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CUPRINS/CONTENT

Autoritatea de concuren din Romnia noi obiective europene ale anului 2007
Competition authority of Romania new European objectives for 2007
Carmen BUCUR, Jozsef Nandor NEMENYI

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3

Autoritatea de concuren din Romnia noi obiective europene ale anului 2007
Competition authority of Romania new European objectives for 2007
Carmen BUCUR, Jozsef Nandor NEMENYI

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9

Controlul ajutorului de stat n Romnia (II)


State aid control in Romania (II)
Reimer von BORRIES

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17

Romnia i Uniunea European: care sunt provocrile n domeniul concurenei?


Romania and the European Union: Which challenges in antitrust?
Alberto HEIMLER

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27

Ajutorul de stat i drumul ctre aderare


State aid and the road to accession
Koen VAN DE CASTEELE

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33

Extinderea din 2004/2007 - un succes incontestabil


The 2004/2007 enlargement an undeniable success
Gabriela DRGAN

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41

Regimul juridic al concentrrilor economice n dreptul comunitar


The legal framework of economic concentrations in community law
Mihaela Violeta TOADER

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49

Impactul ajutoarelor de stat regionale asupra dezvoltrii zonelor defavorizate


Regional aid impact on the deprived areas development
Daniel DIACONESCU
Constana DUMITRESCU
Anca CRISTEA

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61

Puterile de inspecie ale organelor administrative i protecia sediilor persoanelor juridice


Inspection powers of administrative authorities and the protection of legal entities` premises
Dumitru ENE
Paul PRISECARU

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69

Proceduri naionale n domeniul ajutorului de stat - competene i obligaii


National procedures in the state aid field - competences and obligations
Mihaela MARINESCU

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73

Procesul de elaborare a tratatului instituind o Constituie pentru Europa (II)


The elaboration of the treaty implementing a Constitution for Europe (II)
Lilian OSTROPEL
Raluca BADIC

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81

Noua reglementare a insolvenei (II)


The new regulation on insolvency (II)
Carmen BLTRESCU

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91

Ordonana de urgen nr.128/2006 un act normativ discutabil care instituie


noi msuri de natura ajutorului de stat
Emergency Ordinance no.128/2006 a questionable normative act instituting
new support measures of the nature of state aid
Jzsef Nandr NEMENYI
Carmen BUCUR

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Nouti n domeniul concurenei i ajutorului de stat


News in the competition and state aid field
Carmen BUCUR

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95

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AUTORITATEA DE CONCUREN DIN ROMNIA:


NOI OBIECTIVE EUROPENE ALE ANULUI 2007
Redacia revistei Profil: Concurena1
Dr.Carmen BUCUR2
Dr. Jozsef Nandor NEMENYI
Rezumat
Odat cu accederea n clubul select al Uniunii Europene, autoritatea romn de concuren a intrat ntr-o nou
etap de dezvoltare. Dac pn la 1 ianuarie 2007 prioritatea Consiliului Concurenei a vizat aspecte specifice
etapei de pre-aderare, odat cu aderarea Romniei la Uniunea European, autoritatea de concuren i
propune consolidarea statutului de autoritate recunoscut i puternic, deplin integrat n familia european de
concuren.
Cuvinte cheie: aderare, evoluie, concuren, ajutor de stat, creterea competiiei i a competitivitii externe.
Aderarea la Uniunea European reprezint pentru
autoritatea de concuren din Romnia o provocare,
att din perspectiva concurenei, ct i a ajutorului de
stat. n scopul ndeplinirii eficiente a responsabilitilor ce-i revin, Consiliul Concurenei i-a stabilit
obiectivele prioritare pentru anul 2007, spernd c
viitorul reformei se menine i pe mai departe.
I. n domeniul concurenei, activitatea Consiliului
Concurenei se va intensifica, ntruct Consiliul
Concurenei a dobndit competena de a aplica
direct regulile de concuren cuprinse n Tratatul de
instituire a Comunitii Europene. Consiliul
Concurenei i propune, astfel, s i intensifice
eforturile n vederea promovrii regulilor comunitare
de concuren i a aplicrii pro - active a acestora.
n acest sens, pentru anul 2007, Consiliul
Concurenei vizeaz ndeplinirea urmtoarelor
obiective:
1. Adaptarea rapid la noul statut de membru, cu
drepturi i obligaii depline, n Reeua European a
Concurenei (ECN).
De la data aderrii, Consiliului Concurenei a
dobndit competena de a aplica direct regulile de
concuren comunitare. n toate cazurile care intr
sub incidena legislaiei comunitare, Consiliul
Concurenei va aciona n cadrul Reelei Europene a
Concurenei, din care fac parte Comisia European i

1
2

Inspector de concuren, Direcia de Cercetare-Sinteze.


Consilier de concuren.

autoritile naionale de concuren din toate statele


membre.
2. Concentrarea eforturilor de aplicare a Legii
concurenei asupra celor mai grave practici
anticoncureniale
Dintre practicile anticoncureniale sancionate de
legea concurenei, cartelul este cel mai nociv pentru
mediul concurenial. Participarea la un cartel este
sancionat, att de legislaia naional, ct i de cea
comunitar, cu amenzi foarte mari, care pot ajunge
pn la 10% din cifra de afaceri a firmelor implicate.
Pentru a facilita detectarea cartelurilor, care sunt, prin
definiie, nelegeri secrete, Consiliul Concurenei a
adoptat un program de clemen. Acest program
ncurajeaz participanii s furnizeze Consiliului
informaii n legtur cu existena unui cartel. Astfel,
prima firm care furnizeaz informaii este scutit
integral de amenda pe care ar fi trebuit s o primeasc
pentru nclcarea Legii concurenei. Alte firme
implicate n cartel pot beneficia de reduceri ale
amenzilor n anumite condiii. Este de ateptat ca
amenzile foarte mari aplicate de Consiliul
Concurenei n ultimi ani, n cazurile de cartel, s
conduc la creterea atractivitii programului de
clemen i, implicit, la detectarea unui numr i mai
mare de astfel de practici.
n anul 2007, Consiliul Concurenei i va intensifica

COMPETITION AUTHORITY OF ROMANIA:


NEW EUROPEAN OBJECTIVES FOR 2007
Editorial staff of the "Profil:
Concurena" magazine
3
Ph.D. Carmen BUCUR
Ph.D. Jozsef Nandor NEMENYI4
Abstract 5
After joining the select club of the European Union, the Romanian competition authority has entered into a new
development phase. Before 1 January 2007, the Competition Council's priorities were the issues specific to the
pre-accession period; after Romania's accession, the competition authority set as an objective to consolidate its
status as a recognised and strong authority, fully integrated in the European family of competition.
Keywords: accession, evolution, competition, State aid, international relations, increase of competition and of
external competitiveness
Network, which includes the European Commission
and the national competition authorities from all the
Member States.

Accession to the European Union represents a


challenge for the Romanian competition authority,
both on antitrust and on State aid. In order to
efficiently fulfill its responsibilities, Competition
Council has set its priority objectives for 2007, hoping
that the future of the reform will last.

2. Focusing the enforcement of Competition Law


on the most severe anticompetitive practices
Among the anticompetitive practices sanctioned by
competition law, the cartel is the most harmful for the
competitive environment. The participation in a cartel
is sanctioned by Community and by national
legislation with very high fines, which can mount up
10% of the turnover of the involved undertakings. To
facilitate the detection of cartels, which are, by
definition, secret agreements, the Competition
Council adopted a leniency program. This program
encourages the participants to disclose information
about the existence of a cartel. Thus, the first firm
which discloses information is exempted from the fine
it should have paid for infringing the competition law.
Other firms involved in the cartel can benefit, in
certain conditions, from reductions of fines. It is
expected that the heavy fines applied by the
Competition Council in cartel cases over the last years
will increase the attractiveness of leniency program
and, subsequently, will lead to the detection of such
practices.
In 2007, the Competition Council will intensify its
activity of detecting and sanctioning the most severe
infringements of the Competition law and will

I. In the field of antitrust, the activity of the


Competition Council will intensify, since the Council
has became competent to apply directly the antitrust
rules contained by the Treaty establishing the
European Community. Thus the Competition
Council aims to intensify its efforts towards
promoting the EC competition rules and to their proactive enforcement.
To this end, for year 2007, the Competition Council
aims at the fulfilment of the following objectives:

1. A rapid adaptation at the new status of fully


fledged member of the European Competition
Network (ECN)
As of the accession date, the Competition Council
became competent to apply the EC antitrust rules. In
all cases falling within the scope of the Community
legislation, the Competition Council will action within
the framework of the European Competition

Competition inspector, Research and Synthesis Directorate.


Competition councellor, member of the Competition Council's plenum.
5
Translated into English by Georgeta Gavriloiu and Carmen Bucur.

activitatea de detectare i sancionare a celor mai


grave nclcri ale Legii concurenei i va continua s
sancioneze cu maxim severitate att nelegerile
anticoncureniale, ct i abuzul de poziie dominant.
3. Realizarea de anchete sectoriale i
monitorizarea pieelor
Monitorizarea pieelor i n special a sectoarelor
sensibile din punct de vedere al recurenei practicilor
anticoncureniale este esenial pentru susinerea
unei activiti de aplicare a legii coerente i eficiente.
Aplicarea corect a regulilor de concuren n cazurile
particulare nu este posibil fr o bun cunoatere a
pieelor pe care activeaz firmele implicate, fr
nelegerea mecanismelor i dinamicii care
caracterizeaz sectoarele ecomice respective. De
asemenea, n urma unor astfel de anchete sectoriale,
pot fi obinute informaii eseniale despre domenii n
care intervenia Consiliului Concurenei este necesar
pentru restabilirea mediului concurenial normal.
4. Accentuarea rolului analizei economice n
evaluarea cazurilor de concuren
Consiliul Concurenei i propune s dezvolte i s
mbogeasc mijloacele specifice de analiz
economic utilizate la fundamentarea deciziilor.
Analiza economic aprofundat ajut la definirea
corect a pieelor afectate de practicile anticoncureniale i, mai ales, la o mai bun evaluare a
efectelor asupra concurenei i comerului. n acest fel
se poate realiza o departajare a cazurilor care ridic,
din start, probleme i celelalte cazuri (studii de impact
ante i post factum).
II. n domeniul ajutorului de stat, aderarea
Romniei la Uniunea European a condus la
modificarea competenei de autorizare a ajutoarelor,
competen ce a fost transferat ctre Comisia
European. De la data aderrii, reglementrile
comunitare n materie de ajutor de stat au devinit
direct aplicabile n Romnia, iar acordarea oricrui
ajutor de stat trebuie s fie, ca regul, precedat de
obinerea unei decizii de autorizare din partea
Comisiei Europene. Aceasta implic o
responsabilitate sporit pentru Romnia, care va
trebui s fundamenteze corespunztor, din punct de
vedere juridic i economic, orice intenie de acordare
a unui ajutor de stat. n fapt, n materie de ajutor de
stat, prin O.U.G. nr.117/2006, au fost reglementate
procedurile naionale, n vederea aplicrii art. 87-89
din Tratatul de instituire a Comunitii Europene i a
legislaiei secundare adoptate n baza acestuia, direct
i imediat aplicabile dup 1 ianuarie 2007.

