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8/12/2019 Communication R1370 - 624792 - En

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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

EN EN



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 13702007 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 111* and 1107701 +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 $aret for t!e "ro'ision of "u&li%

"assenger trans"ort ser'i%es- t does so & %o$"le$enting t!e general rules on "u&li%

"ro%ure$ent- t also las do+n t!e %onditions under +!i%! %o$"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 $aret and ee$"t fro$ "rior tate aid notifi%ation to t!e

Co$$ission-

Regulation (EC) No 13702007 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 tates- 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

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 eternal e:"ost assess$ent of t!e i$"le$entation of Regulation (EC) No 13702007

2

%ondu%ted & an eternal %onsultant as +ell as re"resentati'es of Euro"ean asso%iations and of

5e$&er tates s"eaing at an E9:+ide stae!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 $aret for "u&li% trans"ort and lead

to undesired $aret distortions-

Before ado"ting t!is Co$$uni%ation, t!e Co$$ission %onsulted 5e$&er tates and

stae!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 organisations-

n 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 tates rea" t!e full

&enefits of t!e internal $aret- .!is Co$$uni%ation does not as"ire to %o'er all "ro'isions in

an e!austi'e $anner, nor does it %reate an ne+ legislati'e rules- t s!ould &e noted t!at, in

1 = > 31?, 3-12-2007, "- 1-2 />6 #i"er, tud on t!e i$"le$entation of Regulation (EC) N@ 13702007 on "u&li% "assenger

trans"ort ser'i%es & rail and & road, 31 %to&er 2010, "u&lis!ed at

!tt"Ae%-euro"a-eutrans"ort$odesrailstudiesrailen-!t$3 /o%u$ents on t!e %onferen%e are "u&lis!ed at !tt"Ae%-euro"a-eutrans"ort$odesraile'ents2011:11:

1<:+ors!o"en-!t$

EN 2 EN



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

13702007 in anti%i"ation of t!e o"ening u" of t!e $aret for do$esti% "assenger trans"ort

ser'i%es & rail<- o$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!isdo%u$ent s!ould &e %onsidered 'alid until an a$end$ent to Regulation (EC) No 13702007

enters into for%e-

& THE COMMISSION+S UN*ERSTAN*IN, OF R E,U-ATION (EC) NO !"#$%&$$#

&! Scope o. Regulation (EC) No !"#$%&$$#

.!is %!a"ter on t!e s%o"e of Regulation (EC) No 13702007 "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<1EC?

(D/ire%ti'e 201<2<E9D) /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<17EC* (D/ire%ti'e 201<2?E9D) and /ire%ti'e 201<23E9 on t!e a+ard of

%on%ession %ontra%ts7 (D/ire%ti'e 201<23E9D)- .!is %!a"ter also %larifies t!e $odalities of

t!e RegulationFs a""li%ation to inland +ater+as and national sea+aters, and %larifies its

a""li%a&ilit to freig!t trans"ort %ontra%ts until 2 /e%e$&er 2012-

2.1.1. Article 1(3) and Article 5(1). Relationship between Regulation (EC) No 137!27

and the public procure"ent and concession directi#es

Regulation (EC) No 13702007 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 $a also fall +it!in t!e s%o"e of t!e "u&li% "ro%ure$entdire%ti'es (/ire%ti'e 201<2<E9 and /ire%ti'e 201<2?E9)- in%e t!e dire%ti'es referred to

in Regulation (EC) No 13702007 (/ire%ti'e 200<17EC and /ire%ti'e 200<1EC) !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 13702007 s!ould &e understood as relating to t!e ne+ dire%ti'es-

6rti%le 1(3) "ro'ides t!at Regulation (EC) No 13702007 s!all not a""l to "u&li% +ors

%on%essions +it!in t!e $eaning of 6rti%le 1(3)(a) of /ire%ti'e 200<17EC or 6rti%le 1(3) of

/ire%ti'e 200<1EC- 6fter t!e entr into for%e of /ire%ti'e 201<23E9 on t!e a+ard of

%on%ession %ontra%ts, t!e ter$ H+ors %on%essionI is defined in 6rt ?(1)(a) of t!is /ire%ti'e-

.!erefore, +ors %on%essions for "u&li% "assenger trans"ort ser'i%es & rail and ot!er tra%:

&ased $odes and & road are go'erned solel & /ire%ti'e 201<23E9-

Jor t!e relations!i" &et+een Regulation (EC) No 13702007 and t!e "u&li% "ro%ure$ent

dire%ti'es as +ell as /ire%ti'e 201<23E9, it is i$"ortant to distinguis! &et+een ser'i%e

%ontra%ts and ser'i%e %on%essions-

6rti%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

< #ro"osal for a RE89>6.N J .GE E9R#E6N #6R>65EN. 6N/ J .GE C9NC>a$ending Regulation (EC) No 13702007 %on%erning t!e o"ening of t!e $aret for do$esti% "assenger

trans"ort ser'i%es & rail, C5201302 final? = >KKK of 2-3-201<, "-KK* = >KKK of 2-3-201<, "-KK7 = >KKK of 2-3-201<, "-KK

