COM(2001)403 - Ninth Survey on State Aid in the EU

official title

 

Legal instrument	Report
reference by COM-number115	COM(2001)403
Additional COM-numbers	COM(2001)403
CELEX number118	52001DC0403

This page is also available in a full version containing the latest state of affairs, the summary of the European Parliament Legislative Observatory, the legal context, other dossiers related to the dossier at hand, the stakeholders involved (e.g. European Commission directorates-general, European Parliament committees, Council configurations and even individual EU Commissioners and Members of the European Parliament) and finally documents of the European Parliament, the Council of Ministers and the European Commission.

• 1. 

  An information society for all ; Establishing a European Area of Research and Innovation ; Creating a friendly environment for starting up and developing innovative businesses, especially SMEs; Economic reforms for a complete and fully operational internal market ; Efficient and integrated financial markets ; Co-ordinating macro-economic policies: fiscal consolidation, quality and sustainability of public finances ; Education and training for living and working in the knowledge society ; More and better jobs for Europe: developing an active employment policy ; Modernising social protection ; Promoting social inclusion ;
  
   
• 2. 

  References: COM (88) 945 COM (90) 1021 COM (92) 1116 COM (95) 365 COM (97) 170 COM (98) 417 COM (99) 148 COM (00) 205
  
   
• 3. 

  An information society for all ; Establishing a European Area of Research and Innovation ; Creating a friendly environment for starting up and developing innovative businesses, especially SMEs; Economic reforms for a complete and fully operational internal market ; Efficient and integrated financial markets ; Co-ordinating macro-economic policies: fiscal consolidation, quality and sustainability of public finances ; Education and training for living and working in the knowledge society ; More and better jobs for Europe: developing an active employment policy ; Modernising social protection ; Promoting social inclusion ;
  
   
• 4. 

  Save as otherwise provided in this Treaty, any aid granted by a Member State or through State resources in any form whatsoever which distorts or threatens to distort competition by favouring certain undertakings or the production of certain goods shall, insofar as it affects trade between Member States, be incompatible with the common market.
  
   
• 5. 

  References: COM (88) 945 COM (90) 1021 COM (92) 1116 COM (95) 365 COM (97) 170 COM (98) 417 COM (99) 148 COM (00) 205
  
   
• 6. 

  See Court of First Instance cases: T-106/95; T-46/97 and C-332/98
  
   
• 7. 

  References: COM (88) 945 COM (90) 1021 COM (92) 1116 COM (95) 365 COM (97) 170 COM (98) 417 COM (99) 148 COM (00) 205
  
   
• 8. 

  Save as otherwise provided in this Treaty, any aid granted by a Member State or through State resources in any form whatsoever which distorts or threatens to distort competition by favouring certain undertakings or the production of certain goods shall, insofar as it affects trade between Member States, be incompatible with the common market.
  
   
• 9. 

  References: COM (88) 945 COM (90) 1021 COM (92) 1116 COM (95) 365 COM (97) 170 COM (98) 417 COM (99) 148 COM (00) 205
  
   
• 10. 

  References: COM (88) 945 COM (90) 1021 COM (92) 1116 COM (95) 365 COM (97) 170 COM (98) 417 COM (99) 148 COM (00) 205
  
   
• 11. 

  An information society for all ; Establishing a European Area of Research and Innovation ; Creating a friendly environment for starting up and developing innovative businesses, especially SMEs; Economic reforms for a complete and fully operational internal market ; Efficient and integrated financial markets ; Co-ordinating macro-economic policies: fiscal consolidation, quality and sustainability of public finances ; Education and training for living and working in the knowledge society ; More and better jobs for Europe: developing an active employment policy ; Modernising social protection ; Promoting social inclusion ;
  
   
• 12. 

  Save as otherwise provided in this Treaty, any aid granted by a Member State or through State resources in any form whatsoever which distorts or threatens to distort competition by favouring certain undertakings or the production of certain goods shall, insofar as it affects trade between Member States, be incompatible with the common market.
  
   
• 13. 

