CONTROLUL AJUTORULUI DE STAT1

Prof. Dr. Reimer VON BORRIES2 Rezumat Comisia European a identificat, cu regularitate, controlul ajutoarelor de stat drept una dintre zonele cu probleme, care puteau conduce la ntrzierea ncheierii negocierilor de aderare sau chiar la amnarea datei aderrii Romniei la Uniunea European. Prin Raportul de monitorizare publicat de Comisia European n luna mai 2006, au fost recunoscute progresele realizate de Romnia n aplicarea legislaiei ajutorului de stat i s-a decis declanarea procedurii ajutoarelor existente. n evoluia controlului ajutoarelor de stat n Romnia pot fi identificate trei perioade distincte. Prima dintre acestea, cuprins ntre ianuarie 2000 i decembrie 2003, a fost caracterizat prin transpunerea legislaiei secundare comunitare i prin construirea capacitii administrative a autoritilor cu atribuii n domeniul ajutorului de stat. Cuvinte cheie: ajutor de stat, autoritate de concuren, baz legal, reglementri. I. Introducere n ultimii ani, n Rapoartele privind progresele Romniei n vederea aderrii, Comisia European a identificat, cu regularitate, controlul ajutoarelor de stat drept una dintre zonele cu probleme, care puteau conduce la o ntrziere a ncheierii negocierilor i chiar la amnarea datei aderrii, dup ce negocierile au fost ncheiate. n Raportul de monitorizare din 16 mai 2006, Comisia a reinut faptul c sau fcut progrese n aplicarea legislaiei ajutorului de stat, iar controlul ajutoarelor de stat nu a mai fost menionat printre zonele care ridic ngrijorri serioase, implicnd riscul amnrii aderrii Romniei la Uniunea European, de la 2007 la 20083. n Comunicarea ce a nsoit Raportul, Comisia a recunoscut faptul c aplicarea legislaiei n materie de ajutor de stat a atins un nivel satisfctor, ceea ce a permis Romniei declanarea procedurii ajutorului existent (mecanismul interim) ncepnd cu luna mai 20064. Astfel, dup 6 ani de efort continuu, Romnia i-a atins obiectivul principal din acest domeniu 5 . n paralel cu Raportul de Monitorizare, actualizarea tabloului ajutoarelor de stat (Commission's State aid Scoreboard) din primvara anului 2006 furnizeaz cifre interesante privind acordarea de ajutoare de stat n Romnia6. n acest context i innd cont de Rapoartele de progrese ale Comisiei, acest articol ncearc s ofere un rezumat al dezvoltrilor i al stadiului actual n domeniul controlului ajutoarelor de stat n Romnia ntre anul 2000 i primvara anului 20067. II. Baza legal a controlului ajutoarelor de stat n Romnia 1. Baza legal pentru instituirea controlului ajutoarelor de stat n Romnia a fost i va rmne pn la data aderrii Acordul de Asociere (aa-numitul Acord European), ncheiat pe data de 1 Februarie 1993 ntre Comunitatea Economic European i statele membre, pe de o parte, i Romnia, pe de alt parte. Acest acord, care a intrat n vigoare n februarie 1995, nu coninea nicio promisiune

1 Acest articol a fost publicat n European State Aid Law Quartely nr.3/2006 iar Consiliul Concurenei a obinut aprobarea autorului pentru publicarea acestui articol. 2 L.L.M Reimer von Borries a fost expert de preaderare la Consiliul Concurenei din Romnia ntre 2001 i 2002, respectiv 2003 i 2005. nainte de a se pensiona, a fost consilier ministerial la Ministerul Federal de Finae din Germania i profesor onorific la Universitatea din Osnabrck. Opiniile din prezentul articol reprezint punctele de vedere ale autorului. 3 Mai 2006, Raportul de Monitorizare, documentul de lucru pentru personalul Comisiei, SEC(2006) 596, pagina 22. 4 Comunicarea Comisiei din 16 mai 2006, Documentul COM(2006) 214 final, pagina 7. 5 La aceast dat, Comisia nu a fcut nc o recomandare finala cu privire la data aderrii, dar aceasta va evalua n raportul de monitorizare programat pentru toamna anului 2006 dac data de 1 ianuarie 2007 poate fi meninut. 6 Documentul COM(2006) 130final din 27 martie 2006. 7 Din lips de spaiu, acest articol nu prezint aspectele specifice sectorului siderurgic. Agricultura i pescuitul nu intr sub incidena regulilor referitoare la controlul ajutoarelor de stat. Traducerea articolului n limba romn a fost realizat de Georgeta GAVRILOIU

Decembrie 2006 - nr. 4

STATE AID CONTROL IN ROMANIA (I)1

Prof. dr. Reimer von Borries2 Abstract The European Commission has constantly identified the State aid control as one problematic area, which could lead to a delay in the closure of accession negotiations or even to the postponement of the date of accession. In the Monitoring Report issued by the European Commission in May 2006, Romania's progresses in the field of state aid were acknowledged and it was decided that the existing aid procedure become available for Romania. In the evolution of State aid control in Romania three distinct periods can be identified. The first period, between January 2000 and December 2003, was characterized by the transposition of the Community legislation and by the building-up of administrative capacity of the authorities with competencies on State aid. Keywords: state aid, competition authority, legal basis, regulations.

