Proposal for a Regulation of the European Parliament and of the Council on the granting of community financial assistance to improve the environmental performance of the freight transport system
Date: 2002-02-04
Institutions: European Commission
Subjects: EU financial instrument, EU programme, carriage of goods, environmental protection, international transport, intra-EU transport

C 126 E/354

EN

Official Journal of the European Communities

28.5.2002

Proposal for a regulation of the European Parliament and of the Council on the granting of
the freight
Community financial assistance to improve the environmental performance of

transport system

(2002/C 126 E/12)

COM(2002) 54 final — 2002/0038(COD)

(Submitted by the Commission on 4 February 2002)

THE EUROPEAN PARLIAMENT AND THE COUNCIL OF
THE EUROPEAN UNION,

foster

and
advanced methods
co-operation in the freight market.

and procedures of

Having regard to the Treaty establishing the European
Community, and in particular Articles 71(1) and 80(2) thereof,

Having regard to the proposal from the Commission,

Having regard to the opinion of the Economic and Social
Committee,

Having regard to the opinion of the Committee of the Regions,

Acting in accordance with the procedure laid down in Article
251 of the Treaty,

Whereas:

(1) The European Council held at Gothenburg on 15 and
16 June 2001 has declared that shifting the balance
between the modes is at the heart of the sustainable devel-
opment strategy.

(2) If no decisive action is taken, total road freight transport
in Europe is set to grow by about 50 % by 2010. The
effect would be a growth of international road freight of
about 12 billion tonne-kilometres per year.

(3) In its White Paper — European Transport Policy for
2010: time to decide (1), the Commission proposed to
take measures which should make the market shares of
the modes of transport return, by 2010, to their 1998
levels. This will prepare the ground for a shift of balance
from 2010 onwards.

(4) It

is necessary to establish a programme, hereinafter
referred to as the ‘Marco Polo programme’, to improve
the environmental performance of the freight transport
system within the Community. The programme should
contribute to shifting the expected aggregate increase of
international road freight traffic to short sea shipping, rail
and inland waterways.

(5) The Marco Polo programme features three types of action:
(1) modal shift actions, which should focus on shifting as
much cargo as possible under current market conditions
from road to short
and inland
waterways; (2) catalyst actions, which should change the
is conducted in the
transport
way non-road freight
Community; and (3) common learning actions, which
should enhance knowledge in the freight logistics sector

sea shipping,

rail

(6) Actions must

least

countries

involve the territory of at

two
countries. If these two countries are Member States or
other
programme
according to the conditions laid down in the Regulation,
the programme will re-imburse the costs accrued to the
participating undertakings within the limits laid down in
the Regulation.

participating

the

in

(7) Applicants should be able to submit projects which best
match current market needs. Suitable projects should
therefore not be discouraged by any over-rigid definition
of allowable actions.

(8) The results of the catalyst and common learning actions
of the programme should be adequately disseminated, in
order to ascertain replication, publicity and transparency.

a

real

chosen makes

(9) During the project selection procedure and during the life
it is necessary to ensure that the
time of the project,
project
contribution to the
common transport policy and does not cause unac-
ceptable distortions of competition. The Commission
shall therefore evaluate the implementation of this Regu-
lation. It shall present, not later than 31 December 2006,
an assessment report on the results of the Marco Polo
programme, accompanied if necessary by a proposal for
the amendment of this Regulation.

(10) Since the objective of the proposed programme, cannot
be sufficiently achieved by the Member States and can
therefore, by reason of the scope of the programme, be
better achieved at Community level, the Community may
adopt measures, in accordance with the principle of subsi-
diarity as set out in Article 5 of the Treaty. In accordance
with the principle of proportionality, as set out in that
Article,
is
necessary in order to achieve that objective.

this Regulation does not go beyond what

(11) In accordance with Article 2 of Council Decision
1999/468/EC of 28 June 1999 laying down the
implementing powers
procedures
conferred on the Commission (2), measures
the
implementation of this Regulation should be adopted by
use of the advisory procedure provided for in Article 3 of
that Decision.

the exercise of

for

for

(1) COM(2001) 370 final.

(2) OJ L 184, 17.7.1999, p. 23.

28.5.2002

EN

Official Journal of the European Communities

C 126 E/355

(12) A financial reference amount, within the meaning of
point 33 of the Interinstitutional Agreement of 6 May
1999 between the European Parliament, the Council and
the
and
improvement of the budgetary procedure is inserted in
this Regulation for the entire duration of the programme,
without the powers of the budgetary authority as defined
by the Treaty being affected thereby.