  Commission Regulation (EC) No 68/2001 of 12 January 2001
  
   
• 14. 

  Commission Regulation (EC) No 70/2001 of 12 January 2001
  
   
• 15. 

  Figures for national State aid to manufacturing in current prices are given in Annex II, the statistical annex on national State aid.
  
   
• 16. 

  The State aid Register is found on: europa.eu.int/comm/competition/state_aid/register/
  
   
• 17. 

  Community Guidelines on State aid for Environmental protection OJ C37 of 3.02.2001, p3.
  
   
• 18. 

  Communication on the application of State aid rules to measures relating to direct business taxation OJ C 384 of 10.12.1998, p3.
  
   
• 19. 

  See reference to group exemption regulations on page 13.
  
   
• 20. 

  In comparison with the data presented in the Eighth Survey, the figures above have varied slightly, reflecting the revisions carried out by Member States.
  
   
• 21. 

  Since a small but not exactly quantifiable part of the aid amounts has to be attributed to the service sector, the figures shown may be slightly overestimated.
  
   
• 22. 

  Germany has been divided in to the old and new Bundesländer in order to show clearly the different development in the two German areas, marked by the unprecedented adjustment process of the new Bundesländer economy to a market system.
  
   
• 23. 

  Rescue and restructuring aid is classified amongst other types of horizontal aid given that it is limited to neither certain sectors of the economy nor to certain regions.
  
   
• 24. 

  ICT - Irish Corporation Tax is a tax scheme now being phased out and that can be considered as being a horizontal aid since it benefits the whole manufacturing sector.
  
   
• 25. 

  For the reasons explained in Annex I, point 11.1, the
   
• 26. 

  Commission Decisions No 3855/91/ECSC of 27.11.1991 and No 2496/96/ECSC of 18.12.1996 establishing Community rules for State aid to the steel industry.
  
   
• 27. 

  Framework for certain steel sectors not covered by the ECSC Treaty, 13.12.1988.
  
   
• 28. 

  OJ L 380 of 31.12.1990.
  
   
• 29. 

  OJ L 202 of 18.07.1998
  
   
• 30. 

  Figures in this table are higher than those reported in Third Report from the Commission to the Council on the Situation in World Shipbuilding, COM(2000)730 final, dated 15.11.2000. The discrepancy between these figures comes from the fact that figures presented in the report to the Council were limited to those relating to new constructions and which benefited from the normal application of article 4 of the seventh Directive (max 9% of the contract price, 4,5 % for smaller vessels). The Survey includes all contracts benefiting from aid (development aid contracts and conversion contracts). Moreover the figures given in the Survey are in constant EUR 1998 and not nominal values.
  
   
• 31. 

  A list of these regions is given in Annex I, point 9.2.
  
   
• 32. 

  Community guidelines on State aid for rescuing and restructuring firms in difficulty, OJ C 368 of 23.12.1994 and Community guidelines on State aid for rescuing and restructuring firms in difficulty, OJ C 288 of 09.10.1999.
  
   
• 33. 

  Article 229 2 ( ex Article 227)
  
   
• 34. 

  The change of basis for the fiscal year in Sweden as from 1997 made it necessary to find a practical solution for the presentation of the figures for the years 1995 and 1996. Figures for these two years have therefore been calculated from the 12-month average equivalent of the 18-month period for the prolonged fiscal year 1995/96 that ran from the 1st July 1995 until the 31st December 1996.
  
   
• 35. 

  Data taken from 'Agricultural Policies in OECD Countries. Monitoring and evaluation 1999 and, 2000' (OECD 1999
   
• 36. 

  OJ L 337 of 30.12.1999 page 10
  
   
• 37. 

  An information society for all ; Establishing a European Area of Research and Innovation ; Creating a friendly environment for starting up and developing innovative businesses, especially SMEs; Economic reforms for a complete and fully operational internal market ; Efficient and integrated financial markets ; Co-ordinating macro-economic policies: fiscal consolidation, quality and sustainability of public finances ; Education and training for living and working in the knowledge society ; More and better jobs for Europe: developing an active employment policy ; Modernising social protection ; Promoting social inclusion ;
  
   
• 38. 