I. Introduction In the past few years, the European Commission has, in its Reports on Romania's progress towards accession, regularly identified State aid control as one of the 'problem areas' which could possibly give rise to a delay in the closure of the accession negotiations and once they have been duly closed even of the date of accession. In its recent Monitoring Report of 16 May 2006 the Commission observes that 'good progress has been made on State aid enforcement' and no longer mentions State aid control as an 'area of serious concern' that could pose the risk of postponement of Romania's accession to the EU from 2007 to 20083. In its accompanying Communication, the Commission acknowledges that Romania's State aid enforcement has reached a 'satisfactory level', allowing this country to apply the 'existing aid procedure' (interim mechanism) starting from May 20064.

Thus, after 6 years of continuous effort, Romania has finally achieved its basic objective in this area5. In parallel with the Monitoring Report, the spring 2006 update of the Commission's State aid Scoreboard provides interesting figures on the granting of State aids in Romania6. Against this background, and also that of the Progress Reports of the Commission, this article attempts to give a summary of the development and current state of affairs of State aid control in Romania between the year 2000 and the spring of 20067. II. The legal basis of State aid control in Romania 1. The legal basis for the setting-up of State aid control in Romania was, and remains until accession, the Association Agreement (the socalled 'Europe Agreement'), concluded on 1 February 1993 between the European Economic Communities and their Member States, on the one hand, and Romania, on the other. This agreement, which came into force in

1 This article was published in the European State Aid Law Quarterly, no.3/2006 and the Competition Council received the authors' approval for publishing this article. 2 Reimer von Borries, LL.M, was Resident Twinning Adviser (RTA) at the Romanian Competition Council 2001-2002 and 2003-2005. He is a retired Ministerial Counsellor of the Federal Ministry of Finance and Honorary Professor at the University of Osnabrck. Opinions in this article are the author's personal views. 3 May 2006 Monitoring Report, Commission staff working document SEC(2006) 596, page 22. 4 Communication from the Commission of 16 May 2006, Document COM(2006) 214 final, page 7. 5 The Commission has not yet submitted a final recommendation for the accession date, but it will consider in the Monitoring Report scheduled for autumn 2006 whether the date of accession on 1 January 2007, can be maintained. 6 Document COM(2006) 130 final of 27 March 2006. 7 For lack of space, this article does not deal with the special aspects of the steel sector. Agriculture and fisheries sectors are not covered by the applicable rules on State aid control

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oficial de admitere (ca i acordurile semnate cu Turcia i Grecia), dar stipula, n preambul, c obiectivul final al Romniei este acela de a deveni membr a Comunitii i c, n opinia prilor, aceast asociere va ajuta Romnia s ating acest obiectiv. Articolul 64 din Acordul European prevede, n alineatele 1 i 2 (similar cu alte Acorduri ncheiate cu rile central i est-europene, care au devenit state membre la 1 mai 2004) c Romnia ar trebui s aplice principiile fundamentale ale legislaiei comunitare n materie de concuren i ajutor de stat, cuprinse n articolele 85, 86 i 92 (actualmente articolele 81, 82 i 87) din Tratatul CE, n msura n care este vizat comerul dintre Romnia i Comunitatea European 8. Alineatul 3 al articolului 64 prevede c reguli pentru implementarea alineatelor 1 i 2 ale acestui articol ar trebui s fie adoptate de Consiliul de Asociere. Regulile de implementare pentru controlul ajutoarelor de stat au fost adoptate pe 10 aprilie 20019. Acordul European se refer doar la principiile fundamentale ale dreptului comunitar al concurenei. Cu toate acestea, dubiile legate de faptul dac Romnia era obligat sau nu s respecte toat gama de reguli n materie de ajutor de stat au fost risipite de articolul 2 al Regulilor de implementare. Acest articol preciza faptul c evaluarea compatibilitii ajutoarelor de stat va fi fcut pe baza criteriilor care se desprind din aplicarea articolului 87 din Tratatul CE, inclusiv legislaia secundar, prezent i viitoare, reglementrilecadru, liniile directoare i alte acte administrative relevante n vigoare n Comunitate, jurisprudena Curii de Justiie a Comunitior Europene, precum i orice decizie a Consiliului de Asociere. Articolul 1 a obligat Romnia s desemneze o autoritate de monitorizare responsabil cu problemele de ajutor de stat, n acest scop fiind desemnate Consiliul Concurenei i Oficiul Concurenei.
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Articolul 64 alineatul 4, litera a) din Acordul European prevede c, n primii 5 ani de la intrarea n vigoare a Acordului, Romnia va fi considerat o regiune identic cu regiunile din Comunitate descrise n articolul 87 alineatul 3) din Tratatul CE (regiuni asistate) i c aceast perioad poate fi prelungit de Consiliul de Asociere cu nc cinci ani. n baza acestei prevederi, Consiliul de Asociere a prelungit perioada cu nc cinci ani, pn n anul 200210 i, nc o dat, pn n anul 2007, prin Harta ajutorului regional pentru Romnia11. 2. nc din anul 1995, Romnia i-a depus candidatura pentru aderarea la Uniunea European, fiind una dintre primele ri foste socialiste. Totui, negocierile de aderarea au nceput de-abia n anul 2000. Pentru a facilita negocierile de aderare i urmrind ncheirea negocierilor pentru capitolul 6 concurena pn la sfritul anului 2002, Romnia a confirmat, n documentul de poziie, anagajamentul de a implementa i a aplica pe deplin, nc nainte de data aderrii, acquisul comunitar din domeniul ajutorului de stat aa cum este aplicat n Uniunea European i nu a cerut nicio perioad de tranziie. ntruct prevederile Acordului European mai sus menionate nu aveau efect direct n dreptul naional12, Romnia a trebuit s adopte msuri legislative pentru implementarea i aplicarea efectiv a acquis-ului comunitar privind controlul ajutoarelor de stat13. n acest scop, Parlamentul Romniei a adoptat Legea concurenei nr.21/1996, prin care au fost nfiinate Consiliul Concurenei i Oficiul Concurenei, nsrcinate cu aplicarea legii. Cu toate acestea, Romniei i-au fost necesari nc patru ani pentru a pune bazele unui control efectiv al ajutoarelor de stat. Acest lucru a fost realizat prin Legea nr.143/1999 privind ajutorul de stat, adoptat pe data de 27 iulie 1999, care a intrat n vigoare la 1 ianuarie 200014. Legea confer Consiliului Concurenei sarcina de a autoriza sau interzice ajutoarele de

