t!e %reation of an internal $ar0et for "u&li% trans"ort and lead to undesired $ar0et distortionsBefore ado"ting t!is Co$$uni%ation, t!e Co$$ission %onsulted 5e$&er 3tates and sta0e!olders re"resenting "arties interested in t!is issue, su%! as Euro"ean asso%iations of t!e "u&li% trans"ort se%tor, in%luding trans"ort staff and "assenger organisations1n t!is Co$$uni%ation, t!e Co$$ission s!eds lig!t on its understanding of a nu$&er of "ro'isions of t!e Regulation, ins"ired &( &est "ra%ti%es, to !el" 5e$&er 3tates rea" t!e full &enefits of t!e internal $ar0et- .!is Co$$uni%ation does not as"ire to %o'er all "ro'isions in an e2!austi'e $anner, nor does it %reate an( ne+ legislati'e rules- 1t s!ould &e noted t!at, in
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,= > 31?, 3-12-2007, "- 1/>6 #i"er, 3tud( on t!e i$"le$entation of Regulation (EC) N@ 1370 2007 on "u&li% "assenger trans"ort ser'i%es &( rail and &( road, 31 ,%to&er 2010, "u&lis!ed at !tt"A e%-euro"a-eu trans"ort $odes rail studies railBen-!t$ /o%u$ents on t!e %onferen%e are "u&lis!ed at !tt"A e%-euro"a-eu trans"ort $odes rail e'ents 2011:11: 1<:+or0s!o"Ben-!t$

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an( e'ent, t!e inter"retation of 9nion la+ is ulti$atel( t!e role of t!e Court of =usti%e of t!e Euro"ean 9nion,n 30 =anuar( 2013, t!e Co$$ission ado"ted a "ro"osal to a$end Regulation (EC) No 1370 2007 in anti%i"ation of t!e o"ening u" of t!e $ar0et for do$esti% "assenger trans"ort ser'i%es &( rail<- 3o$e of t!e "ro'isions of t!e Regulation t!at t!e Co$$ission "ro"osed to $odif(, su%! as t!e "ro'isions on t!e a+ard of "u&li% ser'i%e %ontra%ts in rail, are inter"reted in t!e "resent Co$$uni%ation- 6s regards t!ese "ro'isions, t!e guidan%e "ro'ided in t!is do%u$ent s!ould &e %onsidered 'alid until an( a$end$ent to Regulation (EC) No 1370 2007 enters into for%e&) &)!) THE COMMISSION+S UN*ERSTAN*IN, OF RE,U-ATION (EC) NO !"#$%&$$# Scope o. Regulation (EC) No !"#$%&$$#

.!is %!a"ter on t!e s%o"e of Regulation (EC) No 1370 2007 "ro'ides inter"retati'e guidan%e on t!e relations!i" &et+een t!is Regulation and t!e follo+ing dire%ti'esA /ire%ti'e 201< 2< E9 of t!e Euro"ean #arlia$ent and t!e Coun%il on "u&li% "ro%ure$ent and re"ealing /ire%ti'e 200< 1C EC? (D/ire%ti'e 201< 2< E9D)E /ire%ti'e 201< 2? E9 on "ro%ure$ent &( entities o"erating in t!e +ater, energ(, trans"ort and "ostal ser'i%es se%tors and re"ealing /ire%ti'e 200< 17 EC* (D/ire%ti'e 201< 2? E9D)E and /ire%ti'e 201< 23 E9 on t!e a+ard of %on%ession %ontra%ts7 (D/ire%ti'e 201< 23 E9D)- .!is %!a"ter also %larifies t!e $odalities of t!e RegulationFs a""li%ation to inland +ater+a(s and national sea+aters, and %larifies its a""li%a&ilit( to freig!t trans"ort %ontra%ts until 2 /e%e$&er 20122.1.1. Article 1(3) and Article 5(1). Relationship between Regulation (EC) No 137 !2 and the public procure"ent and concession directi#es 7

Regulation (EC) No 1370 2007 go'erns t!e a+ard of "u&li% ser'i%e %ontra%ts, as defined in 6rti%le 2(i) t!ereof, in t!e field of "u&li% "assenger trans"ort &( road and &( rail- Go+e'er, t!ese "u&li% ser'i%e %ontra%ts $a( also fall +it!in t!e s%o"e of t!e "u&li% "ro%ure$ent dire%ti'es (/ire%ti'e 201< 2< E9 and /ire%ti'e 201< 2? E9)- 3in%e t!e dire%ti'es referred to in Regulation (EC) No 1370 2007 (/ire%ti'e 200< 17 EC and /ire%ti'e 200< 1C EC) !a'e &een re"ealed and re"la%ed &( t!e a&o'e:$entioned dire%ti'es, t!e referen%es in Regulation (EC) No 1370 2007 s!ould &e understood as relating to t!e ne+ dire%ti'es6rti%le 1(3) "ro'ides t!at Regulation (EC) No 1370 2007 s!all not a""l( to "u&li% +or0s %on%essions +it!in t!e $eaning of 6rti%le 1(3)(a) of /ire%ti'e 200< 17 EC or 6rti%le 1(3) of /ire%ti'e 200< 1C EC- 6fter t!e entr( into for%e of /ire%ti'e 201< 23 E9 on t!e a+ard of %on%ession %ontra%ts, t!e ter$ H+or0s %on%essionI is defined in 6rt ?(1)(a) of t!is /ire%ti'e.!erefore, +or0s %on%essions for "u&li% "assenger trans"ort ser'i%es &( rail and ot!er tra%0: &ased $odes and &( road are go'erned solel( &( /ire%ti'e 201< 23 E9Jor t!e relations!i" &et+een Regulation (EC) No 1370 2007 and t!e "u&li% "ro%ure$ent dire%ti'es as +ell as /ire%ti'e 201< 23 E9, it is i$"ortant to distinguis! &et+een ser'i%e %ontra%ts and ser'i%e %on%essions6rti%le 2 "oints (1), (2) and (?) of /ire%ti'e 201< 2? E9 defines Hser'i%e %ontra%tsI as %ontra%ts for "e%uniar( interest %on%luded in +riting &et+een one or $ore %ontra%ting entities
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#ro"osal for a RE89>6.1,N ,J .GE E9R,#E6N #6R>165EN. 6N/ ,J .GE C,9NC1> a$ending Regulation (EC) No 1370 2007 %on%erning t!e o"ening of t!e $ar0et for do$esti% "assenger trans"ort ser'i%es &( rail, C,5 2013 02C final ,= >KKK of 2C-3-201<, "-KK ,= >KKK of 2C-3-201<, "-KK ,= >KKK of 2C-3-201<, "-KK

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and one or $ore e%ono$i% o"erators and !a'ing as t!eir o&4e%t t!e "ro'ision of ser'i%esL!en t!ese %ontra%ts in'ol'e H%ontra%ting aut!oritiesI +it!in t!e $eaning of 6rti%le 2(1) "oint (1) of /ire%ti'e 201< 2< E9, t!e( are %onsidered as H"u&li% ser'i%e %ontra%tsI in a%%ordan%e +it! 6rti%le 2(1) "oints (*) and ()) of /ire%ti'e 201< 2< E96rti%le ?(1)(&) of /ire%ti'e 201< 23 E9 on t!e a+ard of %on%ession %ontra%ts defines a Hser'i%e %on%essionI as Ha %ontra%t for "e%uniar( interest %on%luded in +riting &( $eans of +!i%! one or $ore %ontra%ting aut!orities or %ontra%ting entities entrust t!e "ro'ision and t!e $anage$ent of ser'i%es ot!er t!an t!e e2e%ution of +or0s referred to in "oint (a) to one or $ore e%ono$i% o"erators, t!e %onsideration of +!i%! %onsists eit!er solel( in t!e rig!t to e2"loit t!e ser'i%es t!at are t!e su&4e%t of t!e %ontra%t or in t!at rig!t toget!er +it! "a($entI6rt ?(1) s"e%ifies furt!er t!at Ht!e a+ard of a +or0s or ser'i%es %on%ession s!all in'ol'e t!e transfer to t!e %on%essionaire of an o"erating ris0 in e2"loiting t!ose +or0s or ser'i%es en%o$"assing de$and or su""l( ris0 or &ot!- .!e %on%essionaire s!all &e dee$ed to assu$e o"erating ris0 +!ere, under nor$al o"erating %onditions, it is not guaranteed to re%ou" t!e in'est$ents $ade or t!e %osts in%urred in o"erating t!e +or0s or t!e ser'i%es +!i%! are t!e su&4e%t:$atter of t!e %on%ession- .!e "art of t!e ris0 transferred to t!e %on%essionaire s!all in'ol'e real e2"osure to t!e 'agaries of t!e $ar0et, su%! t!at an( "otential esti$ated loss in%urred &( t!e %on%essionaire s!all not &e $erel( no$inal or negligi&leI.!is distin%tion &et+een ("u&li%) ser'i%e %ontra%ts and %on%essions is i$"ortant &e%ause a%%ording to 6rti%le 10(3) of /ire%ti'e 201< 23 E9 t!is /ire%ti'e s!all not a""l( to %on%essions for "u&li% "assenger trans"ort ser'i%es +it!in t!e $eaning of Regulation (EC) No 1370 2007- .!e a+ard of ser'i%e %on%essions for t!ese "u&li% "assenger trans"ort ser'i%es is solel( go'erned &( Regulation (EC) No 1370 20076rti%le ?(1) of Regulation (EC) No 1370 2007 s"e%ifies t!at t!e a+ard of ("u&li%) ser'i%e %ontra%ts for trans"ort ser'i%es &( &us or tra$ is go'erned &( /ire%ti'es 200< 17 EC C and 200< 1C EC), e2%e"t +!ere su%! %ontra%ts ta0e t!e for$ of ser'i%e %on%essions- .!e a+ard of ("u&li%) ser'i%e %ontra%ts for "u&li% "assenger ser'i%es &( &us or tra$ is t!us solel( go'erned &( /ire%ti'es 201< 2< E9 and 201< 2? E9.!e a+ard of ("u&li%) ser'i%e %ontra%ts for "u&li% "assenger trans"ort ser'i%es &( rail+a( and $etro is go'erned &( Regulation (EC) No 1370 2007 and e2%luded fro$ t!e s%o"e of /ire%ti'e 201< 2< E9 a%%ording to its Re%ital 27 and 6rti%le 10(i) and fro$ t!e s%o"e of /ire%ti'e 201< 2? E9 a%%ording to its Re%ital 3? and 6rti%le 21(g).a&leA 3u$$ar( of t!e a""li%a&le legal &asis for %ontra%t a+ards &( t("e of %ontra%tual arrange$ent and &( trans"ort $ode #u&li% "assenger ser'i%es &( Bus and tra$ Rail+a( $etro (#u&li%) ser'i%e %ontra%ts as defined in 3er'i%e %on%essions as defined in /ire%ti'es 201< 2< E9 and /ire%ti'e 201< 23 E9 201< 2? E9 /ire%ti'es 201< 2? E9 201< 2< E9 and Regulation (EC) No 1370 2007 Regulation (EC) No 1370 2007

and Regulation (EC) No 1370 2007

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Re"ealed and re"la%ed &( /ire%ti'e 201< 2? E9Re"ealed and re"la%ed &( /ire%ti'e 201< 2< E9

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2.1.2.

Article 1(2). Application o$ Regulation (EC) No 137 !2 national seawaters

7 to inland waterwa%s and

6rti%le 1(2) states t!at Regulation (EC) No 1370 2007 s!all a""l( to national and international "u&li% "assenger trans"ort ser'i%es &( rail, &( ot!er tra%0:&ased $odes and &( road and t!at 5e$&er 3tates $a( a""l( t!at Regulation to "u&li% "assenger trans"ort &( inland +ater+a(s- .o ensure legal %ertaint(, a 5e$&er 3tate;s de%ision to a""l( Regulation (EC) No 1370 2007 to "u&li% "assenger trans"ort &( inland +ater+a(s s!ould &e ado"ted in a trans"arent $anner t!roug! a legall( &inding a%t- 6""l(ing Regulation (EC) No 1370 2007 to inland +ater+a( "assenger trans"ort ser'i%es $a( &e es"e%iall( useful +!ere t!ose ser'i%es are integrated into a +ider ur&an, su&ur&an or regional "u&li% "assenger trans"ort net+or01n t!e a&sen%e of a de%ision to a""l( Regulation (EC) No 1370 2007 to inland +ater+a( "assenger trans"ort ser'i%es, t!ese ser'i%es +ill &e go'erned dire%tl( &( 6rti%le )3 of t!e .reat( on t!e Jun%tioning of t!e Euro"ean 9nion (.JE9)- Certain as"e%ts of "assenger trans"ort &( inland +ater+a(s are furt!er %o'ered &( Coun%il Regulation (EEC) No 3)21 )1 of 1* /e%e$&er 1))1 la(ing do+n t!e %onditions under +!i%! non:resident %arriers $a( trans"ort goods or "assengers &( inland +ater+a(s +it!in a 5e$&er 3tate 10 and &( Coun%il Regulation (EC) No 13?* )* of C =ul( 1))* on %o$$on rules a""li%a&le to t!e trans"ort of goods or "assengers &( inland +ater+a( &et+een 5e$&er 3tates +it! a 'ie+ to esta&lis!ing freedo$ to "ro'ide su%! trans"ort ser'i%es116rti%le 1(2) also "ro'ides t!at 5e$&er 3tates $a( a""l( Regulation (EC) No 1370 2007 to national sea+ater trans"ort ser'i%es onl( if t!is is +it!out "re4udi%e to Coun%il Regulation (EEC) No 3?77 )2 of 7 /e%e$&er 1))2 a""l(ing t!e "rin%i"le of freedo$ to "ro'ide ser'i%es to $ariti$e trans"ort +it!in 5e$&er 3tates ($ariti$e %a&otage)12- Certain 0e( "ro'isions of t!at Regulation do not full( $at%! +it! t!ose of Regulation (EC) No 1370 2007 (su%! as t!e "ro'isions on its a""li%ation to freig!t trans"ort, %ontra%t duration, e2%lusi'e rig!ts and on t!e t!res!olds for dire%tl( a+arding s$all:s%ale %ontra%ts)- 6""l(ing Regulation (EC) No 1370 2007 to national sea+aters raises a nu$&er of diffi%ulties- 1n a Co$$uni%ation 13, t!e Co$$ission "ro'ides guidan%e on Regulation (EEC) No 3?77 )2, +!ere t!ese diffi%ulties are addressed2.1.3. Article 1 (1). Applicabilit% o$ Regulation (EEC) No 11&1!'& to $reight transport contracts until 2 (ece"ber 2 12