  References: COM (88) 945 COM (90) 1021 COM (92) 1116 COM (95) 365 COM (97) 170 COM (98) 417 COM (99) 148 COM (00) 205
  
   
• 39. 

  Save as otherwise provided in this Treaty, any aid granted by a Member State or through State resources in any form whatsoever which distorts or threatens to distort competition by favouring certain undertakings or the production of certain goods shall, insofar as it affects trade between Member States, be incompatible with the common market.
  
   
• 40. 

  OJ C 19 of 20.01.2001 page 7.
  
   
• 41. 

  Save as otherwise provided in this Treaty, any aid granted by a Member State or through State resources in any form whatsoever which distorts or threatens to distort competition by favouring certain undertakings or the production of certain goods shall, insofar as it affects trade between Member States, be incompatible with the common market.
  
   
• 42. 

  Report from the Commission on the Application of Community Rules for State Aid to the Coal Industry in 1996 and 1997. COM (1999) 303 final of 9 September 1999.
  
   
• 43. 

  Report from the Commission on the Application of Community Rules for State Aid to the Coal Industry in 1998 and 1999. COM (2000) 380 final/2 of 20 November 2000.
  
   
• 44. 

  Application of Articles 87 and 89 of the EC Treaty and Article 61 of the EEA Agreement to State aids in the aviation sector (OJ C 350 of 10.12.1994, page 5).
  
   
• 45. 

  COM(2000)5
  
   
• 46. 

  COM5200)7
  
   
• 47. 

  Community guidelines on State aid to maritime transport (OJ C 205 of 05.07.1997, page 5).
  
   
• 48. 

  Guidelines on aid to employment OJ C 334 of 12.12.1995.
  
   
• 49. 

  Framework on training aid OJ C 343 of 11.11.1998.
  
   
• 50. 

  Data for Austria, Finland and Sweden have been included since 1995 when these three countries joined the European Union. If these data were discounted from the totals, the EUR-12 downward trend would be greater.
  
   
• 51. 

  However, a lower-than-the-standard rate of corporation tax for small businesses constitutes an aid and has been included
  
   
• 52. 

  Save as otherwise provided in this Treaty, any aid granted by a Member State or through State resources in any form whatsoever which distorts or threatens to distort competition by favouring certain undertakings or the production of certain goods shall, insofar as it affects trade between Member States, be incompatible with the common market.
  
   
• 53. 

  OJ EC no. C 212 of 12.08.1998, pages 2 to 10 and subsequent changes.
  
   
• 54. 

  It has to be stressed that the yearly expenditures (commitments) are not necessarily identical to the yearly budgetary appropriations for an aid scheme.
  
   
• 55. 

  See point 2.5.of the Community framework for Research and Development Aid, OJ C 45 of 17.02.1996.
  
   
• 56. 

  An information society for all ; Establishing a European Area of Research and Innovation ; Creating a friendly environment for starting up and developing innovative businesses, especially SMEs; Economic reforms for a complete and fully operational internal market ; Efficient and integrated financial markets ; Co-ordinating macro-economic policies: fiscal consolidation, quality and sustainability of public finances ; Education and training for living and working in the knowledge society ; More and better jobs for Europe: developing an active employment policy ; Modernising social protection ; Promoting social inclusion ;
  
   
• 57. 

  See point 2.4. of the Community framework for Research and Development Aid.
  
   
• 58. 

  An information society for all ; Establishing a European Area of Research and Innovation ; Creating a friendly environment for starting up and developing innovative businesses, especially SMEs; Economic reforms for a complete and fully operational internal market ; Efficient and integrated financial markets ; Co-ordinating macro-economic policies: fiscal consolidation, quality and sustainability of public finances ; Education and training for living and working in the knowledge society ; More and better jobs for Europe: developing an active employment policy ; Modernising social protection ; Promoting social inclusion ;
  
   
• 59. 

  References: COM (88) 945 COM (90) 1021 COM (92) 1116 COM (95) 365 COM (97) 170 COM (98) 417 COM (99) 148 COM (00) 205
  
   
• 60. 