Pentru o trecere n revist a controlului ajutoarelor de stat n rile n curs de aderare, vezi Schtterle, n Heidenhain, Hdb. D. EU-Beihilfenrechts, 61. Decizia nr.4/2000 a Consiliului de Asociere, OJ 2001 L 138/16. 10 Decizia nr.2/2000 a Consiliului de Asociere, OJ 2000 L 230/16. 11 Decizia nr.1/2003 a Consiliului de Asociere din 15 iulie 2003. 12 Hartwig, Die Europapolitik Rumniens, 2001, pag.96. A se vedea i Institutul European din Romnia, Implicaiile adoptarii acquis-ului comunitar asupra Consitituiei Romniei, Studii de impact, 2002, paginile 20-23. Constituia Romniei a fost modificata n septembrie 2003 pentru a prevedea n mod expres prevalena dreptului comunitar dup aderare (a se vedea articolul 148 alin. 2) 13 Romnia nu a ales s fac trimitere, n legislaia de implementare, la regulile CE, aa cum a fcut Croaia, spre exemplu (a se vedea articolul 2 din Regulamentul croat privind ajutorul de stat din 28 aprilie 2006), o transpunere complet n legislaia romneasc fiind considerat mai eficient). 14 Monitorul Oficial nr. 370 din 3 August 1999, modificat prin Legea nr. 603/2003 i Ordonana de Guvern nr. 94/2004, aprobat prin Legea nr. 507/2004; republicat n august 2005, Monitorul Oficial No. 744/2005 of 16 August 2005. Pentru textul n limba romn, a se vedea http://www.cdep.ro/pls/legis/legis_pck.frame. O traducere neoficial n limba englez este disponibil la adresa: www.competition.ro. Se poate spune cu siguran c, n Romnia a existat un control al ajutoarelor de stat doar n ultimii 6 ani, ceea ce este foarte puin dac lum n considerare situaia iniial, mediul politic, economic i social dificil i cantitatea enorm de munc ce a trebuit depus. 15 n conformitate cu rcomandarea Comisiei ctre rile candidate de a crea o singura autoritate central pentru controlul ajutoarelor de stat (documentul COM (94) 361 final din 27 iulie 1994 i Cartea Alb a Comisiei Europene din 10 mai 1995, documentul COM (95) 163 final/2).

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February 1995, did not contain any formal promise of accession (like the agreements with Turkey and Greece) but stated in the preamble that 'Romania's ultimate objective is to become a member of the Community, and that this association, in the view of the parties, will help Romania to achieve this objective'. Article 64 of the Europe Agreement states in paras. 1 and 2 (in parallel with the other Association Agreements, concluded with the central and Eastern European countries which became Member States on 1 May 2004) that Romania should apply 'the fundamental principles of EC competition and State aid law, enshrined in the Articles 85, 86 and 92 (now Articles 81, 82 and 87) EC Treaty, in so far as the trade between Romania and the European Community is concerned'8. Paragraph 3 of Article 64 states that the Association Council should adopt rules for the implementation of paras 1 and 2 of this Article. The Implementing Rules for State aid control were adopted on 10 April 20019. The Europe Agreement refers only to the 'fundamental principles' of EC competition law. However, doubts whether Romania was bound to comply with the full range of the EC State aid rules were dismissed by Article 2 of the Implementing Rules. This article specifies that the assessment of the compatibility of State aids 'shall be made on the basis of the criteria arising from the application of the rules of Article 87 of the EC Treaty, including the present and future secondary legislation, frameworks, guidelines, and other relevant administrative acts in force in the Community, as well as the case law of the Court of First Instance and the Court of Justice of the European Communities and any decision taken by the Association Council.'. Article 1 obliged Romania to appoint a responsible monitoring authority for State aid matters and appointed for this purpose the Competition Council and the Competition Office.
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Article 64 para. 4 (a) of the Europe Agreement provides that, during the first five years after the entry into force of the Agreement, Romania will be regarded as an area identical to those areas of the Community described in Article 87 (3)(a) EC Treaty ('assisted area'), and that the Association Council may extend this period by further periods of five years. Based on this provision, the period was extended by the Association Council for five more years, i.e. until 10 the year 2002 , and again through the Regional 11 Map for Romania until 2007 . Furthermore, through Article 64 para. 4 (b) Romania bound itself to ensure transparency in the area of public aid. 2. As early as 1995, Romania submitted its application for EU membership, as one of the first former 'socialist' countries. However, the accession negotiations only started in 2000. With a view to facilitating the accession negotiations, Romania confirmed in its negotiation position its commitment to implement and apply the full acquis communautaire in the area of EC State aid law in force in the same way as it is applied in the EU even before accession, and not to ask for a transition period with the aim of closing the negotiation chapter 6 on competition by the end of the year 2002. As the above-mentioned provisions of the Europe Agreement had no 12 direct effect in its national law , Romania had to take legislative measures for the effective implementation and enforcement of the acquis 13 communautaire in the field of State aid control . For this purpose, the Romanian Parliament adopted Law No. 21/1996 on Competition which established the Competition Council and the Competition Office, charged with the implementation of the law. However, it took another four years for Romania to create the foundations for an effective control of State aid. This was done through Law No. 143/1999 on State Aid, adopted on 27 July 1999, which 14 entered into force on 1 January 2000 . It charges the Competition Council with the task of authorising or prohibiting State aids in Romania15, provides the definition of State aid,