Pentru Consiliul Concurenei, anul 2007, va marca


exercitarea unui nou rol, acela de autoritate
naional de contact n problematica ajutorului de
stat, asigurnd interfaa ntre Comisia European, pe
de o parte, i autoritile naionale iniiatoare i
furnizoare de ajutor de stat, pe de alt parte. Consiliul
Concurenei va folosi experiena acumulat pn n
prezent pentru a sprijini iniiatorii s elaboreze
programe de restructurare i finanare deplin
compatibile cu regulile stricte care guverneaz, la
nivel comunitar, acordarea de ajutoare de stat.
Obiectivele anului 2007 n materie de ajutor de
stat vizeaz:
1. Gestionarea n mod adecvat a atribuiilor ce-i vor
reveni n calitate de autoritate naional de contact
ntre Comisia European i autoritile naionale pe
problematica ajutorului de stat.
2. Asigurarea funcionrii Registrului Ajutoarelor de
Stat, care s permit evidenierea electronic a
ajutoarelor acordate, cu respectarea principiilor de
transparena n ceea ce privete acordarea i
monitorizarea ajutoarelor de stat.
3. Acordarea de asisten de specialitate autoritilor
publice care au competena de a iniia sau furniza
msuri de ajutor de stat. n acest sens, Consiliul
Concurenei i va intensifica eforturile de susinere a
furnizorilor de ajutor de stat, pentru a se asigura
alinierea politicii de acordare a msurilor de sprijin
financiar la obiectivele promovate n documentul
Politica n domeniul ajutorului de stat pentru
perioada 2006-2013.
4. Consiliul Concurenei va continua rolul proactiv n
domeniul ajutorului de stat prin:

informarea prin mijloace diverse a iniiatorilor,


furnizorilor i beneficiarilor de ajutor de stat, precum
i a publicului larg asupra regulilor europene
relevante n acest domeniu;

emiterea de puncte de vedere/avize privind


proiectele de acte normative naionale care pot
contine ajutoare de stat;

monitorizarea i inventarierea msurilor naionale


de ajutor de stat.
III. Din perspectiva culturii concurenei, anul 2007
va nsemna accentuarea eforturilor depuse de
autoritatea de concuren pentru promovarea i
diseminarea de informaii relevante din domeniul
concurenei i ajutorului de stat. Aceste informaii
sunt orientate cu precdere ctre mediul de afaceri,
dar i ctre toi factorii decideni, n vederea
nelegerii corecte a mecanismelor i regulilor
comunitare n domeniu.

continue to sanction very severely both the


anticompetitive agreements and the abuse of
dominant position.

3. Conducting sectoral inquires and monitoring


markets
Monitoring the markets and, especially, the sensitive
sectors from the point of view of the recurrence of the
anticompetitive practices is essential for sustaining an
activity of a coherent and effective law enforcement.
The correct enforcement of the competition rules in
particular cases is not possible without a throughout
knowledge of markets where the firms operate and
without a throughout understanding of the
mechanism and dynamics which characterize the said
economic sectors. At the same time, following such
sectoral inquires, essential information may be
obtained about areas in which the intervention of the
Competition Council is necessary for the restoration
of the competitive environment.
4. Enhancing the role of the economic analysis in
the assessment of antitrust cases
The Competition Council aims to develop and enrich
the specific means of economic analysis used for
grounding its decisions. The refined economic analysis
helps the correct definition of the markets affected by
the anticompetitive practices and, especially, a better
assessment of their effects on competition and trade.
In this way, a separation can be made, from the very
beginning, between the problematic cases and the
rest of the cases (ante and post factum impact
studies).
II. In the field of State aid, Romania's accession to the
European Union determined a change of the
competence of authorizing State aid; this
competence was transferred to the European
Commission. As of the date of accession, the
community regulations in the field of State aid
became directly applicable in Romania and the
granting of any State aid must be, as a rule, preceded
by an approval decision issued by the European
Commission. This implies an increased responsibility
for Romania, which would need to adequately
ground, both economically and legally, any intent of
granting State aid.
For the Competition Council, the year 2007, will
mark the exercising of a new role, as the national

contact authority in the field of State aid, ensuring


the interface between the European Commission, on
one hand, and the national authorities initiating or
granting State aid, on the other hand. The
Competition Council will make use of the experience
acquired up to present to support the State aid
initiators to draft financing programs fully compatible
with the strict rules governing, at the Community
level, the granting of State aids.
The objectives of 2007 in the field of State aid aim
at:
1. The accurate management of the attributions
undertaken as a national contact authority between
the European Commission and the national
authorities in the field of State aid.
2. Ensuring the functioning of State aid Registry,
which allows the electronic tracking of granted State
aid, in accordance with the principle of transparency
with regards to the granting and monitoring of State
aids.
3. Providing technical advice to the public authority
with competencies to initiate or grant State aid
measures. In this respect, the Competition Council
shall intensify the effort for supporting the State aid
grantors for the alignment of policy of granting
financial support to the objectives set in the State Aid
Policy Paper for the period 2006 2013.
4. The Competition Council will continue to play a
pro-active role in the field of State aid by:

Informing, through various means, the State aid


initiators, grantors and beneficiaries, as well as to the
wide public with regards to the European rules
relevant in this field;

Issuing points of views and binding opinions on the


draft legislative acts which may contain State aid;

Monitoring and inventorying the national measures


of State aid.

III. From the perspective of the competition


advocacy, the year 2007 will mark the intensification
of the competition authority's efforts to promote and
disseminate relevant information in the field of the
competition and State aid. This information will be
mainly oriented toward the business community but
also to all decision - making factors, aiming at
ensuring the correct understanding of the
Community mechanisms and rules in the field.

IV. Un obiectiv esenial al activitii anului 2007 l


reprezint continuarea consolidrii capacitii
administrative. Astfel, pentru a deveni un actor
important n familia autoritilor europene de
concuren, Consiliul Concurenei va continua s
aloce resurse importante pentru pregtirea adecvat
a etapei post-aderare. n acest sens, noul proiect de
Twinning, aciunile de formare profesional
organizate pentru experii naionali de alte autoriti
de profil din UE, stagiile de pregtire la DG
Concuren, participarea ca observator activ la
reuniunile organizate la nivel comunitar vor
reprezenta n continuare instrumente importante.
V. Pe plan internaional, obiectivele Consiliului
Concurenei pentru anul 2007 vizeaz:
La nivel bilateral, Consiliul Concurenei va urmri, n
continuare, intensificarea relaiilor de colaborare
existente prin schimb de documentaie i de cele mai
bune practici n domeniul concurenei, dezvoltarea
de contacte directe ntre experi, organizarea de
seminarii i stagii de pregtire pentru experii
autoritii de concuren pe tematici antitrust, cu
scopul de a dezvolta abiliti n a efectua studii
sectoriale, n a aplica diverse modele i analize
economice cantitative, pe care se pune un accent
deosebit n prezent la nivel comunitar dar i
internaional.
Consiliul Concurenei i propune s continue
training-ul de specialitate al experilor n culegerea
de informaii n format electronic, pentru o utilizare
mai eficient a inspeciilor inopinate. Dat fiind
experiena dobndit n negocierile de aderare la UE
ct i dinamica activitii Consiliului Concurenei din
ultimii ani, un obiectiv esenial l constituie
intensificarea relaiilor de colaborare i cu rile
candidate la aderare, precum Turcia, Fosta Republic
Iugoslav Macedonia i Croaia, mprtind astfel
din experiena autoritii romne de concuren.
La nivel international, obiectivele urmrite au n
vedere participarea la activitile organismelor
internaionale, prin elaborarea de contribuii scrise,
participarea la diverse evenimente internaionale
organizate de ECN, UNCTAD, OCDE pentru a
promova pe plan extern activitatea Consiliului
Concurenei i de a face cunoscut poziia autoritii
romne de concuren pe teme de interes la nivel
comunitar dar i internaional.
Redacia revistei Profil: Concurena este ferm
convins c prin nregistrarea unei creteri
economice nsemnate n 2007 i asigurnd o

competitivitate superioar prin politici concureniale


se dezvolt i capitalul autohton romnesc. Aceasta
este o surs de baz pentru mbuntirea
remunerrii forei de munc din ramurile hotrtoare
ale economiei naionale.

IV. An essential objective of the activity in 2007 will


be to continue the consolidation of administrative
capacity. In order to become an important actor in
the family of the European competition authorities,
the Competition Council will continue to allocate
important resources for the adequate preparation of
the post-accession period. In this respect, the new
Twinning Project, the internships at DG Competition,
participating as an active observer at the meetings
organized at the Community level will continue to
represent important tools.
V. At an international level, the Competition
Council's objectives for the 2007 will aim at:
On a bilateral level, the Competition Council will
continue to pursue the intensification of the relations
of collaboration through exchange of materials, best
practices in the field of State aid, through developing
direct contacts between experts, organizing seminars
and internships for the competition authority's
experts on antitrust matters with a view to develop
abilities to perform sectoral studies, to apply different
models and quantitative economic analysis, which
are frequently used today both at a Community and
at international level.
The Competition Council is determined to continue
the specialized training for obtaining electronic
information and for an efficient use of the dawn raids.
Taking into account the experience acquired in the
accession negotiations and the dynamic of the
Competition Council's activity in the last year, an
essential objective shall constitute the intensification
of cooperation relations and with the candidate
countries, such as Turkey, Former Yugoslav Republic
of Macedonia and Croatia to share from the
experience of the Romanian competition authority.
At an international level, the objectives pursued
take into account the participation at the activities of
the international organizations, through written
contributions, the participation in different
international events organized by ECN, UNCTAD,
OECD in order to promote at an international level
the position of the Romanian competition authority
on subjects of interest at a Community and also at
international level.
The editorial staff of the Profil: Concurena magazine
is strongly convinced that through a significant
economic growth in 2007 and by ensuring a higher

competitiveness through competition policies the


domestic capital will also be developed. This is a
basic source for the improvement of payment
conditions for the work force in the essential
branches of the national economy.

