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www.internationalesverkehrswesen.de Special Edition 1 l May 2017 Volume 69 International Transportation Managing public transportation STRATEGIES Governance – Strategies – Solutions Fit for tomorrow’s transportation challenges? BEST PRACTICE Open chances for sustainable public mobility PRODUCTS & SOLUTIONS Planning and operating with cloud assistance SCIENCE & RESEARCH Intelligent mobility systems and services
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Sebastian Belz POINT OF VIEW The organization of European railways: Confusing for the customers L ocal public transportation on the streets and railways is incorporating services from many different transport providers. organized very differently around the world. Whereas This approach has been followed in Germany during the last some countries and regions have very elaborate systems 40 years, where it has increasingly become the norm. Other of financing and operation, many have only negligible or countries in western Europe continue to rely on less complex even no state-run organization. systems, most of which adequately cover service needs in metro- It is not possible to label a particular system as being either politan areas. In recent years, many urban regions in central “good” or “bad” without accurate knowledge of its underlying Europe have also followed this example. However, passengers in regional economic and social background and an understanding of rural regions remain disadvantaged: They must contend with its historical development. In general, in order to make a qualified extremely limited service and need to purchase a separate ticket judgement about a transit system, it is important to actually see and to complete their travel. use it, to become familiarized with it, to analytically understand it • Gaps at borders: Using public transportation services beyond and, above all, to appreciate how efficient it is for the passenger. country borders or demarcated areas of authority is a problem all Europe’s railway sector is characterized by a variety of organiza- over Europe. Service provided by one country often ends at the tional models. For example, Germany and Sweden have competi- border, even though offering transport for only a short distance tion-oriented systems based on long-standing and solid financial would be needed for the journey to remain uninterrupted. When foundations. In other countries, railway systems exist in protected and if such offers are available, they are often based on bilateral political spheres, and in part, carry on their operations depending agreements that involve a great deal of effort from local service on their current cash positions. Owing to European legislation that providers and, as such, are expensive. In addition, the integration has opened public transportation markets, many countries are still of fares for lines that cross borders is the exception. Instead, the searching for an optimal solution. prohibitive effect of adding divergent fare systems is the norm. Passenger rail transport systems show substantial differences • Inclusion of long-distance trains: In most countries, passenger with respect to the following aspects, some of which may negatively rail systems providing regional and local transport are publicly affect system synergies: organized. However, this is not always the case for long-distance • Planning security: Poland’s railway system service is based on train service. This is an unfavorable situation, because the differ- four timetable periods per year, with two sub-sections per period. ent transport requirements and infrastructures overlap. These Over the year, service may change considerably from one period overlaps could often be practically resolved in a collective rail- to the other. In contrast, railway timetables in Germany are gen- way system in order to provide economical service. In this erally offered for the entire year, and typically involve a planning regard, Great Britain has commanded a pioneering role for years stage of over 18 months. In order to create an even greater plan- by tendering large networks, most of which fully encompass ning security for the user, more and more German regional rail long-distance trains. In addition, the Czech Republic Ministry service providers include the passengers in the timetable plan- for Transport in Prague, which supervises inter-regional, long- ning as far as two years in advance. distance trains, has found a solution that better fits spatial plan- • Flexibility: The disadvantage of long-term transportation con- ning needs than a pure orientation to independently competi- tracts lies in their rigidity. Service providers in Germany are tive, long-distance transport strategies. often over-challenged by changes in demand. Systems with large vehicle reserve capacities, such as in Italy and Switzerland, are From the customers’ perspectives, an optimal passenger rail trans- often better able to respond to increased demand. port system does not yet exist. Overall, further developments and har- • Density and frequency of offerings: Most countries in western monization efforts are warranted, also in order to improve efficiency Europe base their planning on synchronized timetables, as intro- and above all, to enable the transportation sector to make a contribu- duced by and used in Switzerland and the Netherlands, to offer tion towards achieving Paris climate goals. EU authorities need to look extensive, connected services that run at one-hour intervals or beyond regulatory frameworks and demonstrate a stronger commit- even more frequently. The situation is different in central and ment to closing the gaps in international transport routes. In doing so, eastern Europe, but also in France, where for many routes, it is clear improvements in service can be achieved with little costs. considered to be sufficient to offer a few trains per day. • Fare integration: For over 100 years, Switzerland has pursued Sebastian Belz the idea of ensuring passenger mobility “from one source” by General Secretary, European Platform of Transport Sciences (EPTS) International Transportation (69) 1 | 2017 3
International Transportation Photo: Leitner ropeway Photo: Pixabay PAGE 14 PAGE 26 POINT OF VIEW STRATEGIES BEST PRACTICE 3 The organization of European 6 Transport for tomorrow 21 PPP in Japan’s railway system – railways: Confusing for the Statement a success story customers Vincent Benezech Wilfried Wunderlich Sebastian Belz Oliver Mayer 8 European passenger rail services in transition 26 Managing public transport in The Fourth EU railway pack- Windhoek age brings changes and new The implementation of a new challenges to passenger rail public bus service for Windhoek, authorities Namibia Ludger Sippel Ernst-Benedikt Riehle Julian Nolte Ursula Hein 12 Repair or replace 30 Using GPS technology for Why the “Juncker Fund” is in demand data collection contradiction with the EU’s Introduction to opportunities transport policy – and how it and challenges of the methodo- can still be turned into a success logy in developing and emerging Michael Cramer economies Jens Müller Jakob Baum Enrico Howe 14 Public transit and land use ecisions d Review of guidebooks for transit agencies Andreas Kossak 18 MoviCi – Urban Mobility in the KNOWLEDGE Smart City The project “MoviCi – Urban Read the Mobility in the Smart City” International Transportation edition connects Colombian and for free – use the convenient German researchers and download from our website practitioners Volume 1/2017: Managing Public Transport Mirko Goletz Dirk Heinrichs Volume 1/2016: Smarter on the move Katharina Karnahl Volume 2/2015: Looking ahead Mathias Höhne Volume 1/2015. Urban transport 4 International Transportation (69) 1 | 2017