For an overview of State aid control in accession countries see Schuterlee in: Heidenhain, Hdb, d.EU-Beihilfenrechts. Decision no. 4/2000 of the Association Council, OJ 2001 L 138/16. Decision No. 2/2000 of the Association Council, OJ 2000 L 230/13. 11 Decision No. 1/2003 of the Association Council of 15 July 2003. 12 Hartwig, Die Europapolitik Rumniens, 2001, page 96. See also European Institute of Romania, The implications of adopting the acquis communautaire for the Romanian Constitution, Pre-Accession Impact Studies, 2002, pages 20-23. The Romanian Constitution was modified in September 2003 to provide expressly for the primacy of EU law after accession (see Article 148(2)). 13 Romania did not choose to make reference in its implementing legislation to the EC rules as, for example, Croatia did (see Article 2 of the Croatian State aid Regulation of 28 April 2006), because a complete transposition into Romanian law was regarded as more effective. 14 Monitorul Oficial No. 370 of 3 August 1999, modified by Law No. 603/2003 and Government Ordinance No. 94/2004, approved by Law No. 507/2004; republished in August 2005, Monitorul Oficial No. 744/2005 of 16 August 2005. For the Romanian text see http://www.cdep.ro/pls/legis/legis_pck.frame. An unofficial English translation is available at www.competition.ro. One can therefore safely say that State aid control has existed in Romania only for the past six years, which is a rather short time period considering the initial situation, the difficult political, economic, and social environment and the enormous amount of work that had to be done. 15 In accordance with the recommendation of the Commission to accession candidate countries to create one single central authority for the control of State aids (Document COM(94) 361 final of 27 July 1994, and the White Paper of the European Commission of 10 May 1995, Document COM(95) 163 final/2).
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stat n Romnia15, cuprinde definiia ajutorului de stat i definete modalitile de autorizare, acordare, control, inventariere, monitorizare, raportare i recuperare a ajutoarelor de stat. Legea se aplic nu doar msurilor de spijin care afecteaz comerul dintre Romnia i statele membre ale Uniunii Europene, ci i oricrei msuri care are efecte asupra mediului concurenial normal naional (vezi articolul 2, alineatul 1 din lege). Implementarea controlului ajutoarelor de stat n Romnia s-a dezvoltat gradual, n trei etape: n prima etap, ntre ianuarie 2000 i decembrie 2003, autoritile de concuren au nceput activitatea n noua arie de competen. Aceast perioad a fost caracterizat prin construirea capacitii administrative necesare i adoptarea legislaiei secundare de baz. A doua perioad a durat din decembrie 2003 (cnd legea concurenei i legea ajutorului de stat au fost amendate) i pn n toamna anului 2005, cnd, n Raportul de progrese, Comisia a recunoscut faptul c nivelul de implementare a ajutorului de stat corespunde, n linii mari, standardelor UE. A treia perioad a nceput n toamna anului 2005 i va dura pn la data aderrii. Cea mai important sarcin din aceast perioad este pregtirea perioadei post-aderare, atunci cnd Comisia va prelua controlul ajutoarelor de stat. III. Perioada 2000 2003 1. Intrarea n vigoare a legii ajutorului de stat la 1 ianuarie 2000 a marcat un punct de cotitur fundamental n acordarea de ajutoare de stat n Romnia, aceast activitate fiind supus, din acel moment unor reguli stricte, elaborate dup modelul celor aplicabile n Comunitatea European. Toate msurile de ajutor de stat

care au intrat n vigoare dup respectiva dat au fost considerate ajutoare de stat noi, care, pentru a deveni efective, a trebuit s fie notificate ctre i autorizate de Consiliul Concurenei nainte de acordare. Msurile de ajutor n vigoare la data respectiv au fost considerate ajutoare existente i au rmas n vigoare pn la suspendarea printr-o decizie a Consiliului. Potrivit legii concurenei, Consiliul Concurenei este autoritatea administrativ autonom 16, avnd, n domeniul concurenei i ajutorului de stat, puteri de decizie, de reglementare i de investigare similare cu cele ale Comisiei Europene la nivelul Uniunii Europene17. Membrii Consiliului Concurenei sunt numii de Preedintele Romniei, la propunerea Guvernului18 pentru un termen de 5 ani i sunt independeni n luarea deciziilor19. Oficiul Concurenei fcea parte din Ministerul de Finane i era responsabil n principal cu monitorizarea deciziilor Consiliului, cu rapor tarea i ntocmirea inventarului ajutoarelor de stat; de asemenea, Oficiul a avut rolul de a acorda asisten furnizorilor de ajutor de stat la pregtirea notificrilor20. Prima perioad a fost marcat de caracterul de noutate al controlului ajutoarelor de stat n Romnia, o ar aflat nc n proces de transformare dintr-o economie planificat la nivel central ntr-o economie de pia. Constituia Romniei declar c Romnia este o economie de pia 21. Cu toate acestea, din cauza dificultilor economice, a condiiilor sociale i politice din Romnia, ara a fcut doar progrese reduse n realizarea pe deplin a acestor obiective. Restructurarea industrial i procesul de privatizare erau departe de a fi fost finalizate atunci cnd a fost iniiat controlul ajutoarelor de stat22. n Rapoartele de progrese de pn n anul 2004, Comisia European a considerat c Romnia nu are o economie de pia funcional (n sensul criteriului economic de aderare de la Copenhaga)23. Gradul de contientizare cu privire la existena i