Commission

budgetary

discipline

on

(13) In order to administer funding under this Regulation in
this Regulation
its

the most expedient and speedy way,
should enter
adoption,

into force as fast as possible after

HAVE ADOPTED THIS REGULATION:

CHAPTER I

SUBJECT-MATTER, DEFINITIONS AND SCOPE

Article 1

Subject-matter

1.
This Regulation establishes a single financing instrument
reducing road congestion and improving the
for actions
environmental performance of the transport system, hereinafter
referred to as the ‘Marco Polo programme’, for the period from
1 January 2003 to 31 December 2010.

2.
The Marco Polo programme shall contribute to main-
taining the modal repartition in freight transport at its 1998
levels. To achieve this objective, it shall support actions in the
freight transport,
logistics and other relevant markets. These
actions should contribute to reducing environmental impacts
from freight transport. By the end of the programme, a traffic
shift of the expected yearly aggregate increase of international
road freight traffic, measured in tonne-kilometres, to short sea
shipping, rail and inland waterways should be achieved. The
implementation of the programme shall aim at maximising the
environmental benefits achieved, given the resources available

Article 2

Definitions

For the purposes of this Regulation:

(a)

‘action’ means any project related to the logistics market,
executed by undertakings, which contributes to reducing
congestion in the road freight transport system and/or to
a better environmental performance of
the transport
system;

(b) ‘modal

shift

any action directly and
action’ means
immediately shifting freight
sea
from road to short
shipping, rail or inland waterways, without being catalyst
actions;

(c)

(d)

(e)

structural barriers

‘catalyst action’ means any innovative action aimed at over-
coming Community-relevant
in the
market for freight transport, which impede the efficient
functioning of the markets, the competitiveness of short
sea shipping, rail, or inland waterways, and/or the effi-
ciency of transport chains making use of these modes;
for
‘structural market
barrier’ means any non-regulatory, factual and not only
temporary impediment to the proper functioning of the
freight transport chain;

the purpose of

this definition,

‘common learning action’ means any action aimed at
improving co-operation for optimising working methods
and procedures in the freight transport chain, taking into
account the requirements of logistics;

‘accompanying measure’ means any measure which seeks
to prepare for or to support current or future actions, inter
alia dissemination activities and project monitoring and
evaluation, and the collection and analysis of statistical
data. Measures devoted to the
commercialisation of
products, processes or services, marketing activities and
sales promotion are not ‘accompanying measures’;

(f)

‘consortium’ means any formal or informal arrangement by
which at least two undertakings execute together and share
the risk concerning, an action;

(g)

‘undertaking’ means any entity engaged in an economic
activity, regardless of the legal status of the entity and
the way in which it is financed;

(h) ‘ancillary’ means necessary, but sub-ordinate, to achieve the

goals of ‘modal shift actions’ or ‘catalyst actions’.

Article 3

Scope

This Regulation is applicable to modal shift actions,

1.
catalyst actions and common learning actions:

(a)

involving the territory of at least two Member States;

(b) involving the territory of at least one Member State and the

territory of a third country.

2. Where an action involves the territory of a third country,
costs arising in the territory of such a country shall not be
in the circumstances
covered by the programme, except
mentioned in paragraphs 3 and 4 of this article.

3.
The present programme is open to participation of
eastern and central European countries, which are candidates
to the adhesion. The participation will be governed by the
conditions laid down in the Association Agreements with
these countries, and on the basis of the rules foreseen in the
decision of
each country
concerned.

the Association Council

for

C 126 E/356

EN

Official Journal of the European Communities

28.5.2002

The present programme is also open to participation of
4.
the countries being members of the EFTA and the EEA, and to
Cyprus, Malta and Turkey on the basis of supplementary
credits and in conformity with the procedures to be agreed
with these countries.

selection procedure

incurred as of the date of the submission of an application
in the
reimbursable. Contribution
is
towards to costs of assets is contingent on the obligation to
use such assets, for the duration of the assistance,
for the
action only, as defined by the subsidy agreement.

CHAPTER II

ELIGIBLE APPLICANTS AND ACTIONS

Article 4

Eligible applicants

1.
Projects shall be submitted by a consortium of two or
more undertakings, established in at least two different Member
States or participant countries according to Article 3(3) and
3(4) of the Regulation.