EN 3 EN



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%es-

L!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<E9-

6rti%le ?(1)(&) of /ire%ti'e 201<23E9 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 ee%ution of +ors 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

e"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$entI-

6rt ?(1) s"e%ifies furt!er t!at Ht!e a+ard of a +ors or ser'i%es %on%ession s!all in'ol'e t!e

transfer to t!e %on%essionaire of an o"erating ris in e"loiting t!ose +ors or ser'i%es

en%o$"assing de$and or su""l ris or &ot!- .!e %on%essionaire s!all &e dee$ed to assu$e

o"erating ris +!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 +ors or t!e ser'i%es +!i%! are t!e

su&4e%t:$atter of t!e %on%ession- .!e "art of t!e ris transferred to t!e %on%essionaire s!all

in'ol'e real e"osure to t!e 'agaries of t!e $aret, su%! t!at an "otential esti$ated lossin%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<23E9 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

13702007- .!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 13702007-

6rti%le ?(1) of Regulation (EC) No 13702007 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<17EC and

200<1EC, e%e"t +!ere su%! %ontra%ts tae 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

$etro is go'erned & Regulation (EC) No 13702007 and e%luded fro$ 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 u$$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%

"assengerser'i%es &

(#u&li%) ser'i%e %ontra%ts as defined in

/ire%ti'es 201<2<E9 and201<2?E9

er'i%e %on%essions as defined in

/ire%ti'e 201<23E9

Bus and tra$ /ire%ti'es 201<2<E9 and

201<2?E9

Regulation (EC) No 13702007

Rail+a and

$etro

Regulation (EC) No 13702007 Regulation (EC) No 13702007

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

EN < EN



2.1.2. Article 1(2). Application o$ Regulation (EC) No 137!27 to inland waterwa%s and

national seawaters

6rti%le 1(2) states t!at Regulation (EC) No 13702007 s!all a""l to national and

international "u&li% "assenger trans"ort ser'i%es & rail, & ot!er tra%:&ased $odes and &

road and t!at 5e$&er tates $a a""l t!at Regulation to "u&li% "assenger trans"ort &

inland +ater+as- .o ensure legal %ertaint, a 5e$&er tate;s de%ision to a""l Regulation

(EC) No 13702007 to "u&li% "assenger trans"ort & inland +ater+as s!ould &e ado"ted in atrans"arent $anner t!roug! a legall &inding a%t- 6""ling Regulation (EC) No 13702007 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+or-

n t!e a&sen%e of a de%ision to a""l Regulation (EC) No 13702007 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+as are furt!er %o'ered & Coun%il Regulation (EEC) No 3211

of 1* /e%e$&er 11 laing do+n t!e %onditions under +!i%! non:resident %arriers $a

trans"ort goods or "assengers & inland +ater+as +it!in a 5e$&er tate10 and & Coun%il

Regulation (EC) No 13?** of =ul 1* on %o$$on rules a""li%a&le to t!e trans"ort ofgoods or "assengers & inland +ater+a &et+een 5e$&er tates +it! a 'ie+ to esta&lis!ing

freedo$ to "ro'ide su%! trans"ort ser'i%es11-

6rti%le 1(2) also "ro'ides t!at 5e$&er tates $a a""l Regulation (EC) No 13702007 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?772 of 7 /e%e$&er 12 a""ling t!e "rin%i"le of freedo$ to "ro'ide ser'i%es

to $ariti$e trans"ort +it!in 5e$&er tates ($ariti$e %a&otage) 12- Certain e "ro'isions of

t!at Regulation do not full $at%! +it! t!ose of Regulation (EC) No 13702007 (su%! as t!e

"ro'isions on its a""li%ation to freig!t trans"ort, %ontra%t duration, e%lusi'e rig!ts and on t!e

t!res!olds for dire%tl a+arding s$all:s%ale %ontra%ts)- 6""ling Regulation (EC) No

13702007 to national sea+aters raises a nu$&er of diffi%ulties- n a Co$$uni%ation

13

, t!eCo$$ission "ro'ides guidan%e on Regulation (EEC) No 3?772, +!ere t!ese diffi%ulties are

addressed-

2.1.3. Article 1(1). Applicabilit% o$ Regulation (EEC) No 11&1!'& to $reight transport

contracts until 2 ece"ber 212

n 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 111* of t!e Coun%il of 2* =une 1*

on a%tion & 5e$&er tates %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+a1<- Regulation (EC) No 13702007,

+!i%! re"eals Regulation (EEC) No 111*, 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 10 .JE9, 6rti%le 10(1) of Regulation (EC) No 13702007 states

t!at Regulation (EEC) No 111* 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 13702007 (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 tate %on%erned esta&lis!es t!at t!e !a'e s"e%ial

10 = > 373, 31-12-11, "- 1-11 = > 17?, 13-7-1*, "- 7-12 = > 3*<, 12-12-12, "- 7-13 Co$$uni%ation fro$ t!e Co$$ission on t!e inter"retation of Coun%il Regulation (EEC) N@ 3?772

a""ling t!e "rin%i"le of freedo$ to "ro'ide ser'i%es to $ariti$e trans"ort +it!in 5e$&er tates

($ariti$e %a&otage), [to &e "u&lis!ed]1< = > 1?*, 2-*-1*, "- 1-

EN ? EN



%!ara%teristi%s %o$"ared to t!ose of %o$$er%ial freig!t ser'i%es 1?- f 5e$&er tates +is! to

ee" tate 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$ar 4udg$ent1*, 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- f 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 ee$"ted fro$ t!e o&ligation to notif tate