CONTROLUL AJUTORULUI DE STAT N ROMNIA (II)6


Prof. dr. Reimer von BORRIES7
Rezumat8
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. Prezentarea, n
numrul anterior al revistei, a primei perioade de control al ajutorului de stat (2000 2004) este urmat de o
descriere a perioadei 2004 2005, caracterizat de schimbri n compoziia Consiliului, de mbuntiri
organizatorice importante, de completarea cadrului legislativ, precum i de consolidarea cooperrii cu
autoritile furnizoare de ajutor de stat.
Cuvinte cheie: ajutor de stat, autoritate de concuren, Consiliul Concurenei, controlul ajutoarelor de stat
IV. Perioada 2004 2005
Noul i impresionantul dinamism al Consiliului n
domeniul ajutorului de stat a creat bazele pentru
finalizarea la timp a negocierilor de aderare, n
decembrie 2004, i a ndeprtat potenialele
obstacole din calea aderrii.
a) n urma revizuirii legii concurenei, pe data de 17
februarie 2004 au fost numii un nou preedinte i
ase noi membri ai Consiliului (inclusiv doi foti
membri, ale cror mandate au fost rennoite). Trei
dintre membri au preluat responsabiliti speciale n
domeniul ajutorului de stat, iar ceilali trei n
domeniul concurenei. Salariile experilor au fost
mrite substanial. Consiliul s-a mutat ntr-o locaie
mai potrivit, iar organizarea intern a fost
modificat9.
b) n baza articolului 14, coroborat cu articolul 22 din
Legea privind ajutorul de stat10, Consiliul Concurenei

i-a intensificat eforturile cu privire la armonizarea


legislativ, prin adoptarea unui mare numr de
regulamente i instruciuni, prin care toate actele
relevante ale Comisiei Europene din domeniul
ajutorului de stat (regulamente, regulamente-cadru,
linii directoare, comunicri), viznd att aspecte
susbtaniale, ct i de procedur, au fost transpuse n
legislaia romneasc (de ex. regulamentul privind
ajutorul de stat pentru salvarea i restructurarea
ntreprinderilor n dificultate, un regulament revizuit
privind ajutorul de stat regional, regulamentul privind
ajutorul de stat pentru cercetare-dezvoltare,
regulamentul pentru ntreprinderile mici i mijlocii
etc.). Numai n anul 2004, au fost adoptate 21
regulamente i 3 instruciuni. La finalul acestei
perioade, Consiliul Concurenei avea la dispoziie un
set complet de reguli precise pentru controlul
ajutoarelor de stat n Romnia, reguli care
corespundeau n totalitate celor aplicabile n
Uniunea European11.

Acest articol a fost publicat n European State Aid Law Quartely, nr. 3/2006. Consiliul Concurenei a obinut acordul autorului pentru
publicarea articolului.
7
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 Finane din Germania i profesor onorific la Universitatea din
Osnabrck. Opiniile din prezentul articol reprezint punctele de vedere ale autorului.
8
Traducerea n limba romn a fost realizat de Georgeta Gavriloiu.
9
Regulamentul de organizare, funcionare i procedur al Consiliului Concurenei, Monitorul Oficial nr.64 din 10 ianuarie 2005.
10
n prezent, articolele 23 i 30.
11
Totui, Romnia nu a fost de acord s aplice exceptrile n bloc, deoarce furnizorii de ajutor de stat nu erau pregtii pentru aceasta.

STATE AID CONTROL IN ROMANIA (II)12


13

Prof.Ph.D. Reimer von BORRIES


Abstract

The European Commission has constantly identified the State aid control as a 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. After the presentation of
first period in the State aid control, the present article continue with the describe of second period, 2004-2005,
which was characterized by changes in the composition of the Council, important organisational
improvements, the completion of the legislative work, a strongly increased activism regarding the
enforcement of State aid rules, a reinforced cooperation with the State aid granting authorities and a large
number of competition advocacy activities.
Keywords: State aid, competition authority, Competition Council, State aid control.

IV. 2004-2005 period


The new and very impressive dynamism of the
Council in the State aid area laid the foundations for
the timely closure of the accession negotiations in
December 2004 and removed potential obstacles to
a timely accession.
a) Following the review of the Law on Competition, a
new President and six new Council members were
appointed on 17 February 2004 (including two
former members who were reappointed). Three of
the members took over special responsibilities in the
State aid area, the remaining three dealt with
competition. The salaries of the competition and
State aid experts were substantially raised. The
Council moved to a more suitable location; the
internal organisation was reshaped14.

12

b) On the basis of Article 14, in conjunction with


Article 22 of the Law on State Aid15, the Competition
Council intensified its efforts regarding legal
harmonisation by adopting a large number of
regulations and guidelines through which all relevant
acts (regulations, frameworks, guidelines,
communications) of the European Commission in the
State aid area were transposed into the Romanian
law, on both substantive and procedural issues (e.g.
the Regulation on State aid for rescue and
restructuring firms in difficulty, a revised Regulation
on regional State aid, a Regulation on State aid for
research and development, a Regulation on State aid
for small and medium-sized enterprises etc.). In
2004 alone, 21 regulations and 3 guidelines were
adopted. At the end of this period, the Council had
available a complete set of precise rules for the
control of State aid in Romania, rules which fully
corresponded to those applicable in the EU16.

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.
13
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.
14
Regulation on the organisation, functioning and procedure of the Competition Council, Monitorul Oficial No. 64 of 19 January 2005.
15
Now Articles 23 and 30.
16
However, Romania agreed not to apply 'block exemptions' as the State aid grantors were not yet ready for it.

c) n rapoartele de progrese, Comisia a subliniat, cu


regularitate, c atunci cnd se evalueaz progresele
Romniei n vederea aderrii, importante sunt
rezultatele aplicrii legii (enforcement record). n
Raportul de progrese din 2003, Comisia a observat c
n ceea ce privete ajutorul de stat, mecansimele de
control sunt nc insuficiente; n Raportul din 2004,
Comisia a concluzionat c rezultatele Consiliului
Concurenei privind aplicarea legii n domeniul
ajutorului de stat trebuie s fie considerabil
mbuntit n continuare. Un aspect important al
criticilor formulate de Comisie a fost reprezentat de
faptul c, pn n 2004, nu existase nici o decizie
negativ a Consiliului i aproape nici o investigaie
ex-officio n domeniul ajutorului de stat. De
asemenea, n Romnia nu existase nici o procedur
de recuperare17.
Consiliul Concurenei a rspuns acestor critici prin
iniierea a numeroase investigaii ex-officio, prin
emiterea, pentru prima dat, a unei decizii negative
i prin declanarea primei proceduri de recuperare.
n total, n anul 2004, Consiliul Concurenei a emis
90 de decizii n domeniul ajutorului de stat (dintre
care 19 decizii privind ajutoare regionale, 29 decizii
privind ajutoare de restructurare, 2 decizii privind
scheme de ajutor pentru IMM-uri, 7 decizii privind
sprijinul pentru servicii de interes economic general
etc.)18.
n plus, un mare numr de msuri de ajutor de stat
existente (n special ajutor fiscal) au fost sistematic
analizate prin prisma compatibilitii cu regulile de
ajutor de stat; unele dintre aceste msuri au fost
abrogate, altele au fost adaptate, n special legea
privind zonele libere, ordonana de urgen cu
privire la zonele defavorizate, precum i ordonana
de urgen cu privire la parcurile industriale.
De asemenea, Consiliul a fcut eforturi pentru
mbuntirea calitii deciziilor. Atunci cnd a
monitorizat eforturile Romniei n domeniul
ajutorului de stat, n vara anului 2004, Comisia a
constatat c, n ceea ce privete aplicarea
corespunztoare a legislaiei n materie de ajutor de
stat i mbuntirea calitii deciziilor mai erau

necesare progrese19. Avnd n vedere necesitatea


accelerrii progreselor din acest domeniu, Comisia
European i Consiliul Concurenei au convenit
asupra unei aa-numite proceduri de preconsultare, ncepnd cu 14 septembrie 2004, prin
care serviciile Comisiei (DG Concuren) urmau s
ofere consultan Consiliului Concurenei cu privire
la proiectele de decizii nainte de adoptarea lor
final. n consecin, toate deciziile cu for juridic
din domeniul ajutorului de stat, emise de Consiliul
Concurenei ncepnd cu 14 septembrie 2004, au
fost adoptate doar dup primirea unei opinii
favorabile din partea DG Concuren20.
Sfaturile experilor Comisiei s-au dovedit a fi de mare
ajutor pentru continuarea progreselor: n urma
strnsei colaborri informale dintre Consiliu i
Comisie n procesul de luare a deciziilor, Comisia a
declarat, n Raportul de Monitorizare din 2005, c
aceasta a condus la o mbuntire considerabil a
calitii deciziilor, (dei este necesar continuarea
mbuntirii).21
Un aspect politic foarte important rmsese nc
[nerezolvat n.t.], i anume cerina notificrii exante. n Raportul din 2004, Comisia ceruse
Guvernului Romniei s se asigure c toate
proiectele de ajutor de stat, inclusiv cele din
domeniile sensibile, privind privatizarea i marile
companii de stat, vor deveni obiect al controlului
strict al Consiliului Concurenei cu privire la ajutoarele
de stat, mai ales msurile de ajutor fiscal. Potrivit
Comisiei, erau necesare eforturi majore pentru a
asigura notificarea ex ante a tuturor msurilor noi de
ajutor de stat. n ciuda mbuntirii considerabile a
cooperrii dintre furnizorii de ajutor de stat i
Consiliul Concurenei (n mare msur datorit
Grupului de lucru inter-ministerial pe probleme de
ajutor de stat), numrul i calitatea notificrilor de la
autoritile furnizoare preau a fi principalul punct
slab al aplicrii legii. Comisia a insistat n mai multe
rnduri ca Guvernul Romniei s mbunteasc
aceast situaie. Comisarul Neelie Kroes a avertizat
Romnia, ntr-un discurs rostit la Bucureti, n mai
2005, c sunt necesare eforturi pentru a se evita
aplicarea super-clauzei de salvgardare din Tratatul

17
Potrivit art. 17 i 18 (actualmente 24 i 25) din Legea privind ajutorul de stat, Consiliul nu are puterea de a emite decizii de recuperare cu
for juridic obligatorie, ci trebuie s cear Curii de Apel competente s anuleze actul administrativ prin care a fost acordat ajutorul de
stat i s dispun recuperarea.
18
Pentru detalii suplimentare, a se vedea Raportul anual al Consiliului Concurenei pe 2004 (n limba romn i englez).
19
A se vedea Raportul de progrese, documentul SEC (2004) 1200 din 6 octombrie 2004. Valoarea ajutoarelor de stat autorizate n 2004 a
fost de aprox. 2,6 milioane EUR (a se vedea Raportul anual al Consiliului Concurenei pe 2004).
20
A se vedea Raportul anual al Consiliului Concurenei pe 2004 i Raportul de monitorizare al Comisiei, documentul SEC (2005) 1354 din
25 octombrie 2005. Personalul Consiliului a fost sprijinit n aceast activitate de de experii germani n cadrul celui de al doilea Proiect de
Twinning, ca parte a parteneriatului pentru aderare dintre Romnia i Uniunea European.
21
Raportul de monitorizare din 2005.