CONTENT May 2017 Photo: Rainer Sturm/pixelio.de Photo: Leitner ropeway PAGE 36 PAGE 41 PRODUCTS & SCIENCE & SOLUTIONS RESEARCH 34 Deutsche Bahn Group is shifting 38 The intelligent railway system 54 Projects in a nutshell to the DB Enterprise Cloud theory Overview of selected mobility A compliant cloud architecture The European railway research research projects on AWS seemed to be a good perspective and the develop- 54 Will grass become the new choice ment of the European digital gasoline? Bertram Dorn railway strategy 55 Making lithium-ion batteries Dániel Tokody lighter, safer, more efficient 36 Solutions in a nutshell Francesco Flammini 55 A new take on aircraft takeoff A compliant cloud architecture and landing on AWS seemed to be a good 41 Air travel groups and their 56 Safe navigation even on const- choice obility profiles in air traffic m ruction sites 36 PPP-project: MiniMetro to relieve Towards seemless air travels – 56 A novel method helps reducing traffic congestion in Pisa the DORA project and mobility noise problems produced by 36 New smart system to reduce (information) requirements of air road traffic queues at roundabouts travellers 57 Unmanned cargo vessels – more 37 Supporting transport planning Michael Abraham sustainable maritime transport in Europe Wulf-Holger Arndt 57 Wider application of new ma- Norman Döge terials for lighter and greener trains 46 The British way of long distance 58 World’s first test site for auto transport nomous vehicles opens Philipp Schneider 50 Carsharing in rural areas Challenges and potentials for AT A GLANCE managing public transportation at local government level Ann-Kathrin Seemann Sebastian Knöchel COLUMNS 59 FORUM Events www.internationales-verkehrswesen.de/ Please take account of the ETH Zurich english/ 61 IMPRINT | EDITORIAL PANELS supplement attached in this magazine. 62 REMARK | EVENTS International Transportation (69) 1 | 2017 5
STRATEGIES Statement Transport for tomorrow Transport will remain a growth industry. That also means it has to start tackling some serious challenges. An outlook by Vincent Benezech, Policy Analyst, International Transport Forum. Vincent Benezech is a policy analyst at the International Transport Forum – an intergov- ernmental organisation with 57 member countries which acts as a think tank for transport policies. He heads the team that models scenarios for the future of transport which are published biannually in the “ITF Transport Outlook”. G lobal demand for transport has been increas- CO2 emissions amounted to just under 4 billion tonnes in ing steadily during the past decades, with the 2015, which represents 42 % of all transport-related exception of a brief downturn during the emissions. In per-capita terms, this translates into 2008 economic crisis. Economic development approximately 3 tonnes of CO2 per inhabitant and per is still coupled with increased transport demand, and year. By contrast, inhabitants in non-OECD economies passenger and freight volumes are therefore likely to see emit on average 0.5 tonnes of CO2 per year from trans- continued growth in the foreseeable future. According to port activities. the latest scenarios for global transport demand, con- As the non-OECD world develops its economies, this tained in the International Transport Forum’s “ITF gap will start to close. In the ITF Transport Outlook Transport Outlook 2017”, passenger demand could 2017’s baseline scenario – which describes a world where increase twofold between 2015 and 2050, while demand no significant effort is made by policy makers besides for freight transport could even triple over this period. those already in place or easily foreseeable – transport’s The expected surge in the movements of passengers carbon emissions will increase 60 % by 2050. This alarm- and goods is the result of economic development ing growth takes place despite much more efficient use expected over the coming decades, notably in what today of energy. Indeed, looking at the average CO2 intensity of are still low- and middle-income countries. The increased transport, this is expected to decrease significantly over sophistication of the transport systems available in these the coming three-and-a-half decades: For instance, pas- countries will also be an important lever to increase senger transport will emit only an average of 60 g of CO2 trade and economic growth; investments in improved per passenger-kilometre in 2050 in the baseline sce- mobility systems and transport networks should there- nario, compared to 100 g in 2015. Similar improvements fore be encouraged. On the other hand, increased trans- will take place in the freight sector. But because of the port activity is already proving difficult to manage in expected strong growth in transport demand, these many regions, and further growth will bring challenges improvements, significant as they may be in themselves, at all geographical scales: In cities, congestion and local are far from sufficient to stop the growth in transport pollution are already creating significant economic costs CO2 emissions, let alone reverse the trend. and causing widespread health problems. These nega- tive effects of increased mobility are bound to get worse Currently existing policies and measures unless strong policy interventions counter the current are not enough reliance on cars for urban mobility. At the national level, The political ambition to address the gap is there. The the supply of energy for the transport sector may become ratification of the Paris Agreement on Climate Change an issue. and the submission of Nationally Determined Contribu- tions (NDCs) which quantify the planned mitigation Transport’s carbon emissions will increase 60 % efforts of each country, are a clear sign for this. Now the Transport significantly contributes to global warming. commitments need to be transformed into actions with Carbon dioxide from mobility represents around 24 % of measureable results, however. Only about half of the CO2 emission from fuel combustion. In OECD countries, NDCs explicitly mention transport as a potential mitiga- 6 International Transportation (69) 1 | 2017