2.
Undertakings established outside the Community and
outside a participant country according to Article 3(3) and
3(4) of the Regulation may be associated to the project. They
may not be recipient of Community funding under this Regu-
lation.

3.
The Community financial assistance under paragraph 2
shall take the form of an external cost savings award. This
award means Community financial assistance, calculated by
the Commission on the basis of savings of external costs
resulting from the use of short sea, inland waterways and rail
transport instead of road freight transport. The award shall take
the form of a lump sum payment based on the tonne-kilo-
metres shifted from road and shall not surpass 30 % of the
eligible costs for an action.

from time to time as
The Commission may re-examine,
necessary,
the developments concerning the external cost
items, on which the award according to this Article is based.

shift
The Community financial assistance for modal
4.
actions shall be granted on the basis of subvention contracts.
As a rule, the maximum duration of these contracts shall not
be longer than 38 months.

Article 5

Modal shift actions

The minimum subsidy threshold per modal shift action

5.
shall be 1 million EUR.

1. Modal shift actions shall be eligible for funding under the
present Regulation under the following conditions:

(a) The modal shift action is forecast to lead to an actual,
substantial
freight
sustainable modal
transport from road to short sea, rail or inland waterways;

shift

and

of

(b) According to its realistic business plan, the modal shift
action is viable on its own after a maximum of 36
months of Community funding;

(c) The modal shift action does not

lead to unacceptable

distortions of competition in the relevant markets;

Article 6

Catalyst actions

Catalyst actions shall be eligible for funding under the

1.
present Regulation under the following conditions:

(a) The catalyst action achieves its objectives within a period of
a maximum of 48 months, and stays viable after that
period, as ascertained by its realistic business plan;

(b) The catalyst action is innovative on a European level, in
equipment,
terms of
logistics,
products or services rendered.
In this context, catalyst
actions enforcing the concept of ‘motorways of the seas’
deserve special attention;

technology, methods,

(d) When the action requires reliance on services provided by
third parties not part of the consortium, the applicant it
submits proof of tendering or market inquiry for such
services, evidenced by at least two competitive bids.

(c) The catalyst action is forecast to lead to an actual and
sustainable modal shift from road to short sea shipping,
inland waterways, or rail;

2.
Community financial assistance for modal shift actions
shall be limited to a maximum of 30 % of all expenditure
necessary to achieve the objectives of, and caused by,
the
action. Such expenditure shall be eligible for Community
financial assistance, as far as it relates directly to the implemen-
tation of the action. Ancillary infrastructure expenditure shall
also be re-imbursable to a maximum of 30 %. Expenditure

(d) The catalyst action proposes a realistic plan with concrete
milestones towards its objectives and identifies the need for
Commission steering assistance;

(e) The

catalyst

action does not
distortions of competition in the relevant markets;

lead to unacceptable

28.5.2002

EN

Official Journal of the European Communities

C 126 E/357

(f) When the action requires reliance on services provided by
third parties not part of
the applicant
submits proof of tendering or market inquiry for such
services, evidenced by at least two competitive bids;

the consortium,

(g) Catalyst actions in transport markets take place on the
trans-European networks, within the meaning of
the
Decision of Council and Parliament No 1692/96/EC.

2.
The results and methods of catalyst actions shall be
disseminated. Articles 18 and 19 of Council Decision
1999/65/EC (1) shall apply mutatis mutandis.

eligible

shall be

for Community

3.
Community financial assistance for catalyst actions shall
be limited to a maximum of 35 % of all expenditure necessary
to achieve the objectives of, and caused by, the action. Such
expenditure
financial
assistance, as far as it relates directly to the implementation
of the action. Expenditure for ancillary measures related to
infrastructure works, and preparatory measures concerning
the action shall also be re-imbursable to a maximum of
35 %. Expenditure incurred as of the date of the submission
of an application in the selection procedure is reimbursable.
Contribution towards to costs of assets is contingent on the
obligation to use such assets, for the duration of the assistance,
for the action only, as defined by the subsidy agreement.

The Community financial assistance for catalyst actions
4.
shall be granted on the basis of subvention contracts, with
appropriate provisions for steering and monitoring. As a
rule, the maximum duration of these contracts shall not be
longer than 50 months.