10

c) The Commission regularly emphasised in its


Progress Reports the fact that, in the end, the
enforcement record is what counts in assessing
Romania's progress towards accession. In its 2003
Progress Report, the Commission observed that as
regards State aid, control mechanisms are still
insufficient; in its 2004 Report, the Commission
concluded that the Competition Council's State aid
enforcement record still needs to be considerably
improved. One important point of the
Commission's criticism was that, until 2004, there
had been no negative Council decisions and almost
no ex officio investigations in the State aid field. Also,
there had been no recovery procedures in
Romania22.
The Competition Council responded to this criticism
by initiating numerous ex officio investigations,
issuing a negative decision for the first time and
starting the first recovery proceedings. Altogether, the
Council issued 90 decisions in 2004 in the State aid
state aid field (19 on regional aid, 29 on restructuring
aid, 2 on SME aid schemes, 7 on support for SGEI,
etc.)23.
Addition, a large number of existing aid measures (in
particular regarding fiscal aid) were systematically
scrutinised for their compatibility with the State aid
rules; some of them were abolished, some were
adapted, in particular the Law regarding free zones,
the Government Emergency Ordinance on deprived
areas, and the Government Ordinance on industrial
parks.
The Council also made strong efforts to improve the
quality of its decisions. When monitoring Romania's
efforts in the State aid area in the summer of 2004,
the Commission found that further progress
regarding the accurate application of the State aid
legislation and the quality of the State aid decisions
was necessary24. Considering the need for speeding
up progress in this area, the Commission and the
Council agreed on a so-called Pre-consultation
procedure, starting on 14 September 2004,
whereby the Commission services (i.e. DG
Competition) would offer advice to the Council on

draft decisions before their final adoption.


Consequently, all legally binding State aid decisions
issued by the Competition Council since 14
September 2004 have only been adopted after
receiving a favourable opinion from DG
Competition25.
The advice of the Commission experts turned out to
be very helpful for making further progress: following
the close informal cooperation between the Council
and the Commission in the decision-making process,
the Commission stated in its 2005 Monitoring Report
that this has resulted in a noticeable improvement in
the quality of decisions (though further
improvementis necessary)26.
A crucial political issue still remained regarding the ex
ante notification requirement. In its 2004 Report, the
Commission called on the Romanian Government to
ensure that all State aid projects, including those in
the sensitive areas, concerning privatisations and
large State-owned companies, should become
subject to strict State aid control by the Competition
Council, particularly with regard to fiscal aid
measures. According to the Commission, major
efforts were needed to ensure complete ex ante
notification of all new aid measures. Although
cooperation between the State aid grantors and the
Competition Council had improved considerably
(due to a considerable extent to the Inter-Ministerial
Working Group on State aid Issues), the number and
quality of the notifications from the State aid granting
authorities appeared to remain the main weak point
of the enforcement record. The Commission insisted
several times that the Romanian Government should
improve this situation. Commissioner Neelie Kroes
warned Romania, in a speech delivered in Bucharest
in May 2005, that further efforts were necessary to
avoid the application of the super-safeguard clause
of the Accession Treaty, and called upon the
Romanian Government to resolve the existing
backlog of notifications27.
Following these warnings, the Romanian
Government set up a high-level Inter-Ministerial
Committee for Competition to support the work of

22
According to Articles 17 and 18 (now 24 and 25) of the Law on State Aid, the Council does not have the power to issue legally binding
recovery orders but has to request the competent Court of Appeal to annul the administrative act granting the State aid and to order the
recovery.
23
For further details see the 2004 Annual Report of the Romanian Competition Council (Romanian/English).
24
See the 2004 Progress Report, Document SEC(2004) 1200 of October 6, 2004. The volume of State aid authorised in 2004 was about
2.6 billion (see the 2004 Annual Report of the Competition Council).
25
See the 2004 Annual Report of the Competition Council and the 2005 Monitoring Report of the Commission, Document SEC(2005)
1354 of 25 October 2005. The Council staff was supported in this work by German experts in the framework of a second Twinning
Project, as part of the Accession Partnership between Romania and the EU.
26
2005 Monitoring Report.
27
Competition in the European Union the case for Romania, Speech of 12 May 2005 at the European Institute of Romania, reported on
the Website of the Commission.

11

de aderare i a cerut Guvernului Romniei s rezolve


restanele existente privind notificrile28.
n urma acestor avertismente, Guvernul Romniei a
instituit un Comitet Interministerial pentru
Concuren, la nivel nalt, pentru a sprijini activitatea
Consiliului Concurenei prin garantarea faptului c,
de asemenea, toate proiectele de ajutor de stat ale
ministerelor erau notificate i c schemele existente
erau verificate. De asemenea, Guvernul a adoptat o
hotrre pentru accelerarea implementrii legislaiei
de ajutor de stat, prevznd sanciuni pentru
furnizorii de ajutor de stat care nu respectau obligaia
de notificare29. Astfel, au fost luate msuri pentru a se
asigura o mai mare respectare a obligaiei de
notificare ex-ante.
Guvernul Romniei a adoptat, de asemenea,
dispoziii menite s fac mai eficient aplicarea
deciziilor Consiliului Concurenei de interzicere sau
de recuperare a ajutoarelor de stat30. Cu toate
acestea, Comisia a evideniat cu privire la acest
aspect, c este nevoie de eforturi continue i a
observat, n Raportul de monitorizare din mai 2006,
c notificarea ex ante a tuturor msurilor noi de
ajutor de stat n legtur cu cazurile de restructurare, a
amnrilor de la plat sau a msurilor legate de
privatizare nu sunt nc realizate la standardele
cerute. De aceea, Comisia a concluzionat c, n
aceast privin, mai rmn multe de fcut nainte de
data aderrii.
Progresele Romniei n domeniul controlului
ajutoarelor de stat n perioada 1 septembrie 2004 30 septembrie 2005 au fost evideniate de ctre
Raportul de progrese din 2005. n evaluarea detaliat
a eforturilor Romniei din aceast perioad, Comisia
a recunoscut c Romnia a fcut progrese
considerabile. n special, Comisia a declarat c
alinierea legislaiei este complet, c legea privind
ajutorul de stat a fost din nou amendat31 i c mai
multe reguli de implementare au fost adoptate sau
amendate.
n ceea ce privete situaia aplicrii legislaiei,
Comisia a declarat c instituirea mecanismului de
pre-consultare a condus la o mbuntire notabil a

calitii deciziilor de ajutor de stat; totui este


necesar o continuare a mbuntirii calitii evalurii
de ctre Consiliul Concurenei a msurilor de ajutor
de stat i a analizei acestora. Mai mult, ar trebui
acordat atenie implementrii n practic a
deciziilor. Consiliul Concurenei ar trebui s
continue, de asemenea, evaluarea ajutoarelor de stat
existente.
Eforturi continue sunt necesare pentru asigurarea
notificrii ex ante a tuturor msurilor noi n legtur
cu cazurile de restructurare, amnrile la plat i
msurile legate de privatizare. n anexa Raportului32,
Comisia a reiterat faptul c situaia aplicrii legii nu a
atins (nc) un nivel suficient de satisfctor pentru
aplicarea procedurii interimare prevzut de Tratatul
de aderare. De aceea, Comisia a cerut Romniei s
continue eforturile pline de succes i a concluzionat
c, dac Romnia va continua pe calea nceput n
2004, un nivel satisfctor al aplicrii legii ar putea fi
atins n anul 2006 i c ndeplinirea obligaiilor din
Tratatul de aderare cu privire la instituirea unui
control efectiv al ajutoarelor de stat este posibil33.
*
O privire asupra valorii ajutoarelor de stat acordate n
Romnia poate prezenta interes. n primvara anului
2006, Comisia a publicat, cu ocazia actualizrii
valorilor din Tabloul ajutoarelor de stat (State aid
scoreboard) pentru perioada 2002 2004, cteva
valori, pe baza datelor transmise de autoritile
romne34.
a) Volumul total al ajutoarelor de stat acordate n
Romnia n ultimele decenii este considerat a fi
destul de ridicat. n perioada 2002 2004, valoarea
ajutoarelor de stat acordate anual n Romnia a fost
estimat la 981 milioane EUR (exclusiv ajutoarele
pentru agricultur, pescuit i transport). Aceast sum
reprezint 1,86% din PIB-ul Romniei (comparativ
cu 0,40%, media UE-25, i 1,35%, media celor zece
noi state membre) i corespunde la 118 PPS per
capita (comparativ cu 161 PPS per capita n cele zece
noi state membre).
b) Distribuia ajutoarelor de stat ntre obiective
orizontale i anumite sectoare din Romnia prezint
un interes deosebit. Potrivit Tabloului din primvara

28
Concurena n Uniunea European cazul Romniei, discurs din 12 mai 2005 la Institutul European din Romnia, prezentat pe
website-ul Comisiei.
29
Ordonana Guvernului nr. 490/2005 din 26 mai 2005, Monitorul Oficial nr. 500 din 14 iunie 2005. Aceasta este o dispoziie unic i
interesant, dar se pare c, pn n prezent, nu a fost niciodat aplicat.
30
Ordonana de Urgen a Guvernului nr. 129/2005, Monitorul Oficial nr. 887 din 4 octombrie 2005.
31
Legea privind ajutorul de stat a fost amendat prin Ordonana Guvernului nr.94/2004, amendat i aprobat prin Legea nr.507/2004 i
republicat n august 2005.
32
A se vedea, de asemenea, anexa detaliat cu privire la Progresele Romniei n domeniul politicii de concuren.
33
Un capitol special se ocup cu restructurarea industriei siderurgic romneti.
34
A se vedea, de asemenea, rapoartele anuale ale Consiliului Concurenei, precum i informaiile furnizate pe pagina de Internet a
acestuia, la adresele: www.competition.ro i www.consiliulconcurentei.ro.

12

the Competition Council by ensuring that all State


aid plans of all Ministries were notified and that
existing schemes were also scrutinised. The
Government also adopted a decision on measures for
accelerating the implementation of the State aid
legislation, including sanctions on State aid grantors
who failed to observe the notification requirement35.
Thus, measures were taken to ensure greater respect
of the ex ante-notification obligation.
The Romanian Government also adopted provisions
designed to make the enforcement of decisions of the
Competition Council prohibiting State aids and
recovery more effective36. However, the Commission
emphasised that in this regard, continued efforts are
required and observed in its Monitoring Report of
May 2006 that ex ante notification of all new aid
measures in relation to restructuring cases, payment
deferrals or measures connected with privatisation
are not yet carried out up to the requisite standard.
The Commission therefore concluded that in this
regard some work still remains to be done before
accession.

Romania's progress in the area of State aid control


during the time period 1 September 2004 until 30
September 2005 was highlighted by the 2005
Progress Report. In the detailed assessment of
Romania's efforts during this period, the Commission
acknowledged that Romania had made considerable
progress. In particular, the Commission stated that
legislative alignment iscomplete, that Romania's
State aid Law was further amended37, and that
many implementing rules have been issued or
amended.
As regards the State aid enforcement record, the
Commission stated that a noticeable improvement
in the quality of these decisions had resulted
following the establishment of the pre-consultation
mechanism; however, further improvement in the
quality of the Competition Council's assessment of
aid measures and their analysis is necessary.
Furthermore, attention should be given to the actual
implementation of decisions. The Competition

35

Council should also continue with the assessment of


existing aid measures.
Major continued efforts are required to ensure the
ex-ante notification of all new aid measures in
relation to restructuring cases, payment deferrals and
measures in connection with privatisation. In the
Annex to the Report38, the Commission still maintains
that the enforcement record has (not yet) reached a
level which is sufficiently satisfactory to allow the
application of the interim procedure under the
existing aid mechanism provided for in the Accession
Treaty. The Commission therefore urged Romania
to maintain further its successful efforts and
concluded that if Romania continues on the path
taken since autumn 2004, a satisfactory level of
enforcement could be reached during 2006, and
the fulfilment of the Accession Treaty obligations with
regard to the establishment of an effective State aid
control is likely39.