Statement STRATEGIES tion source, and most of these references are vague or promotion of appropriate forms of public transport can only mention targets without linking them to specific limit CO2 emissions and at the same time provide more policy measures that would achieve them. Some of the equitable access. Decreasing the reliance on cars is also proposed carbon mitigation measures also run the risk of essential to limit the burden of infrastructure building in only solving short-term issues, while locking in expen- developing countries, especially in Asia. Most cities with sive infrastructure. This is for instance the case of Liquid fast-growing populations already suffer from heavily Natural Gas (LNG) for shipping, which requires large congested road networks. The ITF projections show that investment in port infrastructure but cannot be a long- maintaining accessibility levels for cars constant will term solution, since LNG still has a non-negligible con- require unsustainable levels of investment in road infra- tent of carbon. structure: In Asia, for instance, the total length of urban In any case, the added effects of all the pledges in the roads would need to quadruple. NDCs will not be sufficient to achieve the ambition of Car-based urban mobility creates equity problems also the agreement. Currently existing policies and measures, because not everyone can afford a motor vehicle. In this even when pushed to their maximum potential, are not respect it is worrying that accessibility by public trans- enough. Indeed, when combining the most optimistic port is especially low in developing cities, where the pathways for all modes, freight and passenger, emissions motorisation rate is also the lowest. Many city dwellers in 2050 amount to 7,370 million tonnes compared to are thus excluded from physically reaching opportunities 13,600 in the baseline. This low-carbon scenario neces- these cities offer, and they would greatly benefit from bet- sitates higher efficiency gains for all vehicles (including ter public transport access. However, local governments alternative fuels for ships), higher fuel taxes, full benefits will not be able to build full-scale transport systems that of vehicle optimisation for road freight and land use and are also affordable. In many countries, people with low public transport planning in the urban sector. incomes already cannot pay for public transport fares. Overall, the mitigation measures envisaged fall short The coverage of cities will need to be very carefully of the aspiration to limit global warming to 1.5 °C above planned and also take into account the potential of pre-industrial levels, as expressed in the Paris Agree- emerging non-traditional mobility services in cities. ment. The exact carbon budget to limit emissions at this level, as well as the share of the budget available to the Digitalisation? The next transport revolution transport sector, is not precisely known. What is known is already underway is that transport emissions even in the low-carbon sce- The impact of digitalisation is felt strongly across the nario in the ITF Transport Outlook 2017 overshoot all transport sector. But the next transport revolution is targets put forward by scientists that would make such a already underway, based on real-time streams of data scenario attainable. that make it easier and more efficient to match supply and demand. The coming decades will witness the arrival Efficient transport is critical to economic of more disruptive technologies, vehicle automation and development on-demand transport. Car-sharing is one of the services Efforts to make transport greener will need to be care- with the potential to increase accessibility in a sustaina- fully balanced with preserving transport’s role as an ena- ble way. Such solutions need to be promoted and accom- bler of economic growth. There can be no international panied by sound policies. Without these, vehicle automa- trade without transport infrastructure and services. Effi- tion could turn out to bring more cars onto the roads, cient transport is critical to economic development, as it with all the associated problems of air pollution, CO2 provides access to jobs, opportunities or social interac- emissions, congestion or access. In order to empower tions, and there is a growing recognition that accessibil- people in their personal lives and in their economic ity and connectivity should be at the center of transport activities, while safeguarding the ability of future gener- policies. ations to meet their needs, there is no alternative to mak- Interestingly, some of the measures that make trans- ing transport sustainable, and policy makers should be port more environmentally sustainable also improve ready to tap into the ongoing stream of innovation to accessibility. This is most evident in cities, where the achieve this paramount objective. ■ Photo: pixabay.de International Transportation (69) 1 | 2017 7
STRATEGIES Railway Policy European passenger rail services in transition The Fourth EU railway package brings changes and new challenges to passenger rail authorities European Union, policies, public service obligations, rail markets In December 2016, the European Parliament adopted the market pillar of the EU’s Fourth railway package. In combination with its technical pillar, the package aims at harmonising the EU railway policies for improving the competitiveness and attractiveness of railways and for a further development of the single European railway area [1]. This article describes the amendments of Regulation (EC) 1370/2007 by Regulation (EU) 2016/2338 and gives guidance to competent passenger rail authorities on the decisions to take for governing passenger rail services, the related tasks and their implications when it comes to organising and awarding a public service contract (PSC). Ludger Sippel, Julian Nolte S ince its coming into force in 2009, process [3]. It is important to note the rea- opted for making these positive experiences Regulation (EC) 1370/2007 has sons behind this situation: A significant accessible to passengers in all member been the frame for public service number of competent authorities in EU’s states of the EU [4]. Henceforward, the obligations (PSO) and the subse- Member States is not only responsible for Fourth railway package will open domestic quent grant of compensations or exlusive organising and financing the services. Some passenger railway markets in the EU’s rights in the field of public passenger ser- of the authorities are at the same time the Member States, starting from the change of vices by rail and by road. Its provisions are owner of an incumbent railway undertak- timetables in December 2020 [3]. Further- of key importance for Europe’s transport ing. Direct awards of public service con- more, the amendment of Regulation (EC) sector: Most of the public passenger railway tracts have temporarily helped them to 1370/2007, carried out by Regulation (EU) transport in the EU has been, and appar- avoid a serious restructuring of these under- 2016/2338, introduces the awarding of PSC ently still is today, carried out under PSO takings. Other competent authorities have for public passenger rail transport on the (respectively PSC) [2]. Despite the earlier less strong links to incumbent railway basis of a competitive tendering procedure liberalisation of rail freight and cross-bor- undertakings, e.g. those authorities organ- as a general rule. der passenger rail services, domestic pas- ised on the regional level (figure 1). Including the amendments of Regulation senger railway services have not been During the preparation of the Forth rail- 2016/2338, Regulation 1370/2007 now con- opened for mandatory competition yet, and way package proposal, the European Com- tains the following milestones [5]: many domestic public service contracts are mission intensively studied the benefits of • Until 02 December 2019, Member States still awarded directly without any bidding competition in the railway market and shall take measures to gradually comply with Article 5 (on the award of public service contracts) in order to avoid seri- ous structural problems particularly related to transport capacity; • Between 25 December 2020 and 25 June 2021, Member States shall provide the Commission with a progress report, highlighting the implementation of any award of public service contracts that comply with Article 5; • The duration of contracts directly awarded in accordance with Article 5(6) between 3rd Dec. 2019 and 24th Dec. 2023 shall not exceed 10 years; Figure 1: Competent • Article 5 (6) which allows for a direct passenger rail authorities in the EU award of public service contracts con- member states cerning rail services will cease to apply Source: KCW as of 25 December 2023. 8 International Transportation (69) 1 | 2017