16 Articolele 3 i 17 din Legea concurenei nr.21/1996, amendat prin Ordonana de Urgen a Guvernului nr.121/2003, Monitorul Oficial nr.875 din 10 decembrie 2003; textul consolidat, n limba englez, este disponibil pe site-ul Consiliului Concurenei, la adresa: www.competition.ro. 17 Legea concurenei este lege organic n sensul art. 74 din Constituia Romniei, iar pentru adoptarea acesteia este necesar o majoritate absolut n Camera Deputailor, n timp ce legea ajutorului de stat este o lege ordinar i necesit doar votul majoritii deputailor prezeni. 18 Iniial de ctre Parlamentul Romniei. 19 Art. 18 (7). 20 Oficiul Concurenei a fost dizolvat n anul 2003, a se vedea mai sus, pct.II.4. 21 Art. 134 (1). 22 Situaie economic i social din Romnia la sfritul anilor 90 a fost caracterizat de faptul c PIB-ul pe cap de locuitor reprezenta, n anul 1997, doar 31% din media comunitar. Liberalizarea i privatizarea erau ntrziate, iar controlul preurilor trebuia nc s fie abolit n anumite sectoare, restructurarea marilor complexe industriale se dovedea a fi mult mai lent dect se preconizase, sistemul legal era nc fragil i eficiena administraiei publice era considerat slab. A se vedea observaiile formulate de Comisie n diferitele sale rapoarte ncepnd cu anul 1995, n special n Opinia cu privire la candidatura pentru adeziune la Uniunea Europeana (DOC/97/18 din 15 iulie 1997) i n Rapoartele de progrese din 2000 i 2001, documentele SEC (2000) 710 final din 8 noiembrie 2000 i documentul SEC (2001) 1753 din 13 noiembrie 2001. Pentru detalii suplimentare, a se vedea, spre exemplu, Gallagher, Theft of a nation, Londra 2005. 23 A se vedea Raportul de progrese din 2002, documentul SEC (2002) 1409 din 9 octombrie 2002; Raportul de progrese din 2003 din 5 noiembrie 2003 i Raportul de progrese din 2004, documentul SEC (2004) 1200 din 6 octombrie 2004.

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and defines the modalities for authorising, granting, controlling, inventorying, monitoring, reporting and recovering State aids. The Law covers not only 'measures of support' which affect the trade between Romania and the Member States of the European Union, but also any measures that have an effect on the internal 'normal competition environment' (see Article 2 para. 1 of the Law). The implementation of State aid control in Romania during this period developed gradually in three stages: During the first stage, between January 2000 and December 2003, the competition authorities started working in the area of the new competences. This period was characterised by the building up of the necessary administrative capacity and the adoption of basic secondary legislation. The second period lasted from December 2003 (when the Law on Competition and the Law on State aid were both revised), until autumn 2005, when the Commission acknowledged in its Progress Report that Romania's State aid enforcement record corresponded largely to EU standards. The third period started in the autumn of 2005 and will last until accession. The main task in this period is to prepare for the time period after accession, when the Commission will take over State aid control. III. The period 2000-2003 1. The coming into force of the Law on State aid on 1 January 2000 marked a fundamental turning point for granting State aids in Romania, since it was from that moment subjected to strict rules modelled on the rules applicable in the EC: All State aid measures that came into force after this date were new aids

which had to be notified to and be approved by the Competition Council prior to their being granted, in order to become effective. Aid measures already in force at this date were existing aids and remained in force until they were suspended by a decision of the Council. According to the Law on Competition, the Competition Council is an 'autonomous administrative authority' 16 with decisionmaking, lawmaking and investigative powers in the competition and State aid areas, similar to those of the European Commission in the EU17. The Members of the Competition Council are appointed by the President of Romania on the proposal of the Government18 for a term of five years and are 'independent in their decisionmaking'19. The Competition Office was part of the Ministry of Finance and mainly responsible for monitoring the decisions of the Council, reporting and drawing up the State aid Inventory; it also had the task of providing technical assistance to the State aid-granting authorities in the preparation of their notifications20. The first period was characterised by the novelty of State aid control for Romania as a country still in the process of transformation from a centrally-planned ('socialist') to a market economy. The Constitution of Romania declares that Romania is a 'market economy 21. However, due to the difficult economic, social, and political conditions in Romania, the country has made only slow progress in fully realising this objective. The industrial restructuring and privatisation processes were far from being completed when State aid control started22. In its Progress Reports until 2004 the European Commission did not find that Romania had a functioning market economy (in the sense of the economic Copenhagen criterion for accession)23. Awareness of the existence and benefits of competition and State aid rules was not yet widespread.