1n t!e "ast, so$e s"e%ifi% rail freig!t trans"ort ser'i%es $a( !a'e &een su&4e%t to "u&li% ser'i%e o&ligations %o'ered &( Regulation (EEC) No 11)1 *) of t!e Coun%il of 2* =une 1)*) on a%tion &( 5e$&er 3tates %on%erning t!e o&ligations in!erent in t!e %on%e"t of a "u&li% ser'i%e in trans"ort &( rail, road and inland +ater+a( 1<- Regulation (EC) No 1370 2007, +!i%! re"eals Regulation (EEC) No 11)1 *), does not, !o+e'er, a""l( to freig!t trans"ort ser'i%es- .o !el" "!ase out %o$"ensation not aut!orised &( t!e Co$$ission in a%%ordan%e +it! 6rti%les )3, 107 and 10C .JE9, 6rti%le 10(1) of Regulation (EC) No 1370 2007 states t!at Regulation (EEC) No 11)1 *) s!all re$ain a""li%a&le to freig!t trans"ort ser'i%es for a "eriod of t!ree (ears after t!e entr( into for%e of Regulation (EC) No 1370 2007 (i-e- until 2 /e%e$&er 2012)- Jreig!t trans"ort ser'i%es %an onl( &e Mualified as ser'i%es of general e%ono$i% interest +!en t!e 5e$&er 3tate %on%erned esta&lis!es t!at t!e( !a'e s"e%ial
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%!ara%teristi%s %o$"ared to t!ose of %o$$er%ial freig!t ser'i%es 1?- 1f 5e$&er 3tates +is! to 0ee" 3tate aid s%!e$es in "la%e for rail freig!t trans"ort ser'i%es +!i%! do not fulfil t!e s"e%ifi% %onditions defined in t!e 6lt$ar0 4udg$ent 1*, t!e( $ust notif( t!ose s%!e$es to t!e Co$$ission so t!at t!e( %an &e a""ro'ed in ad'an%e- .!ose s%!e$es s!all &e assessed under 6rti%le )3 .JE9 dire%tl(- 1f t!ose s%!e$es are not notified in ad'an%e, t!e( +ill %onstitute ne+ and unla+ful aid, as t!e( +ill no longer &e e2e$"ted fro$ t!e o&ligation to notif( 3tate aid&)&) *e.inition o. pu'lic service o'ligations and general rules%contents o. pu'lic service contracts

.!is %!a"ter "ro'ides inter"retati'e guidan%e on t!e %onstituti'e features of "u&li% ser'i%e %ontra%ts, 0e( %!ara%teristi%s of general rules, and !o+ %o$"etent aut!orities define t!e nature and e2tent of "u&li% ser'i%e o&ligations and of e2%lusi'e rig!ts in t!e %onte2t of Regulation (EC) No 1370 2007- Jurt!er$ore, it addresses t!e %onditions under +!i%! e2tensions of t!e duration of "u&li% ser'i%e %ontra%ts %an &e granted as +ell as t!e %onditions for su&%ontra%ting, in%luding in t!e %ase of internal o"erators2.2.1. Article 2(i). Constituti#e $eatures o$ a public ser#ice contract 6%%ording to 6rti%le 2(i), a "u&li% ser'i%e %ontra%t %onsists of Hone or $ore legall( &inding a%ts %onfir$ing t!e agree$ent &et+een a %o$"etent aut!orit( and a "u&li% ser'i%e o"erator to entrust to t!at "u&li% ser'i%e o"erator t!e $anage$ent and o"eration of "u&li% "assenger trans"ort ser'i%es su&4e%t to "u&li% ser'i%e o&ligationsI- .!e %ontra%t $a( also %onsist of a de%ision ado"ted &( a %o$"etent aut!orit( ta0ing t!e for$ of an indi'idual legislati'e or regulator( a%t or %ontaining %onditions under +!i%! t!e %o$"etent aut!orit( itself "ro'ides t!e ser'i%es or entrusts t!e "ro'ision of su%! ser'i%es to an internal o"erator- .!e notion of H"u&li% ser'i%e %ontra%tI as defined &( Regulation (EC) No 1370 2007 also %o'ers "u&li% ser'i%e %on%essions.o ta0e a%%ount of t!e different legal regi$es and traditions in t!e 5e$&er 3tates, t!e definition of a "u&li% ser'i%e %ontra%t "ro'ided &( Regulation (EC) No 1370 2007 is 'er( &road and in%ludes 'arious t("es of legall( &inding a%ts- 1t t!ere&( ensures t!at no legal situation es%a"es t!e s%o"e of t!at Regulation, e'en if t!e relations!i" &et+een t!e %o$"etent aut!orit( and t!e o"erator is not for$all( and stri%tl( e2"ressed in t!e for$ of a %ontra%t +it!in t!e stri%test $eaning of t!e ter$- Jor t!is reason, t!e definition also in%ludes "u&li% ser'i%e %ontra%ts %onsisting of a de%ision ta0ing t!e for$ of an indi'idual legislati'e or regulator( a%t- 6 %o$&ination of a general legal a%t, assigning t!e o"eration of ser'i%es to an o"erator, +it! an ad$inistrati'e a%t, setting out t!e detailed reMuire$ents %on%erning t!e ser'i%es to &e "ro'ided and t!e $et!od of %o$"ensation %al%ulation to &e a""lied, %an also %onstitute a "u&li% ser'i%e %ontra%t- .!e definition also %o'ers de%isions ado"ted &( t!e %o$"etent aut!orit( stating t!e %onditions under +!i%! t!e aut!orit( itself "ro'ides t!e ser'i%es or entrusts t!e "ro'ision of ser'i%es to an internal o"erator2.2.2. Article 2(l). Characteristics and establish"ent process o$ general rules 8eneral rules are defined in 6rti%le 2(l) as $easures t!at a""l( H+it!out dis%ri$ination to all "u&li% "assenger trans"ort ser'i%es of t!e sa$e t("e in a gi'en geogra"!i%al area for +!i%! a %o$"etent aut!orit( is res"onsi&leI- 8eneral rules are t!erefore $easures for one or se'eral
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t("es of "u&li% trans"ort ser'i%es &( road or &( rail t!at $a( &e i$"osed unilaterall( &( "u&li% aut!orities on "u&li% ser'i%e o"erators in a non:dis%ri$inator( $anner or t!at $a( &e in%luded in %ontra%ts %on%luded &et+een t!e %o$"etent aut!orit( and t!e "u&li% ser'i%e o"erators- .!e $easure is restri%ted to t!e geogra"!i%al area for +!i%! a %o$"etent aut!orit( is res"onsi&le, &ut does not ne%essaril( need to %o'er t!e entire geogra"!i%al area- 6 general rule %an also &e a regional or national la+ a""li%a&le to all e2isting or "otential trans"ort o"erators in a region or a 5e$&er 3tate- 1t is t!erefore usuall( not negotiated +it! indi'idual "u&li% ser'i%e o"erators- E'en if t!e general rule is i$"osed &( a unilateral a%t, it is not e2%luded t!at "u&li% ser'i%e o"erators are %onsulted in a trans"arent and non:dis%ri$inator( $anner &efore general rules are esta&lis!ed2.2.3. Article 3(2) and (3). -etting up general rules inside and outside a public ser#ice contract. -cope o$ general rules

Re%ital 17 of Regulation (EC) No 1370 2007 states t!at H%o$"etent aut!orities are free to esta&lis! so%ial and Mualitati'e %riteria in order to $aintain and raise Mualit( standards for "u&li% ser'i%e o&ligations, for instan%e +it! regard to $ini$al +or0ing %onditions, "assenger rig!ts, t!e needs of "ersons +it! redu%ed $o&ilit(, en'iron$ental "rote%tion, t!e se%urit( of "assengers and e$"lo(ees as +ell as %olle%ti'e agree$ent o&ligations and ot!er rules and agree$ents %on%erning +or0"la%es and so%ial "rote%tion at t!e "la%e +!ere t!e ser'i%e is "ro'ided- 1n order to ensure trans"arent and %o$"ara&le ter$s of %o$"etition &et+een o"erators and to a'ert t!e ris0 of so%ial du$"ing, %o$"etent aut!orities s!ould &e free to i$"ose s"e%ifi% so%ial and ser'i%e Mualit( standards-I 5e$&er 3tates and or %o$"etent aut!orities $a( organise "u&li% trans"ort t!roug! general rules su%! as la+s, de%rees or regulator( $easures- Go+e'er, +!en t!ese general rules in'ol'e %o$"ensation or an e2%lusi'e rig!t, t!ere is an additional o&ligation to %on%lude a "u&li% ser'i%e %ontra%t "ursuant to 6rti%le 3(1) of Regulation (EC) No 1370 2007- .!is o&ligation does not e2ist +!en general rules esta&lis! $a2i$u$ tariffs for all "assengers or for %ertain %ategories of "assengers "ursuant to 6rti%le 3(2) of t!at Regulation- 1n t!at %ase, t!ere is no o&ligation to %on%lude a "u&li% ser'i%e %ontra%t and t!e %o$"ensation $e%!anis$ %an &e defined on a non:dis%ri$inator(, generall( a""li%a&le &asis6 %o$"etent aut!orit( $a( de%ide to use general rules to esta&lis! so%ial or Mualitati'e standards in a%%ordan%e +it! national la+- 1f t!e general rules "ro'ide for %o$"ensation or if t!e %o$"etent aut!orit( t!in0s t!at t!e i$"le$entation of t!e general rules reMuires %o$"ensation, a "u&li% ser'i%e %ontra%t or "u&li% ser'i%e %ontra%ts defining t!e o&ligations and t!e "ara$eters of t!e %o$"ensation of t!eir net finan%ial effe%t +ill also !a'e to &e %on%luded, in a%%ordan%e +it! 6rti%les < and * as +ell as +it! t!e 6nne2 to Regulation (EC) No 1370 20072.2.8. Article 3(3). Noti$ication under 9nion rules on -tate aid o$ general rules on "a:i"u" tari$$ sche"es $or transport o$ pupils5 students5 apprentices and persons with reduced "obilit% that are outside the scope o$ Regulation (EC) No 137 !2 7

6rti%le 3(3) allo+s t!e 5e$&er 3tates to e2%lude fro$ t!e s%o"e of Regulation (EC) No 1370 2007 general rules on finan%ial %o$"ensation for "u&li% ser'i%e o&ligations +!i%! esta&lis! $a2i$u$ tariffs for t!e trans"ort of "u"ils, students, a""renti%es and "ersons +it! redu%ed $o&ilit(- 1f a 5e$&er 3tate de%ides to do so, t!e national aut!orities $ust assess t!e %o$"ensation "ro'isions under t!e .reat( rules instead, in "arti%ular t!ose relating to 3tate aid- 1f t!ose general rules %onstitute 3tate aid, t!e 5e$&er 3tate $ust notif( t!ose rules to t!e Co$$ission in a%%ordan%e +it! 6rti%le 10C .JE9-

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2.2.5.

Article 2(e) and Article 8(1). (e$inition b% co"petent authorities o$ the nature and e:tent o$ public ser#ice obligations and o$ the scope o$ public ser#ice contracts

6rti%le 1< .JE9 and #roto%ol No 2* on ser'i%es of general interest anne2ed to t!e .JE9 la( out t!e general "rin%i"les of !o+ 5e$&er 3tates define and "ro'ide ser'i%es of general e%ono$i% interest- 6rti%le 1< .JE9 states t!at Ht!e 9nion and t!e 5e$&er 3tates, ea%! +it!in t!eir res"e%ti'e "o+ers and +it!in t!e s%o"e of a""li%ation of t!e .reaties, s!all ta0e %are t!at su%! ser'i%es [of general e%ono$i% interest (38E1)] o"erate on t!e &asis of "rin%i"les and %onditions, "arti%ularl( e%ono$i% and finan%ial %onditions, +!i%! ena&le t!e$ to fulfil t!eir $issions-I 6%%ording to #roto%ol No 2*, national, regional and lo%al aut!orities "la( an essential role and !a'e +ide dis%retion in "ro'iding, %o$$issioning and organising 38E1s tailored as %losel( as "ossi&le to t!e needs of t!e users- 1t is a s!ared 'alue of t!e 9nion t!at 38E1s stri'e for a !ig! le'el of Mualit(, safet(, afforda&ilit(, eMual treat$ent and t!e "ro$otion of uni'ersal a%%ess and t!e rig!ts of users- .!e "ossi&ilities for 5e$&er 3tates to "ro'ide, %o$$ission and organise 38E1s in t!e field of "u&li% "assenger trans"ort &( rail and &( road are regulated &( Regulation (EC) No 1370 2007- 6rti%le 1 of Regulation No 1370 2007 states t!at its "ur"ose His to define !o+, in a%%ordan%e +it! t!e rules of 9nion la+, %o$"etent aut!orities $a( a%t in t!e field of "u&li% "assenger trans"ort to guarantee t!e "ro'ision of ser'i%es of general interest +!i%! are a$ong ot!er t!ings $ore nu$erous, safer, of a !ig!er Mualit( or "ro'ided at lo+er %ost t!an t!ose t!at $ar0et for%es alone +ould !a'e allo+ed-I 6s $entioned in 6rti%le 2(e) of Regulation (EC) No 1370 2007, a "u&li% ser'i%e o&ligation is a reMuire$ent to ensure "u&li% "assenger trans"ort ser'i%es in t!e general interest t!at an o"erator, if it +ere %onsidering its o+n %o$$er%ial interests, +ould not assu$e or +ould not assu$e to t!e sa$e e2tent or under t!e sa$e %onditions +it!out re+ard 17- .!us, +it!in t!e fra$e+or0 laid do+n &( Regulation (EC) No 1370 2007, 5e$&er 3tates !a'e +ide dis%retion to define "u&li% ser'i%e o&ligations in line +it! t!e needs of end users.("i%all( &ut not e2%lusi'el(, "u&li% ser'i%e o&ligations %an refer to s"e%ifi% reMuire$ents "la%ed on t!e "u&li% ser'i%e o"erator as regards, for instan%e, t!e freMuen%( of ser'i%es, ser'i%e Mualit(, ser'i%e "ro'ision in "arti%ular at s$aller inter$ediate stations +!i%! $a( not &e %o$$er%iall( attra%ti'e, and t!e "ro'ision of earl( $orning and late e'ening trains- 6s an illustrati'e e2a$"le, t!e Co$$ission %onsiders t!at t!e ser'i%es to &e %lassified as "u&li% ser'i%es $ust &e addressed to %itiNens or &e in t!e interest of so%iet( as a +!ole- Co$"etent aut!orities define t!e nature and s%o"e of "u&li% ser'i%e o&ligations +!ile res"e%ting general "rin%i"les of t!e .reat(- .o a%!ie'e t!e o&4e%ti'es of t!e Regulation, +!i%! $eans to guarantee safe, %ost:effe%ti'e and !ig!:Mualit( "assenger trans"ort ser'i%es, %o$"etent aut!orities !a'e to stri'e for an e%ono$i%all( and finan%iall( sustaina&le "ro'ision of t!ese ser'i%es- 1n t!e %onte2t of %ontra%tualisation as defined &( 6rti%le 3(1) of Regulation (EC) No 1370 2007, &ot! "arties to t!e %ontra%t %an e2"e%t t!eir rig!ts to &e res"e%ted and $ust fulfil t!eir %ontra%tual o&ligations- .!ese rig!ts and o&ligations in%lude finan%ial ones- .!e geogra"!i%al s%o"e of "u&li% ser'i%e %ontra%ts s!ould ena&le %o$"etent aut!orities to o"ti$ise t!e e%ono$i%s of "u&li% trans"ort ser'i%es o"erated under t!eir res"onsi&ilit( in%luding, +!ere a""ro"riate, lo%al, regional and su&:national net+or0 effe%ts- Rea"ing net+or0 effe%ts allo+s for a %ost:effe%ti'e "ro'ision of "u&li% trans"ort ser'i%es due to t!e %ross:finan%ing &et+een $ore t!an %ost:%o'ering ser'i%es and not %ost:%o'ering ser'i%es.!is s!ould in turn ena&le t!e aut!orities to a%!ie'e esta&lis!ed trans"ort "oli%( o&4e%ti'es +!ilst guaranteeing, +!ere a""li%a&le, t!e %onditions for effe%ti'e and fair %o$"etition on t!e net+or0, for instan%e, "otentiall( for so$e !ig!:s"eed rail ser'i%es17

