Transcript PowerPoint-presentatie

Infrastructure Charging
Policy Objectives and Implementation
by Mr J. Sluijter
1
EU Framework for IM
The Infrastructure Package:
• Directive 2001/12 (amended 91/440) on Development
of Community Railways; Separation Infra, Cargo,
Passengers)
• Directive 2001/13 (amended 95/18) on Licensing of
Railway Undertakings
• Directive 2001/14 (ex 95/19) on Infrastructure
Charging, Allocation and Safety Certificates
Focus on International Freight
2
Main amendments on structure
Former 91/440-95/19:
2001/14:
• Required separation of
accounts infra and
operations
• Requires in addition
separation of accounts
of FREIGHT and PAX
• No cross-subsidy F/P
• Required separation RU
and State
• Essential functions IM
performed separately
from RU’s; IM is
independent from RU’s
3
Consequences structure changes
• Open (freight) transport market: in principle no
subsidy (but favouring measures possible, e.g.
temporary subsidies, intermodal investments)
• International passengers: no subsidy, but large
investments in corridors are made.
• Domestic long distance: in general no subsidy, but
policy choices in charging, investments, etc.
• Regional: always subsidisable; concessions in
which charges influence subsidy.
4
Structure changes
I
F
P-IC
P-reg
Open Access Concessions? Concessions &
Exclusivity?
Subsidies
5
Main amendments related to charging
Former 91/440-95/19:
• Member states lay down
rules
• No discrimination in
charging; provision of all fee
information by IM
2001/14:
• IM proposes and collects
charges; State may allow IM to
balance accounts (if rail remains
competitive, the State may even
require to balance accounts
without state funding).
• If IM is not independent,
charging is performed by other
independent body
• While maintaining safety IM’s
shall be provided with incentives
to cut costs and level of charges
6
Why are charges needed?
• EU: No (international) differentation between
modes; all transport modes will have to pay
charges to avoid false price signals to
demanders that ignore the real economic
value (Open Access), and thus to...
• Optimise the utilisation, cost-effectiveness
and quality of the complete transport network
(i.e. with the right price signals) through
economic mechanisms.
7
Intentions EC
• Member states responsible for infrastructure
• Imposing charges for all modes is obligatory,
but EC sets principles, not the charging levels
• The EC does not want to raise the general
level of charges, but scale them differently
• The EC does not penalise any mode in
particular, but wants to increase efficiency in
the transport sector
8
Main issues for Government
• A principle choice needs to be made by the
Government concerning the subsidy flows in rail
market (cost coverage level, objective)
• Cost backlog in maintenance: difficult/unfair to
charge to (new) operators (EU subsidy?)
• A Government has various options to organise the
financial flows within railway market (IM, RU’s)
Most EU countries opted for the subsidisation of
the IM in combination with subsidisation of a
specific part of the rail operations, particularly
regional transport.
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Organising and balancing
financial flows…
IM
F
S?
TC
C
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P-IC
P-reg
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T/S?
I
I
I
OC
R
C
R
OC
T
OC
C
R
C
S?
T?
T
R
…requires sector business plan with fair cost levels.
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2001/14
Scope:
Infrastructure for domestic and international rail
transport, but Member States may exclude:
1. Stand alone local/regional networks for pax
(e.g. “isolated” tram, light rail, etc.)
2. Networks for (sub)urban pax transport only (e.g.
metro, tram)
3. Regional freight networks used by one RU
solely, until capacity requested by other RU
4. Privately owned infra for own use solely
11
Objectives charge system design
Strategic:
Improve position (internat. freight) rail transport
•
•
•
•
•
Cost recovery
Better utilisation of network
Guidance for investment choices
Increase market share of rail
Reduction of costs (funding)/increase of
productivity
• Improvement of quality of services
12
Charging system
EU/ECMT:
• Gradual harmonisation of charging principles
applied in all forms of commercial transport
• It should optimise network utilisation
• Charges related to marginal social costs,
which may include network operating cost,
cost of worn-out infra, congestion (capacity
expanding), accidents and environmental
damage
13
Introduction user charge systems
• Up to 2004: Introduction of (various)
user charge systems in Member States
• 2004: Review and further harmonisation
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The Infrastructure Manager
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•
•
•
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100% State-dependent
Is fully independent from transport undertakings
Proposes charges and rules to State
Collects the charges
Needs incentives (quality and cost reduction)
Will be monitored by the Regulator Body and/or
competition authority
• Has a difficult job!
