欧洲自由贸易区监督管理局的决定No 533/09/COL，关于引入用于救济某些类型的国家援助的简化程序的新篇章，第67次修订国家援助的程序性和实体性规则

技术法规类型：欧盟Eurlex法规 来源：tbtmap

EURLEX ID：E2009C0533

OJ编号：OJ L 75, 15.3.2012, p. 26-35

中文标题：欧洲自由贸易区监督管理局的决定No 533/09/COL，关于引入用于救济某些类型的国家援助的简化程序的新篇章，第67次修订国家援助的程序性和实体性规则

原文标题：EFTA Surveillance Authority Decision No 533/09/COL of 16 December 2009 amending, for the 77th time, the procedural and substantive rules in the field of State aid by introducing a new chapter on a simplified procedure for treatment of certain types of State aid

分类：11.40.10.10_欧洲自由贸易区（EFTA）国家

文件类型：E Declaration|声明

生效日期：2009-12-16

废止日期：2058-12-31

法规全文：查看欧盟官方文件

L_2012075EN.01002601.xml

15.3.2012

EN

Official Journal of the European Union

L 75/26

EFTA SURVEILLANCE AUTHORITY DECISION

No 533/09/COL

of 16 December 2009

amending, for the 77th time, the procedural and substantive rules in the field of State aid by introducing a new chapter on a simplified procedure for treatment of certain types of State aid

THE EFTA SURVEILLANCE AUTHORITY (1),

HAVING REGARD to the Agreement on the European Economic Area (2), in particular to Articles 61 to 63 and Protocol 26 thereof,

HAVING REGARD to the Agreement between the EFTA States on the Establishment of a Surveillance Authority and a Court of Justice (3), in particular to Article 24 and Article 5(2)(b) thereof,

Whereas:

Under Article 24 of the Surveillance and Court Agreement, the Authority shall give effect to the provisions of the EEA Agreement concerning State aid.

Under Article 5(2)(b) of the Surveillance and Court Agreement, the Authority shall issue notices or guidelines on matters dealt with in the EEA Agreement, if that Agreement or the Surveillance and Court Agreement expressly so provides or if the Authority considers it necessary.

The Authority adopted the Procedural and Substantive Rules in the Field of State Aid (4), on 19 January 1994.

The European Commission adopted a Notice on a simplified procedure for treatment of certain types of State aid (5) on 16 June 2009.

That Notice is also of relevance for the European Economic Area,

Uniform application of the EEA State aid rules is to be ensured throughout the European Economic Area,

According to point II under the heading ‘楪ENERAL‘�at the end of Annex XV to the EEA Agreement, the Authority, after consultation with the European Commission, is to adopt acts corresponding to those adopted by the European Commission,

Having consulted the European Commission on 8 December 2009 and the EFTA States on the subject by letters dated 20 November 2009,

HAS ADOPTED THIS DECISION:

Article 1

The State Aid Guidelines shall be amended by introducing a new chapter on a simplified procedure for treatment of certain types of State aid. The new chapter is contained in the Annex to this Decision.

Article 2

Only the English version is authentic.

Done at Brussels, 16 December 2009.

For the EFTA Surveillance Authority

Per SANDERUD

President

Kristj谩n Andri STEF脕NSSON

College Member

(1) Hereinafter referred to as ‘the Authority‘�

(2) Hereinafter referred to as ‘the EEA Agreement‘�

(3) Hereinafter referred to as ‘the Surveillance and Court Agreement‘�

(4) Guidelines on the application and interpretation of Articles 61 and 62 of the EEA Agreement and Article 1 of Protocol 3 to the Surveillance and Court Agreement, adopted and issued by the Authority on 19 January 1994, published in the Official Journal of the European Union (hereinafter referred to as OJ) L 231 of 3.9.1994 p. 1 and EEA Supplement No 32 of 3.9.1994 p. 1 (hereinafter referred to as ‘the State Aid Guidelines‘�. The updated version of the State Aid Guidelines is published on the Authority‘檚 website: http://www.eftasurv.int/state-aid/legal-framework/state-aid-guidelines

(5) OJ C 136, 16.6.2009, p. 3.