.!is a""roa%! is %onsistent +it! t!e Co$$issionFs general a""roa%! to 3er'i%es of 8eneral E%ono$i% 1nterest in ot!er se%tors- 3ee, in "arti%ular, "oint <C of t!e Co$$uni%ation fro$ t!e Co$$ission on t!e a""li%ation of t!e Euro"ean 9nion 3tate aid rules to %o$"ensation granted for t!e "ro'ision of ser'i%es of general e%ono$i% interest (,= C C, 11-1-2012, "- <)-

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2.2.'. Article 2($) and Article 3(1). (e$inition o$ the nature and e:tent o$ e:clusi#e rights to ensure co"pliance with 9nion law

9nder 6rti%le 3(1), a "u&li% ser'i%e %ontra%t $ust &e %on%luded if a %o$"etent aut!orit( de%ides to grant an o"erator an e2%lusi'e rig!t and or %o$"ensation in return for t!e dis%!arge of "u&li% ser'i%e o&ligations- 6n e2%lusi'e rig!t is defined in 6rti%le 2(f) as Ha rig!t entitling a "u&li% ser'i%e o"erator to o"erate %ertain "u&li% "assenger trans"ort ser'i%es on a "arti%ular route or net+or0 or in a "arti%ular area, to t!e e2%lusion of an( ot!er su%! o"eratorI- .!is rig!t $a( &e esta&lis!ed in a legislati'e, regulator( or ad$inistrati'e instru$ent- Oer( often, t!e "u&li% ser'i%e %ontra%t s"e%ifies t!e %onditions for e2er%ising t!e e2%lusi'e rig!t, in "arti%ular t!e geogra"!i%al s%o"e and t!e duration of t!e e2%lusi'e rig!t- E2%lusi'it( "rote%ts t!e underta0ing fro$ %o$"etition &( ot!er o"erators in a s"e%ifi% $ar0et in so far as no ot!er underta0ing $a( "ro'ide t!e sa$e ser'i%e- Go+e'er, 5e$&er 3tates $a( grant %ertain rig!ts t!at a""ear non:e2%lusi'e &ut de fa%to "re'ent ot!er underta0ings fro$ "arti%i"ating in t!e $ar0et t!roug! legal rules or ad$inistrati'e "ra%ti%es- Jor e2a$"le, ad$inistrati'e arrange$ents granting aut!orisation to o"erate "u&li% trans"ort ser'i%es su&4e%t to %riteria, su%! as relating to a desira&le 'olu$e and Mualit( of su%! ser'i%es, %ould !a'e t!e "ra%ti%al effe%t of li$iting t!e nu$&er of o"erators on t!e $ar0et- .!e Co$$ission %onsiders t!at t!e notion of e2%lusi'it( used in Regulation (EC) No 1370 2007 also %o'ers t!e latter situation.o ensure t!e s$oot! fun%tioning of t!e internal $ar0et for "u&li% trans"ort ser'i%es, t!e %o$"etent aut!orities s!ould gi'e a "re%ise definition of e2%lusi'e rig!ts as rig!ts t!at do not e2%eed +!at is ne%essar( to "ro'ide t!e reMuired e%ono$i% "rote%tion for t!e ser'i%es in Muestion, +!ile lea'ing roo$, +!ere "ossi&le, for ot!er t("es of ser'i%es- 1n t!is %onte2t, re%ital C of Regulation (EC) No 1370 2007 states t!at H"assenger trans"ort $ar0ets +!i%! are deregulated and in +!i%! t!ere are no e2%lusi'e rig!ts s!ould &e allo+ed to $aintain t!eir %!ara%teristi%s and +a( of fun%tioning in so far as t!ese are %o$"ati&le +it! .reat( reMuire$ents-I .!e Co$$ission +ould li0e to "oint out, !o+e'er, t!at e'en under a deregulated s(ste$, introdu%ing %ontra%tual arrange$ents to "ro$ote t!e a%%essi&ilit( of &us ser'i%es to %ertain seg$ents of t!e "o"ulation %onstitutes a "u&li% ser'i%e o&ligation- .!is o&ligation falls under Regulation (EC) No 1370 20071C1f all %onditions for t!e a""li%ation of Regulation (EC) No 1370 2007 a""l(, in%luding t!e %ondition t!at a "u&li% trans"ort o"erator &enefits fro$ an e2%lusi'e rig!t, t!e "u&li% ser'i%e %ontra%t t!at !as to &e %on%luded $a( &e dire%tl( a+arded, for instan%e in t!e %ase of a s$all 'alue %ontra%t and in t!e %ase of a s$all and $ediu$ siNed o"erating %o$"an(, if t!e %onditions of 6rti%le ?(<) are $et2.2.7. Article 8(8). Conditions under which a 5 ; e:tension o$ the duration o$ the public ser#ice contract can be granted

6rti%le <(3) states t!at t!e $a2i$u$ duration of a "u&li% ser'i%e %ontra%t s!all &e H10 (ears for %oa%! and &us ser'i%es and 1? (ears for "assenger trans"ort ser'i%es &( rail or ot!er tra%0: &ased $odes-I 6rti%le <(<) allo+s for an e2tension of t!e duration of a "u&li% ser'i%e %ontra%t &( ?0 7, if ne%essar(, !a'ing regard to t!e %onditions of asset de"re%iation- 3u%! an e2tension %an &e granted if t!e "u&li% ser'i%e o"erator "ro'ides assets t!at are signifi%ant in relation to t!e o'erall assets needed to %arr( out t!e "assenger trans"ort ser'i%es %o'ered &( t!e "u&li% ser'i%e %ontra%t and are "redo$inantl( lin0ed to t!e "assenger trans"ort ser'i%es %o'ered &( t!e %ontra%t-

1C

3ee Co$$ission /e%ision N ?CC 2002 P 9nited Qingdo$, B3, P 8rant for long:distan%e &us ser'i%es-

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.!e inter"retation of t!ese t+o %onditions de"ends on t!e "arti%ular %ir%u$stan%es of ea%! %ase- 6s re%ital 1? of Regulation (EC) No 1370 2007 underlines, H%ontra%ts of long duration %an lead to $ar0et fore%losure for a longer "eriod t!an is ne%essar(, t!us di$inis!ing t!e &enefits of %o$"etiti'e "ressure- 1n order to $ini$ise distortions of %o$"etition, +!ile "rote%ting t!e Mualit( of ser'i%es, "u&li% ser'i%e %ontra%ts s!ould &e of li$ited duration-I 6dditionall(, in t!e %ase of 'er( long %ontra%t durations it &e%o$es diffi%ult to %orre%tl( attri&ute ris0s &et+een t!e o"erator and t!e aut!orit( due to in%reasing un%ertainties- ,n t!e ot!er !and, re%ital 1? e2"lains t!at Hit is ne%essar( to $a0e "ro'ision for e2tending "u&li% ser'i%e %ontra%ts &( a $a2i$u$ of !alf t!eir initial duration +!ere t!e "u&li% ser'i%e o"erator $ust in'est in assets for +!i%! t!e de"re%iation "eriod is e2%e"tional and, &e%ause of t!eir s"e%ial %!ara%teristi%s and %onstraints, in t!e %ase of t!e outer$ost regions as s"e%ified in 6rti%le 3<) .JE9-I 6n( de%ision a&out e2tending t!e duration of a "u&li% ser'i%e %ontra%t &( ?0 7 s!ould &e su&4e%t to t!e follo+ing %onsiderationsA t!e "u&li% ser'i%e %ontra%t $ust o&lige t!e o"erator to in'est in assets su%! as rolling sto%0, $aintenan%e fa%ilities or infrastru%ture for +!i%! t!e de"re%iation "eriod is e2%e"tionall( longNor$all(, t!e %o$"etent aut!orit( +ill de%ide to e2tend t!e %ontra%tFs duration &efore t!e a+ard of a ne+ %ontra%t- 1f an e2tension of t!e duration needs to &e de%ided +!ile t!e %ontra%t is running, &e%ause intended in'est$ents in ne+ rolling sto%0 are $ade not at t!e &eginning of t!e %ontra%t "eriod &ut, for instan%e, due to te%!ni%al reasons at a later stage, t!is "ossi&ilit( s!all &e %learl( indi%ated in t!e tender do%u$ents and t!is o"tion s!all &e adeMuatel( refle%ted in ter$s of %o$"ensation- 1n an( e'ent, t!e total %ontra%t e2tension $ust not e2%eed ?0 7 of t!e duration sti"ulated in 6rti%le <(<)2.2.<. Article 8(5). A#ailable options to co"petent authorities5 i$ the% consider desirable to ta1e "easures o$ sta$$ protection in case o$ a change o$ operator

6rti%le <(?) "ro'ides t!at H+it!out "re4udi%e to national and Co$$unit( la+, in%luding %olle%ti'e agree$ents &et+een so%ial "artners, %o$"etent aut!orities $a( reMuire t!e sele%ted "u&li% ser'i%e o"erator to grant staff "re'iousl( ta0en on to "ro'ide ser'i%es t!e rig!ts to +!i%! t!e( +ould !a'e &een entitled if t!ere !ad &een a transfer +it!in t!e $eaning of Coun%il /ire%ti'e 2001 23 EC of 12 5ar%! 2001 on t!e a""ro2i$ation of t!e la+s of t!e 5e$&er 3tates relating to t!e safeguarding of e$"lo(ees; rig!ts in t!e e'ent of transfers of underta0ings, &usinesses or "arts of underta0ings or &usinesses1)- L!ere %o$"etent aut!orities reMuire "u&li% ser'i%e o"erators to %o$"l( +it! %ertain so%ial standards, tender do%u$ents and "u&li% ser'i%e %ontra%ts s!all list t!e staff %on%erned and gi'e trans"arent details of t!eir %ontra%tual rig!ts and t!e %onditions under +!i%! e$"lo(ees are dee$ed to &e lin0ed to t!e ser'i%es-I 1n %o$"lian%e +it! t!e "rin%i"le of su&sidiarit( and as set out in re%itals 1* and 17, %o$"etent aut!orities &asi%all( !a'e t!e follo+ing o"tions in t!e %ase of a %!ange of o"erator as regards staff "rote%tionA (i) Not to ta0e an( s"e%ifi% a%tion- 1n t!is %ase, e$"lo(eesF rig!ts su%! as a transfer of staff onl( !a'e to &e granted +!ere t!e %onditions for t!e a""li%ation of /ire%ti'e 2001 23 EC are fulfilled, for instan%e, +!ere t!ere is transfer of signifi%ant tangi&le assets su%! as rolling sto%0201) 20

,= > C2, 22-3-2001, "- 1* 1n a%%ordan%e +it! t!e %ase:la+ of t!e Court of =usti%e of t!e Euro"ean 9nion, /ire%ti'e 2001 23 EC is a""li%a&le to a transfer of underta0ing +!i%! ta0es "la%e follo+ing a tendering "ro%edure for t!e a+ard of a "u&li% ser'i%e %ontra%t- 1n se%tors of a%ti'it( &ased on tangi&le assets, su%! as &us or rail trans"ort, t!e /ire%ti'e a""lies if signifi%ant tangi&le assets are transferred- .!e e2isten%e of a transfer +it!in t!e

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(ii) .o reMuire a transfer of staff "re'iousl( ta0en on to "ro'ide ser'i%es +it! t!e rig!ts to +!i%! t!e staff +ould !a'e &een entitled, +!et!er or not /ire%ti'e 2001 23 EC a""lies, if t!ere !as &een a transfer +it!in t!e $eaning of /ire%ti'e 2001 23 EC- Re%ital 1* of Regulation (EC) No 1370 2007 e2"lains t!at Ht!is /ire%ti'e does not "re%lude 5e$&er 3tates fro$ safeguarding transfer %onditions of e$"lo(ees; rig!ts ot!er t!an t!ose %o'ered &( /ire%ti'e 2001 23 EC and t!ere&(, if a""ro"riate, ta0ing into a%%ount so%ial standards esta&lis!ed &( national la+s, regulations or ad$inistrati'e "ro'isions or %olle%ti'e agree$ents or agree$ents %on%luded &et+een so%ial "artners-I (iii) .o reMuire t!e "u&li% trans"ort o"erator to res"e%t %ertain so%ial standards for all staff in'ol'ed in t!e "ro'ision of "u&li% trans"ort ser'i%es Hin order to ensure trans"arent and %o$"ara&le ter$s of %o$"etition &et+een o"erators and to a'ert t!e ris0 of so%ial du$"ingI as set out in re%ital 17 of Regulation (EC) No 1370 2007- Jor instan%e, t!ese standards %ould "ossi&l( relate to a %olle%ti'e agree$ent at %o$"an( le'el or a %olle%ti'e agree$ent %on%luded for t!e rele'ant $ar0et seg$ent(i') .o a""l( a %o$&ination of o"tions (ii) and (iii)1n order to ensure trans"aren%( of e$"lo($ent %onditions, %o$"etent aut!orities !a'e t!e o&ligation, if t!e( reMuire a transfer of staff or i$"ose %ertain so%ial standards, to %learl( s"e%if( t!ese o&ligations in detail in t!e tender do%u$ents and t!e "u&li% ser'i%e %ontra%ts2.2.&. Article 5(2)(e). Conditions o$ subcontracting in the case o$ public ser#ice contracts awarded b% internal operators