16 Articles 3 and 17 of the Law No. 21/1996 on Competition, as amended by Government Emergency Ordinance no. 121/2003, Monitorul Oficial No. 875 of 10 December 2003; consolidated text in English available on the website of the Romanian Competition Council under www.competition.ro. 17 The Law on Competition is a so-called 'organic law' in the sense of Article 74 of the Romanian Constitution, the adoption of which requires the absolute majority in the Chamber of Deputies, whereas the Law on State aid as an 'ordinary law' only requires a majority of the Deputies present. 18 Originally by the Romanian Parliament. 19 Article 18(7). 20 The Competition Office was dissolved in 2003, see above under II.4. 21 Article 134(1). 22 The economic and social situation in Romania in the late 1990s was characterised by the fact that the GDP per capita reached only 31% of the Community average in 1997. Liberalisation and privatisation were lagging behind, price controls had still to be abolished in various areas, the restructuring of large industrial complexes turned out to be more tedious than expected, the legal system was still fragile, and the efficiency of public administration was judged as low. See the observations of the Commission in its various reports since 1995, in particular in its 'Opinion on Romania's Application for Membership of the European Union' (DOC/97/18 of 15 July 1997) and in the 2000 and 2001 Progress Reports, Document SEC(2000) 710 final of 8 November 2000, and Document SEC(2001) 1753 of 13 November 2001. For further details see, for example, Gallagher, Theft of a Nation, London 2005. 23 See the 2002 Progress Report, Document SEC(2002) 1409 of 9 October 2002; the 2003 Progress Report of 5 November 2003; and the 2004 Progress Report, Document SEC(2004) 1200 of 6 October 2004.

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beneficiile regulilor de concuren i de ajutor de stat nu era foarte ridicat. 2. Autoritile de concuren, crora le-a fost atribuit controlul ajutoarelor de stat, funcionau deja, dar mai trebuia s i creeze cadrul juridic i instituional pentru ndeplinirea acestor noi sarcini prin constituirea de noi departamente, cu personal calificat i prin adoptarea legislaiei secundare. Iniial, salariile personalului erau extrem de sczute, chiar i comparativ cu cele din alte instituii guvernamentale, fr a mai vorbi despre cele din sectorul privat; rezultatul era un grad ridicat de migrare a angajailor ctre ministere i ctre sectorul privat. Prin urmare, consolidarea capacitii administrative a celor dou instituii reprezenta o preocupare major pentru Comisia European. Consolidarea administrativ includea un numr mare de sarcini dificile: angajarea i instruirea personalului calificat, mbuntirea organizrii interne, iniierea unei cooperri strnse cu furnizorii de ajutor de stat (n special cu ministerele i cu autoritatea de privatizare), contientizarea tuturor potenialilor furnizori de ajutor de stat cu privire la cerinele de notificare, informarea publicului cu privire la obiectivele politicii ajutorului de stat i elaborarea inventarului ajutorului de stat. 3. Consiliul a iniiat adoptarea cadrului legal necesar prin adoptarea, n anul 2000, a Regulamentului privind forma, coninutul i alte detalii ale notificrii unui ajutor de stat24 i a Regulamentului privind regula de minimis25. Cu privire la continuarea armonizrii legislative, s-a decis c regulamentele n materie de ajutor de stat relevante i actele administrative ale Comisiei Europene trebuie s fie transpuse n legislaia secundar romneasc, de ctre Consiliul Concurenei, sub form de regulamente i instruciuni; n special, pentru fiecare act al Comisiei, urma s fie adoptat un act al Consiliului Concurenei. n urma acestei decizii, un numr considerabil de acte de legislaie secundar au fost adoptate n 2002 i 200326 (spre exemplu, un regulament privind ajutorul regional, un regulament multisectorial, un regulament privind ajutorul de stat
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pentru protecia mediului, instruciuni privind vnzarea de terenuri i cldiri de ctre autoritile publice). 4. n Rapoartele de progrese din 2002 i 2003, Comisia a solicitat constat continuarea progreselor, mai ales n ceea ce privete aplicarea legii i calitatea deciziilor Consiliului. Comisia a recunoscut c au fost fcute progrese n ceea ce privete transpunerea acquis-ului, dar a concluzionat c aplicarea legii trebuie s fie mbuntit n continuare 27i c n privina ajutorului de stat mecansimele de control sunt nc insuficiente28. Comisia a fost ngrijorat n mod special de valoarea mare a ajutoarelor fiscale acordate de Guvernul Romniei (exceptri sau amnri la plata sarcinilor fiscale, contribuiile la asigurrile sociale) i de lipsa de transparen cu privire la acestea. De asemenea, Comisia a observat suprapunerea de competene dintre Consiliul Concurenei i Oficiul Concurenei" i a recomandat reorganizarea autoritilor romne de concuren. Eforturile de durat din acest domeniu s-au concretizat n reconfigurarea organizrii instituionale prin Ordonana de Urgen a Guvernului nr.121/2003 din 10 decembrie 2003, care a modificat fundamental Legea concurenei nr.21/199629. Oficiul Concurenei a fost desfiinat, iar atribuiile acestuia, mpreun cu o parte din personal, au fost transferate ctre Consiliul Concurenei. Astfel, Consiliul a devenit singura autoritate pentru politica ajutorului de stat n Romnia, avnd competena nu doar de a autoriza i interzice ajutoarele de stat i de a adopta reguli de aplicare, ci i competene extinse de investigaie i puteri de monitorizare, cu oficii n toate cele 40 de judee i n Bucureti. Simultan, numrul membrilor Consiliului a fost redus de la 10 la 7 pentru a se eficientiza procesul de luare a deciziilor. 5. O problem de baz a fost faptul c versiunea originar a legii ajutorului de stat - n special definiia ajutorului de stat nu corespundea pe deplin prevederilor din Tratatul CE. De aceea, prima i cea mai important