  An information society for all ; Establishing a European Area of Research and Innovation ; Creating a friendly environment for starting up and developing innovative businesses, especially SMEs; Economic reforms for a complete and fully operational internal market ; Efficient and integrated financial markets ; Co-ordinating macro-economic policies: fiscal consolidation, quality and sustainability of public finances ; Education and training for living and working in the knowledge society ; More and better jobs for Europe: developing an active employment policy ; Modernising social protection ; Promoting social inclusion ;
  
   
• 61. 

  Save as otherwise provided in this Treaty, any aid granted by a Member State or through State resources in any form whatsoever which distorts or threatens to distort competition by favouring certain undertakings or the production of certain goods shall, insofar as it affects trade between Member States, be incompatible with the common market.
  
   
• 62. 

  References: COM (88) 945 COM (90) 1021 COM (92) 1116 COM (95) 365 COM (97) 170 COM (98) 417 COM (99) 148 COM (00) 205
  
   
• 63. 

  See Court of First Instance cases: T-106/95; T-46/97 and C-332/98
  
   
• 64. 

  References: COM (88) 945 COM (90) 1021 COM (92) 1116 COM (95) 365 COM (97) 170 COM (98) 417 COM (99) 148 COM (00) 205
  
   
• 65. 

  Save as otherwise provided in this Treaty, any aid granted by a Member State or through State resources in any form whatsoever which distorts or threatens to distort competition by favouring certain undertakings or the production of certain goods shall, insofar as it affects trade between Member States, be incompatible with the common market.
  
   
• 66. 

  References: COM (88) 945 COM (90) 1021 COM (92) 1116 COM (95) 365 COM (97) 170 COM (98) 417 COM (99) 148 COM (00) 205
  
   
• 67. 

  References: COM (88) 945 COM (90) 1021 COM (92) 1116 COM (95) 365 COM (97) 170 COM (98) 417 COM (99) 148 COM (00) 205
  
   
• 68. 

  An information society for all ; Establishing a European Area of Research and Innovation ; Creating a friendly environment for starting up and developing innovative businesses, especially SMEs; Economic reforms for a complete and fully operational internal market ; Efficient and integrated financial markets ; Co-ordinating macro-economic policies: fiscal consolidation, quality and sustainability of public finances ; Education and training for living and working in the knowledge society ; More and better jobs for Europe: developing an active employment policy ; Modernising social protection ; Promoting social inclusion ;
  
   
• 69. 

  Save as otherwise provided in this Treaty, any aid granted by a Member State or through State resources in any form whatsoever which distorts or threatens to distort competition by favouring certain undertakings or the production of certain goods shall, insofar as it affects trade between Member States, be incompatible with the common market.
  
   
• 70. 

  Commission Regulation (EC) No 68/2001 of 12 January 2001
  
   
• 71. 

  Commission Regulation (EC) No 70/2001 of 12 January 2001
  
   
• 72. 

  Figures for national State aid to manufacturing in current prices are given in Annex II, the statistical annex on national State aid.
  
   
• 73. 

  The State aid Register is found on: europa.eu.int/comm/competition/state_aid/register/
  
   
• 74. 

  Community Guidelines on State aid for Environmental protection OJ C37 of 3.02.2001, p3.
  
   
• 75. 

  Communication on the application of State aid rules to measures relating to direct business taxation OJ C 384 of 10.12.1998, p3.
  
   
• 76. 

  See reference to group exemption regulations on page 13.
  
   
• 77. 

  In comparison with the data presented in the Eighth Survey, the figures above have varied slightly, reflecting the revisions carried out by Member States.
  
   
• 78. 

  Since a small but not exactly quantifiable part of the aid amounts has to be attributed to the service sector, the figures shown may be slightly overestimated.
  
   
• 79. 

  Germany has been divided in to the old and new Bundesländer in order to show clearly the different development in the two German areas, marked by the unprecedented adjustment process of the new Bundesländer economy to a market system.
  
   
• 80. 