#u&li% ser'i%e %ontra%ts dire%tl( a+arded to an internal o"erator $a( &e su&%ontra%ted under stri%t %onditions- 1n su%! a %ase, "ursuant to 6rti%le ?(2)(e), t!e internal o"erator $ust "ro'ide Ht!e $a4or "artI of t!e "u&li% "assenger trans"ort ser'i%es itself- Lit! t!is "ro'ision, t!e legislator intended to a'oid t!at t!e %on%e"t of an Hinternal o"eratorI under t!e %ontrol of t!e %o$"etent aut!orit( +ould &e de'oid of $eaning, sin%e t!e internal o"erator +ould ot!er+ise &e allo+ed to su&%ontra%t all or a 'er( i$"ortant s!are of t!e trans"ort ser'i%es to anot!er entit(- 6rti%le ?(2)(e) t!erefore ai$s to a'oid t!e esta&lis!$ent of false internal o"erators.!e "ro'ision of "u&li% "assenger trans"ort ser'i%es &( an internal o"erator is an e2%e"tion to t!e "rin%i"le set out in 6rti%le ?(3), a%%ording to +!i%! "u&li% ser'i%e %ontra%ts s!all &e a+arded Hon t!e &asis of a %o$"etiti'e tendering "ro%edureI- 6%%ording to re%ital 7 of Regulation (EC) No 1370 2007, Ht!e introdu%tion of regulated %o$"etition &et+een o"erators leads to $ore attra%ti'e and inno'ati'e ser'i%es at lo+er %ostI- Lit!out "re4udi%e to a %ase: &(:%ase anal(sis, it +ould see$ reasona&le to %onsider t!at su&%ontra%ting $ore t!an one t!ird of t!e "u&li% trans"ort ser'i%es +ould reMuire a strong 4ustifi%ation, in "arti%ular in 'ie+ of t!e o&4e%ti'es of 6rti%le ?(2)(e) as e2"lained- .("i%all(, t!ese trans"ort ser'i%es are e2"ressed in 'alue ter$s- 1n an( %ase, su&%ontra%ting &( internal o"erators $ust &e %arried out res"e%ting rele'ant "u&li% "ro%ure$ent legislationJinall(, Regulation (EC) No 1370 2007 does not "re'ent t!e "u&li% ser'i%e %ontra%t fro$ sti"ulating a $ini$u$ "er%entage of trans"ort ser'i%es in 'alue ter$s to &e su&%ontra%ted &( t!e o"erator under a "u&li% ser'i%e %ontra%t- .!e %ontra%t %an sti"ulate t!is, "ro'ided t!e "ro'isions of t!at Regulation are res"e%ted, es"e%iall( t!ose on t!e $a2i$u$ s!are of a "u&li% ser'i%e %ontra%t t!at $a( &e su&%ontra%ted-

$eaning of /ire%ti'e 2001 23 EC is not "re%luded &( t!e fa%t t!at o+ners!i" of t!e tangi&le assets "re'iousl( used &( a transferor and ta0en o'er &( a transferee is not transferred, for e2a$"le in %ase t!e tangi&le assets ta0en o'er &( t!e ne+ %ontra%tor did not &elong to its "rede%essor &ut +ere "ro'ided &( t!e %ontra%ting aut!orit(E see in t!is regard Co$$ission 5e$orandu$ on rig!ts of +or0ers in %ases of transfers of underta0ings atA !tt"A e%-euro"a-eu so%ial $ain-4s"K%at1dR707Slang1dRenSint#age1dR20C

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&)")

A/ard o. pu'lic service contracts

.!is %!a"ter "ro'ides inter"retati'e guidan%e on a nu$&er of "ro'isions related to t!e a+ard of "u&li% ser'i%es %ontra%ts- .!e guidan%e %o'ers t!e %onditions under +!i%! "u&li% ser'i%e %ontra%ts %an &e dire%tl( a+arded as +ell as t!e "ro%edural reMuire$ents for t!e %o$"etiti'e tendering of %ontra%ts2.3.1. Article 5(2)(b). Conditions under which a public ser#ice contract "a% be directl% awarded to an internal operator

Regulation (EC) No 1370 2007 allo+s lo%al %o$"etent aut!orities to "ro'ide "u&li% "assenger trans"ort ser'i%es &( rail and &( road t!e$sel'es or to a+ard a "u&li% ser'i%e %ontra%t dire%tl( to an internal o"erator- Go+e'er, if t!e( %!oose t!e se%ond o"tion, t!e( $ust res"e%t a nu$&er of stri%t rules and %onditions set out in 6rti%le ?(2)- .!e Co$$ission notes t!e follo+ingA (i) 6rti%le ?(2) "ro'ides t!at a "u&li% ser'i%e %ontra%t $a( &e a+arded dire%tl( to internal o"erators &( a %o$"etent lo%al aut!orit( or a grou" of su%! aut!orities "ro'iding integrated "u&li% "assenger trans"ort ser'i%es- .!is $eans t!at t!e "u&li% "assenger trans"ort ser'i%es under a %ontra%t dire%tl( a+arded &( a grou" of %o$"etent lo%al aut!orities $ust &e integrated fro$ a geogra"!i%al, trans"ort or tariff "oint of 'ie+ a%ross t!e territor( for +!i%! su%! a grou" of aut!orities is res"onsi&le- .!e Co$$ission also %onsiders t!at t!e geogra"!i%al s%o"e of su%! ser'i%es "ro'ided under t!e res"onsi&ilit( of a %o$"etent lo%al aut!orit( or a grou" of su%! aut!orities s!ould &e defined in a $anner t!at, t("i%all(, t!ese lo%al ser'i%es +ould ser'e t!e needs of an ur&an agglo$eration and or a rural distri%t(ii) .!e rules on %ontrol of t!e internal o"erator &( t!e %o$"etent aut!orit( defined in 6rti%le 2(4) and s"e%ified in 6rti%le ?(2) $ust in an( e'ent &e res"e%ted- 6n internal o"erator $ust &e Ha legall( distin%t entit( o'er +!i%! a %o$"etent lo%al aut!orit( […] e2er%ises %ontrol si$ilar to t!at e2er%ised o'er its o+n de"art$entsI- 6rti%le ?(2)(a) la(s do+n a set of %riteria t!at s!all &e ta0en into %onsideration in assessing +!et!er a %o$"etent aut!orit( effe%ti'el( %ontrols its internal o"erator- .!ese %riteria are Ht!e degree of re"resentation on ad$inistrati'e, $anage$ent or su"er'isor( &odies, s"e%ifi%ations relating to t!is re"resentation in t!e arti%les of asso%iation, o+ners!i", effe%ti'e influen%e and %ontrol o'er strategi% de%isions and indi'idual $anage$ent de%isionsI- .!e assess$ent of %ontrol $ust &e &ased on all t!e %riteria, if rele'antLit! regard to t!e o+ners!i" %riterion, Regulation (EC) No 1370 2007 does not reMuire t!e %o$"etent aut!orities to !old 100 7 of t!e internal o"erator;s %a"ital- .!is %ould &e rele'ant, for e2a$"le, in %ases of "u&li%:"ri'ate "artners!i"s- 1n t!is res"e%t, Regulation (EC) No 1370 2007 inter"rets Hin:!ouseI o"erator $ore &roadl( t!an t!e Court of =usti%e of t!e Euro"ean 9nion in its %ase:la+21- Go+e'er, effe%ti'e %ontrol &( t!e %o$"etent aut!orit( !as to &e "ro'en &( ot!er %riteria as $entioned in 6rti%le ?(2)(a)(iii) .o redu%e distortions of %o$"etition, 6rti%le ?(2)(&) reMuires t!at t!e trans"ort a%ti'ities of internal o"erators and an( &od( or &odies under t!eir %ontrol s!ould &e geogra"!i%all( %onfined +it!in t!e %o$"etent aut!orit(;s territor( or 4ointl( %ontrolled &( a lo%al %o$"etent aut!orit(- .!us, t!ese o"erators or &odies $a( not "arti%i"ate in %o$"etiti'e tender "ro%edures related to t!e "ro'ision of "u&li% "assenger trans"ort ser'i%es organised outside t!e territor( of t!e %o$"etent aut!orit(- 6rti%le ?(2)(&) is deli&eratel( drafted in &road ter$s to "re'ent t!e %reation of %or"orate stru%tures t!at ai$ to %ir%u$'ent t!is geogra"!i%al %onfine$ent- Lit!out "re4udi%e to t!e "ro'isions on outgoing lines, as $entioned in "oint ('),
21

Case C:32< 07 Coditel 2rabant -A # Co""une d=9ccle and R>gion de 2ru:elles/Capitale [200C] ECR 1:C<?7, "aragra"! 30-

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t!e Co$$ission +ill &e "arti%ularl( stri%t in t!e a""li%ation of t!is "ro'ision on geogra"!i%al %onfine$ent, in "arti%ular +!en t!e internal o"erator and anot!er &od( "ro'iding trans"ort ser'i%es are &ot! %ontrolled &( a lo%al %o$"etent aut!orit((i') B( analog( +it! t!e %ase:la+ on "u&li% "ro%ure$ent and %on%essions +!i%! "ro'ides t!at t!e in:!ouse o"erator;s a%ti'ities s!ould not &e H$ar0et:orientedI 22, t!e %ondition of 6rti%le ?(2)(&) t!at Ht!e internal o"erator […] "erfor$ t!eir "u&li% "assenger trans"ort a%ti'it( +it!in t!e territor( of t!e %o$"etent lo%al aut!orit(, […] and do not ta0e "art in %o$"etiti'e tenders %on%erning t!e "ro'ision of "u&li% "assenger trans"ort ser'i%es organised outside t!e territor( of t!e %o$"etent lo%al aut!orit(I s!ould &e inter"reted as follo+sA t!e internal o"erator or t!e entit( influen%ed &( t!e internal o"erator $ust not o"erate "u&li% "assenger trans"ort ser'i%es, in%luding as a su&%ontra%tor, or "arti%i"ate in tender "ro%edures outside t!e %o$"etent aut!orit(;s territor( +it!in t!e 9nion or, due to a "ossi&le indire%t effe%t on t!e internal $ar0et, else+!ere in t!e +orld(') 6rti%le ?(2)(&) allo+s internal o"erators to o"erate Houtgoing lines or ot!er an%illar( ele$ents of t!at a%ti'it( +!i%! enter t!e territor( of neig!&ouring %o$"etent lo%al aut!oritiesI- .!is "ro'ision "ro'ides so$e fle2i&ilit( &( %atering for trans"ort &et+een neig!&ouring regions- 1nternal o"erators $a( t!erefore o"erate ser'i%es &e(ond t!e territor( of t!eir %o$"etent lo%al aut!orit( to a %ertain e2tent- .o assess +!et!er t!e ser'i%es under "u&li% ser'i%e %ontra%t are %o$"liant +it! t!is "ro'ision, t!e follo+ing %riteria s!ould &e a""liedA +!et!er t!ose ser'i%es %onne%t t!e territor( of t!e %o$"etent aut!orit( in Muestion to a neig!&ouring territor( and +!et!er t!e( are an%illar( rat!er t!an t!e $ain "ur"ose of t!e "u&li% trans"ort a%ti'ities under "u&li% ser'i%e %ontra%t- .!e Co$$ission +ill assess +!et!er t!e "u&li% trans"ort a%ti'ities are of a se%ondar( nature &( %o$"aring t!eir 'olu$e in 'e!i%le or train 0$ +it! t!e total 'olu$e of t!e "u&li% trans"ort a%ti'ities %o'ered &( t!e internal o"erator;s %ontra%t(s)2.3.2. Article 5(3). +rocedural re?uire"ents $or the co"petiti#e tendering o$ public ser#ice contracts

6rti%le ?(3) sti"ulates t!at, if a %o$"etent aut!orit( uses a t!ird "art( ot!er t!an an internal o"erator to "ro'ide "u&li% "assenger trans"ort ser'i%es, it s!all a+ard "u&li% ser'i%e %ontra%ts t!roug! a fair, o"en, trans"arent and non:dis%ri$inator( %o$"etiti'e tendering "ro%edure6rti%le ?(3) "ro'ides fe+ ot!er details on t!e %onditions under +!i%! a %o$"etiti'e tendering "ro%edure s!ould &e organised- 6s laid out under "oint 2-<-1, %ontra%t a+ard "ro%edures $ust &e designed so as to %reate %onditions for effe%ti'e %o$"etition- .!e a""li%ation of t!e general "rin%i"les of t!e .reat(, su%! as t!e "rin%i"les of trans"aren%( and non:dis%ri$ination, i$"lies, for instan%e, t!at t!e assess$ent %riteria for t!e sele%tion of offers $ust &e "u&lis!ed +it! t!e tender do%u$ents- .!e $ore detailed "ro%edural rules of 9nion "u&li% "ro%ure$ent legislation, su%! as /ire%ti'es 201< 2< E9 and 201< 2? E9, or /ire%ti'e 201< 23 E9 on %on%essions, alt!oug! not reMuired, $a( &e a""lied if 5e$&er 3tates so +is!Go+e'er, a%%ording to 6rti%le ?(3) of Regulation (EC) No 1370 2007, t!e %o$"etent aut!orit( $a( also %!oose to negotiate +it! t!e "re:sele%ted "arties, after a "re:sele%tion of tenders, in t!e %ase of s"e%ifi% or %o$"le2 reMuire$ents- 6n e2a$"le of t!is is +!en &idding o"erators $ust %o$e u" +it! te%!nologi%all( inno'ati'e trans"ort solutions to $eet t!e reMuire$ents "u&lis!ed in t!e tender do%u$ents- E'en +!en using "re:sele%tion and
22

.!e %ase:la+ related to Hin:!ouseI underta0ings does not refer to a %ondition "ro!i&iting t!ose underta0ings fro$ ta0ing "art in %o$"etiti'e tenders outside t!e territor( of t!e %o$"etent aut!orit(Go+e'er, t!e %ase:la+ !as %learl( indi%ated t!at an underta0ing t!at &e%o$es $ar0et:oriented renders t!e $uni%i"alit(;s %ontrol tenuous (see, Case C:<?C 03 +ar1ing 2ri:en ,"b6 # ,e"einde 2ri:en and -tadtwer1e 2ri:en A, [200?] ECR 1:0C?C?-)