Railway Policy STRATEGIES These milestones mark the further Member State Million train-km Year of reference Source advance of the liberalisation of European DE Germany 803 2014 [20] railway markets. UK United Kingdom 508 2014 [20] At the same time the amended Regula- FR France 412 2014 [20] tion still leaves exemptions that will enable IT Italy 286 2014 [20] many competent authorities to decide ES Spain 174 2014 [20] whether to contract railway services com- petitively or to directly award the services as NL Netherland 144 2014 [20] Article 5 defines several (new) exceptions PL Poland 135 2014 [20] for direct awards. CZ Czech Republic 122 2010 [21] The exemptions to competitive tender- SE Sweden 116 2014 [20] ing of rail services of the amended PSO reg- AT Austria 109 2014 [20] ulation now include the following situations: BE Belgium 84 2014 [20] • A maximum threshold of an annual HU Hungary 84 2014 [20] value of EUR 7,500,000 or the annual RO Romania 60 2014 [22] provision of 500,000 train kilometres is DK Denmark 51 2014 [20] not exceeded [6]; SF Finland 36 2014 [20] • The competent authority considers a SK Slovak Republic 32 2014 [20] direct award to be justified due to the rel- evant structural and geographical char- PT Portugal 31 2010 [21] acteristics of the market and network BG Bulgaria 21 2014 [20] concerned and such a contract would IE Ireland 17 2010 [21] result in an improvement in the quality of HR Croatia 15 2014 [20] services or cost-efficiency, or both, com- GR Greece 11 2014 [20] pared to the previously awarded public SI Slovenia 10 2014 [20] service contract. Member States shall be LU Luxembourg 8 2014 [20] deemed to fulfil this condition when LV Latvia 6 2014 [20] – the maximum annual market volume LT Lithuania 5 2010 [21] is less than 23 million train-km (see EE Estonia 5 2014 [20] table 1) when the amendment comes into force, and Table 1: Market volume of rail passenger services in the EU Member States. To the extent known, – where just one competent authority at the given numbers refer to PSO and Non-PSO services within the states. the national level exists (see figure 1) and purpose infrastructure must be exempted a proceeding, competent authorities might – where only one public service contract from the regulations on separation and want to substantiate any of their decisions is covering the entire network [7]. infrastructure charges of Directive by specific market studies focussing on their • Exceptional circumstances justify a 2012/34/EU [11]. relevant market and the issue addressed. In direct award in order to optimise the pro- the case of exceptional circumstances it vision of public services. The amended Exemptions to be justified could for example be helpful to demonstrate Regulation names as such exceptional What, at first glance, seems to be an exten- that competent authorities in similar mar- circumstances a too large number of sive freedom of decision for competent kets regularly receive only a limited number competitive tendering procedures that authorities either in favour of or against of bids and that the result of such proce- are already being run which could affect competition will be in fact in most of the dures with limited competition is close to a the number and quality of bids likely to cases limited either by the required justifi- well negotiated direct award. be received or changes to the scope of cations or the maximum duration of directly A more complex approach is necessary if one or more public service contracts are awarded contracts. a competent authority wants to justify a required in order to optimise the provi- For instance, recital 21 of the amended direct award with “the relevant structural sion of public services [8]; Regulation stipulates for exceptional cir- and geographical characteristics of the mar- • Emergency measures taken by the com- cumstances that ket and network concerned” [12] and needs petent authority in the event of a disrup- a) the circumstances have to be indeed to negotiate the figures and performance tion of services or the immediate risk of “exceptional”, measuring methods with the incumbent such a situation [9]; b) the new contracts may be directly undertaking. In this case it would be • A regional or even local competent awarded only “temporarily” and extremely helpful for the authority to know authority (an authority which does not c) these contracts “should not be renewed the cost and production structures of com- act on the national level) provides the to cover the same or similar public ser- parable undertakings in detail. services itself or awards a service con- vice obligations”. A necessary condition to be met for a tract directly to a legally distinct entity direct award of a contract under exceptional over which it exercises control [10]. Given the fact that any competitor of the circumstances is furthermore the imple- • A competent authority may also award a (incumbent) operator favoured by the direct mentation of specific performance indica- PSC directly to an operator managing at award may appeal against the decision of a tors as well as effective and deterrent meas- the same time the entire or major parts competent authority to directly award a ures to be imposed in case the railway of the infrastructure where the relevant public service contract and that the justifi- undertaking fails to meet the performance passenger services are provided. For this cations are carefully examined during such requirements [7]. Reasonably, this require- International Transportation (69) 1 | 2017 9
STRATEGIES Railway Policy ment should take into account the positive • To ensure an efficient and rapid review REFERENCES experiences made in the EU so far, even if of the decision on the type of award [14]; [1] Communication from the Commission to the European Parliament some allowances for the specific situation of • The provision of a progress report by […], concerning the Position of the Council on the adoption of a each competent authority will be necessary. 25th June 2021 [13]; Regulation amending Regulation (EC) No 1370/2007 concerning the Important issues include the technical con- • The assessment of measures to ensure opening of the market for domestic passenger transport services by dition of the infrastructure and the rolling effective and non – discriminatory access rail. Brussels, 24.10.2016, COM(2016) 689 final, p. 3 stock to be used, the density and the con- to suitable rolling stock [15] and [2] Report from the Commission to the Council and the European Par- liament, Fourth Report on monitoring development of the Rail nections within the public transport net- • The compliance with the rules applica- Market. Brussels, 13.06.2014, COM(2014) 353 final, p. 51 work and the expectations of the passengers ble to compensation [16]. [3] Transport MEPs back reform of domestic rail services: more choice regarding the quality of transport. for better services. Press release; Brussels/Strasbourg 05.12.16 Conclusion and Outlook [4] Commission Staff working document impact assessment, Proposal Preparation of awarding procedures The amended PSO regulation leaves no for [...] amending Regulation (EC) No 1370/2007 [...], Proposal for Concerning awarding procedures, the doubt