  Rescue and restructuring aid is classified amongst other types of horizontal aid given that it is limited to neither certain sectors of the economy nor to certain regions.
  
   
• 81. 

  ICT - Irish Corporation Tax is a tax scheme now being phased out and that can be considered as being a horizontal aid since it benefits the whole manufacturing sector.
  
   
• 82. 

  For the reasons explained in Annex I, point 11.1, the
   
• 83. 

  Commission Decisions No 3855/91/ECSC of 27.11.1991 and No 2496/96/ECSC of 18.12.1996 establishing Community rules for State aid to the steel industry.
  
   
• 84. 

  Framework for certain steel sectors not covered by the ECSC Treaty, 13.12.1988.
  
   
• 85. 

  OJ L 380 of 31.12.1990.
  
   
• 86. 

  OJ L 202 of 18.07.1998
  
   
• 87. 

  Figures in this table are higher than those reported in Third Report from the Commission to the Council on the Situation in World Shipbuilding, COM(2000)730 final, dated 15.11.2000. The discrepancy between these figures comes from the fact that figures presented in the report to the Council were limited to those relating to new constructions and which benefited from the normal application of article 4 of the seventh Directive (max 9% of the contract price, 4,5 % for smaller vessels). The Survey includes all contracts benefiting from aid (development aid contracts and conversion contracts). Moreover the figures given in the Survey are in constant EUR 1998 and not nominal values.
  
   
• 88. 

  A list of these regions is given in Annex I, point 9.2.
  
   
• 89. 

  Community guidelines on State aid for rescuing and restructuring firms in difficulty, OJ C 368 of 23.12.1994 and Community guidelines on State aid for rescuing and restructuring firms in difficulty, OJ C 288 of 09.10.1999.
  
   
• 90. 

  Article 229 2 ( ex Article 227)
  
   
• 91. 

  The change of basis for the fiscal year in Sweden as from 1997 made it necessary to find a practical solution for the presentation of the figures for the years 1995 and 1996. Figures for these two years have therefore been calculated from the 12-month average equivalent of the 18-month period for the prolonged fiscal year 1995/96 that ran from the 1st July 1995 until the 31st December 1996.
  
   
• 92. 

  Data taken from 'Agricultural Policies in OECD Countries. Monitoring and evaluation 1999 and, 2000' (OECD 1999
   
• 93. 

  OJ L 337 of 30.12.1999 page 10
  
   
• 94. 

  An information society for all ; Establishing a European Area of Research and Innovation ; Creating a friendly environment for starting up and developing innovative businesses, especially SMEs; Economic reforms for a complete and fully operational internal market ; Efficient and integrated financial markets ; Co-ordinating macro-economic policies: fiscal consolidation, quality and sustainability of public finances ; Education and training for living and working in the knowledge society ; More and better jobs for Europe: developing an active employment policy ; Modernising social protection ; Promoting social inclusion ;
  
   
• 95. 

  References: COM (88) 945 COM (90) 1021 COM (92) 1116 COM (95) 365 COM (97) 170 COM (98) 417 COM (99) 148 COM (00) 205
  
   
• 96. 

  Save as otherwise provided in this Treaty, any aid granted by a Member State or through State resources in any form whatsoever which distorts or threatens to distort competition by favouring certain undertakings or the production of certain goods shall, insofar as it affects trade between Member States, be incompatible with the common market.
  
   
• 97. 

  OJ C 19 of 20.01.2001 page 7.
  
   
• 98. 

  Save as otherwise provided in this Treaty, any aid granted by a Member State or through State resources in any form whatsoever which distorts or threatens to distort competition by favouring certain undertakings or the production of certain goods shall, insofar as it affects trade between Member States, be incompatible with the common market.
  
   
• 99. 

  Report from the Commission on the Application of Community Rules for State Aid to the Coal Industry in 1996 and 1997. COM (1999) 303 final of 9 September 1999.
  
   
• 100. 

  Report from the Commission on the Application of Community Rules for State Aid to the Coal Industry in 1998 and 1999. COM (2000) 380 final/2 of 20 November 2000.
  