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, e %!ara%teristi%s of general rules, and !o+ %o$"etent aut!orities define t!e nature

and etent of "u&li% ser'i%e o&ligations and of e%lusi'e rig!ts in t!e %ontet of Regulation

(EC) No 13702007- Jurt!er$ore, it addresses t!e %onditions under +!i%! etensions 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"erators-

2.2.1. 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$"etent aut!orit taing t!e for$ 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 13702007 also %o'ers "u&li%

ser'i%e %on%essions-

.o tae a%%ount of t!e different legal regi$es and traditions in t!e 5e$&er tates, t!e

definition of a "u&li% ser'i%e %ontra%t "ro'ided & Regulation (EC) No 13702007 is 'er

&road and in%ludes 'arious t"es of legall &inding a%ts- t 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$all and stri%tl e"ressed in t!e for$ 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 taing 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!eser'i%es or entrusts t!e "ro'ision of ser'i%es to an internal o"erator-

2.2.2. 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

1? Case C:170 erci Con#en*ionali +orto di ,eno#a -pA # -iderurgica ,abrielli -pA [11] ECR :?, "aragra"! 27- Case C:2<2? ,/0in A!- # e anse -tatsbaner (-) [17] ECR :<<<,

"aragra"! ?3- Case C:2*** Corsica erries rance -A # ,ruppo Antichi 4r"eggiatori del +orto di

,eno#a Coop arl and 4thers [1] ECR :3<, "aragra"! <?-1* Case C:2000 Alt"ar rans ,"b6 and Regierungsprsidiu" agdeburg # Nah#erehrsgesellscha$t

Alt"ar ,"b6 and 4berbundesanwalt bei" undes#erwaltungsgericht [2003] ECR :77<7-

EN * EN



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 eisting or "otential trans"ort

o"erators in a region or a 5e$&er tate- t is t!erefore usuall not negotiated +it! indi'idual "u&li% ser'i%e o"erators- E'en if t!e general rule is i$"osed & a unilateral a%t, it is not

e%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!ed-

2.2.3. 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 13702007 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 +oring %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$"loees as +ell as %olle%ti'e agree$ent o&ligations and ot!er rules andagree$ents %on%erning +or"la%es and so%ial "rote%tion at t!e "la%e +!ere t!e ser'i%e is

"ro'ided- n order to ensure trans"arent and %o$"ara&le ter$s of %o$"etition &et+een

o"erators and to a'ert t!e ris 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$&er tates andor %o$"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 e%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 13702007- .!is

o&ligation does not eist +!en general rules esta&lis! $ai$u$ tariffs for all "assengers or

for %ertain %ategories of "assengers "ursuant to 6rti%le 3(2) of t!at Regulation- n 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 &asis-

6 %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+- f t!e general rules "ro'ide for %o$"ensation or if

t!e %o$"etent aut!orit t!ins t!at t!e i$"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 6nne to Regulation (EC)

No 13702007-

2.2.8. Article 3(3). Noti$ication under 9nion rules on -tate aid o$ general rules on"a:i"u" tari$$ sche"es $or transport o$ pupils students apprentices and persons

with reduced "obilit% that are outside the scope o$ Regulation (EC) No 137!27

6rti%le 3(3) allo+s t!e 5e$&er tates to e%lude fro$ t!e s%o"e of Regulation (EC) No

13702007 general rules on finan%ial %o$"ensation for "u&li% ser'i%e o&ligations +!i%!

esta&lis! $ai$u$ tariffs for t!e trans"ort of "u"ils, students, a""renti%es and "ersons +it!

redu%ed $o&ilit- f a 5e$&er tate 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 tate

aid- f t!ose general rules %onstitute tate aid, t!e 5e$&er tate $ust notif t!ose rules to t!e

Co$$ission in a%%ordan%e +it! 6rti%le 10 .JE9-

EN 7 EN



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 anneed to t!e .JE9 la

out t!e general "rin%i"les of !o+ 5e$&er tates 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 tates, 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 tae

%are t!at su%! ser'i%es [of general e%ono$i% interest (8E)] o"erate on t!e &asis of "rin%i"les and %onditions, "arti%ularl e%ono$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

8Es tailored as %losel as "ossi&le to t!e needs of t!e users- t is a s!ared 'alue of t!e

9nion t!at 8Es 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 tates

to "ro'ide, %o$$ission and organise 8Es in t!e field of "u&li% "assenger trans"ort & rail

and & road are regulated & Regulation (EC) No 13702007- 6rti%le 1 of Regulation No

13702007 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 $aret for%es alone +ould !a'e

allo+ed-I 6s $entioned in 6rti%le 2(e) of Regulation (EC) No 13702007, 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 etent or under t!e sa$e %onditions +it!out re+ard 17- .!us,

+it!in t!e fra$e+or laid do+n & Regulation (EC) No 13702007, 5e$&er tates !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 e%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 ea$"le, t!e Co$$ission %onsiders t!at t!e ser'i%es to &e %lassified as "u&li%

ser'i%es $ust &e addressed to %itiens or &e in t!e interest of so%iet as a +!ole- Co$"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- n t!e %ontet of %ontra%tualisation as defined & 6rti%le 3(1) of Regulation (EC) No