that the European legislator consid- [...] amending Directive 2012/34/EU [...]; Brussels, 30.01.2013, amendment of the PSO regulation brings ers the opening of the market as a means to SWD(2013) 10 final considerable changes for those authorities achieve better services for the user [17] and [5] Article 8 (2) of Regulation (EC) 1370/2007 amended by Regulation that so far have not yet competitively ten- is eager to enhance quality, transparency, (EU) 2016/2338 dered their services and will be forced to efficiency and performance of passenger [6] Article 5 (4) of Regulation (EC) 1370/2007 amended by Regulation open or are opening their market by choice. rail services [18]. It is true that the intro- (EU) 2016/2338 In order to award an economically favoura- duction of competitive tendering increases [7] Article 5 (4a) of Regulation (EC) 1370/2007 amended by Regulation ble contract, a competent authority in gen- the amount of work on the side of the (EU) 2016/2338 eral will have to execute the following pre- authorities and forces the incumbent to [8] Article 5 (3a) of Regulation (EC) 1370/2007 amended by Regulation paratory steps: adapt to the new situation. Nevertheless, (EU) 2016/2338 • Identification of networks which enable with the implementation of the Fourth [9] Article 5 (5) of Regulation (EC) 1370/2007 amended by Regulation (EU) 2016/2338; the substance of this part of the Regulation has not railway undertakings (and in conse- railway package these changes are una- been changed by the Regulation (EU) 2016/2338. quence the authorities) to benefit from voidable. [10] Article 5 (2) of Regulation (EC) 1370/2007 amended by Regulation operation synergies; The authors of this article encourage all (EU) 2016/2338 • Definition of the duration, scale and competent authorities that are not yet profi- [11] Article 5 (4b) of Regulation (EC) 1370/2007 amended by Regulation scope of the services to be tendered, cient in the application of the PSO regula- (EU) 2016/2338 including lot sizes if appropriate; tion, and in tendering especially, to get in a [12] Article 5 (4a) lit. (b) of Regulation (EC) 1370/2007 amended by • Definition of the type of contract: net close dialogue with the European Commis- Regulation (EU) 2016/2338 costs vs. gross costs or hybrid forms; sion on the challenges triggered by the [13] Article 8 (2) of Regulation (EC) 1370/2007 amended by Regulation • Planning and optimisation of the to be Fourth railway package, with other authori- (EU) 2016/2338; actually unchanged by Regulation (EU) 2016/2338, tendered services; ties or with external experts specialised in but with a widened scope due to the amended article 5. • Modelling of the expected costs; the field of public service contracts. Such [14] Article 5 (7) of Regulation (EC) 1370/2007 amended by Regulation • Definition of a quality management sys- exchanges and external expertise may help (EU) 2016/2338 tem with efficient performance indicators to comply with the amended regulation and [15] Article 5a (1) of Regulation (EC) 1370/2007 amended by Regulation (punctuality, capacity, failure ratios, etc.); to minimise the risk of legal uncertainties of (EU) 2016/2338 • Implementation of an appropriate remu- the contracts to be awarded in future. ■ [16] Annex of Regulation (EC) 1370/2007 neration system; [17] Recital 2 of Regulation (EU) 2016/2338 • Implementation of an appropriate risk [18] Recital 5 of Regulation (EU) 2016/2338 diversification; [19] Régions de France: Les Régions lancent leurs travaux pour la prépa- • Guaranteeing access to production ration de l’expérimentation de l’ouverture à la concurrence. Com- resources (rolling stock, workshops, sale IN ADDITION muniqué de presse; Paris, 10.11.2016. systems). [20] Independent Regulator’s Group – Rail: Fourth Annual Market How to avoid hard cuts Monitoring Report, IRG – Rail (16) 1, March 2016; p. 15 The last three steps are of particular Even in a country like France which has been [21] Commission Staff working document impact assessment, Proposal seen as closed for PSC competition in public for [...] amending Regulation (EC) No 1370/2007 [...], Proposal for importance for competent authorities in rail transport for a long time, things are [...] amending Directive 2012/34/EU [...]; Brussels, 30.01.2013, order to achieve improvements in the effi- changing, mainly caused by the dissatisfac- SWD(2013) 10 final; Part 3, p. 7 ciency of the services: With increasing mar- tion with the performance of the incumbent [22] OECD Competition Assessment Reviews: Romania; OECD Publishing; ket transparency and reasonably calculable operator: From 2019 on, an “experimentation Paris 2016; p. 200 risks, more undertakings are going to par- phase” on tendering in French regional rail ticipate in a call for tenders. By designing transport is envisaged by the French state and by the regions, which are the competent the market, the authorities become the key authorities for regional train PSO services in players of passenger rail transport. France: On the one hand, such “experimenta- Ludger Sippel In addition to the specific justifications tion” can give any stakeholder the chance to Senior Consultant, KCW Berlin (DE) acquire first experiences in the field of com- sippel@kcw-online.de of direct awards of public service contracts, all competent authorities that operate on petitive awarding, resulting in tests of forms of governance and regulatory adaptions if Member State level will have to align their appropriate. On the other hand, a transition procedures to a number of further provi- phase of some years shall avoid hard cuts, sions, especially: before competitive awarding becomes man- Julian Nolte • The development and description of datory [19]. Depending on the results of the Consultant, KCW Berlin (DE) French presidential election, that might be nolte@kcw-online.de measures to gradually comply with even quicker than initially intended. Article 5 [13] 10 International Transportation (69) 1 | 2017
WISSEN WAS MORGEN BEWEGT INTERNATIONALES VERKEHRSWESEN – DAS TECHNISCH-WISSENSCHAFTLICHE FACHMAGAZIN Schiene, Straße, Luft und Wasser, globale Verbindungen und Internationales Verkehrswesen gehört seit 1949 zu den führenden urbane Mobilität: Viermal im Jahr bringt Internationales europäischen Verkehrsfachzeitschriften. Verkehrswesen fundierte Experten-Beiträge zu Hintergründen, Der wissenschaftliche Herausgeberkreis und ein Beirat aus Entwicklungen und Perspektiven der gesamten Verkehrsbranche Professoren, Vorständen, Geschäftsführern und Managern der – verkehrsträgerübergreifend und zukunftsorientiert. Ergänzt ganzen Verkehrsbranche verankern das Magazin gleichermaßen werden die deutschen Ausgaben durch die englischsprachige in Wissenschaft und Praxis. Das technisch-wissenschaftliche Themen-Ausgabe International Transportation. Fachmagazin ist zudem Wissens-Partner des VDI Verein Deutscher Mehr dazu im Web unter www.internationales-verkehrswesen.de Ingenieure e.V. – Fachbereich Verkehr und Umfeld. ... und keine Ausgabe verpassen! Das Jahres-Abonnement umfasst die gedruckte Ausgabe plus ePaper/PDF und Archivzugang (ab 1/1949). Ja, ich will Internationales Verkehrswesen regelmäßig lesen! Ich wähle: JahresAbo StudiAbo (Aktuelle Studienbescheinigung ist Voraussetzung) Jahresbezugspreis Inland EUR 213,35 inkl. MwSt. und Versand Jahresbezugspreis Inland EUR 85,34 (inkl. MwSt. und Versand). Jahresbezugspreis Ausland EUR 215,– (mit VAT-Nr.) / EUR 237,73 (ohne VAT-Nr.), Jahresbezugspreis Ausland EUR 95,09 (inkl. MwSt. und Versand). inkl. Versand Meine/Unsere Daten: Herr Frau Firma/... Titel, Vorname, Name WIDERRUFSRECHT (s. § 6 der Allgemeinen Geschäftsbedingungen) Der Vertrag kann unter den in der Widerrufsbelehrung angegebenen Voraussetzungen innerhalb von 2 Wochen ohne Angabe von Gründen in Textform (z.B. Brief, Fax, E-Mail, www. Firma/ ... trialog-publishers.de/Widerrufsformular.pdf) widerrufen werden bei: Trialog Publishers Verlagsgesellschaft, z.Hd. Eberhard Buhl, Leserservice Internationales Verkehrswesen, Marschnerstr. 