15
Main conclusions on Directives
• Comparison with other modes is crucial
• Implementation requires sector and IM business plan
• Government has to make principle choice on subsidy
flows in the rail market (cost recovery level) and
related financing options (to IM or RU)
• The Directives do not offer one single methodology to
define infra charges
• Valuation of national and international interests and
conditions will make it difficult to reach complete
harmonisation of charging regimes.
• Harmonisation of charging regimes is a complex and
long-term process
16
Workshop
2001/14
Network Statement – Purpose:
• Transparency for all RU’s and interested parties
• Non-discrimination between RU’s
• Based on consultation of all interested parties
IM is responsible for Statement, Government,
being shareholder, financer (subsidies,
investments) and policy maker, approves.
17
2001/14
Network Statement – Content (“Annex I”):
• Describes functional and technical characteristics
of infrastructure available to RU’s, and the
access conditions (technical, policy priorities,
existing concession contracts, etc.)
• Charges: Principles, tariffs, methodology, rules,
“Annex II-charges” and future changes
• Capacity allocation: principles, criteria,
procedures and deadlines
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27.6.2000 EN C 178/43 Official Journal of the European Communities Annex I
Contents of the Network Statement
The network statement referred to in Article 3 shall contain the following information.
1. A section setting out the nature of the infrastructure which is available to railway
undertakings and the conditions for access to it.
2. A section on charging principles and tariffs. This shall contain appropriate details of
the charging scheme as well as sufficient information on charges that apply to the
services.
3. A section on the principles and criteria of capacity allocation. This shall set out the
general capacity characteristics of the infrastructure which is available to railway
undertakings and any restrictions relating to its use, including likely capacity
requirements or maintenance.
(a) the procedures according to which applicants may request capacity
(b) the requirements governing applicants;
(c) the schedule of the application and allocation processes;
(d) the principles governing the co-ordination process;
(f ) details of restrictions on the use of infrastructure;
(g) any conditions by which account is taken of previous levels of utilisation of
capacity, adequate treatment of freight services, international services and
requests subject to the ad hoc procedure.
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Basic charging principles (ECMT)
• Short-run marginal (incremental) cost
approach
• Congestion charge to spread traffic or to
finance additional capacity (i.e. long-run
marginal costs; could be a fixed charge)
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2001/14 on charging principles:
• Non-discriminatory charges, published in
Network Statement
• IM respects commercial confidentiality
• RU is entitled to minimum access package
• Marginal cost pricing
• Charge may include a congestion fee
• Taking account of environmental cost (in
relation to charging other modes!)
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Exceptions on principles:
• Full cost recovery mark-ups may be used
under efficient and transparent conditions, if
market can bear. (e.g. Ramsey-Boiteux pricing)
• Higher charges possible for specific
investment projects, if they increase
efficiency/cost-effectiveness (making >5-year
framework contracts possible)
22
Other components charging regime
• Time-limited discounts (e.g. off-peak paths)
• Compensation schemes for unpaid (ext.)
costs in competing modes
• Methodology and calculation publicly
available
• Performance scheme for both RU’s and IM
(bonus/penalty)
• Reservation charges
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Aims of charging system (1)
Microeconomic
• Fully or partly coverage of cost of maintaining
and operating the network
• Possibility to differentiate the charges to
specific criteria to work with actual value of
usage
• Non-discrimination to allow access to third,
new parties (competition)
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Aims of charging system (2)
Macroeconomic
• To make the user cover the cost of using
resources
• To improve the market position of rail
transport in general (in particular for freight) to
promote the entry of new operators
(competition) and hence to promote keener
pricing, quality and innovation
For pax service the concession tender is
essential as well to reach these aims (ref.
proposal 2000/0212 to replace 1191/69-1993/91)
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Issues affecting charging regime (1)
• A principle choice needs to be made by the
Government concerning subsidy flows in rail market
(cost coverage level, objective)
• Cost backlog in maintenance: difficult/unfair to charge
to (new) operators (EU subsidy?)