It may be interesting to look at the volume of State aid


granted in Romania. Recently, the Commission
published some figures for the period 20022004 in
the Spring 2006 Update of its State aid Scoreboard
for the period 2002-2004, based mainly on the
figures forwarded by the Romanian authorities40.

a) The volume of total aid spent in Romania during


the last few decades is seen to be rather high. During
2002-2004, total State aids granted annually in
Romania were estimated as 981 million (excluding
aid for agriculture, fisheries and transport). This
amount represents 1.86% of the Romanian GDP (as
compared to 0.40% EU-25 average, and 1.35%
average of the 10 new Member States) and it
corresponds to 118 PPS47 per capita (as compared
with 161 PPS per capita in the ten new Member
States).

b) The distribution of State aid between horizontal


objectives and particular sectors in Romania is of

Government Ordinance No. 490/2005 of 26 May 2005, Monitorul Oficial No.500 of 14 June 2005. This is an interesting and unique
provision, but it seems that up till now it has never been enforced.
36
Government Emergency Ordinance No. 129/2005, Monitorul Oficial No. 887 of 4 October 2005.
37
The Law on State aid was further amended by the Government Ordinance No. 94/2004, amended and approved by Law No.
507/2004, and republished in August 2005 (see above footnote 11).
38
See also the detailed Annex to the Report dealing specifically with 'Romania's progress in the area of competition policy'.
39
A special chapter dealt with restructuring of the Romanian steel industry.
40
See also the Annual Reports of the Romanian Commission Council and the information provided on its website under
www.competition.ro and www.consiliulconcurentei.ro.

13

anului 2006, 851 milioane EUR (=87% din totalul


ajutoarelor de stat) au fost acordate, n medie, n
fiecare an, pentru obiective sectoriale (UE-25: 32%,
noile state membre: 77%). Pentru obiective
regionale, au fost utilizate 130,3 milioane EUR
(=13%, comparativ cu 68%, n UE25, i 23%, n
noile state membre).
c) Ponderea diferitelor instrumente n totalul
ajutoarelor de stat este, de asemenea, interesant. n

14

Romnia, instrumentul de ajutor de stat cel mai


utilizat n perioada 2002 2004 a fost amnarea la
plata impozitelor (45,4%), urmat de scutirile de taxe
(29,4%) i granturi (23,7%). n Rapoartele de
progrese, Comisia a criticat, n mod repetat, faptul c,
n Romnia, msurile fiscale au fost utilizate drept o
form frecvent de ajutor de stat i a recomandat
Romniei s se orienteze ctre alte instrumente, mai
transparente.

special interest. According to the spring 2006


Scoreboard, 851 million (= 87% of State aid) were
granted on annual average for sectoral purposes (EU
25: 32%, new Member States: 77%). For horizontal
objectives, 130.3 million were spent (=13%, as
compared with 68% in the EU 25, and 23% in the
new Member States.
c) The share of the various aid instruments in total aid

15

is also interesting. In Romania, the most widely used


aid instrument during the period 2002-2004 was the
tax deferral (45.4%), followed by tax exemptions
(29.4%) and grants (23.7%). In its Progress Reports
the Commission had repeatedly criticised the fact
that tax measures were being used as the most
common form of aid in Romania, and recommended
that Romania should turn to other, more transparent,
instruments.

ROMNIA I UNIUNEA EUROPEAN: CARE SUNT


PROVOCRILE N DOMENIUL CONCURENEI?41
Alberto HEIMLER42

I. Evoluia politicii de concuren n Romnia


Autoritatea italian de concuren a fost prezent n
Romnia ncepnd cu 2001. n aceti ase ani, o
revoluie tcut s-a produs n domeniul concurenei.

progresului social, chiar dac nu este n mod necesar


mai bine pentru mediu! In orice caz, sunt bucuros c
sediul Consiliului s-a mutat n cldirea Presei Libere,
ceea ce-l face mai accesibil. Altfel, nu a fi reuit s
ajung la timp la ntlnirea de ieri de la Consiliu.

n noiembrie 2002, la ncheierea primului Proiect de


Twinning, n Raportul final, sugeram:
1) semnarea unui memorandum de nelegere ntre
Consiliul Concurenei i Oficiul Concurenei cu
privire la alocarea cazurilor;
2) crearea posibilitii de accesare a Internetului de
ctre personal:
3) eliminarea obligaiei companiilor care ncheie
acorduri care intr sub incidena unui regulament de
exceptare pe categorii de a notifica la Consiliul
Concurenei respectivul acord (exceptat);
4) introducerea unui nivel mai ridicat de
confidenialitate, mai ales n cazul deciziilor privind
efectuarea de inspecii inopinate;
5) publicarea deciziilor;
6) consolidarea activitilor de promovare a culturii
concurenei.

Dup 2001, n afar de creterea numrului de


maini, Romnia a obinut foarte multe n domeniul
concurenei. n decembrie 2003, Oficiul
Concurenei a fost desfiinat, iar Consiliul este acum
singura autoritate de concuren din Romnia.
Numrul membrilor plenului a fost redus de la zece la
apte. Legea a fost amplu revizuit: au fost eliminate
notificrile care nu erau necesare, au fost majorate
pragurile de notificare n cazurile de concentrare
economic, a fost prevzut obligaia publicrii
deciziilor, au fost majorate sanciunile pentru firmele
care refuz s coopereze cu Consiliul, a fost permis
adoptarea sanciunii prin aceeai decizie prin care
era constat nclcarea regulilor de concuren. n
fine, necesitatea obinerii unei autorizaii
judectoreti pentru inspeciile inopinate a fost
eliminat.

Toate aceste sugestii au fost fcute n urm cu doar


patru ani, dar parc s-ar fi ntmplat acum cteva
secole.

Ca rezultat al acestor schimbri, eficiena activitii


de aplicare a legii concurenei s-a mbuntit.
nainte de orice, numrul investigaiilor a crescut de
trei ori, de la 10, n anul 2000, la 33 n 2004. Mai
mult, Consiliul a reuit s descopere cteva carteluri
hard core (n sectorul cimentului i al serviciilor
portuare), aplicnd amenzi totale n valoare de peste
30 milioane EUR. n final, creterea substanial a
salariilor a oprit fluctuaiile rapide de personal, care
mpiedicau Consiliul s devin o instituie
funcional.
mbuntiri similare au avut loc i n privina
activitii de promovare a culturii concurenei. Dup
cum am menionat deja, n anul 2001 autoritile de
concuren nu erau implicate n procesul de reform
legislativ i nici nu participau la deciziile privind

Dac evoluia din domeniul concurenei este un


exemplu reprezentativ pentru schimbrile care au
aprut n acelai interval, ar trebui s fii mndri de
ceea ce ai realizat. Exist, ntr-adevr, dovezi
indirecte c aa stau lucrurile. Dac n anii 60, un
vizitator ajungea de la aeroport n oraul Huston cu
cte 5 minute mai devreme n fiecare lun,
activitatea de constucii fiind att de intens nct
oraul se extindea foarte rapid, un vizitator ajunge n
centrul Bucuretiului cu zece minute mai trziu n
fiecare lun din cauza traficului n continu cretere.
Mainile sunt un semn bun al creterii economice i al
41
42

Traducerea n limba romn a fost realizat de Georgeta Gavriloiu.


Director al Departamentului de Cercetare i Relaii Internaionale, Autoritatea de Concuren din Italia.

16

ROMANIA AND THE EUROPEAN UNION:


WHICH CHALLENGES IN ANTITRUST?
43

43
Alberto HEIMLER

I. The evolution of Romanian Antitrust


The Italian Competition Authority has been in
Romania since 2001. In these six years a silent
revolution has taken place in antitrust.
In November 2002 at the conclusion of the first
Twinning Project we suggested in the final Report:
1) the signing of an memorandum of understanding
between the Competition Council and the
Competition Office on case allocation,
2) the possibility of Internet access for the staff,
3) the elimination of the obligation for companies
entering into agreements covered by a block
exemption regulation to notify their (exempted)
agreement to the Council,
4) the introduction of a greater degree of protection
of confidentiality especially in the case of decisions
on dawn raids,
5) the publication of decisions,
6) the strengthening of competition advocacy.

It is only four years ago when these suggestions were


made, but it looks ages ago.
If the evolution in antitrust is a representative
example of the changes that have occurred in
Romania in the same time span, you should be very
proud of what you have accomplished. Indeed there
are indirect signs that this is actually the case. While in
the 1960's a visitor to Houston would arrive to town
from the airport five minutes earlier month after
month because the building activity was so intensive
that the town would expand very rapidly, a visitor
arriving to Bucharest would arrive to the centre of
town ten minutes later month after month because of
the ever increasing traffic. Cars are a good sign of
economic and social progress, even though they are

43

not necessarily good for the environment! In any


case, I am lucky that the Council moved to the
building of Palatul Presei Libere which makes it much
easier to arrive. Otherwise I would have never shown
up in time for yesterday's SC meeting.
Since 2001, besides the increased number of cars,
Rumania has achieved a lot in antitrust. In December
2003, the Competition Office was abolished and the
Council is now the only antitrust authority in
Romania. The number of commissioners was
reduced from ten to seven. The law has been revised
extensively, eliminating unnecessary notifications of
exempted agreements, increasing the turnover
thresholds for merger notification, making it
mandatory the publication of decisions, increasing
the sanctions for companies refusing to co-operate
with the Council, allowing for sanctions to be
adopted with the same decision that has identified a
violation of the competition rules. Finally, the
necessity of a Court authorization for dawn raids has
been eliminated. Putting them one after the other,
this is a very impressive list.
As a result of these changes, the effectiveness of
antitrust enforcement has improved. First of all, the
number of investigations increased by a factor of
three, from 10 in the year 2000 to 33 in 2004.
Furthermore the Council was able to discover a few
hard core cartels (in cement and in harbour services),
totalling more that 30 million EUR fines. Finally the
substantial increase in salaries has allowed stopping
the very quick personnel turnover that was impeding
the Council from becoming a well functioning
institution.
Similar improvements have taken place with respect
to competition advocacy. As I have already
mentioned, in 2001 competition authorities were
not involved in the process of regulatory reform, nor

Head of the Research and International Relations Directorate, Autorita Garante della Concorrenza e dell Mercato, Italy.