87, 81245 München, Fax: +49(0)89/889518.75, E-Mail: office@trialog.de Abteilung LAUFZEIT UND KÜNDIGUNG (s. 3 § der Allgemeinen Geschäftsbedingungen) Der Bezugszeitraum beträgt mindestens ein Jahr ab Rechnungsdatum. Wenn Sie das Magazin Straße + Nr. nach der Abonnement-Laufzeit nicht weiter beziehen möchten, teilen Sie dies dem Leserser- vice (Kontaktdaten s.o.) spätestens 6 Wochen vor Ende des Bezugszeitraums mit. Ohne recht- zeitige Kündigung verlängert sich ein bestehendes Abonnement automatisch um ein weiteres PLZ, Ort, Land Jahr. Die Annahmeverweigerung von Lieferungen gilt nicht als Kündigung. Für das StudiAbo gilt: Ohne Vorlage einer aktuellen Studienbescheinigung wird der jeweils gültige, reguläre Jahresabonnementpreis berechnet. Telefon Telefax E-Mail-Adresse Abo-Bestellung bitte senden an: Umsatzsteuer-ID-Nr. (sofern vorhanden) Trialog Publishers Verlagsgesellschaft z.Hd. Eberhard Buhl Leserservice Internationales Verkehrswesen Ihr Bestellzeichen (sofern vorhanden) Marschnerstr. 87 D-81245 München Fax: +49(0)89/889518.75 Das Widerrufsrecht (s.rechts) habe ich zur Kenntnis genommen. E-Mail: service@trialog.de Die AGB als Vertragsbestandteil habe ich gelesen und akzeptiert. Sie können beim Verlag angefordert oder unter www.trialog-publishers.de/agb_trialogpublishers.pdf heruntergeladen werden. »Internationales Verkehrswesen« und »International Transportation« erscheinen bei der Trialog Publishers Verlagsgesellschaft, München, www.trialog-publishers.de
STRATEGIES EU transport investment Repair or replace Why the “Juncker Fund” is in contradiction with the EU’s transport policy – and how it can still be turned into a success Juncker plan, investments, TEN-T, infrastructure, EFSI After his election as President of the European Commission, Jean-Claude Juncker promised that he would initiate an ambitious investment plan for the continent. The “European Fund for Strategic Invest- ments” translates this pledge into action and has already made investments worth EUR 33 billion. But so far there has been little in it for sustainable mobility: the transport sector is underrepresented, the fund channels away the resources reserved for the “Transeuropean Transport Networks” and the investment projects are often not aligned with the overarching goals of EU transport policy. Yet, the EU-Commission has made a proposal to extend and expand the fund, even before the mandatory mid-term evaluation has been carried out. The European Court of Auditors is not alone in criticising this hasty move. Michael Cramer, Jens Müller E ven the project promoters proba- came up with a bold idea: instead of invest- the major contributor (EUR 4.2 billion). bly did not expect that one day ing its own money, the EU would create a This cut was all the more painful as the the extension of the A6 motorway guarantee fund with the help of the Euro- completion of the TEN-T will cost about between the small German towns pean Investment Bank. This concept resem- EUR 500 billion, which is why transport of Wiesloch-Rauenberg and Weinsberg, or bles modern financial alchemy (see figure 1). experts had fought very hard for an increase the modernisation of Greek regional air- The fund secures selected private and pub- in funding.2 The transfer to the EFSI almost ports would be considered as investments of lic investments by hedging against first offsets this increase. strategic importance for the whole conti- potential losses, thereby improving the The Transport Committee of the Euro- nent. Yet, the “European Fund for Strategic financing conditions. This scheme requires pean Parliament was not only concerned Investments” (EFSI) provides almost EUR a maximum of EUR 16 billion from the EU’s with a funding shortfall. They also won- 600 million in funding to both projects.1 budget and aims at stimulating investments dered whether transport projects would be This is not the outcome of EU transport of in total EUR 315 billion by the year 2020. able to secure a large share of EFSI funding, policies, but result of decisions taken by given the financial requirements and the Jean-Claude Juncker, President of the Euro- Serious concerns among transport need for very speedy realisation. And finally, pean Commission. After his election in experts from across all parties the Members of Parliament also feared that 2014, he came up with the idea of a compre- Juncker’s plan was generally taken up posi- eligible transport projects would contradict hensive investment programme, dubbed tively. Yet, transport experts from across all the overarching EU goals on better trans- the “Juncker Plan”. political parties had serious concerns from port connections across borders, good jobs But Juncker faced two problems: the EU the outset. This was, first and foremost, due and sustainable development. budget could not provide the necessary to the fact that the capital needed to estab- In order to counter these concerns, the resources for his plan and the Union is not lish the EFSI had to be taken from other European Commission suggested that by allowed to contract debt. His team thus parts of the EU budget, with transport being July 2018 an independent mid-term evalua- tion of the EFSI should be carried out. It would be the basis for further decisions. It was also thanks to this guarantee that Jean- Claude Juncker eventually obtained a large majority for his idea in 2015. An early proposal to extend and expand However, one year later, the European Commission no longer adhered to this promise. They hastily carried out an inter- nal evaluation and came to a positive evalu- ation of the investment plan. In September 2016, the Commission proposed the exten- sion and expansion of the fund - barely one year after the setting up of the EFSI, and Figure 1: How the EFSI works almost two years before the deadline for an Source: European independent evaluation. Currently, both the Investment Bank Council of the EU and the European Parlia- 12 International Transportation (69) 1 | 2017