   
• 101. 

  Application of Articles 87 and 89 of the EC Treaty and Article 61 of the EEA Agreement to State aids in the aviation sector (OJ C 350 of 10.12.1994, page 5).
  
   
• 102. 

  COM(2000)5
  
   
• 103. 

  COM5200)7
  
   
• 104. 

  Community guidelines on State aid to maritime transport (OJ C 205 of 05.07.1997, page 5).
  
   
• 105. 

  Guidelines on aid to employment OJ C 334 of 12.12.1995.
  
   
• 106. 

  Framework on training aid OJ C 343 of 11.11.1998.
  
   
• 107. 

  Data for Austria, Finland and Sweden have been included since 1995 when these three countries joined the European Union. If these data were discounted from the totals, the EUR-12 downward trend would be greater.
  
   
• 108. 

  However, a lower-than-the-standard rate of corporation tax for small businesses constitutes an aid and has been included
  
   
• 109. 

  Save as otherwise provided in this Treaty, any aid granted by a Member State or through State resources in any form whatsoever which distorts or threatens to distort competition by favouring certain undertakings or the production of certain goods shall, insofar as it affects trade between Member States, be incompatible with the common market.
  
   
• 110. 

  OJ EC no. C 212 of 12.08.1998, pages 2 to 10 and subsequent changes.
  
   
• 111. 

  It has to be stressed that the yearly expenditures (commitments) are not necessarily identical to the yearly budgetary appropriations for an aid scheme.
  
   
• 112. 

  See point 2.5.of the Community framework for Research and Development Aid, OJ C 45 of 17.02.1996.
  
   
• 113. 

  An information society for all ; Establishing a European Area of Research and Innovation ; Creating a friendly environment for starting up and developing innovative businesses, especially SMEs; Economic reforms for a complete and fully operational internal market ; Efficient and integrated financial markets ; Co-ordinating macro-economic policies: fiscal consolidation, quality and sustainability of public finances ; Education and training for living and working in the knowledge society ; More and better jobs for Europe: developing an active employment policy ; Modernising social protection ; Promoting social inclusion ;
  
   
• 114. 

  See point 2.4. of the Community framework for Research and Development Aid.
  
   
• 115. 

  De Europese Commissie kent nummers toe aan officiële documenten van de Europese Unie. De Commissie maakt onderscheid in een aantal typen documenten door middel van het toekennen van verschillende nummerseries. Het onderscheid is gebaseerd op het soort document en/of de instelling van de Unie van wie het document afkomstig is.
   
• 116. 

  De Raad van de Europese Unie kent aan wetgevingsdossiers een uniek toe. Dit nummer bestaat uit een vijfcijferig volgnummer gevolgd door een schuine streep met de laatste twee cijfers van het jaartal, bijvoorbeeld 12345/00 - een document met nummer 12345 uit het jaar 2000.
   
• 117. 

  Het interinstitutionele nummer is een nummerreeks die binnen de Europese Unie toegekend wordt aan voorstellen voor regelgeving van de Europese Commissie.
  Binnen de Europese Unie worden nog een aantal andere nummerseries gebruikt. Iedere instelling heeft één of meerdere sets documenten met ieder een eigen nummering. Die reeksen komen niet overeen met elkaar of het interinstitutioneel nummer.
   
• 118. 

  Deze databank van de Europese Unie biedt de mogelijkheid de actuele werkzaamheden (workflow) van de Europese instellingen (Europees Parlement, Raad, ESC, Comité van de Regio's, Europese Centrale Bank, Hof van Justitie enz.) te volgen. EURlex volgt alle voorstellen (zoals wetgevende en begrotingsdossiers) en mededelingen van de Commissie, vanaf het moment dat ze aan de Raad of het Europees Parlement worden voorgelegd.
   
• 119. 

  Als dag van bekendmaking van een Europees besluit geldt de dag waarop het besluit in het Publicatieblad wordt bekendgemaakt, en daardoor in alle officiële talen van de Europese Unie bij het Publicatiebureau beschikbaar is.