17

privatizarea. Ordonana de Guvern a conferit


Consiliului Concurenei competena de a emite aviz
conform cu privire la proiectele de legi care pot avea
impact anticoncurenial. Drept rezultat, Consiliul
Concurenei se afl astzi n centrul reformei
legislative n Romnia, iar concurena a dobndit un
statut preeminent, de standard pentru reglementarea
optim. Dintre jurisdiciile care mi sunt cunoscute,
doar n Mexic, autoritii CFC i-au fost conferite
competene similare. n alte jurisdicii, autoritile de
concuren pot doar s formuleze opinii.
Dac Romnia a ajuns pn aici, atunci pentru ce mai
este necesar acest proiect de twinning? Ce altceva ar
mai putea Romnia s realizeze?
Se tie, chiar i n 2001, c proiectele de twinning
erau, prin natur, cooperative i c fiecare partener
se situa pe acelai poziie cu cellalt. ntr-adevr,
toate etapele procesului trebuie s fie agreate de
ambii parteneri. Nici mcar Comisia nu ne-a spus ce
ar trebui s facem n practic. Rolul acesteia a fost mai
mult de a garanta faptul c intele pe care ncercam
s le atingem erau bine exprimate i c abaterile de la
obiectivele ce trebuiau atinse puteau fi msurate.
Acum, c Romania s-a alturat Uniunii, Consiliul
Concurenei a devenit mai egal dect nainte.
Acum, att autoritatea italian de concuren, ct i
cea din Romnia, aplic aceleai reguli (articolele 81
i 82 din Tratatul CE), sunt inute de aceeai
jursipruden i particip la aceleai dezbateri.
Aceasta va ajuta Consiliul Concurenei s aplice mai
bine legislaia concurenei.
II. La ce servete politica de concuren?
Autoritile de concuren, att Departamentul de
Justiie, ct i Comisia Federal de Comer, au fost
primele instituii strine care au oferit asisten
Consiliului Concurenei. Aceasta a fost o foarte bun
alegere pentru Romnia. ntr-adevr este mai mult
dect am preluat noi, europenii, de la Statele Unite.
Nu dispoziiile legale, care i au originea n tradiia
german ordoliberal care, nc din anii 1920 facuse
o distincie ntre mpedimentele concurenei (care
trebuiau interzise), cum sunt preurile de ruinare,
discounturile de loialitate i boicoturile, i
concurena bazat pe performan, care includea
toate comportamentele care fceau o firm mult mai
atractiv pentru consumatori (care trebuiau
favorizate). Tradiia ordoliberal a fost bazat n
special pe form. Dar n mod sigur, datorit
44

SCM Supply Chain Management.

18

dezvoltrilor aduse de Statele Unite, analiza


economic are acum un rol n cretere n
interpretarea acestor reguli. Definiia pieei relevante, abordarea restriciilor verticale, modul de
analiz al concentrrilor, programele de clemen,
toate acestea au o clar orgine american. Cel puin
pn acum, convergena realizat este n mod clar
antrenat de ctre Statele Unite.
Muli susin c aplicarea legii concurenei se face, n
principal, ex post. Situaia este similar celei a
amenzilor de circulaie, care sunt aplicate ex-post,
dar regulile trebuie s fie cunoscute ex-ante, pentru
ca acestea s aib vreun efect descurajator. Dac
aceste prevederi legale sunt standarde, spre
deosebire de reguli, efectul descurajator poate fi
garantat doar prin jurispruden, linii directoare i
comunicri. i, ntr-adevr, n ultimii zece ani, atunci
cnd critica din partea [colii de la - ad.tr.] Chicago a
depit de-acum nvechita paradigm a SCM44,
ageniile de concuren au emis un numr
impresionant de linii directoare i comunicri, mai
ales n privina controlului concentrrilor economice, dar i cu privire la restriciile verticale,
transferul de tehnologie, acordurile de cercetaredezvoltare etc. Analiza economic i accentul pus de
aceasta pe eficiena economic, a oferit ochelarii
prin care sunt interpretate dispoziiile legale.
Eficiena este adeseori interpretat drept obiectivul
brutal al politicii economice. Muli dintre criticii
acesteia sugereaz faptul c, urmrind eficiena,
politica de concuren, a uitat de solidaritate. Eu nu
sunt de acord. Efienciena nu este probabil cel mai
potrivit termen. Concurena on the merrits ar fi mai
potrivit. Aceasta implic faptul c aplicarea regulilor
de concuren garanteaz faptul c cel mai bun
ctig. O asemenea aplicare a regulilor de
concuren reprezint, n acelai timp, un standard
moral. Spiritul olimpic este cel evocat de concurena
on the merits. Nu ctigi Olimpiada prin
solidaritate. Exist multe alte instrumente pentru a se
obine solidaritate (n special politici fiscale).
Problema este ce nelegem de fapt prin concurena
on the merits. Comitetul de Concuren al OCDE a
organizat, n anul 2005, o mas rotund pentru
discutarea concurenei on the merits. Cu toate c
unele agenii pstreaz n continuare o abordare
formalist, multe altele s-au orientat ctre o abordare
bazat pe efecte. ntr-adevr doar lund n calcul
efectul unei anumite practici, responsabilitatea

did they participate in the privatisation decisions. The


2003 Government Ordinance gave the Competition
Council the power to give binding opinions on draft
laws which may have an anticompetitive impact. As a
result, the Competition Council is now at the centre
of regulatory reform in Romania and competition has
achieved a primacy status as the standard for optimal
regulation. Among jurisdictions that I know, only in
Mexico the CFC was given a similar power. In all
other jurisdictions competition authorities can only
advocate.
If Romania has gone so far what then is this twinning
project for? What else could Romania achieve?

We know, even back in 2001, that Twinning projects


are cooperative in nature and that each partner is put
on an equal footing with the other. Indeed all steps in
the process have to be agreed by both partners. Even
the Commission does not tell us what we should do in
practice. Its role is more to make sure that the target
we are trying to achieve is well expressed and that
deviations from objectives to be achieved could be
measured. Now that Romania has joined the Union,
the Competition Council has become more equal
than before. Now, both Italian and Romanian
competition authorities apply the same rules (articles
81 and 82 of the EC Treaty), are subject to the same
case-law and participate to the same debates. This
will help the Council to better enforce the antitrust
law.

II. What is antitrust for?


The US antitrust authorities, both the Department of
Justice and the Federal Trade Commission, were the
first foreign institutions to assist the Competition
Council. And it has been a very good choice for
Romania. Indeed there is much that we Europeans
took from the US. Not the legal provisions, that
originate from the ordoliberal German tradition
which already in the 1920's had distinguished
impediment competition (to be prohibited), such
as predatory pricing, loyalty rebates and boycotts,
from performance competition which included all
conduct that made a firms product more attractive to

45

SCM Supply Chain Management.

19

consumers (to be favored). The ordoliberal tradition


was mostly based on forms. But certainly, thanks to
US developments, economic analysis is now having
an increasing role in interpreting these rules. The
definition of the relevant market, the treatment of
vertical restraints, the way to analyse mergers,
leniency programs have a clear US origin. The
achieved convergence is clearly US driven at least up
until now.
Many argue that antitrust enforcement is mainly expost. This is like traffic tickets being ex-post, but the
rules have to be known ex-ante, in order for them to
exercise any deterrence at all. If these legal provisions
are standards, as opposed to rules, deterrence can be
guaranteed only by case law, guidelines and
communications. And indeed in the last decade,
when the Chicago critique was overcoming the now
obsolete SCM paradigm45, antitrust agencies have
issued quite a number of guidelines and
communications, especially on merger control, but
also on vertical restraints, on technological transfers,
on R&D agreements etc. Economic analysis, and its
insistence on efficiency, has provided the glasses
through which to interpret the legal provisions.
Efficiency is very often mostly interpreted as a brutal
objective of economic policy. Many of its critics
suggest that by pursuing efficiency antitrust has
forgotten solidarity. I disagree. Efficiency is probably
not the best term to use. Competition on the merits is
better. It implies that antitrust enforcement makes
sure that the best wins. As such antitrust represents a
moral standard as well. It is the Olympic spirit that
competition on the merits evokes. You do not win the
Olympics with solidarity. There are many other
instruments to achieve solidarity (fiscal policy in
particular).

The problem is what we actually mean by


competition on the merits. The OECD Competition
Committee held a roundtable discussion on
competition on the merits in 2005. Although some
agencies continue to maintain a form based
approach, many others are moving towards an effect
based one. Indeed only by considering the effect of a
given practice the special responsibility of dominant
companies can have a meaning. In particular such a

special a firmelor dominante poate avea sens. n


special, aa cum sugereaz Comisia European n
Documentul de discuii privind aplicarea articolului
82, o astfel de responsabilitate special nseamn c
o firm dominant nu ar trebui s adopte strategii
care ar exclude concurenii la fel de eficieni i, de
asemenea, ar vtma consumatorii. ntr-adevr,
potrivit documentului de discuii, identificarea unui
asemenea abuz ar trebui s fie n mare parte bazat pe
efectele poteniale de excludere ale practicii, mai
mult dect pe efectele reale.
Prin aceasta, Comisia transmite un mesaj pentru
Statele Unite unde, n schimb, accentul este pus mai
ales pe efectele produsse. n Statele Unite, n absena
efectelor vizibile i tangibile, instanele tind s
concluzioneze c nu exist nclcare a legii. Punctul
meu de vedere (i al Comisiei) este acela c existena
unor diminuri ale concurenei, dac au fost legate
direct de un abuz prin preuri, ar trebui s fie
suficient (n msura n care concurenii nu sunt mai
puin eficieni dect firma dominant). A cere o
excludere efectiv, precum jurisprudena din Statele
Unite, poate fi o sarcin adiional nejustificat.
Bineneles, dovezile contrarii, cum ar fi creterea
profitabil a cotei de pia a concurenilor, ca n
Michelin II sau n Virgin, ar ngreuna considerabil
sarcina probei.
Se vor mai ntmpla multe n lunile care urmeaz.
Consiliului Concurenei i se va cere, de asemenea, s
contribuie.
III. Agenda european: documentul de discuii
referitor la articolul 82 din Tratatul CE
Voi prezenta pe scurt cteva dintre caracteristicile
dezbaterii asupra articolului 82 cu privire la care
Comisia a publicat, nc de anul trecut, un document
de discuie foarte influent. M voi concentra asupra
a dou ntrebri foarte generale: definirea
dominanei i rolul intenei n dovedirea unui abuz.
Cu privire la aceste puncte, ca i la oricare altul, orice
autoritate din Uniune poate furniza un input i poate
identifica o soluie. Spre deosebire de trecut, cnd
Consiliul putea doar s preia acquis ul comunitar,
acum cnd Romnia este stat membru, i Consiliul
poate contribui la elaborarea legislaiei. Noul proiect
de twinning i propune s ajute la consientizarea
acestui aspect.
Iniiativa Comisiei de a i revizui politica de aplicare
a articolului 82 trebuie s fie apreciat. Este pentru
prima dat cnd un asemenea efort, cu privire la un
subiect foarte interesant din politica de concuren
este ntreprins nu numai la nivel european, dar i n