EU transport investment STRATEGIES ment are scrutinizing this proposal. It fore- Figure 2: Sectorial sees an increase of the EU guarantee from distribution of EFSI EUR 16 to 26 billion and, thereby, aims at investments Source: European triggering investments equaling a total of Investment Bank EUR 500 billion. Moreover, the Commis- sion wants to extend the duration of the fund from July 2019 to December 2020. The necessary funding shall yet again be raised from other parts of the EU budget, with transport once more being amongst the major contributors (EUR 155 million). This approach was met with harsh criti- cism by the European Court of Auditors, the EU’s budget watchdog. “The Proposal was launched without a comprehensive impact assessment (for the second time) and too soon for the economic, social and environ- mental impact of EFSI to be measured and to enable a conclusion whether EFSI is achieving its objectives”, the institution concluded.3 The Transport Committee of the European Parliament was equally alarmed by the threat of seeing a further cut European Transport Networks” try to capital markets. There may be benefits in in the EU’s budget for transport infrastruc- achieve. It is clear that the “Juncker fund” certain cases, but this can never be a substi- ture. The Members of Parliament prepared puts the financial viability of projects before tute for a well thought-out transport policy. their own appraisal of the “Juncker plan” fundamental EU objectives such as cohe- It would be of much more strategic impor- and arrived at explosive conclusions. sion, employment and climate protection. tance for the EU to finally turn the promises made in the 2011 EU White Paper on Trans- Disappointing results for the How the EFSI could be turned port into a reality, rather than putting their transport sector into a success hopes in the “Juncker Fund” with its limited Probably the most salient insight is that the The proposed expansion and extension of size when compared to the GDP of the EU. transport sector is underrepresented the fund appears counterproductive against If the EU succeeded in establishing fair amongst the selected projects, despite its this background. It would thus seem logical intermodal competition, better consumer high financial contribution (see figure 2). So to freeze EFSI spending and transfer the protection and a shift towards environmen- far, transport only accounts for 9 % of the remaining funds to other instruments. But tally-friendly transport modes, this would approved EFSI projects. Besides this secto- such a proposal would be doomed to fail, be a major step towards the future of mobil- rial imbalance, there also is a geographical given the dominance of the Grand Coalition ity – and one that needs no additional public one: three quarters of the projects are located between Conservatives and Socialists at the spending. ■ in the older Member States, whereas Central European level. It would be more realistic to and Eastern Europe are underrepresented. temporarily suspend the increase and pro- The second important lesson is related to longation of the fund in order to draw the 1 The list of projects financed by the EFSI can be found on the the character of the selected projects. There right lessons and readjust the fund. website of the European Investment Bank: http://www.eib. org/efsi/efsi-projects/ clearly is a preference for projects with a In this context, it is important to note that 2 See Regulation 1316/2013 establishing the „Connecting high investment volume over the ones with European economies no longer suffer from Europe Facility“, recital 15; http://www.eca.europa.eu/ clear added value for the EU. Projects of weak demand but rather have to cope with Lists/ECADocuments/OP15_04/OP15_04_EN.pdf regional or national importance account for their structural deficiencies and the conse- 3 See Opinion 2/2016 of the European Court of Auditors, the major share of the supported projects, quences of global trends. The focus on paragraph 26; 11 Nov 2016; http://www.eca.europa.eu/en/ whereas measures for the Trans-European increased spending at almost every price Pages/DocItem.aspx?did=39677 infrastructure and the transition towards therefore makes less sense than ever. Instead, 4 See the press release/report of 16 December 2014 by the sustainable mobility are rare. The afore- the EU should put the long-term benefits at European Court of Auditors; http://www.eca.europa.eu/ Lists/ECADocuments/INSR14_21/INSR14_21_EN.pdf mentioned example of Greek regional air- the heart of its investment policies. The ports is an example of the blindness of the European Commission’s proposal contains EFSI fund with regard to transport policy one lesser-known idea that shows how this Michael Cramer objectives. In 2014, the European Court of could be achieved: they suggest that EU Member of the European Parliament Auditors scrutinized EU spending on grants for transport infrastructure be for the Greens/EFA, Brussels (BE) regional airports and found that it “pro- “blended” with private capital in order to michael.cramer@ep.europa.eu duced poor value for money”.4 accelerate the realization of the TEN-T. This What is more, road construction repre- could indeed be an interesting approach – sents 40% of signed EFSI transport projects, provided that EFSI spending is strictly linked Jens Müller, MA in European while the environmentally-friendly railways to working towards the goals of territorial Economy only account for 20% and cross-border pro- cohesion, employment and decarbonisation. Transport Policy Advisor in the European Parliament, Brussels (BE) jects can barely be found on the list. This is Finally, one may also wonder whether it jens.mueller@ep.europa.eu exactly the opposite of what the “Trans- makes sense that the EU gets involved in International Transportation (69) 1 | 2017 13
STRATEGIES Urban Development Photo: Pixabay Public transit and land use decisions Review of guidebooks for transit agencies Public transportation, transport planning, passenger transportation The integration of public transit and land use planning in large cities and metropolises is still widely insuf- ficient, at least in the Federal Republic of Germany. As a consequence, the potential of transit-oriented land use could be more fully exploited in order to maximize the benefits for traffic and the environment. This situation clearly needs to be corrected. This can be achieved by re-positioning transit agencies in the processes of deciding how to use land, creating a better orientation of the land use development that incorporates the backbone systems of public transit, taking advantage of innovative financing options, and, last but not least, acknowledging expected changes in future mobility patterns. Andreas Kossak I nitiated by the Verband Deutscher ties since the 1960s. Although issues in address the complex issues of public transit, Verkehrsunternehmen (VDV, Engl.: transportation planning, including public due to a lack of educational background and Association of German Transit Com- transportation, have been approached aca- professional experience. They have been panies), a group of experts met to dis- demically, they have not been fully talking idly for years about an impending, cuss the topic of transit and town planning. addressed or translated into practice. This drastic change in mobility conditions. In The results of the assembly were published has been due, in part, to the lack of interest particular, they have also been forecasting a in an article entitled “Integration of Town or cooperation of many transportation world in which people will more or less Planning and Transit for Lively Cities” in industry stakeholders. However, in light of exclusively rely on shared self-driving cars. the VDV’s journal (Der Nahverkehr) in 2016. the expected changes in mobility conditions As such, most of their scenarios fail to The article’s subtitle clearly expresses the and behaviors, a continuation of this situa- include mention of classical public trans- demand that transit issues should be duly tion could not only weaken but even signifi- portation [2]. considered in strategic urban and traffic cantly endanger the role of the public tran- In contrast, independent experts and planning processes [1]. sit in urban transportation systems. renowned research institutes worldwide The integration of urban and transporta- “Mobility researchers” or “Future have assigned a much more positive and tion planning has been a topic of teaching researchers” often are more or less self- meaningful role to future models of public and research at German technical universi- appointed and inadequately qualified to transportation in cities and metropolitan 14 International Transportation (69) 1 | 2017