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negotiation, t!e sele%tion and a+ard "ro%edure $ust ne'ert!eless %o$"l( +it! all t!e %onditions set out in 6rti%le ?(3)1n order to "ro'ide "otential tenderers +it! fair and eMual o""ortunities, t!e "eriod &et+een t!e laun%!ing of t!e %o$"etiti'e tendering "ro%edure and t!e su&$ission of t!e offers, as +ell as t!e "eriod &et+een t!e laun%!ing of t!e %o$"etiti'e tendering "ro%edure and t!e $o$ent fro$ +!i%! t!e o"eration of t!e trans"ort ser'i%es !as to start, s!all &e of a""ro"riate and reasona&le lengt!.o $a0e t!e %o$"etiti'e tendering "ro%edure $ore trans"arent, %o$"etent aut!orities s!ould "ro'ide all t!e rele'ant te%!ni%al and finan%ial data, in%luding infor$ation a&out t!e allo%ation of %osts and re'enues if a'aila&le, to "otential &idders to assist in t!e "re"aration of t!eir offers- Go+e'er, t!is s!ared infor$ation %annot under$ine t!e legiti$ate "rote%tion of t!e %o$$er%ial interests of t!ird "arties- Rail+a( underta0ings, rail infrastru%ture $anagers and all ot!er rele'ant "arties s!ould $a0e a'aila&le a""ro"riate a%%urate data to t!e %o$"etent aut!orities to ena&le t!e$ to %o$"l( +it! t!eir infor$ation o&ligation2.3.3. Article 5(8). Conditions under which a co"petent authorit% "a% directl% award a public ser#ice contract in case o$ a s"all contract #olu"e or a -)E

1n t!e %ase of a dire%t a+ard of a "u&li% ser'i%e %ontra%t of s$all 'alue or to a s$all or $ediu$:siNed o"erator (6rti%le ?(<)), t!e %o$"etent aut!orit( $a( dire%tl( a+ard t!e %ontra%t +it!out a %o$"etiti'e tendering "ro%edure- 6 "u&li% ser'i%e %ontra%t is %onsidered to &e of s$all 'alue if its a'erage annual 'alue is less t!an E9R 1 $illion or if it in'ol'es t!e annual "ro'ision of less t!an 300 000 0ilo$etres of "u&li% "assenger trans"ort ser'i%es- 6 s$all or $ediu$:siNed o"erator is an enter"rise o"erating not $ore t!an 23 'e!i%les- 1n t!is %ase, t!e t!res!olds $a( &e in%reased to an a'erage annual 'alue esti$ated at less t!an E9R 2 $illion or t!e annual "ro'ision of less t!an *00 000 0ilo$etres of "u&li% trans"ort ser'i%es.!e 35E t!res!old defined in ter$s of H'e!i%lesI indi%ates t!at t!is "ro'ision is geared to t!e trans"ort &( &us, &ut not to trans"ort &( tra$, $etro or train- .!e t!res!old of 23 'e!i%les !as to &e inter"reted in a restri%ti'e $anner to a'oid a&use of t!e e2%e"tional %!ara%ter of 6rti%le ?(<)- .!erefore, t!e ter$s H'e!i%les &eing o"eratedI $ust &e inter"reted as referring to t!e total nu$&er of 'e!i%les &eing o"erated &( t!e "u&li% trans"ort o"erator and not t!e nu$&er of 'e!i%les o"erated for ser'i%es %o'ered &( a "arti%ular "u&li% ser'i%e %ontra%tGo+e'er, t!e national legislator $a( de%ide to o&lige its %o$"etent aut!orit( to a""l( to su%! %ases t!e rule t!at "u&li% ser'i%e %ontra%ts s!ould &e a+arded in a fair, o"en, trans"arent and non:dis%ri$inator( %o$"etiti'e tendering "ro%ess2.3.8. Article 5(8). +ossibilit% o$ )e"ber -tates to set lower thresholds allowing $or a direct award in the case o$ contracts o$ s"all #alue or s"all and "ediu"/si*ed operators

.o t!e sa$e e2tent t!at 6rti%le ?(<) allo+s t!e 5e$&er 3tates (i) to o&lige t!eir %o$"etent aut!orities to a""l( t!e rule t!at "u&li% ser'i%e %ontra%ts s!ould &e a+arded in a fair, o"en, trans"arent and non:dis%ri$inator( %o$"etiti'e tendering "ro%edure in t!e %ase of %ontra%ts of s$all 'alue or s$all and $ediu$:siNed o"erators, t!e 5e$&er 3tates $a( also de%ide (ii) to lo+er t!e t!res!olds set out in t!at "ro'ision for dire%t a+ards of su%! %ontra%ts or (iii) to use t!e t!res!olds "ro'ided for in 6rti%le ?(<) of Regulation (EC) No 1370 20072.3.5. Article 5('). Rail ser#ices that ?uali$% $or the direct award procedure 6rti%le ?(*) allo+s %o$"etent aut!orities to a+ard "u&li% ser'i%e %ontra%ts dire%tl( for rail trans"ort, H+it! t!e e2%e"tion of ot!er tra%0:&ased $odes su%! as $etro and tra$+a(s-I

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.!e a+ard &( an aut!orit( of %ontra%ts for t!e "ro'ision of ser'i%es of general interest to a t!ird "art( !as to res"e%t general .reat( "rin%i"les, su%! as trans"aren%( and eMual treat$ent23- Contra%ts dire%tl( a+arded under 6rti%le ?(*) are not e2onerated fro$ %o$"lian%e +it! t!ese .reat( "rin%i"les- .!is is t!e reason +!( Regulation (EC) No 1370 2007 reMuires nota&l(, in 6rti%le 7(2) and (3), t!at %o$"etent aut!orities "u&lis! %ertain infor$ation a&out dire%tl( a+arded "u&li% ser'i%e %ontra%ts in rail at least one (ear &efore and one (ear after t!e a+ard.!e e2%e"tion to t!e general rule of a %o$"etiti'e a+ard "ro%edure $ust also &e a""lied restri%ti'el(- Rail su&stitute ser'i%es, for instan%e, &( &us and %oa%! t!at $a( &e %ontra%tuall( reMuired fro$ t!e "u&li% ser'i%e o"erator in %ases of disru"tion of t!e rail net+or0 %annot &e %onsidered as rail trans"ort ser'i%es and t!us do not fall under 6rti%le ?(*)- 3u&%ontra%ting su%! rail su&stitute ser'i%es &( &us and %oa%! a%%ording to rele'ant "u&li% "ro%ure$ent legislation is t!us reMuiredL!et!er %ertain t("es of ur&an or su&ur&an rail trans"ort s(ste$s, su%! as t!e 3:Ba!n (in 6ustria, 8er$an( and /en$ar0) and t!e RER (in Jran%e), or $odes of trans"ort t!at are si$ilar to Hot!er tra%0 &ased $odesI (for instan%e, $etro or tra$ ser'i%es), su%! as tra$:train ser'i%es and %ertain auto$ati% train ser'i%es o"erated under o"ti%al guidan%e s(ste$s, are in%luded in t!e rail e2e$"tion of 6rti%le ?(*) $ust &e assessed on a %ase:&(:%ase &asis, a""l(ing suita&le %riteria- 1n "arti%ular, t!is +ill de"end on fa%tors su%! as +!et!er t!e s(ste$s in Muestion are nor$all( intero"era&le and or s!are infrastru%ture +it! t!e traditional !ea'( rail net+or0- 6lt!oug! tra$:train ser'i%es do use !ea'( rail infrastru%ture, t!eir s"e%ial %!ara%teristi%s $ean t!e( s!ould nonet!eless &e regarded as an Dot!er tra%0 &ased $odeD2-3-* )odi$ications o$ public ser#ice contracts L!ere a running "u&li% ser'i%e %ontra%t needs to &e a$ended, for instan%e +!ere t!e trans"ort ser'i%e 'olu$e and %orres"onding %o$"ensation a$ount need to &e ada"ted due to an e2tension of a $etro line, t!e Muestion arises +!et!er t!e %o$"etent aut!orit( s!ould start a ne+ a+ard "ro%edure or +!et!er t!e %ontra%t %an &e a$ended +it!out a ne+ a+ard.!e Court of =usti%e !as !eld t!at in t!e %ase of $inor, non:su&stantial $odifi%ations a ne+ a+ard $a( not &e ne%essar( to ensure t!at general .reat( "rin%i"les su%! as trans"aren%( and non:dis%ri$ination are %o$"lied +it! and a si$"le a$end$ent of t!e %ontra%t $a( &e suffi%ient2<- 6%%ording to t!e Court, in order to ensure trans"aren%( of "ro%edures and eMual treat$ent of tenderers, su&stantial a$end$ents to essential "ro'isions of a ser'i%e %on%ession %ontra%t or to %ontra%ts su&4e%t to t!e "u&li% "ro%ure$ent dire%ti'es reMuire t!e a+ard of a ne+ %ontra%t in %ertain %ases- .!is is t!e %ase, in "arti%ular, if t!e ne+ "ro'isions are $ateriall( different in %!ara%ter fro$ t!e original %ontra%t and are t!erefore su%! as to de$onstrate t!e intention of t!e "arties to renegotiate t!e essential ter$s of t!at %ontra%t 6%%ording to t!e Court, an a$end$ent to a %ontra%t during its ter$ $a( &e regarded as su&stantial if it introdu%es %onditions +!i%!, if t!e( !ad &een "art of t!e original a+ard "ro%edure, +ould !a'e allo+ed for t!e ad$ission of tenderers ot!er t!an t!ose originall( ad$itted or +ould !a'e allo+ed for t!e a%%e"tan%e of an offer ot!er t!an t!at originall( a%%e"ted23

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3ee for instan%e re%ital 20 of Regulation (EC) No 1370 2007A DL!ere a "u&li% aut!orit( %!ooses to entrust a general interest ser'i%e to a t!ird "art(, it $ust sele%t t!e "u&li% ser'i%e o"erator in a%%ordan%e +it! Co$$unit( la+ on "u&li% %ontra%ts and %on%essions, as esta&lis!ed &( 6rti%les <3 to <) of t!e .reat(, and t!e "rin%i"les of trans"aren%( and eMual treat$ent-D Case C:337 )C Co""ission ' 3rance [2000] ECR 1:C377, "aragra"!s << and <*, Case C:<?< 0* pressete:t Nachrichtenagentur [200C] ECR 1:<<01, "aragra"! 3<) and Case C:)1 0C @all A, [2010] ECR 1: 02C1?5 "aragra"! 37 and 3C.

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1n t!e a&sen%e of s"e%ifi% "ro'isions in Regulation (EC) No 1370 2007, t!e "rin%i"les of t!e a&o'e %ase:la+ are full( a""li%a&le to $odifi%ations of "u&li% ser'i%e %ontra%ts %o'ered &( t!at Regulation- 1n order to deter$ine +!at %onstitutes non:su&stantial $odifi%ations, a %ase: &(:%ase assess$ent &ased on o&4e%ti'e %riteria is reMuired2?&)0) 1u'lic service co2pensation .!e rules on %o$"ensation laid do+n in Regulation (EC) No 1370 2007 ensure t!e a&sen%e of o'er%o$"ensation and %o$"lian%e +it! t!e .reat( rules- .!e( also address t!e %on%e"ts of reasona&le "rofit and effi%ien%( in%enti'e, t!e issues of %ross:su&sidisation of %o$$er%ial a%ti'ities +it! %o$"ensation "aid for "u&li% ser'i%e o&ligations and of under:%o$"ensation, and t!e Co$$issionFs e2 ante and e2 "ost in'estigation "ro%edures regarding "u&li% ser'i%e %o$"ensation2.8.1. Article 8(1) and Article 5(3). Absence o$ o#erco"pensation in the case o$ a public ser#ice contract awarded on the basis o$ an open and co"petiti#e public tendering procedure

9nli0e ot!er e%ono$i% se%tors, 6rti%le 10*(2) .JE9 does not a""l( in %ases +!ere %o$"ensation is "aid for "u&li% ser'i%e o&ligations in land trans"ort- Rat!er, su%! %o$"ensation is %o'ered &( 6rti%le )3 .JE9- 6%%ordingl(, t!e 9nion rules regarding %o$"ensation for ser'i%es of general e%ono$i% interest 2* +!i%! are &ased on 6rti%le 10*(2) .JE9, do not a""l( to inland trans"ort271n t!e %ase of "u&li% "assenger trans"ort ser'i%es &( rail and &( road, "ro'ided t!at %o$"ensation for t!ose ser'i%es is "aid in a%%ordan%e +it! Regulation (EC) No 1370 2007, su%! %o$"ensation s!all &e dee$ed %o$"ati&le +it! t!e internal $ar0et and s!all &e e2e$"t fro$ t!e "rior notifi%ation reMuire$ent laid do+n in 6rti%le 10C(3) .JE9, in a%%ordan%e +it! 6rti%le )(1) of t!at Regulation.!is "resu$"tion of %o$"ati&ilit( and e2e$"tion fro$ t!e notifi%ation reMuire$ent does not address t!e Muestion of t!e "ossi&le 3tate aid %!ara%ter of t!e %o$"ensation "aid for t!e "ro'ision of "u&li% trans"ort ser'i%es- 1n order not to %onstitute 3tate aid, su%! %o$"ensation +ould !a'e to res"e%t t!e four %onditions laid do+n &( t!e Euro"ean Court of =usti%e in t!e 6lt$ar0 4udge$ent2C6n o"en, trans"arent and non:dis%ri$inator( %o$"etiti'e tendering "ro%edure +it!in t!e $eaning of 6rti%le ?(3) +ill $ini$ise t!e "u&li% %o$"ensation t!at t!e %o$"etent aut!orities +ill need to "a( to t!e ser'i%e "ro'ider to o&tain t!e le'el of "u&li% ser'i%e i$"osed in t!e
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.!e Court of =usti%e "ointed out in t!e @all A, %ase t!at a %!ange of su&%ontra%tor, e'en if t!e "ossi&ilit( of a %!ange is "ro'ided for in t!e %ontra%t, $a( in e2%e"tional %ases %onstitute a su&stantial a$end$ent to one of t!e essential "ro'isions of a %on%ession %ontra%t +!ere t!e use of one su&%ontra%tor rat!er t!an anot!er +as, in 'ie+ of t!e "arti%ular %!ara%teristi%s of t!e ser'i%es %on%erned, a de%isi'e fa%tor in %on%luding t!e %ontra%t, +!i%! is in an( e'ent for t!e referring %ourt to as%ertainNota&l( Co$$ission /e%ision on t!e a""li%ation of 6rti%le 10*(2) .JE9 to 3tate aid in t!e for$ of "u&li% ser'i%e %o$"ensation granted to %ertain underta0ings entrusted +it! t!e o"eration of ser'i%es of general e%ono$i% interest (,= >7, 11-01-2012, "- 3) and E9 fra$e+or0 for 3tate aid in t!e for$ of "u&li% ser'i%e %o$"ensation (,= CC, 11-01-2012, "- 1?)Go+e'er, Co$$ission Regulation No 3*0 2012 on t!e a""li%ation of 6rti%les 107 and 10C to de $ini$is aid granted to underta0ings "ro'iding ser'i%es of general e%ono$i% (,= > 11<, 2*-<-2012, "- C) does a""l( to land trans"ortCase C:2C0 00 Alt"ar1 .rans ,"b6 and Regierungspr7sidiu" )agdeburg # Nah#er1ehrsgesellscha$t Alt"ar1 ,"b6 [2003] ECR 1:77<7- 3ee, in "arti%ular, se%tion 3 of t!e Co$$uni%ation fro$ t!e Co$$ission on t!e a""li%ation of t!e Euro"ean 9nion 3tate aid rules to %o$"ensation granted for t!e "ro'ision of ser'i%es of general e%ono$i% interest (,= C C, 11-1-2012, "- <)-

