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The Proposals of the European Commission For a Recast of the First Package-

The Proposals of the European Commission For a Recast of the First Package- Powers and new Functions of the Rail Regulator Dr. Thomas Kaufmann European Commission – DG MOVE.D.2 Unit for Rail Transport and Interoperability. 1. Recast proposal: general objectives.

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The Proposals of the European Commission For a Recast of the First Package-

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  1. The Proposals of the European Commission For a Recast of the First Package- Powers and new Functions of the Rail Regulator Dr. Thomas Kaufmann European Commission – DG MOVE.D.2 Unit for Rail Transport and Interoperability 1

  2. Recast proposal: general objectives • Simplification/Codification • Merger of 3 different legal basis (91/440/CEE, 95/18/CE et 2001/14/CE) with their successive amendments (12 texts in total) • Elimination of cross-references and harmonisation of terminology • Clarification: • Address the problems of interpretation • Translate in legislation the approach developed in past Communications • Modernisation: • Adapt the legislation to new market conditions • Respond to additional issues identified through complaints, studies, etc. • « Libonisation » of the legislation with delegated and implementing acts 3

  3. Recast proposal: structure of the text • Chapter I: General provisions • Chapter II: Development of the Union Railways • Section 1: Management independence • Section 2: Separation • Section 3: Financial situation • Section 4: Access to infrastructure and services • Section 5: Cross-border agreements • Section 6: Monitoring • Chapter III: Licensing of railway undertakings • Section 1: Body responsible • Section 2: Conditions for obtaining a licence • Section 3: Validity of the licence • Chapter VI: Charges and capacity allocation • Section 1: General principles • Section 2: Infrastructure and services charges • Section 3: Allocation of infrastructure capacity • Section 4: Regulatory Bodies • Chapter V: Final provisions • Annexes 5

  4. The independence of the Regulatory Body • Single authority independent from any other public authority • Stand-alone authority, however possible competence for several regulated sectors, if all fulfil independence requirements • Independent in organisational, functional, hierarchical and decision-making terms and • Legally distinct from any other public authority. • Reference dropped to «can be Transport Ministry or any other body” • Criteria for recruitment of board members and termination of their mandate - Article 55 • Actions on their own initiative – Article 56 • Criteria for recruitment of board members and termination of their mandate • Extended to RRS – Article 56 • Better defined for account separation and network statement review – Articles 27 and 56 12

  5. Independence of the Regulatory Body (2) • Independence in organisation, funding decisions, legal structure and decision-making from any IM, charging or allocation body or applicant • Functional independence from any competent authority involved in the award of a public service contract • Reference to separated regulatory and appeal functions dropped

  6. Independence of the Regulatory Body (3) • President and governing board of the RB appointed for a fixed and renewable term under rules which guarantee independence • No professional interest with the regulated undertakings or entities for a period of three years before and after their appointment and during their term of office. • Full authority over the recruitment and management of the staff of the regulatory body

  7. Role of the Regulator in the Control of Account Separation(Art. 6, 56(8), Annex X) • Art. 6: account separation between infrastructure and operation, freight and passenger, PSO and other operation • Art. 56 (8) power of RB to verify compliance with accounting separation provisions • regulatory accounts to be provided to RB

  8. Regulatory Accounts (Annex X) • separate profit and loss accounts and balance sheets • detailed information on public funds, including cash flow analysis • cost and profit categories enabling the determination of cross-subsidies • sufficient level of detail as deemed necessary by RB • Integrated companies: details for the group, for each subsidiary, and inter-company payments

  9. Role of the RB on access to rail related services (RRS) • New function of the RB: Access to and charging for services in accordance with Article 13 • Legal, organisational and decision-making independence for the management of service facilities in case of integrated firms • No viable alternative to operating the service on the same route under economically acceptable conditions • The burden of proof for the existence of a viable alternative lies with the operator of the service facility. 10

  10. Role of the RB on access to RRS (2) • If no viable alternative exists and not all requests can be fulfilled, RB shall reserve appropriate part of the capacity to new entrants • Use it or lease it • Limited re-categorisation of RRS(Annex III) • electrical supply equipment for traction current, • refuelling facilities, where available • passenger stations, including ticketing and travel information

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