20

ntreaga lume. Dispoziiile legale privind abuzul de


poziie dominant contituie un element central al
legii concurenei i att teoria economic ct i
practica (cazurile) subliniaz dificultile care sunt
implicate n obinerea unor concluzii rezonabile n
cazurile de abuz.
mprtesc total punctul de vedere din document c
o trecere la o analiz pe baza efectelor este necesar
i c, de asemenea, consecvena i eficiena
presupune faptul ca firmele s fie mai bine informate
cu privire la ceea ce constituie sau nu un abuz de
poziie dominant.
Definiia dominanei
Determinarea faptului c firma (firmele) investigat
deine o poziie dominant depinde de doi factori
principali: cota de pia a firmei dominante i
condiiile legate de intrarea [pe pia n.t.]. Noiunea
de putere de pia substanial citat n paragraful 23
al documentului este un pic scolastic, de vreme ce
exist un numr de companii care sunt dominante
(pota, calea ferat, reeaua de ap etc.) dar care, din
cauza reglementrilor sau al faptului c sunt deinute
de stat, nu au o putere de pia substanial
(nregistreaz pierderi structurale). n continuare
(paragraful 27), documentul de discuie pare s
mprteasc acest punct de vedere, dei se refer
doar la pierderile pe termen scurt, n timp ce pentru
aceste firme, pierderile pot fi pe termen lung.
Ct despre evaluarea cotelor de pia, documentul
de discuie mprtete opinia c dominana poate fi
ntlnit la cote de pia de peste 25% (nu este
exclus posibilitatea existenei dominanei chiar i la
cote de pia sub 25%). Abordarea Comisiei este prea
precaut. Dominana ar putea foarte bine s fie
exclus la cote de pia sub 35% i considerat ca
posibil la peste 65%, cazurile intermediare
necesitnd o evalaure mai aprofundat, realizat de
la caz la caz.
Mai mult, Comisia opineaz c exist un singur grad
de dominan, fr s ia n considerare faptul c
exist o diferen, n termeni de putere de pia, ntre
dominana existent la o cot de pia s spunem de
40% i dominana existent la 95%. Acest aspect nu
este lipsit de consecine. n cazurile de practicare a
unor preuri de ruinare, Comisia susine c dovedirea
recuperrii nu este necesar pentru c este implicit
definiei dominanei, n timp ce chestiunea gradului
de dominan ar trebui s fie considerat n
dovedirea cazului (aa cum sugereaz Curtea de

special responsibility, as the European Commission


suggests in the discussion paper on the application of
article 82, means that a dominant company should
not adopt strategies that would exclude equally
efficient competitors and also harm consumers.
Indeed, according to the discussion paper, the
identification of an abuse should be mostly based on
the potential exclusionary effects of the practice,
more than on its actual effects.

In this, the EC has a message for the US where, on the


contrary, the emphasis is mainly on realized effects.
In the US in the absence of visible and tangible
effects, the courts tend to conclude that there is no
violation. My point (and the Commission's point) is
that the existence of sustained losses by competitors,
if directly linked to a pricing abuse of the dominant
firm, should be sufficient (in so far as competitors are
not less efficient than the dominant firm). Requiring
actual exclusions, as in the US case law, may be an
unjustified additional burden. Of course, the
contrary evidence, that is the profitable increase of
competitors share, like in Michelin II or in Virgin,
should significantly increase the burden of proof.
There is going to be much more on this in the months
to come. Also the Competition Council will be asked
to contribute.

III. The European Agenda: The discussion paper


on Article 82 of the EC Treaty
I will briefly discuss with you some of the features of
the debate on Article 82 on which the Commission
has, now a year ago, issued a very influential
discussion paper. I will concentrate on two very
general questions: the definition of dominance and
the role of intent in proving an abuse. On all of these
points, as well as on very other one, every authority in
the Union can provide an input and identify a
solution. Contrary to the past when the Council was
only a taker of the acquis communautaire, now when
Romania is a member State, also the Council can
contribute to law making. This twinning project is
trying to create this new awareness.
The Commission initiative of reviewing its policy on

21

the application of Article 82 is to be welcome. It is the


first time that such an extensive work, on a very
challenging subject in competition policy, has been
conducted, not only at the European level but
worldwide. Legal provisions regarding abuse of a
dominant position are a central element of
competition law and both economic theory and case
experience underline the difficulties that are
involved in reaching sound conclusions in abuse
cases. I fully share the view of the paper that a shift
towards an effect based analysis is needed and that
consistency and effectiveness imply that firms are
better informed on what is and what isn't an abuse.

The definition of dominance


Establishing whether the firm(s) under investigation
occupy a dominant position depends on two main
factors: the market share of the dominant firm and
entry conditions. The notion of substantial market
power cited in paragraph 23 of the paper is a bit
scholastic, since there are quite a number of
companies that are dominant (post office, rail, water
etc.) but, because of regulation or State ownership,
do not have a substantial market power (they incur
structural losses). Further on (paragraph 27) the
Discussion Paper seems to take this view, although it
only refers to short-run losses while for these
companies the losses may well be long run.
As for the assessment of market shares, the Discussion
Paper takes the view that dominance can be found
with shares above 25% (even below 25% the
possibility of finding dominance is not ruled out). The
approach of the Commission is too cautious.
Dominance might well be excluded with market
shares below 35% and considered likely above 65%,
with the middle range requiring a stronger case by
case assessment.
Furthermore, the Commission takes the view that
there is a single degree of dominance, without taking
into account that there is a difference, in terms of
market power actually exercised, between
dominance established at a market share let's say of
40% and dominance established at 95%. The issue is
not without consequence. In predation the
Commission argues that proving recoupment is not
necessary because it is implicit in the definition of
dominance, while the question of the degree of

Justiie). Documentul de discuie se refer pasager la


factorul gradul de dominan (paragraful 59), dar nu
reuete s i recunoasc pe deplin importana.
n luarea n considerarea condiiilor de intrare pe
pia, discutarea barierelor la intrare n literatura
economic tradiional a creat nenelegeri extinse i
nu ofer o baz solid pentru implementarea unei
politici.
Literatura s-a concentrat pe barierele la intrare n
contextul concentrrilor economice i pe faptul dac
intrarea pe pia de noi concureni este de natur s
mpiedice exercitarea puterii de pia pe termen
scurt sau mediu (poate doi ani).
n timp ce n analiza concentrrilor, dominana poate
rezulta din capacitatea prilor care se concentreaz
de a crete preurile (i din condiiile de intrare pe
pia sau de extindere care pot mpiedica aceasta), n
cazurile de abuz, dominana este definit drept
capacitatea de a menine preurile peste nivelul
concurenial pentru o perioad de timp substanial,
fr a atrage intrri pe pia. Bineneles, nu este
suficient orice intrare, ci o intrare la o scar i
intensitate suficiente pentru a disciplina presupusa
putere de pia a firmei dominante.
n cazurile de abuz, n absena barierelor la intrare de
natur administrativ sau legal, accentul trebuie s
cad pe costurile irecuperabile (spre exemplu,
activele corporale specializate) care ntrzie sau
mpiedic intrarea de noi competitori sau pe
tranferul costurilor ctre consumatori, care face dificil
ca un nou entrant pe pia s devin un competitor
viabil. Acestea sunt, totui, dou considerente
speciale care se aplic n cazurile de abuz. Mai nti,
n definirea pieelor relevante, evaluarea condiiilor
de intrare ar trebui s in cont de teoria cazului.
Barierele care ar putea fi ineficiente dac preurile
sunt crescute peste nivelurile prevalente pot s fie
totui relevante n evaluarea impactului practicilor de
excludere care mpiedic preurile s coboare sub
nivelele actuale.
n al doilea rnd, n cazurile de abuz, chiar
comportamentul investigat poate s fie principalul
element care descurajeaz noile intrri. ntr-adevr
este recunoscut din ce n ce mai mult faptul c
abilitatea (capacitatea) firmelor de a descuraja
intrarea pe pia prin bariere comportamentale spre
deosebire de barierele structurale aceasta este,
ntradevr, esena multor abuzuri sau cazuri de
monopolizare. Comportamentele care descurajeaz

22

intrarea pot include multe dintre practicile care care


sunt tratate drept abuzuri (spre exemplu, preurile de
ruinare, clauzele contractuale de excludere i
utilizarea mrcilor cu pre redus (fighting brands). Ca
o semnificaie a acestui fapt, cazurile valide de abuz
pot implica uneori piee pe care exist puine sau (n
principiu) nicio barier n sensul mai tradiional,
structural, de active corporale specializate. Acest
aspect este inclus, chiar dac n mod implicit, n
Raportul Grupului Economic Consultativ n Politica
Concurenei, dar este ignorat de Comisie.
n al treilea rnd, n special cu privire la abuzurile de
excludere , o analiz a pieei este necesar pentru a
verifica dac intrarea pe pia s-a produs n trecut i
dac concurenii erau capabili s creasc. Dac
rspunsul este da, atunci dominana ar putea fi, n
mod rezonabil, exclus, cu excepia situaiei n care
intrarea pe pia s-a produs atunci cnd practica
abuziv nu exista. n anumite cazuri, lipsa de
capacitate poate s fac foarte dificil pentru o
companie s i majoreze cota de pia. Totui, acesta
nu este, n mod necesar, un semn c firma nu este
dominant sau c practica n cauz nu este abuziv
pentru c practicile abuzive de excludere pot
permite meninerea artificial a cotelor de pia
existente, chiar dac lipsa capacitii poate s nu i
permit firmei s creasc.
Rolul inteniei n definiia unui abuz
Atunci cnd analizeaz cadrul general pentru
evaluarea comportamentelor abuzive, documentul
de discuie accentueaz faptul c obiectivul
articolului 82 este protecia concurenei ca un mijloc
de cretere a bunstrii consumatorului. Comisia
continu declarnd c ceea ce trebuie s fie protejat
este concurena i nu concurenii ca atare. Cu toate
acestea, atunci cnd vorbete despre
comportamente de excludere, documentul de
discuie spune c acesta este un comportament care,
prin forma sau natura sa, este n msur s nchid
piaa pentru concuren. Totui, n evaluarea
preurilor de ruinare, documentul de discuie
consider dovada direct a strategiei de ruinare ca
fiind suficient pentru a reine faptul c firma
dominant a nclcat art.82. Chiar i dovezi indirecte,
dar concludente ale inteniei de ruinare fac inutil
demonstrarea faptului c orice efect de excludere
este posibil s apar.
Un asemenea accent pe intenia de ruinare din
partea firmei dominante este nepotrivit. n timp ce
intenia firmei este ntr-adevr relevant pentru
stabilirea amenzii, ceea ce ar trebui s conteze

dominance should be recognized in proving the case


(as the Court of Justice by the way suggests). The
Discussion Paper shortly refers to the degree of
dominance factor (paragraph 59) but fails to fully
recognise its importance.

In considering entry conditions, the discussion of


"barriers to entry" in much traditional economic
literature has created extensive misunderstandings
and does not provide a sound basis for policy
implementation. The literature has focussed on
barriers to entry in merger control and whether entry
by new competitors is likely to prevent the exercise of
market power in the short-to-medium-term (e.g.,
perhaps two years).
While in merger analysis dominance may result from
the ability of the merging parties to increase prices
(and entry/expansion conditions matter for
preventing it), in abuse cases dominance is defined as
the ability to keep prices above the competitive level
for a substantial period of time without attracting
entry. Of course, not any entry is sufficient, but entry
at a scale and intensity sufficient to discipline the
market power of the alleged dominant company.