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tender, t!us "re'enting o'er%o$"ensation- 1n su%! a %ase, t!ere is no need to a""l( t!e detailed rules on %o$"ensation set out in t!e anne21n order to %o$"l( +it! 6rti%le ?(3), "u&li% "ro%ure$ent "ro%edures $ust &e designed in su%! a +a( t!at t!e( %reate %onditions for effe%ti'e %o$"etition- .!e e2a%t %!ara%teristi%s of t!e tender %an 'ar( in a%%ordan%e +it! 6rti%le ?(3) +!i%! allo+s, for e2a$"le, for a %ertain $argin of negotiation &et+een t!e %o$"etent aut!orit( and %o$"anies !a'ing su&$itted &ids in t!e tender "ro%edure- Go+e'er, su%! negotiations $ust &e fair and res"e%t t!e "rin%i"les of trans"aren%( and non:dis%ri$ination- Jor e2a$"le, a "urel( negotiated "ro%edure +it!out "rior "u&li%ation of a %ontra%t noti%e is against t!e "rin%i"les of trans"aren%( and non: dis%ri$ination of 6rti%le ?(3)- .!erefore, su%! a "ro%edure does not %o$"l( +it! 6rti%le ?(3)3i$ilarl(, a tender "ro%edure +!i%! is designed in su%! a +a( as to undul( restri%t t!e nu$&er of "otential &idders does not %o$"l( +it! 6rti%le ?(3)- 1n t!is %onte2t, %o$"etent aut!orities s!ould &e "arti%ularl( 'igilant +!en t!e( !a'e %lear indi%ations of non:effe%ti'e %o$"etition, in "arti%ular, for instan%e, +!en onl( one &id is su&$itted- 1n su%! %ases, t!e Co$$ission is also $ore li0el( to enMuire a&out t!e s"e%ifi% %ir%u$stan%es of t!e tender "ro%edure.!e sele%tion %riteria, in%luding for e2a$"le Mualit( related, en'iron$ental or so%ial %riteria, s!ould &e %losel( related to t!e su&4e%t:$atter of t!e ser'i%e "ro'ided- .!e a+arding aut!orit( is not "re'ented fro$ setting Mualitati'e standards to &e $et &( all e%ono$i% o"erators or fro$ ta0ing Mualitati'e as"e%ts related to t!e different "ro"osals into a%%ount in its a+ard de%isionJinall(, t!ere %an &e %ir%u$stan%es +!ere a "ro%ure$ent "ro%edure in a%%ordan%e +it! 6rti%le ?(3) does not gi'e rise to a suffi%ientl( o"en and genuine %o$"etition- .!is %ould &e t!e %ase, for e2a$"le, due to t!e %o$"le2it( or e2tent of t!e ser'i%es to &e "ro'ided or to t!e ne%essar( infrastru%ture or assets o+ned &( a "arti%ular ser'i%e "ro'ider or to &e "ro'ided for t!e e2e%ution of t!e %ontra%t2.8.2. Article '. Absence o$ o#erco"pensation in the case o$ directl% awarded public ser#ice contracts

.!e dire%t a+ard of a "u&li% ser'i%e %ontra%t in a%%ordan%e +it! 6rti%le ?(2), (<), (?) or (*), or t!e i$"osition of general rules +it!in t!e $eaning of 6rti%le 3(2), do not guarantee t!at t!e le'el of %o$"ensation is redu%ed to t!e $ini$u$- .!is is &e%ause t!at dire%t a+ard +ill not result fro$ t!e intera%tion of %o$"etiti'e $ar0et for%es, &ut rat!er fro$ a dire%t negotiation &et+een t!e %o$"etent aut!orit( and t!e ser'i%e "ro'ider6rti%le *(1) "ro'ides t!at in t!e %ase of dire%tl( a+arded "u&li% ser'i%e %ontra%ts or general rules %o$"ensation $ust %o$"l( +it! t!e "ro'isions of Regulation (EC) No 1370 2007 as +ell as +it! its 6nne2 to ensure t!e a&sen%e of o'er%o$"ensation- .!e 6nne2 to t!at Regulation esta&lis!es an e: post %!e%0 to ensure t!at t!e %o$"ensator( "a($ents are not !ig!er t!an t!e a%tual net %ost for t!e "ro'ision of t!e "u&li% ser'i%e o'er t!e lifeti$e of t!e %ontra%t- 6dditionall(, t!e Co$$ission %onsiders t!at regular %!e%0s are in "rin%i"le needed during t!e lifeti$e of t!e %ontra%t in order to dete%t and a'oid at an earl( stage %lear o'er%o$"ensation situations fro$ de'elo"ing- .!is is t!e %ase, in "arti%ular, for long:ter$ %ontra%tsCo$"ensation $ust &e li$ited to t!e net finan%ial effe%t of t!e "u&li% ser'i%e o&ligation- .!is is %al%ulated as %osts $inus re'enues generated &( t!e "u&li% ser'i%e o"erations, $inus "otential re'enues indu%ed &( net+or0 effe%ts, "lus a reasona&le "rofit,n t!e %ost side, all %osts dire%tl( lin0ed to t!e "ro'ision of t!e "u&li% ser'i%e %an &e ta0en into a%%ount (su%! as train dri'ers; salaries, tra%tion %urrent, rolling sto%0 $aintenan%e, o'er!ead %osts (su%! as %ost of $anage$ent and ad$inistration) and %ontra%t:related %osts of

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affiliated underta0ings)- L!ere t!e underta0ing also %arries out a%ti'ities t!at fall outside t!e s%o"e of t!e "u&li% ser'i%e, an a""ro"riate "art of t!e %osts t!at are s!ared &et+een "u&li% ser'i%e and ot!er a%ti'ities (su%! as offi%e rental %osts, t!e salaries of a%%ountants or ad$inistrati'e "ersonnel) $a( also &e ta0en into a%%ount on to" of t!e dire%t %osts ne%essar( to dis%!arge t!e "u&li% ser'i%e- L!ere t!e underta0ing !olds se'eral "u&li% ser'i%e %ontra%ts, t!e %o$$on %osts $ust not onl( &e allo%ated &et+een t!e "u&li% ser'i%e %ontra%ts and ot!er a%ti'ities, &ut also &et+een t!e different "u&li% ser'i%e %ontra%ts- .o deter$ine t!e a""ro"riate "ro"ortion of %o$$on %osts to &e ta0en into a%%ount in t!e "u&li% ser'i%e %osts, $ar0et "ri%es for using t!e resour%es, if a'aila&le, $a( &e ta0en as a &en%!$ar0- 1f su%! "ri%es are not a'aila&le, ot!er $et!odologies $a( &e used +!ere a""ro"riateRe'enues dire%tl( or indire%tl( related to t!e "ro'ision of t!e "u&li% ser'i%e, su%! as re'enues fro$ t!e sale of ti%0ets or fro$ t!e sale of food and drin0s, $ust &e dedu%ted fro$ t!e %osts for +!i%! %o$"ensation is %lai$ed.!e o"eration of "u&li% "assenger trans"ort ser'i%es under a "u&li% ser'i%e %ontra%t &( a trans"ort underta0ing also in'ol'ed in ot!er %o$$er%ial o"erations $a( &ring a&out "ositi'e indu%ed net+or0 effe%ts- Jor e2a$"le, &( ser'ing a %ertain net+or0 under a "u&li% ser'i%e %ontra%t +!i%! lin0s to ot!er routes o"erated under %o$$er%ial ter$s, an o"erator $a( &e a&le to in%rease its %lient &ase- .!e Co$$ission +el%o$es indu%ed net+or0 effe%ts su%! as t!ose &roug!t a&out &( t!roug!:ti%0eting and integrated ti$eta&ling, "ro'ided t!e( are designed to &enefit "assengers- .!e Co$$ission is also a+are of t!e "ra%ti%al diffi%ulties in Muantif(ing t!ese "otential net+or0 effe%ts- Ne'ert!eless, in a%%ordan%e +it! t!e 6nne2 to Regulation (EC) No 1370 2007, an( su%! Muantifia&le finan%ial &enefits s!all &e dedu%ted fro$ t!e %osts for +!i%! %o$"ensation is %lai$ed2.8.3. Article 8(1) and the Anne:. .he notion o$ Areasonable pro$itB 6rti%le <(1)(%) "ro'ides t!at t!e %osts to &e ta0en into a%%ount in a "u&li% ser'i%e %ontra%t $a( in%lude Ha suita&le return on %a"ital-I .!e 6nne2 s"e%ifies t!at %o$"ensation for a "u&li% ser'i%e o&ligation $a( not e2%eed t!e net finan%ial effe%t of t!e o&ligation, defined as %osts $inus re'enues generated &( "u&li% ser'i%e o"erations, $inus "otential indu%ed net+or0 re'enues, "lus a Hreasona&le "rofitI.!e 6nne2 states t!at HTreasona&le "rofit; $ust &e ta0en to $ean a rate of return on %a"ital t!at is nor$al for t!e se%tor in a gi'en 5e$&er 3tate and t!at ta0es a%%ount of t!e ris0, or a&sen%e of ris0, in%urred &( t!e "u&li% ser'i%e o"erator &( 'irtue of "u&li% aut!orit( inter'ention-I Go+e'er, no furt!er guidan%e is offered on t!e %orre%t le'el of Hreturn on %a"italI or Hreasona&le "rofitIL!ile t!e Co$$uni%ation fro$ t!e Co$$ission on t!e a""li%ation of t!e Euro"ean 9nion 3tate aid rules to %o$"ensation granted for t!e "ro'ision of ser'i%es of general e%ono$i% interest 2) (38E1 Co$$uni%ation) is &ased on a different legal &asis t!an Regulation (EC) No 1370 2007 and t!us not a""li%a&le in %ases +!ere %o$"ensation is "aid for "u&li% ser'i%e o&ligations in land trans"ort, it "ro'ides so$e guidan%e on t!e deter$ination of t!e le'el of reasona&le "rofit t!at $a( ser'e as an indi%ator for %o$"etent aut!orities +!en a+arding "u&li% ser'i%e %ontra%ts under Regulation (EC) No 1370 2007 30- .!e 38E1 Co$$uni%ation e2"lains t!at H+!ere generall( a%%e"ted $ar0et re$uneration e2ists for a gi'en ser'i%e, t!at $ar0et re$uneration "ro'ides t!e &est &en%!$ar0 for t!e %o$"ensation in t!e a&sen%e of a tenderI31- 3u%! &en%!$ar0s +ould ideall( &e found in %ontra%ts in t!e sa$e se%tor of a%ti'it(, +it! si$ilar %!ara%teristi%s and in t!e sa$e 5e$&er 3tate- .!e reasona&le "rofit $ust
2) 30 31

,= C C, 11-1-2012, "-<3ee in "arti%ular "oint *1 of t!e 38E1 Co$$uni%ation#oint *) of t!e 38E1 Co$$uni%ation-

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t!erefore &e in line +it! nor$al $ar0et %onditions and s!ould not e2%eed +!at is ne%essar( to refle%t t!e le'el of ris0 of t!e ser'i%e "ro'idedGo+e'er, su%! $ar0et &en%!$ar0s do not al+a(s e2ist- 1n t!at %ase, t!e le'el of reasona&le "rofit %ould &e deter$ined &( %o$"aring t!e "rofit $argin reMuired &( a t("i%al +ell run underta0ing a%ti'e in t!e sa$e se%tor to "ro'ide t!e ser'i%e in Muestion326 standard +a( in +!i%! to $easure t!e return on %a"ital of a "u&li% ser'i%e %ontra%t is to %onsider t!e internal rate of return (1RR) t!at t!e %o$"an( $a0es on its in'ested %a"ital o'er t!e lifeti$e of t!e "ro4e%t, t!at is to sa( t!e 1RR on t!e %as! flo+s of t!e %ontra%t- Go+e'er, a%%ounting $easures, su%! as t!e return on eMuit( (R,E), t!e return on %a"ital e$"lo(ed (R,CE) or ot!er generall( a%%e"ted e%ono$i% indi%ators for t!e return on %a"ital $a( also &e used1t s!ould &e noted t!at indi%ators $a( &e influen%ed &( t!e a%%ounting $et!ods used &( t!e %o$"an( and refle%t t!e %o$"an( situation onl( in a gi'en (ear- L!ere t!is is t!e %ase, it s!ould &e ensured t!at t!e a%%ounting "ra%ti%es of t!e %o$"an( refle%t t!e long:ter$ e%ono$i% realit( of t!e "u&li% ser'i%e %ontra%t- 1n t!at %onte2t, +!ene'er feasi&le, t!e le'el of reasona&le "rofit s!ould &e assessed o'er t!e lifeti$e of t!e "u&li% ser'i%e %ontra%t- .!e differen%es in t!e e%ono$i% $odels of rail+a(s, tra$+a(s, $etro and &us trans"ort s!ould also &e ta0en into a%%ount- Jor e2a$"le, +!ile rail+a( trans"ort is generall( 'er( %a"ital: intensi'e, &us trans"ort tends to &e $ore de"endent on "ersonnel %osts1n an( e'ent, de"ending on t!e "arti%ular %ir%u$stan%es of ea%! "u&li% ser'i%e %ontra%t, a %ase:&(:%ase assess$ent &( t!e %o$"etent aut!orit( is needed to deter$ine t!e adeMuate le'el of reasona&le "rofit- 6$ong ot!er t!ings, it $ust ta0e into a%%ount t!e s"e%ifi% %!ara%teristi%s of t!e underta0ing in Muestion, t!e nor$al $ar0et re$uneration for si$ilar ser'i%es and t!e le'el of ris0 in'ol'ed in ea%! "u&li% ser'i%e %ontra%t- Jor e2a$"le, a "u&li% ser'i%e %ontra%t t!at in%ludes s"e%ifi% "ro'isions "rote%ting t!e le'el of %o$"ensation in t!e %ase of unforeseen %osts is less ris0( t!an a "u&li% ser'i%e %ontra%t t!at does not %ontain su%! guarantees- 6ll ot!er t!ings &eing eMual, t!e reasona&le "rofit in t!e for$er %ontra%t s!ould t!erefore &e lo+er t!an in t!e latter %ontra%t.!e use of effi%ien%( in%enti'es in t!e %o$"ensation $e%!anis$ is generall( to &e en%ouraged33- 1t s!ould &e underlined t!at %o$"ensation s%!e$es +!i%! si$"l( %o'er a%tual %osts as t!e( o%%ur "ro'ide fe+ in%enti'es for t!e trans"ort %o$"an( to %ontain %osts or to &e%o$e $ore effi%ient o'er ti$e- .!eir use is t!erefore &etter %onfined to instan%es +!ere un%ertaint( a&out %osts is large and t!e trans"ort "ro'ider needs a !ig! degree of "rote%tion against un%ertaint(2.8.8. Article 8(1) and (2) and the Anne:. +re#enting co"pensation recei#ed $or a public ser#ice obligation $ro" being used to cross/subsidise co""ercial acti#ities