5.
The Commission shall make known, through publication
in the Official Journal of the European Communities, on or before
the first publication of the invitation to submit catalyst actions
under this Regulation, the political priority targets for such
actions
specific
emphasis on actions enforcing the concept of ‘motorways of
the seas’. The Commission may review the political priority
targets from time to time.

in the selection procedure.

shall put

It

(b) The action is innovative on a European level;

(c) The action does not lead to unacceptable distortions of

competition in the relevant markets;

(d) The common learning action proposes a realistic plan with
concrete milestones towards its objectives and identifies the
need for Commission steering assistance;

2.
The results and methods of common learning actions
shall be disseminated. Articles 18 and 19 of Decision
1999/65/EC shall apply mutatis mutandis.

3.
Community financial assistance for common learning
actions shall be limited to a maximum of 50 % of all expen-
diture necessary to achieve the objectives, and caused by, the
action. Such expenditure shall be eligible for Community
financial assistance, as far as it relates directly to the implemen-
tation of the action. Expenditure incurred as of the date of the
submission of an application in the selection procedure is
reimbursable. Contribution towards the costs of assets is
contingent on the obligation to use such assets,
the
duration of the assistance, for the action only, as defined by
the subsidy agreement.

for

4.
The Community financial assistance for common learning
actions shall be granted on the basis of subvention contracts,
with appropriate provisions for steering and monitoring. As a
rule, the maximum duration period of the contract shall not be
longer than 26 months.

5.
The Commission shall make known, through publication
in the Official Journal of the European Communities, on or before
the first publication of
the invitation to submit common
learning actions under this Regulation, the political priority
in the selection procedure. The
targets
Commission may review the political priority targets from
time to time.

such actions

for

The minimum subsidy threshold per catalyst action shall

6.
be 3 million EUR.

Article 7

Common learning actions

The minimum subsidy threshold per common learning

6.
action shall be 500 000 EUR.

1.
Common learning actions shall be eligible for funding
under the present Regulation under the following conditions:

Article 8

Detailed rules

(a) The action leads

to the improvement of commercial

services in the market;

(1) OJ L 26, 1.2.1999, p. 46.

The Commission shall issue detailed rules for the procedure for
submission, selection, execution, dissemination and individual
reporting and verification requirements concerning actions
under
this Regulation in accordance with the procedure
referred to in Article 11(2).

C 126 E/358

EN

Official Journal of the European Communities

28.5.2002

CHAPTER III

SUBMISSION AND SELECTION OF PROJECTS

Article 12

Budget

Article 9

Submission of projects

The financial framework for the implementation of the Marco
the period 1 January 2003 to
Polo programme,
31 December 2007, shall be EUR 115 million.

for

Projects for actions shall be submitted to the Commission
according to the detailed rules issued under Article 8. The
submission shall contain all the elements necessary to enable
the Commission to make its selection in accordance with
Article 10.

Article 10

Selection of projects — Granting of financial assistance

Submitted projects shall be evaluated by the Commission. The
Commission shall decide whether to grant financial assistance
under this Regulation taking into account, for the selection of
the project, the objective referred to in Article 1, and the
conditions referred to in Articles 5, 6, and 7, as appropriate.
The selection will take into account the relative environmental
merits of
the proposed actions and their contribution to
reducing road congestion. This decision shall be taken in
accordance with the procedure referred to in Article 11(2) of
this Regulation.

The Commission shall inform the beneficiaries and the Member
States of its decision.

CHAPTER IV

FINAL PROVISIONS

Article 11

Committee

The Commission shall be assisted by a committee,
the Member States and

1.
composed of
representatives of
chaired by the representative of the Commission.

2. Where reference is made to this paragraph, the advisory
procedure laid down in Article 3 of Decision 1999/468/EC
shall apply, in compliance with Article 7 and Article 8 thereof.

Annual appropriations shall be authorised by the budgetary
authority within the limits of the financial perspective.

Article 13

Set aside for accompanying measures and programme
evaluation

Up to 5 % of the budget provided for in this Regulation shall
be set aside for accompanying measures and independent
evaluation of the implementation of the Regulation.

Article 14

Evaluation

to the European Parliament,

By 31 December 2006 at the latest, the Commission shall
present
the
Economic and Social Committee and the Committee of the
Regions an assessment report on the results of the Marco
Polo programme, having regard to its objective, and accom-
panied if necessary by a proposal for the amendment of this
Regulation.

the Council,

Article 15

Entry into force

This Regulation shall enter into force on the day following that
of
the European
Communities.

its publication in the Official

Journal of

This Regulation shall be binding in its entirety and directly
applicable in all Member States.