• A Government has various options to organise the
financial flows within railway market (IM, RU’s)
• Most EU countries opted for the subsidisation of the
IM in combination with subsidisation of a specific part
of the rail operations, particularly regional transport.
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Organising and balancing
financial flows
IM
C
S?
TC
C
I
P-IC
P-reg
I
I
T/S?
I
S
T?
I
I
OC
R
C
R
OC
T
OC
C
R
C
T
R
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Issues affecting charging regime (2)
•
•
•
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IM needs to work within Government legal framework
Cost recovery level is set by Government
Minimum level = short-run marginal costs
If more costs have to be covered: Mostly charging
according to ability to pay (market pricing); also
recovery of capacity expansion (scarcity pricing)
• Fixed costs charging is not advised, as it hinders the
aimed economic mechanisms
• Contract duration (5, possibly 10, for PS exceptionally 15 yrs)
28
Business Plan for IM
The Infrastructure Company:
• State is only shareholder
• Owns tracks, yards, platforms, transfer facilities
and access roads
• Income: charges, state operational subsidies,
state investments, EU subsidies
• Costs of operating, maintaining and building
• State investment = new shares for State or
direct subsidy (new assets at “0”)
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Main Issues Business Plan IM
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•
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Future markets and network size
Planning of work and staff
Financial plan
Definition subsidy flows and level of charging
What happens if State wants 100% cost
coverage?
• Formulas and rules for charging
• Calculate budget forecasts
• What to be achieved with charging system?
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IM’s cost coverage
IM’s costs to be
recovered
Marginal
costs (wear
& tear)
Scarcity
costs
Fixed costs
State
reimbursement
Pricing elements
Marginal
costs
pricing
Scarcity pricing
(opportunityto-recover per
section)
Market pricing
(opportunityto-recover per
RU
Fixed fee
State
reimbursement
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C 178/44 EN 27.6.2000 Official Journal o the European Communities ANNEX II
SERVICES TO BE SUPPLIED TO THE RAILWAY UNDERTAKINGS
1. The minimum access package shall comprise:
(a) handling of requests or infrastructure capacity;
(b) the right to utilise capacity which is granted;
(c) use of running-track points and junctions;
(d) train control including signalling, regulation, dispatching and the communication
and provision of information on train movement;
(e) all other information required to implement or operate the service for which
capacity has been granted.
2. Track access to services facilities and supply of services shall comprise:
(a) use of electrical-supply equipment or traction current, where available;
(b) refuelling facilities;
(c) passenger stations, their buildings and other facilities;
(d) freight terminals;
(e) marshalling yards;
(f ) train- formation facilities;
(g) storage sidings;
(h) maintenance and other technical facilities.
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C 178/44 EN 27.6.2000 Official Journal o the European Communities ANNEX II
SERVICES TO BE SUPPLIED TO THE RAILWAY UNDERTAKINGS
3. Additional services may comprise:
(a)
traction current;
(b)
pre-heating of passenger trains;
(c)
supply of fuel, shunting, and all other services provided at the access service
facilities mentioned above;
(d)
tailor-made contracts for:
- control of transport of dangerous goods;
- assistance in running abnormal trains.
4. Ancillary services may comprise:
(a)
access to telecommunication network;
(b)
provision of supplementary information;
(c)
technical inspection of rolling stock.
Note: Mandatory services as regards safety control
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Determining charges
Components (ref. “Annex II”):
1. Minimum access package:
–
–
–
–
Direct (incremental) costs
Congestion/scarcity fee
Environmental costs (?)
Mark-ups (?)