ANNEX I

GUIDELINES ON A SIMPLIFIED PROCEDURE FOR TREATMENT OF CERTAIN TYPES OF STATE AID (1)

1. Introduction

(1)

These Guidelines set out a simplified procedure under which the Authority intends, in close cooperation with the EFTA State concerned, to examine within an accelerated time frame certain types of state support measures which only require the Authority to verify that the measure is in accordance with existing rules and practices without exercising any discretionary powers. The Authority‘檚 experience gained in applying Article 61 of the EEA Agreement and the regulations, frameworks, guidelines and notices adopted on the basis of Article 61 of the EEA Agreement (2), has shown that certain categories of notified aid are normally approved without raising any doubts as to their compatibility with the EEA Agreement, provided that there are no special circumstances. These categories of aid are described in Section 2. Other aid measures notified to the Authority will be subject to the appropriate procedures (3) and normally to the Code of Best Practice for the conduct of State aid control procedures.

(2)

The purpose of these Guidelines is to set out the conditions under which the Authority will usually adopt a short-form decision declaring certain types of state support measures compatible with the EEA Agreement under the simplified procedure and to provide guidance in respect of the procedure itself. When all the conditions set out in these Guidelines are met, the Authority will use its best endeavours to adopt a short-form decision that the notified measure does not constitute aid or not to raise objections within 20 working days from the date of notification, in accordance with Article 4(2) or Article 4(3) in Part II of Protocol 3 to the Agreement between the EFTA States on the Establishment of a Surveillance Authority and a Court of Justice.

(3)

However, if any of the safeguards or exclusions set out in points 6 to 12 of these Guidelines are applicable, the Authority will revert to the normal procedure regarding notified aid described in Chapter II of Protocol 3 and will then adopt a full-form decision pursuant to Article 4 and/or Article 7 of that Protocol. In any case, the only legally enforceable time limits are those set out in Article 4(5) and Article 7(6) of Protocol 3.

(4)

By following the procedure outlined in these Guidelines, the Authority aims to make EEA State aid control more predictable and efficient. No part of these Guidelines should be interpreted as implying that a support measure which does not qualify as State aid within the meaning of Article 61 of the EEA Agreement must be notified to the Authority, although EFTA States remain free to notify such support measures for reasons of legal certainty.

2. Categories of State aid suitable for treatment under the simplified procedure

Eligible categories of State aid

(5)

The following categories of measures are in principle suitable for treatment under the simplified procedure:

(a)

Category 1: Aid measures falling within the ‘standard assessment‘�sections of existing guidelines

Aid measures falling within the ‘standard assessment‘�(so-called ‘safe harbour‘�sections) (4), or equivalent types of assessment (5) in horizontal guidelines, which are not covered by the General block exemption Regulation, are in principle suitable for treatment under the simplified procedure.

The simplified procedure will only be applied in cases where the Authority is satisfied, after the pre-notification phase (see points 13 to 16), that all the substantive and procedural requirements laid down in the applicable sections of the respective guidelines are fulfilled. This implies that the pre-notification phase confirms that the notified aid measure prima facie meets the relevant conditions, as further detailed in each of the applicable horizontal instruments, concerning:

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type of beneficiaries,

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eligible costs,

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aid intensities and bonuses,

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individual notification ceiling or maximum aid amount,

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type of aid instrument used,

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cumulation,

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incentive effect,

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transparency,

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exclusion of beneficiaries which are subject to an outstanding recovery order (6).