13702007, &ot! "arties to t!e %ontra%t %an e"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+or effe%ts- Rea"ing

net+or 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+or, for instan%e, "otentiall for so$e !ig!:s"eed rail ser'i%es-

17 .!is a""roa%! is %onsistent +it! t!e Co$$issionFs general a""roa%! to er'i%es of 8eneral E%ono$i%

nterest in ot!er se%tors- ee, in "arti%ular, "oint < of t!e Co$$uni%ation fro$ t!e Co$$ission on t!e

a""li%ation of t!e Euro"ean 9nion tate aid rules to %o$"ensation granted for t!e "ro'ision of ser'i%esof general e%ono$i% interest (= C , 11-1-2012, "- <)-

EN EN



(ii) .o reMuire a transfer of staff "re'iousl taen 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 200123EC a""lies, if

t!ere !as &een a transfer +it!in t!e $eaning of /ire%ti'e 200123EC- Re%ital 1* of

Regulation (EC) No 13702007 e"lains t!at Ht!is /ire%ti'e does not "re%lude 5e$&er tates

fro$ safeguarding transfer %onditions of e$"loees; rig!ts ot!er t!an t!ose %o'ered &

/ire%ti'e 200123EC and t!ere&, if a""ro"riate, taing into a%%ount so%ial standards

esta&lis!ed & national la+s, regulations or ad$inistrati'e "ro'isions or %olle%ti'e agree$entsor 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$"etition &et+een o"erators and to a'ert t!e ris of so%ial du$"ingI

as set out in re%ital 17 of Regulation (EC) No 13702007- 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 $aret seg$ent-

(i') .o a""l a %o$&ination of o"tions (ii) and (iii)-

n 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%ts-

2.2.&. 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- n 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 e%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 13702007, 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 analsis, 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 e"lained- ."i%all, t!ese trans"ort ser'i%es are

e"ressed in 'alue ter$s- n an %ase, su&%ontra%ting & internal o"erators $ust &e %arried out

res"e%ting rele'ant "u&li% "ro%ure$ent legislation-Jinall, Regulation (EC) No 13702007 does not "re'ent t!e "u&li% ser'i%e %ontra%t fro$

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 $ai$u$ s!are of a

"u&li% ser'i%e %ontra%t t!at $a &e su&%ontra%ted-

$eaning of /ire%ti'e 200123EC 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 taen o'er & a transferee is not transferred, for ea$"le in %ase t!e

tangi&le assets taen o'er & t!e ne+ %ontra%tor did not &elong to its "rede%essor &ut +ere "ro'ided &

t!e %ontra%ting aut!orit see in t!is regard Co$$ission 5e$orandu$ on rig!ts of +orers in %ases oftransfers of undertaings atA !tt"Ae%-euro"a-euso%ial$ain-4s"K%atd707SlangdenSint#aged20

EN 11 EN

http://ec.europa.eu/social/main.jsp?catId=707&langId=en&intPageId=208





&" 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%ts-

2.3.1. Article 5(2)(b). Conditions under which a public ser#ice contract "a% be directl%awarded to an internal operator

Regulation (EC) No 13702007 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 $ust &e integratedfro$ 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 andor 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 […] eer%ises %ontrol

si$ilar to t!at eer%ised o'er its o+n de"art$entsI- 6rti%le ?(2)(a) las do+n a set of %riteria

t!at s!all &e taen 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'ant-

Lit! regard to t!e o+ners!i" %riterion, Regulation (EC) No 13702007 does not reMuire t!e

%o$"etent aut!orities to !old 100 of t!e internal o"erator;s %a"ital- .!is %ould &e rele'ant,

for ea$"le, in %ases of "u&li%:"ri'ate "artners!i"s- n t!is res"e%t, Regulation (EC) No

13702007 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 rabant -A # Co""une d=9ccle and R>gion de ru:elles/Capitale [200] ECR:<?7, "aragra"! 30-

EN 12 EN



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$aret:orientedI22, 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$"etent lo%al aut!orit, […] and do not tae "art in %o$"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!oritI 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

$aret, 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 flei&ilit & %atering for trans"ort &et+een

neig!&ouring regions- nternal o"erators $a t!erefore o"erate ser'i%es &eond t!e territorof t!eir %o$"etent lo%al aut!orit to a %ertain etent- .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 $ +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

contracts6rti%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%edure-

6rti%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<23E9 on%on%essions, alt!oug! not reMuired, $a &e a""lied if 5e$&er tates so +is!-

Go+e'er, a%%ording to 6rti%le ?(3) of Regulation (EC) No 13702007, 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$"le reMuire$ents- 6n ea$"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 undertaings does not refer to a %ondition "ro!i&iting t!ose

undertaings fro$ taing "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 undertaing t!at &e%o$es $aret:oriented renders

t!e $uni%i"alit;s %ontrol tenuous (see, Case C:<?03 +aring ri:en ,"b6 # ,e"einde ri:en and-tadtwere ri:en A, [200?] ECR :0??-)

EN 13 EN



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)-

n 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 $ae t!e %o$"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 undertaings, rail infrastru%ture $anagers

and all ot!er rele'ant "arties s!ould $ae a'aila&le a""ro"riate a%%urate data to t!e %o$"etent

aut!orities to ena&le t!e$ to %o$"l +it! t!eir infor$ation o&ligation-

2.3.3. 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

n 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

$ediu$:sied 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 ilo$etres of "u&li% "assenger trans"ort ser'i%es- 6 s$all or