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Determining charges
2. Basic track services (stations, terminals,
maintenance, equipment, etc.)
–
–
Price related to competitive position rail
Access obligatory (non-discrimination),
not necessarily provided by IM (depends
on ownership)
35
Determining charges
3. Additional services (shunting, preheating, traction current, etc.)
–
–
–
Access is obligatory (non-discrimination),
not necessarily provided by IM
Price = cost, if single supplier
Price = market price, if other suppliers
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Determining charges
4. Ancillary services (technical inspection
RS, suppl. information, etc.)
–
–
–
Optional, not necessarily provided by IM
Price = cost, if single supplier
Price = market Price, if other suppliers
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Formula example
Charge = Pkm * Z * Qkm * F + ∑(ASi * Qi) + (Pel * Qel)
Base package
Pkm
Z
Qkm
F
AS
Q
Pel
Qel
Add./anc. service
Electricity
= price per train-km
= parameter dependent of type of train and track
= purchased no. of train-km
= factor for special demands of RU
= additional and/or ancillary services
= quantity of AS (e.g. no. of coaches pre-heated)
= price electricity (kWh)
= quantity electricity used
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Applied approaches
1. Short-Run Marginal Cost (SRMC)
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•
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Comparison with other modes
Generally low variable and some low
fixed costs
Difference rev/exp = state contribution
Applied by many European countries
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Applied approaches
2. Adjusted Average Cost (AVC)
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•
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Tries to raise a total target amount
Mainly variable charges
In general no shortages on planned costs
State contribution firstly defined, based on
wider policy objectives
Applied in a/o France, Germany, Netherlands
and Austria
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Cost-based charges
•
•
•
•
Short-run average costs
Long-run average cost
Short-run marginal costs
Long-run marginal cost
• Average/marginal long-run would recover all
costs, but difficult because of changes in
demand and slow changes in supply
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How to recover total cost?
1. Government subsidy
•
•
•
As short-term compensation of unpaid external
cost in road sector
Non-transport objectives (e.g. environment)
(also investments)
In general: Subsidy to operators instead of IM
preferred to allow IM to balance accounts
based on economic mechanisms
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How to recover total costs?
2. Multi-part tariffs
•
•
•
Fixed mark-ups
May not deter operators
Government may subsidise on social
grounds
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How to recover total costs?
3. Ramsey-pricing
•
Mark-ups for least demand elastic segments
(≈“What the market can bear” ; less social loss)
P
P
Segment A
Q
Segment B
Q
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Problems high cost coverage
• Railway undertakings have different abilities to pay
(markets/segments)
• To achieve (almost) 100% cost coverage, one need
to use the differentiation factor (the modulating
parameter) in an optimal way (e.g. Ramsey-pricing)
• Requires in-depth knowledge about what the different
rail markets can bear (ability to pay) and demand
elasticities (based on ‘fair’ oper. cost prices!)
• This kind of knowledge is probably not available
• A low ability to pay in all markets (?); subsidy directly
to IM instead of TOC’s?
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Conclusions charging options
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Different approaches distort competition
between Member States, between modes and
within modes
Many exceptions, not much is obligatory
Complex charging systems confuse the
operation of the market;
Common charging principles would create a
level playing field (between modes and
countries)
Marginal cost approach results in deficit
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Incentives good IM behaviour
• The RU expects to receive a train path which complies with
the quality required for a specific service. The IM should
have a financial incentive to deliver the required quality
and/or to improve this quality:
• Introduce an improvement plan for the IM which includes
targets with regard to e.g. the number of speed restrictions.
If the targets are not achieved, those operators which are
harmed obtain a reduction on the total amount of infra
charges to be paid.
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What has to be done? (1)
• Establish working-group (Finance, Infra, MoT)
• Prepare mid-/long-term BUSINESS PLAN for IM:
–
–
–
–
–
–
–
–
Realistic forecast development of rail markets (O/D)
Network size
Maintenance (backlog?) and renewal demand plan
Long term timetable planning (no. of trains/day/line)
Planning new investments
Work plan
Government policy (funding, objectives, etc.)
