Jaspers Working Paper Funding Regional Rail Stock Czech Republic
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JASPERS Horizontal Task Outputs - Working Paper 2 Funding Regional Passenger Rail Rolling Stock Example of the Czech Republic Report prepared on the basis of a Consultancy Contract with Kompetenzzentrum Wettbewerb, KCW, Berlin September 2008 JASPERS Project 2007 018 CZ MUN RAL Regional rolling stock replacement Foreword The Czech authorities requested JASPERS support in the area of EU funding for regional passenger rolling stock. JASPERS provided support in this area via a consultancy contract with Kompetenzzentrum Wettbewerb, KCW Berlin. This report contains the full version of the Final Report under this consulting assignment. JASPERS has decided to disseminate this report because it provides methodological support in a complex and new area of EU funding where state aid, competition and specific funding rules have to be applied. EU funds provide a unique opportunity to start modernising the outdated regional transport rail vehicle fleet in all new EU Member States. The report provides an overview of rolling stock financing schemes, it determines the role of public transport authorities in those schemes, it presents and analyses relevant public funding schemes for regional rail rolling stock in European countries and regions and it develops and evaluates models how EU funds can be used to support the provide upfront funding for the acquisition of new vehicles. While it is based on the example of the Czech Republic most findings are transferable to the situation in other New Member States. The report has been edited for general readers. We would like to thank the principle authors of the report, Volker Eichmann, Ingo Kühl, Esther van Engelshoven and Melanie Oertel from the KCW consultant team, as well as Mr Joachim Schneider, the JASPERS Task Manager. We would also like to thank the Czech Ministry of Transport and the managing authorities for the Regional Operational Programmes (“Cohesion Regions”) as beneficiaries of JASPERS support under this Action, for their cooperation and support. We owe special thanks to Alejandro Martinez Godin, responsible desk officer at the state aid unit at DG TREN for his competent and swift feedback and guidance. This is second report of a series of JASPERS outputs from “horizontal” tasks aimed at addressing generic issues which impact the development of projects anticipated for EU-funding during 2007-2013. Disclaimer & Copyright This report is provided in good faith, to be used at the risk of the reader. JASPERS does not warrant the accuracy or completeness of the information contained in this report nor does it assume any legal liability or responsibility, direct or indirect, for any damages or loss caused or alleged to be caused by or in connection with the use of or reliance on materials contained in this report. This report has not been formally discussed or approved by the European Commission. The comments expressed in this report do not necessarily state or reflect the views of the JASPERS partners (European Commission, EIB, EBRD and KfW). In particular, the views expressed herein cannot be taken to reflect the official opinion of the European Union. 1 Content 1. Tasks and structure of the report ................................................................... 5 2. Financing rolling stock in competitive markets: an overview ............................. 6 2.1 Legal background for rolling stock subsidies ............................................. 8 2.1.1 Assessment of state aid compatibility ................................................ 9 2.1.2 Assessment of state aid notification obligations................................ 10 2.1.3 Specific rolling stock state aid guidance ........................................... 11 2.2 Overview of rolling stock financing options ............................................. 12 2.3 Asset classifications and Maastricht criteria............................................. 18 2.4 Risk allocation between the TOC and the PTA......................................... 20 3 European Case Studies ................................................................................ 22 3.1 Core questions and methodology ........................................................... 22 3.2 United Kingdom .................................................................................... 24 3.3 Ireland ................................................................................................. 29 3.4 France.................................................................................................. 31 3.5 Germany .............................................................................................. 36 3.6 The Netherlands ................................................................................... 45 3.7 Poland.................................................................................................. 48 3.8 Sweden................................................................................................ 50 3.9 Core aspects of European experiences ................................................... 53 4 Railway structures in the Czech Republic....................................................... 55 4.1 Organisational structures....................................................................... 55 4.1.1 Governmental organizational units................................................... 55 4.1.2 Organisation of railway infrastructure .............................................. 55 4.1.3 Public transport authority (PTA) for rail passenger services............... 57 4.1.4 Train operating companies (TOC).................................................... 59 2 4.1.5 Public Transport Authorities (PTA) for public road transport and urban transport..................................................................................................... 61 4.2 Relationships between the different actors ............................................. 62 4.2.1 Legal and organisational relationships.............................................. 62 4.2.2 Transport contracts ........................................................................ 62 4.2.3 Financing....................................................................................... 64 4.3 State of contractual regulations in public transport in the local authorities 65 4.3.1 Directly awarded services ............................................................... 65 4.3.2 Competitive tendering procedures ................................................... 66 4.3.3 Services without contracts .............................................................. 67 4.3.4 Regional bus services and urban transport....................................... 68 4.4 Market situation and financial structures in public rail transport ............... 68 4.4.1 Key figures for rail transport ........................................................... 68 4.4.2 Rolling stock .................................................................................. 69 4.4.3 Financial system of public transport vehicles .................................... 70 5 Conclusions from European experiences and from the current situation in the Czech Republic................................................................................................... 72 5.1 Main results based on European experiences .......................................... 72 5.2 Main results based on the current situation in the Czech Republic............ 73 6 Recommendations ....................................................................................... 76 6.1 General Framework Conditions .............................................................. 77 6.1.1 Economic aspects........................................................................... 78 6.1.2 Legal framework ............................................................................ 80 6.1.3 Duration of procedures ................................................................... 85 6.2 Model A - State aid notification separate from PSC.................................. 87 6.2.1 Description of the model................................................................. 87 6.2.2 Requirements of the model............................................................. 88 3 6.2.3 Strength and risks of the model ...................................................... 88 6.3 Model B - Direct award with direct subsidies to the TOC.......................... 89 6.3.1 Description of the models ............................................................... 91 6.3.2 Requirements of all sub models....................................................... 96 6.3.3 Strengths and risks of model B (including sub models) ..................... 96 6.4 Model C - Tendering procedure with direct subsidies to the TOC.............. 98 6.4.1 Description of the model................................................................. 98 6.4.2 Requirements of the Model ............................................................100 6.4.3 Strengths and risks of the model....................................................101 6.5 Model D - Public Rolling Stock Pool solution and subsidies to the PTA .....102 6.5.1 Description of a public rolling stock pool .........................................103 6.5.2 Requirements of the model............................................................104 6.5.3 Strength and risks of the model .....................................................105 6.6 Additional measures.............................................................................106 6.7 Conclusion