$ediu$:sied o"erator is an enter"rise o"erating not $ore t!an 23 'e!i%les- n 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 ilo$etres of "u&li% trans"ort ser'i%es-

.!e 5E 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 e%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%t-

Go+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%ess-

2.3.8. 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$e etent t!at 6rti%le ?(<) allo+s t!e 5e$&er tates (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 $ediu$:sied o"erators, t!e 5e$&er tates $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 13702007-

2.3.5. 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 e%e"tion of ot!er tra%:&ased $odes su%! as $etro and tra$+as-I

EN 1< EN



.!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$ent23- Contra%ts dire%tl a+arded under 6rti%le ?(*) are not eonerated fro$ %o$"lian%e

+it! t!ese .reat "rin%i"les- .!is is t!e reason +! Regulation (EC) No 13702007 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 e%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+or %annot &e

%onsidered as rail trans"ort ser'i%es and t!us do not fall under 6rti%le ?(*)- u&%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 reMuired-

L!et!er %ertain t"es of ur&an or su&ur&an rail trans"ort sste$s, su%! as t!e :Ba!n (in

6ustria, 8er$an and /en$ar) and t!e RER (in Jran%e), or $odes of trans"ort t!at are

si$ilar to Hot!er tra% &ased $odesI (for instan%e, $etro or tra$ ser'i%es), su%! as tra$:train

ser'i%es and %ertain auto$ati% train ser'i%es o"erated under o"ti%al guidan%e sste$s, arein%luded in t!e rail ee$"tion of 6rti%le ?(*) $ust &e assessed on a %ase:&:%ase &asis,

a""ling suita&le %riteria- n "arti%ular, t!is +ill de"end on fa%tors su%! as +!et!er t!e

sste$s in Muestion are nor$all intero"era&le andor s!are infrastru%ture +it! t!e traditional

!ea' rail net+or- 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% &ased $odeD-

2-3-* 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

etension 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 assu&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"ted-

23 ee for instan%e re%ital 20 of Regulation (EC) No 13702007A 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-D2< Case C:337 Co""ission ' rance [2000] ECR :377, "aragra"!s << and <*, Case C:<?<0*

pressete:t Nachrichtenagentur [200] ECR :<<01, "aragra"! 3<) and Case C:10 @all A, [2010]ECR : 021? "aragra"! 37 and 3.

EN 1? EN



n t!e a&sen%e of s"e%ifi% "ro'isions in Regulation (EC) No 13702007, 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- n 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$"ensation laid do+n in Regulation (EC) No 13702007 ensure t!e a&sen%e ofo'er%o$"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 e ante and e "ost in'estigation "ro%edures regarding "u&li% ser'i%e

%o$"ensation-

2.8.1. 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

9nlie 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% interest2* +!i%! are &ased on 6rti%le 10*(2)

.JE9, do not a""l to inland trans"ort27-

n 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 13702007,

su%! %o$"ensation s!all &e dee$ed %o$"ati&le +it! t!e internal $aret and s!all &e ee$"t

fro$ t!e "rior notifi%ation reMuire$ent laid do+n in 6rti%le 10(3) .JE9, in a%%ordan%e +it!

6rti%le (1) of t!at Regulation-

.!is "resu$"tion of %o$"ati&ilit and ee$"tion fro$ t!e notifi%ation reMuire$ent does not

address t!e Muestion of t!e "ossi&le tate aid %!ara%ter of t!e %o$"ensation "aid for t!e "ro'ision of "u&li% trans"ort ser'i%es- n order not to %onstitute tate aid, su%! %o$"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$ar 4udge$ent2-

6n 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

2? .!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 e%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 onesu&%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 toas%ertain-

2* Nota&l Co$$ission /e%ision on t!e a""li%ation of 6rti%le 10*(2) .JE9 to tate aid in t!e for$ of "u&li% ser'i%e %o$"ensation granted to %ertain undertaings 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+or for tate aid in t!e for$ of "u&li% ser'i%e %o$"ensation (= C, 11-01-2012, "- 1?)-

27 Go+e'er, Co$$ission Regulation No 3*02012 on t!e a""li%ation of 6rti%les 107 and 10 to de

$ini$is aid granted to undertaings "ro'iding ser'i%es of general e%ono$i% (= > 11<, 2*-<-2012, "- )does a""l to land trans"ort-

2 Case C:2000 Alt"ar rans ,"b6 and Regierungsprsidiu" agdeburg # Nah#erehrsgesellscha$t

Alt"ar ,"b6 [2003] ECR :77<7- ee, 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 tate aid rules to %o$"ensation granted for t!e "ro'ision of ser'i%es of general e%ono$i% interest (= C , 11-1-2012, "- <)-

EN 1* EN



tender, t!us "re'enting o'er%o$"ensation- n su%! a %ase, t!ere is no need to a""l t!e

detailed rules on %o$"ensation set out in t!e anne-

n 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 ea%t %!ara%teristi%s of t!e

tender %an 'ar in a%%ordan%e +it! 6rti%le ?(3) +!i%! allo+s, for ea$"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 $ust &e fair and res"e%t t!e "rin%i"les oftrans"aren% and non:dis%ri$ination- Jor ea$"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)-

i$ilarl, a tender "ro%edure +!i%! is designed in su%! a +a as to undul restri%t t!e nu$&er

of "otential &idders does not %o$"l +it! 6rti%le ?(3)- n t!is %ontet, %o$"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- n su%! %ases, t!e Co$$ission is

also $ore liel to enMuire a&out t!e s"e%ifi% %ir%u$stan%es of t!e tender "ro%edure-