Revizuit n 2004, Monitorul Oficial nr. 82 din 25 ianuarie 2005. Monitorul Oficial nr. 125 din 6 Februarie 2000. Ultima modificare a pragului, prin Ordinul Preedintelui Consiliului Concurenei nr.51/2004, Monitorul Oficial nr. 248 din 22 martie 2004. 26 Cu sprijinul experilor germani, n cadrul proiectului de twinning finanat de Uniunea European ca parte a Parteneriatului pentru aderare, ntre Romnia i Uniunea European. 27 Raportul de progrese din 2002, documentul SEC (2002) 1409 din 9 octombrie 2002; Raportul de progrese din 2003 din 5 noiembrie 2003 i Raportul de progrese din 2004, documentul SEC (2004) 1200 din 6 octombrie 2004. 28 Raportul de progrese din 2003 din 5 noiembrie 2003. 29 Monitorul Oficial nr.875 din 10 decembrie 2003, adoptat prin Legea nr.184/2004, Monitorul Oficial nr. 461 din 17 mai 2004.
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2. The competition authorities, to which State aid control had been assigned, were already functioning but they still had to create the organisational and legal conditions for the fulfilment of the new tasks by building up new departments with qualified staff and by issuing the necessary secondary legislation. Originally, the salaries of the staff were extremely low, even compared to those of other Government institutions, not to mention salaries in the business sector; the result was a high turnover of the employees moving over to ministries and the private sector. Strengthening the administrative capacity of the two competition authorities was therefore a major concern of the European Commission. This included a large number of difficult tasks: qualified staff had to be hired and trained, the internal organisation had to be improved, a close cooperation with the State aid grantors (in particular with the Ministries and the Privatisation Authority) had to be established, awareness of the notification requirement had to be spread among all potential State aid grantors, the public had to be informed about the aims and goals of the State aid policy, and a State aid inventory had to be established. 3. The Council started creating the necessary legal framework by adopting, in the year 2000, a Regulation on the form, content, and other details of the State aid notification24, and a Regulation on the de minimis rule25. With regard to further legal harmonisation, it was decided that the relevant State aid regulations and administrative acts of the EC should be transposed into the Romanian secondary law in the form of regulations and guidelines of the Competition Council; in particular, for each Commission act an individual Council act had to be be adopted. Following this decision, a considerable number of secondary law acts were adopted in 2002 and 200326 (e.g. a Regulation on regional State aid, a Multisectoral Regulation, a Regulation on State aid for the protection of the environment, Guidelines on State aid in the form of guarantees, Guidelines on sales of land and buildings by public authorities).
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4. In the 2002 and 2003 Progress Reports, the Commission consistently asked for further improvements, especially regarding the enforcement record and the quality of the decisions of the Council. The Commission acknowledged that progress had been made on the transposition of the acquis, but concluded that 'Romania's enforcement recordneeds to be improved'27, and that 'as regards State aid, control mechanisms are still insufficient28. Of particular concern for the Commission was the large amount of fiscal aid granted by the Romanian Government (exemptions from and deferrals of fiscal liabilities, social contributions and energy liabilities) and the lack of transparency in this regard. The Commission also observed 'overlapping competences of the Competition Council and the Competition Office' and recommended a reorganisation of the Romanian competition authorities. The lengthy efforts in this area resulted in a comprehensive reshaping of the institutional setting by Government Emergency Ordinance No. 121/2003 of 10 December 2003, fundamentally modifying the Law No. 21/1996 on Competition29: The Competition Office was dissolved, its attributions and a part of its staff were transferred to the Competition Council. The Council thereby became the single authority for State aid policy in Romania, having the power not only to authorise and prohibit State aids and issue implementing rules, but also to exercise extensive investigative and monitoring powers, with local offices in all 41 counties and in Bucharest. Simultaneously, the number of Council Members was reduced from 10 to 7 in the interest of reinforced efficiency of the decisionmaking process. 5. A basic problem was that the original version of the Law on State aid in particular the definition of State aid did not fully correspond to the provisions of the EC Treaty. The first and most important task of the Competition Council was therefore to get the Romanian legislator to adapt the Law which had only come into effect in January 2000. Eventually this was achieved through Law No. 603/2003, of 23 December

Revised in 2004, Monitorul Oficial No. 82 of 25 January 2005. Monitorul Official No. 125 of 6 February 2000. Last modification of the threshold by order of the President of the Competition Council No. 51/2004, Monitorul Oficial No. 248 of 22 March 2004. 26With the support of German experts in the framework of an EU-financed Twinning-Project as part of the Accession Partnership between Romania and the European Union. 27 2002 Progress Report, Document SEC(2002) 1409 of 9 October 2002. 28 2003 Progress Report, Document of 5 November 2003. 29 Monitorul Oficial No. 875/2003 of 10 December 2003, confirmed by Law No. 184/2004, Monitorul Oficial No. 461 of 17 May 2004.
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sarcin a Consiliului Concurenei a fost aceea de determina legislativul s amendeze legea care de abia intrase n vigoare la 1 ianuarie 2000. n cele din urm, acest lucru a fost realizat prin Legea nr.603/2003 din 23 decembrie 200330. Chiar i dup aceste mbuntiri, incertitudinile legislative au continuat s existe (cel puin teoretic), din moment ce regulile de ajutor de stat nu aveau