L!en a "u&li% ser'i%e "ro'ider also %arries out %o$$er%ial a%ti'ities, it is ne%essar( to ensure t!at t!e "u&li% %o$"ensation it re%ei'es is not used to strengt!en its %o$"etiti'e "osition in its %o$$er%ial a%ti'ities- 1n t!is %onte2t, t!e 6nne2 la(s do+n rules to a'oid t!e %ross: su&sidisation of %o$$er%ial a%ti'ities +it! re'enues fro$ "u&li% ser'i%e o"erations- .!ese rules essentiall( %onsist of a%%ounting se"aration &et+een t!e t+o t("es of a%ti'ities ("u&li% ser'i%e and %o$$er%ial) and a sound %ost allo%ation $et!od refle%ting t!e real %osts of "ro'iding t!e "u&li% ser'i%e-

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33

Jurt!er guidan%e is gi'en in t!e 38E1 Co$$uni%ation on +!at is to &e %onsidered a Ht("i%al +ell:run underta0ingI- 3ee in "arti%ular "oints 70:7*3ee in "arti%ular "oint 7 of t!e 6nne2 to t!e Regulation-

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1)

EN

6rti%le <(1) and (2), toget!er +it! t!e rules laid do+n in t!e 6nne2, reMuire %osts and re'enues "ertaining to t!e "ro'ision of ser'i%es under ea%! "u&li% ser'i%e %ontra%t a+arded to a trans"ort underta0ing and to %o$$er%ial a%ti'ities to &e %orre%tl( allo%ated &et+een t!e t+o t("es of a%ti'ities- .!is is to effe%ti'el( $onitor "u&li% %o$"ensation and "ossi&le %ross: su&sidisation &et+een t!e t+o a%ti'ities- .!e adeMua%( of t!e %ost:s!aring and ring:fen%ing $easures &et+een t!e "u&li% ser'i%e o&ligation and t!e %o$$er%ial a%ti'ities are %ru%ial in t!is res"e%t- Jor e2a$"le, +!en $eans of trans"ort (su%! as rail rolling sto%0 or &uses) or ot!er assets or ser'i%es needed to dis%!arge t!e "u&li% ser'i%e o&ligation (su%! as offi%es, "ersonnel or stations) are s!ared &et+een "u&li% ser'i%e and %o$$er%ial a%ti'ities, t!e %osts of ea%! $ust &e allo%ated to t!e t+o different t("es of a%ti'ities in "ro"ortion to t!eir relati'e +eig!t in t!e o'erall trans"ort ser'i%es "ro'ided &( t!e trans"ort underta0ing1f, for e2a$"le, t!e "u&li% ser'i%e and t!e %o$$er%ial a%ti'ities of t!e sa$e trans"ort underta0ing $ade use of ser'i%es in stations, &ut t!e full %osts of t!ose ser'i%es +ere allo%ated onl( to t!e "u&li% ser'i%e a%ti'ities, t!is +ould %onstitute a %ross:su&sidisation in%o$"ati&le +it! Regulation (EC) No 1370 2007- /ire%ti'e 2012 3< EC of t!e Euro"ean #arlia$ent and of t!e Coun%il of 21 No'e$&er 2012 esta&lis!ing a single Euro"ean rail+a( area 3< also la(s do+n s"e%ifi% o&ligations for t!e se"aration of a%%ounts of rail+a( underta0ingsEa%! "u&li% ser'i%e %ontra%t s!ould %ontain s"e%ifi% rules on %o$"ensation and s!ould gi'e rise to s"e%ifi% a%%ounting entries- 1n ot!er +ords, if t!e sa$e underta0ing !as entered into se'eral "u&li% ser'i%e %ontra%ts, t!e a%%ounts of t!e trans"ort underta0ings s!ould s"e%if( +!i%! "u&li% %o$"ensation %orres"onds to +!i%! "u&li% ser'i%e %ontra%t- 6t t!e +ritten reMuest of t!e Co$$ission, t!ese a%%ounts $ust &e $ade a'aila&le in a%%ordan%e +it! 6rti%le *(2) of Regulation (EC) No 1370 20072.8.5. Article 8(1). (esign o$ co"pensation sche"es to pro"ote e$$icienc% Re%ital 27 of Regulation (EC) No 1370 2007 states t!at in t!e %ase of a dire%t a+ard or general rules, t!e "ara$eters for %o$"ensation s!ould &e set in su%! a +a( t!at %o$"ensation is a""ro"riate and refle%ts a Hdesire for effi%ien%( and Mualit( of ser'i%e-I .!is $eans t!at t!e %o$"etent aut!orities s!ould, t!roug! t!e %o$"ensation $e%!anis$, en%ourage t!e ser'i%e "ro'iders to &e%o$e $ore effi%ient, &( "ro'iding t!e reMuired le'el and Mualit( of ser'i%e +it! t!e fe+est resour%es "ossi&le.!e rules on %o$"ensation in Regulation (EC) No 1370 2007 lea'e so$e lee+a( for t!e %o$"etent aut!orities to design in%enti'e s%!e$es for t!e "u&li% ser'i%e "ro'ider- 1n an( e'ent, %o$"etent aut!orities are o&liged to H"ro$ote t!e $aintenan%e or de'elo"$ent of effe%ti'e $anage$ent &( t!e "u&li% ser'i%e o"erator, +!i%! %an &e t!e su&4e%t of an o&4e%ti'e assess$entI ("oint 7 of t!e 6nne2)- .!is i$"lies t!at t!e %o$"ensation s(ste$ $ust &e designed to ensure at least a %ertain i$"ro'e$ent in effi%ien%( o'er ti$eEffi%ien%( in%enti'es s!ould ne'ert!eless &e "ro"ortionate and re$ain +it!in a reasona&le le'el, ta0ing into a%%ount t!e diffi%ult( in attaining t!e effi%ien%( o&4e%ti'es- .!is $a(, for e2a$"le, &e ensured t!roug! a &alan%ed s!aring of an( re+ards lin0ed to effi%ien%( gains &et+een t!e o"erator, t!e "u&li% aut!orities and or t!e users- 1n an( e'ent, a s(ste$ $ust &e "ut in "la%e to ensure t!at t!e underta0ing is not allo+ed to retain dis"ro"ortionate effi%ien%( &enefits- 1n addition, t!e "ara$eters of t!ese in%enti'e s%!e$es $ust &e full( and "re%isel( defined in t!e "u&li% ser'i%e %ontra%t1n%enti'es to "ro'ide "u&li% ser'i%es $ore effi%ientl( s!ould not, !o+e'er, "re'ent t!e "ro'ision of !ig!:Mualit( ser'i%es- 1n t!e %onte2t of Regulation (EC) No 1370 2007, effi%ien%( $ust &e understood as t!e relation &et+een t!e Mualit( or le'el of t!e "u&li%
3<

,= > 3<3, 1<-12-2012, "- 32- 3ee 6rti%le * on t!e se"aration of a%%ounts of rail+a( underta0ings and rail+a( infrastru%ture $anagers-

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ser'i%es and t!e resour%es used to "ro'ide t!ose ser'i%es- Effi%ien%( in%enti'es s!ould t!erefore fo%us on redu%ing %osts and or in%reasing t!e Mualit( or le'el of ser'i%e2.8.'. Article '(1). Circu"stances under which the Co""ission will in#estigate whether a co"pensation sche"e co"plies with Regulation (EC) No 137 !2 7

#u&li% ser'i%e %o$"ensation "aid in a%%ordan%e +it! Regulation (EC) No 1370 2007 is e2e$"t fro$ t!e reMuire$ent to notif( 3tate aid &efore it is i$"le$ented as laid do+n in 6rti%le 10C(3) .JE9- Ne'ert!eless, t!e Co$$ission $a( &e as0ed to assess a %o$"ensation s%!e$e for reasons of legal %ertaint( if a 5e$&er 3tate is not sure +!et!er t!e s%!e$e %o$"lies +it! t!e Regulation- .!e Co$$ission $a( also assess a %o$"ensation s%!e$e on t!e &asis of a %o$"laint or an e: o$$icio in'estigation if it is a+are of e'iden%e "ointing to t!e non:%o$"lian%e of t!at s%!e$e +it! t!e %o$"ensation rules of t!e Regulation2.8.7. Article '(1). (i$$erences between the Co""ission=s e: ante and e: post in#estigations into co"pensation sche"es

.!e $ain differen%e &et+een t!e Co$$ission;s e: ante and e: post in'estigations into %o$"ensation s%!e$es relates to t!e ti$e at +!i%! t!e Co$$ission assesses t!e s%!e$e, not in t!e $et!od used for anal(sing +!et!er o'er%o$"ensation is "resentL!en assessing +!et!er a %o$"ensation s%!e$e "re'ents o'er%o$"ensation e: ante, for e2a$"le in t!e %onte2t of a notifi%ation, t!e Co$$ission +ill assess, a$ong ot!er t!ings, t!e "re%ise %o$"ensation "ara$eters- 1n "arti%ular, it +ill "a( attention to t!e %ost %ategories t!at are ta0en into a%%ount for t!e %al%ulation of t!e %o$"ensation, as +ell as to t!e "ro"osed le'el of reasona&le "rofit- Jurt!er$ore, it +ill %onsider +!et!er an adeMuate $e%!anis$ is in "la%e to ensure t!at, in t!e e'ent re'enues fro$ t!e "ro'ision of "u&li% ser'i%es are !ig!er t!an e2"e%ted o'er t!e lifeti$e of t!e "u&li% ser'i%e %ontra%t, t!e o"erator is not allo+ed to 0ee" an( e2%essi'e %o$"ensation o'er and a&o'e t!e a%tual net %osts, a reasona&le "rofit $argin and an( re+ards for effi%ien%( gains sti"ulated in t!e %ontra%t.!e "u&li% ser'i%e %ontra%t $ust also in "rin%i"le "ro'ide for regular %!e%0s during t!e lifeti$e of t!e %ontra%t in order to dete%t and a'oid at an earl( stage %lear o'er%o$"ensation situations fro$ arising, in "arti%ular in t!e %ase of long:ter$ %ontra%ts- .!e %o$"etent aut!orities are o&liged to 'erif( %o$"lian%e +it! t!e ter$s of t!e "u&li% ser'i%e %ontra%t during t!e lifeti$e of t!e %ontra%t- Co$"uterised tools %an &e de'elo"ed to !el" "erfor$ t!ese %!e%0s in a standardised $anner- ,'er%o$"ensation $ust &e assessed se"aratel( for ea%! "u&li% ser'i%e %ontra%t to a'oid e2%essi'e "rofits for indi'idual "u&li% ser'i%es t!at are a'eraged out a%ross se'eral %ontra%ts1n t!e %ase of an e: post in'estigation, +!et!er t!e %o$"ensation re%ei'ed e2%eeds t!e net finan%ial effe%t of t!e "u&li% ser'i%e as defined in t!e anne2 to Regulation (EC) No 1370 2007 %an &e assessed on t!e &asis of a%tual finan%ial re'enue and %ost data, sin%e t!e %o$"ensation s%!e$es !a'e alread( &een "ut in "la%e- .!e $et!od does not %!ange !o+e'erA %o$"ensation s!ould not e2%eed t!e %o$"ensation a$ount to +!i%! t!e underta0ing +as entitled a%%ording to t!e "ara$eters set out in t!e %ontra%t in ad'an%e, e'en if t!is a$ount is not suffi%ient to %o'er t!e a%tual net %osts2.8.<. Article 1(1) and Article '(1). Ensuring that co"petent authorities will pa% operators AappropriateB co"pensation $or the discharge o$ public ser#ice obligations

6%%ording to 6rti%le 1 of Regulation (EC) No 1370 2007, Ht!e "ur"ose of t!is Regulation is to define !o+, in a%%ordan%e +it! t!e rules of [9nion] la+, %o$"etent aut!orities $a( a%t in t!e field of "u&li% "assenger trans"ort to guarantee t!e "ro'ision of ser'i%es of general interest +!i%! are a$ong ot!er t!ings $ore nu$erous, safer, of a !ig!er Mualit( or "ro'ided at lo+er %ost t!an t!ose t!at $ar0et for%es alone +ould !a'e allo+ed- .o t!is end, t!is