.!e sele%tion %riteria, in%luding for ea$"le Mualit related, en'iron$ental or so%ial %riteria,

s!ould &e %losel related to t!e su&4e%t:$atter of t!e ser'i%e "ro'ided- .!e a+arding aut!oritis not "re'ented fro$ setting Mualitati'e standards to &e $et & all e%ono$i% o"erators or

fro$ taing Mualitati'e as"e%ts related to t!e different "ro"osals into a%%ount in its a+ard

de%ision-

Jinall, 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 ea$"le, due to t!e %o$"leit or etent 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 ee%ution of t!e %ontra%t-

2.8.2. 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 $aret for%es, &ut rat!er fro$ a dire%t negotiation

&et+een t!e %o$"etent aut!orit and t!e ser'i%e "ro'ider-

6rti%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 13702007 as

+ell as +it! its 6nne to ensure t!e a&sen%e of o'er%o$"ensation- .!e 6nne to t!at

Regulation esta&lis!es an e: post %!e% 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%s 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%ts-

Co$"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+or effe%ts, "lus a reasona&le "rofit-

n t!e %ost side, all %osts dire%tl lined to t!e "ro'ision of t!e "u&li% ser'i%e %an &e taen

into a%%ount (su%! as train dri'ers; salaries, tra%tion %urrent, rolling sto% $aintenan%e,

o'er!ead %osts (su%! as %ost of $anage$ent and ad$inistration) and %ontra%t:related %osts of

EN 17 EN



affiliated undertaings)- L!ere t!e undertaing 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 taen 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 undertaing !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!ea""ro"riate "ro"ortion of %o$$on %osts to &e taen into a%%ount in t!e "u&li% ser'i%e %osts,

$aret "ri%es for using t!e resour%es, if a'aila&le, $a &e taen as a &en%!$ar- f su%!

"ri%es are not a'aila&le, ot!er $et!odologies $a &e used +!ere a""ro"riate-

Re'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%ets or fro$ t!e sale of food and drins, $ust &e dedu%ted fro$ 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 undertaing also in'ol'ed in ot!er %o$$er%ial o"erations $a &ring a&out "ositi'e

indu%ed net+or effe%ts- Jor ea$"le, & ser'ing a %ertain net+or under a "u&li% ser'i%e

%ontra%t +!i%! lins to ot!er routes o"erated under %o$$er%ial ter$s, an o"erator $a &ea&le to in%rease its %lient &ase- .!e Co$$ission +el%o$es indu%ed net+or effe%ts su%! as

t!ose &roug!t a&out & t!roug!:ti%eting 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

Muantifing t!ese "otential net+or effe%ts- Ne'ert!eless, in a%%ordan%e +it! t!e 6nne to

Regulation (EC) No 13702007, an su%! Muantifia&le finan%ial &enefits s!all &e dedu%ted

fro$ t!e %osts for +!i%! %o$"ensation is %lai$ed-

2.8.3. Article 8(1) and the Anne:. he notion o$ reasonable pro$itB

6rti%le <(1)(%) "ro'ides t!at t!e %osts to &e taen into a%%ount in a "u&li% ser'i%e %ontra%t $a

in%lude Ha suita&le return on %a"ital-I .!e 6nne s"e%ifies t!at %o$"ensation for a "u&li%

ser'i%e o&ligation $a not e%eed t!e net finan%ial effe%t of t!e o&ligation, defined as %osts$inus re'enues generated & "u&li% ser'i%e o"erations, $inus "otential indu%ed net+or

re'enues, "lus a Hreasona&le "rofitI-

.!e 6nne states t!at HTreasona&le "rofit; $ust &e taen 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 tate and t!at taes a%%ount of t!e ris, or

a&sen%e of ris, 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 "rofitI-

L!ile t!e Co$$uni%ation fro$ t!e Co$$ission on t!e a""li%ation of t!e Euro"ean 9nion

tate aid rules to %o$"ensation granted for t!e "ro'ision of ser'i%es of general e%ono$i%

interest 2 (8E Co$$uni%ation) is &ased on a different legal &asis t!an Regulation (EC) No13702007 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 1370200730- .!e 8E Co$$uni%ation

e"lains t!at H+!ere generall a%%e"ted $aret re$uneration eists for a gi'en ser'i%e, t!at

$aret re$uneration "ro'ides t!e &est &en%!$ar for t!e %o$"ensation in t!e a&sen%e of a

tenderI31- u%! &en%!$ars +ould ideall &e found in %ontra%ts in t!e sa$e se%tor of a%ti'it,

+it! si$ilar %!ara%teristi%s and in t!e sa$e 5e$&er tate- .!e reasona&le "rofit $ust

2 = C , 11-1-2012, "-<-30 ee in "arti%ular "oint *1 of t!e 8E Co$$uni%ation-31 #oint * of t!e 8E Co$$uni%ation-