Urban Development STRATEGIES areas [3]. In particular, they expect that example, transit agencies “…need to be issues related to land use decisions, the urban and regional rail systems will even invited to the table (i. e., to participate in the benefits of and need for transit, or the assume more dominant roles as backbones land use decision-making process)” and relationship between transit and land use of passenger transportation systems, pro- they “...need the tools to be influential play- decisions. vided that public transit agencies and enti- ers when they arrive at the table”. To this ties responsible for urban and transporta- end, the authors explicitly state that the The guidebook presents four case studies tion planning react appropriately to the goal of the guidebook is to promote “...effec- that illustrate how the successful applica- anticipated changes. tive transit and land use decision-making by tion of the above-mentioned five “precondi- Addressing the complex task of fully providing the transit agencies with the right tions for success” has been implemented in exploiting the potential of future options set of tools to be effective at the decision- real-life situations involving public transit. that favor public transit and improve traffic making table”. This is accomplished by pro- In particular, the potential of urban rail sys- and environmental conditions in cities and viding answers to the following questions: tems to enhance and/or intensify transit- metropolitan areas primarily involves the • “What can transit agencies do to become oriented development becomes clear in the following: more meaningful participants in land use following two cases: • determining the kind and extent of decision-making?” • improvements made along existing rail involvement of transit agencies in planning • “When and how is it worthwhile for tran- lines in New Jersey and, regional and urban passenger transport, sit agencies to get involved?” • the introduction and expansion of a • planning the intensity and extent of tran- modern streetcar system as a method to sit-oriented development (TOD), and The guidebook outlines the following redevelop a district adjacent to the down- • strengthening the financial basis of public five preconditions for success: town area of Portland, Oregon. transit. • a supportive transit agency board, • a designated transit agency staff person In the Portland streetcar project case Remarkably, several guidebooks, memo- with technical competency, study, it is explained how town and trans- randums, and papers that deal with these • a coordination process, portation planners in the early 1970s sys- complex considerations have been recently • a common understanding or language, tematically approached and pursued chang- published by Federal Administrations, by and ing an automobile-centered transit situation the Transportation Research Board (TRB) • a transit-supportive community. to one based on a modern light rail system of the National Academies of Sciences, and (LRT) in the Portland metropolitan area. In the American Public Transit Administra- The guidebook offers a wide range of order to visualize what the consequences of tion (APTA). All of these publications were tools and tips related to these issues. In this a continued and automobile-oriented tran- based on intensive research. Although the context, the guidebook explicitly refers to sit policy would look like, a photo montage respective histories of public transit in the the fact that even though transit authorities was created to show how Portland’s skyline US in Europe differ in numerous aspects, (in the US) do not have the jurisdictional would look with six 40-story parking facili- the facts and recommendations docu- authority to ensure that land use decisions ties added to it. According to local authori- mented in the U.S. publications are more or are transit-supportive, they have multiple ties’ estimates, these facilities would have less directly transferable to European tran- possibilities to “proactively engage…major been necessary if the former automobile- sit systems. A survey of selected issues cov- stakeholders and the general public to focused transportation policy had been ered in the latest publications is provided in achieve the desired land use outcome”. maintained and allowed to expand. the following. Furthermore, the following key tools for Instead, a previously existing, multi- “enhancing the communication and coordi- story parking garage in the downtown area Linking public transit and town nation” among the different stakeholders was pulled down, and the land was used to planning are discussed: create a very attractive public square (Pio- Sponsored by the U.S. Federal Transit • Partnering: This includes early and sus- neer Square, see figure 1). Since then, Port- Administration (FTA) in the framework of tained communication, formal and infor- land’s new “living-room” has enjoyed the TRB’s Transit Cooperative Research mal processes of engaging transit agen- immense popularity, and it has received Program (TCRP), the “Guidebook for Transit cies in the decision-making processes, highest US awards for architecture, urban Agencies: Linking Transit Agencies and Land encouraging cities to incorporate transit design, and public art [5]. All light-rail lines Use Decision Making” was published in the considerations during their development of the metropolitan area are connected to fall of 2016 [4]. The guidebook presents review processes, and establishing work- one another around the square. explicitly stated, basic tenets, such as: ing groups, workshops, and educational Following the short versions of the case • “Land use decisions play a key role in programs. studies (full versions are attached at the end shaping the long-term success of virtu- • Publishing strategic guidebooks: This of the guidebook), the key interaction points ally every transit system.” includes developing region-specific and activities at the various geographic • “Organizations other than transit agen- handbooks, guidebooks, and/or websites planning scales (e. g., regional, municipal, cies hold the responsibility and authority related to transit-supportive develop- county, corridor, sub-area/district, and site) for integrating land use and transit”. ment, thereby highlighting the impor- are explained. As well, the specific chal- tance of interagency communication, lenges of cooperating with the various part- The guidebook emphasizes how “...tran- collaboration, and coordination. ners involved in land use decision-making sit agencies can influence the framework for • Articulating costs and benefits: Here, all processes (e. g., metropolitan planning those stakeholders to routinely make tran- stakeholders (e.g., local governmental organizations, state government, philan- sit-supportive land use decisions”. In this land use planners and private develop- thropic organizations, non-profit commu- regard, it also calls attention to crucial ers) should be informed about and fully nity organizations, and private developers) requirements for successful planning. For understand the service and operational are described. International Transportation (69) 1 | 2017 15
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