The types of measures for which the Authority is prepared to consider applying the simplified procedure within this category include in particular the following:

(i)

risk capital measures taking a form other than a participation into a private equity investment fund and meeting all other conditions of Section 4 of the Risk Capital Guidelines;

(ii)

environmental investment aid meeting the conditions of Section 3 of the Environmental Aid Guidelines:

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the eligible cost basis of which is determined on the basis of a full cost calculation methodology in line with point 82 of the Environmental Aid Guidelines (7), or

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including an eco-innovation bonus demonstrated to be in line with point 78 of the Environmental Aid Guidelines (8);

(iii)

aid for young innovative enterprises granted in accordance with Section 5.4 of the Guidelines for Research and Development and Innovation and the innovative character of which is determined on the basis of Section 5.4(b)(i) of the Guidelines (9);

(iv)

aid for innovation clusters granted in accordance with Sections 5.8 and 7.1 of the Guidelines for Research and Development and Innovation;

(v)

aid for process and organisational innovation in services granted in accordance with Section 5.5 of the Guidelines for Research and Development and Innovation;

(vi)

ad hoc regional aid which is below the individual notification threshold laid down in point 53 of the Regional Aid Guidelines (10);

(vii)

rescue aid in the manufacturing and services sectors (except in the financial sector) meeting all substantive conditions of Sections 3.1.1 and 3.1.2 of the Rescue and Restructuring Guidelines (11);

(viii)

rescue and restructuring schemes for small enterprises meeting all conditions of Section 4 of the Rescue and Restructuring Guidelines (12);

(ix)

ad hoc restructuring aid for small and medium enterprises, provided it meets all the conditions laid down in Section 3 of the Rescue and Restructuring Guidelines (13);

(x)

export credits in the shipbuilding sector meeting all the conditions of Section 3.3.4 of the Shipbuilding Guidelines (14);

(xi)

audiovisual support schemes meeting all the conditions set out in Section 2.3 of the Cinema Guidelines as regards the development, production, distribution and promotion of audiovisual works (15).

The above list is illustrative and may evolve on the basis of future revisions of the currently applicable instruments or the adoption of new instruments. The Authority may review this list from time to time to keep it in line with applicable State aid rules.

(b)

Category 2: Measures corresponding to well-established Authority decision-making practice

Aid measures with features corresponding to those of aid measures approved in at least three earlier Authority decisions (hereinafter ‘榩recedent decisions‘� (16), the assessment of which can thus be immediately carried out on the basis of this established Authority decision-making practice, are in principle suitable for treatment under the simplified procedure. Only Authority decisions adopted within the last 10 years preceding the date of pre-notification (see point 14) may qualify as ‘榩recedent decisions‘�

The simplified procedure will only be applied in cases where the Authority is satisfied, after the pre-notification phase (see points 13-16), that the relevant substantive and procedural conditions which governed the precedent decisions are met, in particular as regards the objectives and overall set-up of the measure, the types of beneficiaries, eligible costs, individual notification ceilings, aid intensities and (where applicable) bonuses, cumulation provisions, incentive effect, and transparency requirements. In addition, as pointed out in point 11, the Authority will revert to the normal procedure where the notified aid measure could benefit an undertaking which is subject to an outstanding recovery order following a previous Authority decision declaring an aid unlawful and incompatible with the EEA Agreement (so-called Deggendorf issue).

The types of measures for which the Authority is prepared to consider applying the simplified procedure within this category include in particular the following:

(i)

aid measures for the preservation of national cultural heritage related to activities linked to historic, ancient sites or national monuments, provided that the aid is limited to ‘榟eritage conservation‘�within the meaning of Article 61(3)(c) of the EEA Agreement read in conjunction with Article 107(3)(d) of the Treaty on the Functioning of the European Union (17);

(ii)

aid schemes for theatre, dance and music activities (18);

(iii)

aid schemes for the promotion of minority languages (19);

(iv)

aid measures in favour of the publishing industry (20);

(v)

aid measures in favour of broadband connectivity in rural areas (21);

(vi)

guarantee schemes for shipbuilding finance (22);

(vii)

aid measures fulfilling all other applicable provisions of the General block exemption Regulation, but excluded from its application merely because:

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the measures constitute ‘榓d hoc aid‘�a href="#ntr23-L_2012075EN.01002801-E0023" id="ntc23-L_2012075EN.01002801-E0023" shape="rect"> (23)

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