EN 1 EN



t!erefore &e in line +it! nor$al $aret %onditions and s!ould not e%eed +!at is ne%essar to

refle%t t!e le'el of ris of t!e ser'i%e "ro'ided-

Go+e'er, su%! $aret &en%!$ars do not al+as eist- n 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

undertaing a%ti'e in t!e sa$e se%tor to "ro'ide t!e ser'i%e in Muestion 32-

6 standard +a in +!i%! to $easure t!e return on %a"ital of a "u&li% ser'i%e %ontra%t is to%onsider t!e internal rate of return (RR) t!at t!e %o$"an $aes on its in'ested %a"ital o'er

t!e lifeti$e of t!e "ro4e%t, t!at is to sa t!e RR on t!e %as! flo+s of t!e %ontra%t- Go+e'er,

a%%ounting $easures, su%! as t!e return on eMuit (RE), t!e return on %a"ital e$"loed

(RCE) or ot!er generall a%%e"ted e%ono$i% indi%ators for t!e return on %a"ital $a also &e

used-

t 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- n t!at %ontet, +!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% $odels of rail+as, tra$+as, $etro and &us trans"ort s!ould

also &e taen into a%%ount- Jor ea$"le, +!ile rail+a trans"ort is generall 'er %a"ital:

intensi'e, &us trans"ort tends to &e $ore de"endent on "ersonnel %osts-

n 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 tae into a%%ount t!e s"e%ifi% %!ara%teristi%s

of t!e undertaing in Muestion, t!e nor$al $aret re$uneration for si$ilar ser'i%es and t!e

le'el of ris in'ol'ed in ea%! "u&li% ser'i%e %ontra%t- Jor ea$"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 ris 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!ouldt!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- t 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- n t!is %ontet, t!e 6nne las 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-

32 Jurt!er guidan%e is gi'en in t!e 8E Co$$uni%ation on +!at is to &e %onsidered a Ht"i%al +ell:run

undertaingI- ee in "arti%ular "oints 70:7*-33 ee in "arti%ular "oint 7 of t!e 6nne to t!e Regulation-

EN 1 EN



6rti%le <(1) and (2), toget!er +it! t!e rules laid do+n in t!e 6nne, 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 undertaing 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 ea$"le, +!en $eans of trans"ort (su%! as rail rolling sto% or &uses) orot!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 undertaing-

f, for ea$"le, t!e "u&li% ser'i%e and t!e %o$$er%ial a%ti'ities of t!e sa$e trans"ort

undertaing $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 13702007- /ire%ti'e 20123<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 area3< also las

do+n s"e%ifi% o&ligations for t!e se"aration of a%%ounts of rail+a undertaings-Ea%! "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- n ot!er +ords, if t!e sa$e undertaing !as entered into

se'eral "u&li% ser'i%e %ontra%ts, t!e a%%ounts of t!e trans"ort undertaings 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 13702007-

2.8.5. Article 8(1). esign o$ co"pensation sche"es to pro"ote e$$icienc%

Re%ital 27 of Regulation (EC) No 13702007 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$"ensation in Regulation (EC) No 13702007 lea'e so$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- n 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$entI ("oint 7 of t!e 6nne)- .!is i$"lies t!at t!e %o$"ensation sste$ $ust &e

designed to ensure at least a %ertain i$"ro'e$ent in effi%ien% o'er ti$e-

Effi%ien% in%enti'es s!ould ne'ert!eless &e "ro"ortionate and re$ain +it!in a reasona&lele'el, taing into a%%ount t!e diffi%ult in attaining t!e effi%ien% o&4e%ti'es- .!is $a, for

ea$"le, &e ensured t!roug! a &alan%ed s!aring of an re+ards lined to effi%ien% gains

&et+een t!e o"erator, t!e "u&li% aut!orities andor t!e users- n an e'ent, a sste$ $ust &e

"ut in "la%e to ensure t!at t!e undertaing is not allo+ed to retain dis"ro"ortionate effi%ien%

&enefits- n 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%t-

n%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- n t!e %ontet of Regulation (EC) No 13702007,

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- ee 6rti%le * on t!e se"aration of a%%ounts of rail+a undertaings and rail+a i nfrastru%ture $anagers-

EN 20 EN



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 andor in%reasing t!e Mualit or le'el of ser'i%e-

2.8.'. 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!27

#u&li% ser'i%e %o$"ensation "aid in a%%ordan%e +it! Regulation (EC) No 13702007 is

ee$"t fro$ t!e reMuire$ent to notif tate aid &efore it is i$"le$ented as laid do+n in6rti%le 10(3) .JE9- Ne'ert!eless, t!e Co$$ission $a &e ased to assess a %o$"ensation

s%!e$e for reasons of legal %ertaint if a 5e$&er tate 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 Regulation-

2.8.7. 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 $et!od used for analsing +!et!er o'er%o$"ensation is "resent-L!en assessing +!et!er a %o$"ensation s%!e$e "re'ents o'er%o$"ensation e: ante, for

ea$"le in t!e %ontet of a notifi%ation, t!e Co$$ission +ill assess, a$ong ot!er t!ings, t!e

"re%ise %o$"ensation "ara$eters- n "arti%ular, it +ill "a attention to t!e %ost %ategories t!at

are taen 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

e"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 ee"

an e%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 $ust also in "rin%i"le "ro'ide for regular %!e%s during t!elifeti$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%s in a standardised $anner- 'er%o$"ensation $ust &e assessed se"aratel for ea%!