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Regulation la(s do+n t!e %onditions under +!i%! %o$"etent aut!orities, +!en i$"osing or %ontra%ting for "u&li% ser'i%e o&ligations, %o$"ensate "u&li% ser'i%e o"erators for %osts in%urred and or grant e2%lusi'e rig!ts in return for t!e dis%!arge of "u&li% ser'i%e o&ligations-I 5oreo'er, a%%ording to "oint 7 of t!e 6nne2 to Regulation (EC) No 1370 2007, Ht!e $et!od of %o$"ensation $ust "ro$ote t!e $aintenan%e or de'elo"$ent of […] t!e "ro'ision of "assenger trans"ort ser'i%es of a suffi%ientl( !ig! standard-I .!is $eans t!at not onl( do t!e rules of Regulation (EC) No 1370 2007 ai$ to "re'ent an( "ossi&le o'er%o$"ensation for "u&li% ser'i%e o&ligations, &ut also t!at t!e( ai$ to ensure t!at t!e offer of "u&li% ser'i%es defined in t!e "u&li% ser'i%e %ontra%t is finan%iall( sustaina&le to rea%! and $aintain a !ig! le'el of ser'i%e Mualit(- .!e "u&li% ser'i%e o&ligation s!ould t!erefore &e a""ro"riatel( %o$"ensated so t!at t!e o"erator;s o+n funds under a "u&li% ser'i%e %ontra%t are not eroded in t!e long run, "re'enting t!e effi%ient fulfil$ent of its o&ligations under t!e %ontra%t and t!e $aintenan%e of t!e "ro'ision of "assenger trans"ort ser'i%es of a !ig! standard as referred to in "oint 7 of t!e 6nne2 to Regulation (EC) No 1370 20071n an( e'ent, if t!e %o$"etent aut!orit( does not "a( a""ro"riate %o$"ensation, it ris0s redu%ing t!e nu$&er of &ids su&$itted in res"onse to a %o$"etiti'e tendering "ro%edure for t!e a+ard of a "u&li% ser'i%e %ontra%t, %reating serious finan%ial diffi%ulties for t!e o"erator if t!e "u&li% ser'i%e %ontra%t is a+arded dire%tl( and or redu%ing t!e o'erall le'el and Mualit( of t!e "u&li% ser'i%es "ro'ided during t!e lifeti$e of t!e %ontra%t&)3) 1u'lication and transparenc( .!e inter"retati'e guidan%e "ro'ided in t!is %!a"ter %o'ers t!e o&ligation of %o$"etent aut!orities to "u&lis! annual re"orts on t!e "u&li% ser'i%e %ontra%ts t!e( are res"onsi&le for, as +ell as t!eir o&ligations to ensure trans"aren%( a&out t!e a+ard of "u&li% ser'i%e %ontra%ts &efore and after t!e a+ard "ro%edure2.5.1. Article 7(1). +ublication obligations o$ co"petent authorities with regard to their annual reports on public ser#ice contracts under their responsibilit%

6rti%le 7(1) reMuires ea%! %o$"etent aut!orit( to "u&lis! an aggregated re"ort on%e a (ear on t!e "u&li% ser'i%e o&ligations for +!i%! it is res"onsi&le, t!e sele%ted "u&li% ser'i%e o"erators, and t!e %o$"ensation "a($ents and e2%lusi'e rig!ts granted to "u&li% ser'i%e o"erators &( +a( of rei$&urse$ent- .!is re"ort s!all distinguis! &et+een &us trans"ort and rail trans"ort, allo+ t!e "erfor$an%e, Mualit( and finan%ing of t!e "u&li% trans"ort net+or0 to &e $onitored and assessed, and, if a""ro"riate, "ro'ide infor$ation on t!e nature and e2tent of an( e2%lusi'e rig!ts granted.!e Co$$ission understands t!e ter$ Haggregated re"ortI in t!e sense t!at a %o$"etent aut!orit( s!ould "u&lis! a %o$"re!ensi'e re"ort a&out all t!e "u&li% ser'i%e %ontra%ts it !as a+arded, +!ile t!ese %ontra%ts s!ould all &e indi'iduall( identified- .!e infor$ation "ro'ided s!ould t!erefore, &esides t!e total 'alues, refer to ea%! %ontra%t, +!ile ensuring t!e "rote%tion of t!e legiti$ate %o$$er%ial interests of t!e o"erators %on%erned.!e "u&li% trans"ort o"erators $ust "ro'ide all infor$ation and data to t!e %o$"etent aut!orit( in order to ena&le t!e latter to %o$"l( +it! its "u&li%ation o&ligations.o a%!ie'e t!e o&4e%ti'e of t!is "ro'ision, +!i%! is to ena&le t!e $onitoring and assess$ent of t!e "u&li% trans"ort net+or0 in a $eaningful $anner allo+ing for a %o$"arison +it! ot!er "u&li% trans"ort net+or0s in a trans"arent, stru%tured fra$e+or0, t!e Co$$ission en%ourages 5e$&er 3tates and t!eir aut!orities to 'oluntaril( ensure ease of a%%ess to t!is infor$ation and to allo+ useful %o$"arisons to &e $ade- .!is %ould $ean, for instan%e, t!at t!e infor$ation is "u&lis!ed on a %entral +e&site, su%! as t!at of an asso%iation of %o$"etent

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aut!orities or t!at of t!e trans"ort $inistr(- .!e infor$ation and data s!ould also &e "re"ared in a $et!odologi%all( %onsistent $anner and "resented in %o$$on units of $easure2.5.2. Article 7(2) and (3). +ossibilities o$ co"petent authorities to discharge their publication obligations concerning public ser#ice contracts pursuant to Article 7(2) and (3)

Co$"etent aut!orities !a'e %ertain o&ligations under 6rti%le 7 of Regulation (EC) No 1370 2007 to "u&lis! t!e intended (and %on%luded) a+ard of "u&li% ser'i%e %ontra%ts in t!e 4$$icial Cournal o$ the European 9nion6rti%le 7(2) states t!at at least one (ear &efore t!e "u&li%ation of an in'itation to tender or t!e dire%t a+ard of a "u&li% ser'i%e %ontra%t, %o$"etent aut!orities s!all "u&lis! %ertain infor$ation on t!e %ontra%t en'isaged in t!e 4$$icial Cournal o$ the European 9nion6rti%le 7(3) states t!at +it!in one (ear of t!e dire%t a+ard of a "u&li% ser'i%e %ontra%t for rail ser'i%es, %o$"etent aut!orities s!all "u&lis! %ertain infor$ation on t!e a+arded %ontra%t.!e Co$$ission ser'i%es !a'e de'elo"ed $odel for$s and "ro%edures t!at allo+ %o$"etent aut!orities to %o$"l( +it! t!ese "u&li%ation reMuire$ents- .!roug! t!e "ossi&ilit( to reuse data, t!e for$s and t!e "u&li%ation "ro%edure s!ould also allo+ %o$"etent aut!orities, if t!e( so +is!, to rea" s(nergies +it! t!e "u&li%ation of a "u&li% tender for ser'i%es "ursuant to 6rti%le ?(3) of Regulation (EC) No 1370 2007.!e for$s !a'e &een designed to fulfil t!e follo+ing reMuire$entsA – – to allo+ aut!orities eas( a%%ess to t!e +e& a""li%ation, to na'igate t!e +e& a""li%ation and to &e %o$"re!ensi&le and %learE to %learl( distinguis! t!e "u&li%ation reMuire$ents under Regulation (EC) No 1370 2007 fro$ "u&li%ation reMuire$ents under /ire%ti'es 201< 23 E9, 201< 2< E9 and 201< 2? E9E to reMuest a le'el of detail of infor$ation t!at is not "er%ei'ed as &urdenso$e and t!us %an &e a%%e"ta&le to aut!oritiesE to &e suita&le for generating useful statisti%s on t!e a+ard "ro%edure of "u&li% ser'i%e %ontra%ts and !en%e on t!e effe%ti'e i$"le$entation of Regulation (EC) No 1370 2007-

– –

/uring 2013, t!e #u&li%ations ,ffi%e $ade an online "u&li%ation "ro%edure a'aila&le on HeNoti%esI3?- .!e "ro%edure is &ased on t!ese $odel for$s for "u&li%ation in t!e 4$$icial Cournal o$ the European 9nion, in a%%ordan%e +it! 6rti%le 7(2) and (3) of Regulation (EC) No 1370 2007- .!e "u&li%ation of infor$ation a&out dire%tl( a+arded "u&li% ser'i%e %ontra%ts for rail trans"ort in t!e 4$$icial Cournal o$ the European 9nion a%%ording to 6rti%le 7(3) is done on a 'oluntar( &asis2.5.3. Article 7(8). Right o$ interested parties to re?uest in$or"ation on public ser#ice contracts to be awarded directl% be$ore the actual date o$ award

6rti%le 7(<) "ro'ides t!at a %o$"etent aut!orit(, +!en so reMuested &( an interested "art(, s!all for+ard to it t!e reasons for dire%tl( a+arding a "u&li% ser'i%e %ontra%t- Re%ital 30 states t!at Hdire%tl( a+arded "u&li% ser'i%e %ontra%ts s!ould &e su&4e%t to greater trans"aren%(-I .!is needs to &e read in %on4un%tion +it! re%ital 2), +!i%! states t!e need to "u&lis! t!e intention to a+ard a %ontra%t and to ena&le "otential "u&li% ser'i%e o"erators to rea%t- 6 %o$"etent aut!orit( $ust deter$ine its intention to a+ard a %ontra%t dire%tl( at least one (ear
3?

!tt"A si$a"-euro"a-eu enoti%es %!oi%e>anguage-do

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23

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in ad'an%e, sin%e t!is infor$ation $ust &e "u&lis!ed in t!e 4$$icial Cournal o$ the European 9nion (6rti%le 7(2), in "arti%ular "oint (&))- .!us, interested "arties are "la%ed in a "osition to for$ulate Muestions a long ti$e &efore t!e %ontra%t is a+arded, +!i%! +ill &e one (ear later at t!e earliest- 1n order to grant effe%ti'e legal "rote%tion, t!e infor$ation reMuested in a%%ordan%e +it! 6rti%le 7(<) s!ould &e "ro'ided +it!out undue dela(5a0ing %ontra%ts $ore trans"arent is, &( definition, also related to t!e "ro%edure for a+arding a %ontra%t- .!e greater trans"aren%( reMuired &( re%ital 30 t!erefore not onl( i$"lies trans"aren%( after t!e a+ard of t!e %ontra%t, &ut also relates to t!e "ro%edure &efore t!e %ontra%t is a%tuall( a+arded to t!e "u&li% trans"ort o"erator %on%erned&)4) Transitional arrange2ents .!is %!a"ter "ro'ides inter"retati'e guidan%e on so$e as"e%ts of t!e "ro'isions on transitional arrange$ents %on%erning %ontra%ts a+arded &efore t!e entr( into for%e of Regulation (EC) No 1370 2007 and t!ose a+arded during t!e transitional "eriod fro$ 200) until /e%e$&er 201)2.'.1. Article <(2). -cope o$ application o$ the transitional period o$ 1 %ears starting $ro" 3 (ece"ber 2 &

6rti%le C(2) states t!at, +it!out "re4udi%e to its "aragra"! 3, Ht!e a+ard of "u&li% ser'i%e %ontra%ts &( rail and &( road s!all %o$"l( +it! 6rti%le ? as fro$ 3 /e%e$&er 201)-I /uring t!is transitional "eriod, 5e$&er 3tates s!all ta0e $easures to graduall( %o$"l( +it! 6rti%le ? to a'oid serious stru%tural "ro&le$s, in "arti%ular relating to trans"ort %a"a%it(6rti%le C(2) refers to 6rti%le ? in its entiret(- Go+e'er, t!e Co$$ission %onsiders t!at onl( 6rti%le ?(3) %on%erning t!e o&ligation to a""l( o"en, trans"arent, non:dis%ri$inator( and fair "ro%edures +!en granting "u&li% ser'i%e %ontra%ts see$s "ertinent in t!is %onte2t- 6s stated in re%ital 31, t!e o&4e%ti'e of t!e transitional "ro'isions is to gi'e %o$"etent aut!orities and "u&li% ser'i%e o"erators enoug! ti$e to ada"t to t!e "ro'isions of Regulation (EC) No 1370 2007- .!e o&ligation i$"osed on 5e$&er 3tates to graduall( %o$"l( +it! 6rti%le ? is reasona&le onl( if it %on%erns t!e o&ligation to a""l( o"en, trans"arent, non:dis%ri$inator( and fair "ro%edures +!en granting "u&li% ser'i%e %ontra%ts- 1t does not $a0e sense t!at 5e$&er 3tates Hgraduall(I a""l( t!e notion of internal o"erator or t!e e2%e"tions defined in "aragra"!s <, ? and * of 6rti%le ? of Regulation (EC) No 1370 2007 as t!e( introdu%e $ore lenient "ro'isions %o$"ared to t!e general .reat( "rin%i"les and %orres"onding %ase:la+- 1t does also not see$ reasona&le to sa( t!at t!e legislator +anted to "ost"one t!e full a""li%ation of 6rti%le ?(7) %on%erning "ro%edural guarantees and 4udi%ial re'ie+ until 3 /e%e$&er 201)2.'.2. Article <(2). 4bligations o$ )e"ber -tates during the transitional period until 2 (ece"ber 2 1&

6rti%le C(2) states t!at +it!in si2 $ont!s of t!e first !alf of t!e transitional "eriod (&( 3 5a( 201?), H5e$&er 3tates s!all "ro'ide t!e Co$$ission +it! a "rogress re"ort, !ig!lig!ting t!e i$"le$entation of an( gradual a+ard of "u&li% ser'i%e %ontra%ts in line +it! 6rti%le ?-I .!is %learl( indi%ates t!at 5e$&er 3tates %annot +ait until 2 /e%e$&er 201) &efore starting to %o$"l( +it! t!e general rule of ensuring %o$"etiti'e tendering "ro%edures for "u&li% ser'i%e %ontra%ts t!at are o"en to all o"erators on a fair, trans"arent and non:dis%ri$inator( &asis5e$&er 3tates s!ould ta0e a""ro"riate $easures to graduall( %o$"l( +it! t!at reMuire$ent during t!e transitional "eriod to a'oid a situation in +!i%! a'aila&le trans"ort %a"a%it( in t!e "u&li% trans"ort $ar0et +ill not allo+ trans"ort o"erators to satisfa%toril( res"ond to all %o$"etiti'e tendering "ro%edures t!at +ould &e laun%!ed at t!e end of t!e transitional "eriod-

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2<

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2.'.3.

Article <(3). )eaning o$ Ali"ited duration co"parable to the durations speci$ied in Article 8B

6rti%le C(3)(d) states t!at "u&li% ser'i%e %ontra%ts a+arded Has fro$ 2* =ul( 2000 and &efore 3 /e%e$&er 200) on t!e &asis of a "ro%edure ot!er t!an a fair %o$"etiti'e tendering "ro%edure [---] $a( %ontinue until t!e( e2"ire, "ro'ided t!e( are of li$ited duration %o$"ara&le to t!e durations s"e%ified in 6rti%le <-I .!e Co$$ission %onsiders t!at t!e ter$ H%o$"ara&le to t!e durations s"e%ified in 6rti%le <I s!ould &e inter"reted restri%ti'el(, so as to ensure t!at 5e$&er 3tates +or0 to+ards a%!ie'ing t!e o&4e%ti'es of t!e Regulation fro$ t!e date of its entr( into for%e on 3 /e%e$&er 200)- .!e Co$$ission t!erefore ta0es t!e 'ie+ t!at it +ould &e sensi&le to %onsider t!at t!e duration of "u&li% ser'i%e %ontra%ts s!ould &e si$ilar to t!ose indi%ated in 6rti%le <-

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2?

EN

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