(i nc nu au) prevalen asupra legislaiei n baza creia se acord ajutor de stat i pot fi oricnd modificate sau chiar abrogate de o lege ulterioar. n plus, deciziile Consiliului Concurenei referioare la compatibilitatea actelor normative cu regulile de ajutor de stat nu au efect obligatoriu31, iar ordinele legale de recuperare pot fi emise doar de instane i nu de Consiliul Concurenei32 .
Traducerea n limba romn a articolului a fost realizat de Georgeta GAVRILOIU

IMPORTANA POLITICII N DOMENIUL AJUTORULUI DE STAT N CONTEXTUL PROGRAMULUI NAIONAL DE REFORME PENTRU STRATEGIA LISABONA RELANSAT
Jzsef Nndor NEMNYI33 Rezumat Guvernul Romniei a supus consultrii publice Programul Naional de Reforme pentru Strategia Lisabona Relansat n cadrul cruia s-a realizat i analiza politicii naionale n domeniul ajutorului de stat. Aceasta reprezint o parte important a economiei de pia, ajutoarele de stat constituind msuri selective de sprijin financiar public acordate, n condiiile legii, unor ntreprinderi, zone sau activiti pentru atingerea unor obiective de interes general precum protecia mediului, dezvoltarea ntreprinderilor mici i mijlocii, a cercetrii i inovrii, crearea de locuri de munc pentru asigurarea dezvoltrii anumitor regiuni etc. Cuvinte cheie: competitivitate extern, cretere economic sustenabil (cu accent pe finanele publice), o nou balan energetic i reforma asigurrilor sociale i de sntate. Romnia a elaborat anul acesta, printr-un efort conjugat la nivel guvernamental (sub coordonarea Ministerului Integrrii Europene), Programul Naional de Reforme pentru Strategia Lisabona Relansat document cu caracter strategic ce este supus consultrii publice, n vederea asumrii. Programul este structurat pe trei niveluri n raport cu recomandrile integrate, fiecare nivel cuprinznd o serie de prioriti-cheie: I. Nivelul macro-economic: stabilitate economic i sustenabilitatea finanelor publice, trateaz aspecte legate de: - stabilitatea macroeconomic; - sustenabilitatea finanelor publice; - reformarea sistemelor de asigurri sociale i de asigurri de sntate; - creterea calitii serviciilor publice i a eficienei administraiei; - asigurarea unei balane energetice echilibrate;

30 Monitorul Oficial nr.930 din 23 decembrie 2003, cu efect din 26 decembrie 2003; dup alte modificari, Legea privind ajutorul de stat a fost republicat n august 2005 (vezi nota 11). mai 2004 31 Problema a fost rezolvat printr-o procedur pragmatic (art.17, actualul art.24, din Legea privind ajutorul de stat). 32 Art.17, actualul art.24, din Legea privind ajutorul de stat. 33 Membru al Plenului Consiliului Concurenei.

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200330. Even after these improvements, legal uncertainties remained (at least theoretically), since the State aid rules did (and still do) not take precedence over legislation under which State aid is provided, and they can at any time be modified or even abrogated by a later law.

Additionally, Competition Council decisions regarding the compatibility of normative acts with the State aid rules do not have any binding effect31 and legally binding recovery orders may only be issued by the courts, not by the Competition Council32.

THE RELEVANCE OF STATE AID POLICY IN THE CONTEXT OF THE NATIONAL REFORM PROGRAM FOR THE RE-LAUNCHED LISBON STRATEGY
Jzsef Nndor NEMNYI33

Abstract The Romanian Government has submitted for public consultation the National Reform Program for the Re-launched Lisbon Strategy which has included also an analysis of the national State aid policy. This is an important part of the market economy, the State aid representing selective measures of financial public support granted, according to the law, to enterprises, areas or activities to reach certain general interest objectives, such as environmental protection, development of the small and medium sized enterprises, research and innovation, job creation to promote regional development etc. Keywords: external competitiveness, sustainable economic growth (with a focus on public finance), a new energy balance and the reform of the social and health insurance. Romania has drafted this year, through a joint Governmental effort (coordinated by the Ministry of European Integration), the National Reform Program for the Relaunched Lisbon Strategy a strategic document submitted for public consultation to be agreed by all stakeholders. The Program is structured on three levels in relation with integrated recommendations, each level containing key priorities:

I. The macro-economic level: economic stability and sustainability of public finance is addressing issues related to: - macroeconomic stability; - sustainability of public finance; - reform of social security and health insurance systems; - enhancement of public services quality and ef ficiency of administration; - provision of a balanced energy mix.

30 Monitorul Oficial No. 930 of 23 December 2003, with effect of 26 December 2003; after further modifications the Law on State aid was republished in August 2005 (see above footnote 11). 31 The problem was solved by a pragmatic procedure (Article 17 now Article 24 of the Law on State Aid). 32 Article 17 (now 24) of the Law on State Aid. 33 Member of the Competition Council' Plenum.

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