Cost, budget/subsidy forecast
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What has to be done? (2)
• Define approach on cost coverage policy
• Demand groups to estimate willingness to pay
• Define consequences and aims of policy on state
subsidy and external costs (harmonisation in relation
to other modes!)
• Establish (remaining) cost recovery system (markups, state funding?)
• Define incentives, not only for RU, but also for IM!
(bonus/penalty system)
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What has to be done? (3)
• Define basic line and train categorisation, a/o:
– rail installations attributed to the track
– congested stretches to fix peak-charges
• Determine (incremental) infrastructure costs per line
category and per train type
• Determine additional charges for higher/lower speeds
based on stretch-specific optimal train speeds
• Take specific user (capacity) demands into account
(type of traffic, timetable requirements)
50
What has to be done? (4)
• Development pricing system for use of stations, yards
and sidings
• Establish differentiation in charges (P/F, highperformance/regional, scarcity, etc.)
• Iterative testing of alternatives/scenario’s
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Examples charging systems
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Germany
Netherlands
Denmark
France
UK
Sweden
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Germany
• Modular system to calculate train path price
• Based on (almost) full cost coverage; no capital
costs, no backlog costs, but overhaul included
• Base price per line category (+ util. factor)
• Additional product factors (type of service)
• Additional special factors
• Path prices reflect infra requirements and
competitive situation per market segment
• Base price 1.70 – 2.75 euro
• Product factors 1.00 – 1.80 (pax)
Transparent system
(separate overview)
53
The Netherlands
• Only short-term variable (marginal) charges (per
train-km); overhaul cost not included
• No difference freight-/passenger-trains
• No differentiation weight/speed/technology
• No marginal social costs included (yet?)
• Regional (decentralised) services exempted
• Additional charges for use of stations (2 cat.)
• Gradual introduction (pax 2005/freight 2007)
• Full charges: 0.95 euro/train-km and
• 2.95/0.65 euro per station stop
Simple and robust for future changes, low charges
54
Denmark
• Only variable (marginal) charges (exceptional fixed charges
for freight)
• Charging system contains:
* access charge (for freight only sections)
* train-km charge (differentiated P/F and density)
* access charges for use Great Belt Link/Oresund Link
• Indications charges:
Main link (b-to-b): 5.50€/P-train-km and 2.86€/F-train-km
Other sections: 0.45€/P-train-km and 0.23€/F-train-km
Note: Charges GBL (860€) and Oresund Link (135€)
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France
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•
•
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Fixed amount of government funding (high)
Two-tier charge
Access fee (right to use) is fixed (for special sections)
Variable charges for reservation and actual use
Variable charge for use are not differentiated
Indications total charges per train-km:
Passenger-trains: 1.75€ (IC) to 10.77€ (!, local)
Freight trains: 0.98€/train-km
HST: 8.00€/train-km
Transition phase?
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United Kingdom
• Railtrack WAS only commercial IM in Europe
• Changes? Former system:
• Rail-route related contracts between TOC
and Railtrack
• Charges based on negotiation/special terms
• TOC mostly regional monopolies with own
requirements
• Total charges cover “total” cost plus profit
• Subsidies received only by TOC’s
57
Sweden
• Charging policy not only means to cover cost, but to achieve
transport, environmental and other policy objectives
• Creating similar conditions all modes (rel. low charges)
• Charges should reflect w-and-t (SRMC) ánd ext. costs
• Charges:
–
–
–
–
–
Wear-and-tear: 0.29€ per 1000 GTKM
Marshalling: 0.40€/wagon
Accidents: 0.11€/P-train-km and 0.05€/F-train-km
Emissions: 0.30€/litre diesel €/1000 GTKM P-trains
Oresund Bridge mark-up: 0.58€/1000 GTKM P-trains
System needs further specification, probably with higher charges
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Recommendations
• Make business plan for whole sector
(and then for IM)
• Study current (developing) charging systems
and related subsidy flows
• Start simple
• Keep it simple!
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