"u&li% ser'i%e %ontra%t to a'oid e%essi'e "rofits for indi'idual "u&li% ser'i%es t!at are

a'eraged out a%ross se'eral %ontra%ts-

n t!e %ase of an e: post in'estigation, +!et!er t!e %o$"ensation re%ei'ed e%eeds t!e net

finan%ial effe%t of t!e "u&li% ser'i%e as defined in t!e anne to Regulation (EC) No 13702007

%an &e assessed on t!e &asis of a%tual finan%ial re'enue and %ost data, sin%e t!e %o$"ensations%!e$es !a'e alread &een "ut in "la%e- .!e $et!od does not %!ange !o+e'erA %o$"ensation

s!ould not e%eed t!e %o$"ensation a$ount to +!i%! t!e undertaing +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 %osts-

2.8.<. Article 1(1) and Article '(1). Ensuring that co"petent authorities will pa% operators

appropriateB co"pensation $or the discharge o$ public ser#ice obligations

6%%ording to 6rti%le 1 of Regulation (EC) No 13702007, 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 atlo+er %ost t!an t!ose t!at $aret for%es alone +ould !a'e allo+ed- .o t!is end, t!is

EN 21 EN



Regulation las 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 andor grant e%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 6nne to Regulation (EC) No 13702007,

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 $eans t!at not onl do t!e rules of Regulation (EC) No 13702007 ai$ 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 6nne to Regulation (EC) No

13702007-

n an e'ent, if t!e %o$"etent aut!orit does not "a a""ro"riate %o$"ensation, it riss

redu%ing t!e nu$&er of &ids su&$itted in res"onse to a %o$"etiti'e tendering "ro%edure fort!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 andor 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%edure-

2.5.1. 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 e%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+or to &e $onitored

and assessed, and, if a""ro"riate, "ro'ide infor$ation on t!e nature and etent of an

e%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$"re!ensi'e re"ort a&out all t!e "u&li% ser'i%e %ontra%ts it !asa+arded, +!ile t!ese %ontra%ts s!ould all &e indi'iduall identified- .!e infor$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+or in a $eaningful $anner allo+ing for a %o$"arison +it! ot!er

"u&li% trans"ort net+ors in a trans"arent, stru%tured fra$e+or, t!e Co$$ission en%ourages

5e$&er tates and t!eir aut!orities to 'oluntaril ensure ease of a%%ess to t!is infor$ation

and to allo+ useful %o$"arisons to &e $ade- .!is %ould $ean, for instan%e, t!at t!einfor$ation is "u&lis!ed on a %entral +e&site, su%! as t!at of an asso%iation of %o$"etent

EN 22 EN



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 $easure-

2.5.2. 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) No13702007 to "u&lis! t!e intended (and %on%luded) a+ard of "u&li% ser'i%e %ontra%ts in t!e

4$$icial ournal o$ the European 9nion-

6rti%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 ournal o$ the European 9nion-

6rti%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!eso +is!, to rea" snergies +it! t!e "u&li%ation of a "u&li% tender for ser'i%es "ursuant to

6rti%le ?(3) of Regulation (EC) No 13702007-

.!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 %lear

– to %learl distinguis! t!e "u&li%ation reMuire$ents under Regulation (EC) No

13702007 fro$ "u&li%ation reMuire$ents under /ire%ti'es 201<23E9, 201<2<E9

and 201<2?E9

– 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!orities

– 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

13702007-

/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

ournal o$ the European 9nion, in a%%ordan%e +it! 6rti%le 7(2) and (3) of Regulation (EC)

No 13702007- .!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 ournal o$ the European 9nion a%%ording to 6rti%le 7(3) isdone on a 'oluntar &asis-

2.5.3. 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"Asi$a"-euro"a-euenoti%es%!oi%e>anguage-do

EN 23 EN



in ad'an%e, sin%e t!is infor$ation $ust &e "u&lis!ed in t!e 4$$icial ournal 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- n 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-

5aing %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$"liestrans"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 13702007 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 (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 tates s!all tae $easures to graduall %o$"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 (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 %ontet- 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

13702007- .!e o&ligation i$"osed on 5e$&er tates to graduall %o$"l +it! 6rti%le ? isreasona&le onl if it %on%erns t!e o&ligation to a""l o"en, trans"arent, non:dis%ri$inator

and fair "ro%edures +!en granting "u&li% ser'i%e %ontra%ts- t does not $ae sense t!at

5e$&er tates HgraduallI a""l t!e notion of internal o"erator or t!e e%e"tions defined in

"aragra"!s <, ? and * of 6rti%le ? of Regulation (EC) No 13702007 as t!e introdu%e $ore

lenient "ro'isions %o$"ared to t!e general .reat "rin%i"les and %orres"onding %ase:la+- t

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 21&

6rti%le (2) states t!at +it!in si $ont!s of t!e first !alf of t!e transitional "eriod (& 3 5a201?), H5e$&er tates 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$&er tates %annot +ait until 2 /e%e$&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 &asis-

5e$&er tates s!ould tae 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 $aret +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-

EN 2< EN



2.'.3. Article <(3). eaning o$ li"ited duration co"parable to the durations speci$ied in

Article 8B

6rti%le (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

[---] $a %ontinue until t!e e"ire, "ro'ided t!e are of li$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 tates +or 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 taes 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 <-

communication r1370 - 624792 - en

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