In abuse cases, in the absence of regulatory/legal


impediments to entry, the focus will be on "sunk
costs" (for example, specialized physical assets) that
delay or impede entry by new competitors and on
switching costs by consumers that make it difficult for
a new entrant to actually become a viable
competitor. There are, however, two special
considerations that apply in abuse cases. First, as in
defining relevant markets, assessment of entry
conditions should take into account the theory of the
case. Barriers that would be ineffective if prices were
raised higher than prevailing levels may still be
relevant in assessing the impact of exclusionary
practices that prevent prices from falling below
current levels.
Second, in abuses cases, the conduct under
investigation itself may constitute the principal
deterrent to new entry. The ability of firms to deter
entry through behavioural as opposed to structural
barriers is increasingly recognized indeed, it is the
essence of many abuse or monopolization cases.
Entry-deterring conduct may include many or most

23

of the practices that are typically dealt with as abuses


(e.g., predatory pricing, exclusionary contractual
provisions, tying requirements and use of fighting
brands). The significance of this point is that valid
cases of abuse may sometimes involve markets in
which there are few or (in principle) no barriers in the
more traditional, structural sense of specialized
physical assets. This point is made, although
implicitly, in the Report by the Economic Advisory
Group on Competition Policy, but is ignored by the
Commission.

Third, especially with respect to exclusionary abuses,


a market analysis is necessary in order to check
whether entry occurred in the past and whether
competitors were able to grow. If the answer is yes,
dominance could be reasonably excluded, unless
entry occurred when the abusive practice was not in
place. In some cases, the lack of capacity may make it
very difficult for a company to increase its market
shares. However this is not necessarily a sign that the
company is not dominant or that the practice is not
abusive because the exclusionary abusive practice
may make it possible to artificially keep existing
market shares, even though the lack of capacity may
not allow the company to grow.

The role of intent in the definition of an abuse


When analysing the general framework for the
assessment of abusive conduct the Discussion Paper
stresses the fact that the objective of Article 82 is the
protection of competition on the market as a mean to
enhancing consumer welfare. The Commission goes
on stating that it is competition and not competitors
as such that is to be protected. When speaking
about exclusionary conduct, however, the Discussion
Paper says that it is a conduct that, by its form or
nature, is capable to foreclose competition on the
market. However, in the assessment of predatory
pricing, the discussion paper considers direct
evidence of a predatory strategy as sufficient to hold
that the dominant firm has been infringing article 82.
Even indirect but conclusive evidence of the
predatory intent renders superfluous to show that any
exclusionary effect is likely to occur.
Such emphasis on the predatory intent of the
dominant undertaking is misplaced. While the
intention of the firm is indeed relevant for the

pentru a dovedi o nclcare a articolului 82 este


impactul comportamentului pe pia. Pentru a pune
sub semnul ntrebrii strategia de preuri a firmei
dominante, Comisia ar trebui s dovedeasc c:
i) un asemenea comportament poate avea n practic
un efect de excludere i
ii) consumatorilor le va fi mai ru, din moment ce
firma dominant va putea s i recupereze pierderile
prin preuri mai ridicate.
De aceea, ar trebui s fie clar precizat c, atunci cnd
se face referire la forma sau natura
comportamentului, chestiunea inteniei nu este luat
n calcul. Altfel, conceptul responsabilitii speciale a
firmei dominante ar fi reintrodus, subminnd
abordarea bazat pe efect pe care dorete s o
promoveze Documentul de discuie. Evaluarea
comportamentului unei firme dominante ar trebui s
urmreasc dovedirea efectelor de excludere,
actuale sau poteniale, independent de ceea ce firma
a vrut s obin de fapt.
De ce este relevant pentru autoritile naionale s
discute asemenea chestiuni?
Orice document interpretativ, fie acesta o
comunicare sau linii directoare, are o aplicare mai
existins dect cea prevzut. n special, aceasta
afecteaz direct autoritile naionale, mai ales acum

24

cnd, din cauza Regulamentului nr.1/2003, aplicm


cu toii aceeai legislaie. Sigur, nu suntem obligai
juridic de aceste documente, dar n mod sigur ar fi
foarte dificil, dac nu chiar imposibil, s ne
ndeprtm de ceea ce sugereaz acestea. De aceea
este att de important s discutm sub toate
aspectele docuementele care interpreteaz regulile
noastre comune. Nu este doar pentru interesul
public european. Este, de asemenea, n propriul
nostru interes, ca agenii de implementare.
Participarea la aceste dezbateri este o nou
provocare cu care trebuie s se confrunte Consiliul.
i, bineneles, provocarea este pstrarea calitii
deciziilor de aplicare a legii. Participarea deplin n
reeaua autoritilor naionale de concuren (ECN)
va fi de mare ajutor. Sunt foarte ncreztor c, de
asemenea, prin noul proiect de twinning, care va fi i
ultimul, Consiliul va nva rapid cum s participe cel
mai bine la luarea deciziilor n materie de
concuren. Privind la trecut, nu se pune problema
c nu vei fi la nlimea provocrii.

determination of fines, what should matter in order


to establish an infringement of article 82 is the impact
of the conduct on the market. In order to question
the pricing strategy of the dominant firm, the
Commission should prove that:
i) such behaviour can in practice have an
exclusionary effect and
ii) consumers will be worse off, since the dominant
firm will be able to recoup its losses through higher
prices.
It should therefore be made clear that, when referring
to the form or nature of the conduct, the question of
intent is not considered. Otherwise the concept of
the special responsibility of the dominant firm would
be reintroduced, undermining the effect based
approach that the Discussion Paper wants to pursue.
The assessment of the conduct of a dominant firm
should aim at proving its exclusionary actual or
potential effects independently on what the
dominant firm actually wanted to achieve.
Why is it relevant for national authorities to discuss
these issues?
Any interpretative document by the Commission,
being it a communication or a guideline, has a much
wider application than envisaged. In particular it

25

directly affects national authorities, especially now


that because of Regulation 1/2003 we are all applying
the same law. Of course we are not legally bound by
these documents, but certainly it would be very
difficult, if not impossible, to depart from what they
suggest. This is why it is so important to discuss the ins
and outs of documents that influence the way we
interpret our common rules. It is not just for the
European public interest. It is also for our own interest
as enforcement agencies. Participating in these
debates is the new challenge that the Council has to
face. And of course the challenge is to keep up the
quality of its enforcement decisions. Full
participation to the network of European
competition authorities (ECN) will help a lot. I am
very confident that also through this new and last
Twinning project the Council will quickly learn how
best to participate to the European decision making
in antitrust. Looking at the past there is no question
that you will be up to the challenge.

AJUTORUL DE STAT I DRUMUL CTRE ADERARE


Koen VAN DE CASTEELE46
Rezuma47
Pentru Romnia, concurena, i n special ajutorul de stat, au constituit o piatr de ncercare n procesul
negocierilor de aderare.
Experiena n cazul capitolului de concuren s-a dovedit a fi, n cele din urm, un succes astfel nct, pentru
negocierile viitoare, n funcie de capitol, alinierea legislativ i existena unui palmares satisfctor privind
implementarea acquis-ului i a obligaiilor decurgnd din relaiile contractuale cu Uniunea European pot
constitui etaloane pentru nchiderea provizorie.
Cuvinte cheie: aderare, ajutor de stat, Consiliul Concurenei, ajutor existent.
49

I. Introducere
Fiind implicat ndeaproape n urmrirea progreselor
realizate de Romnia n implementarea acquis - ului
comunitar n domeniul ajutorului de stat n ultimii
ani, acum, cnd Romnia a aderat la Uniunea
European, pare a fi momentul potrivit s privesc n
urm la progresul remarcabil realizat de Romnia
ntr-o perioad scurt de timp i s privesc mai
departe la provocrile care urmeaz.

(3) trebuia s existe un palmares al implementrii


credibil.
n practic, fiecare dintre noile state membre a
trebuit s instituie o autoritate de monitorizare a
ajutoarelor de stat. Dac erau identificate msuri de
ajutor de stat considerate incompatibile cu acquis-ul
UE, statele trebuia fie s adapteze respectivele
msuri la standardele comunitare, s le abroge sau s
le reduc gradual.
III. Schimbarea de cultur

II. Capitolul Concuren


Procesul de aderare al Romniei i Bulgariei nu a fost,
n sine, diferit de extinderea UE - 1048. Acestea fceau
parte din aa-numitul grup Helsinki. Cu toate
acestea, aderarea lor a fost amnat pentru c nu au
fost pregtite la timp. Concurena i n special
ajutorul de stat au constituit o piatr de ncercare.
Uniunea European a cerut ndeplinirea a trei
condiii nainte de nchiderea capitolului
Concuren, i anume:
(1) trebuia s fie adoptat cadrul legislativ necesar;
(2) trebuia s existe o capacitate administrativ
adecvat;

ncepnd cu 2004 i n urma criticilor aspre


exprimate de Comisie n diferitele Rapoarte de
monitorizare, cu privire la lipsa de progrese n
domeniul ajutorului de stat, autoritile romne au
prut a nelege, n cele din urm, c ceva trebuia
fcut.
Oficiul Concurenei i Consiliul Concurenei au
fuzionat ntr-o singur instituie. A fost numit un nou
conductor. Au fost cutate contacte n cadrul
serviciilor Comisiei pentru a obine legturi mai
strnse i asisten tehnic cu privire la diferitele
cazuri. De asemenea, sprijinul prin proiectele de
twinning a fost extins.

46

Administrator n cadrul Direciei Generale de Concuren a Comisiei Europene, coordonator al State aid Task Force Enlargement.
Opiniile exprimate aparin exclusiv autorului i nu pot fi, n nici o circumstan, privite ca exprimnd o poziie oficial a Comisiei
Europene.
47
Traducerea n limba romn a fost realizat de Georgeta Gavriloiu.
48
Cu privire la procesul de aderare, a se vedea DEVUYST Y., KNKNEN, J., LINDBERG, P., ORSSICH, I. i ROEBLING, G., EU
enlargement and competition policy: where are we now?, Competition Policy Newsletter, No. 1, February 2002 i KNKNEN, J.,
Accession negotiations brought to successful conclusion, Competition Policy Newsletter, No. 1, Spring 2003, p. 24-28.
49

[S-a preferat utilizarea expresiei palmares al implementrii pentru traducerea expresiilor enforcement record sau track record
(utilizate frecvent n contextul negocierilor de aderare), pentru a se exprima mai bine aspectul calitativ urmrit de Comisia European n
evaluarea rezultatelor activitii de aplicare a legii nota traductorului ].

26

STATE AID AND THE ROAD TO ACCESSION


Koen VAN DE CASTEELE50
Abstract
For Romania, competition and in particular State aid constituted a stumbling block during the accession
negotiations.
In the end, the experience with the competition chapter has proven successful so that for future negotiations,
depending on the chapter, legislative alignment and a satisfactory track record of implementation of the acquis
as well as obligations deriving from contractual relations with the European Union will be the benchmarks for
provisional closure.
Keywords: accession, State aid, Competition Council, existing aid.
I. Introduction
Having been closely involved in following Romania's
progress to implement the Community acquis in the
State aid field over the last years and now that
Romania has acceded to the European Union, it
seems the right time for me to look back at the
remarkable progress which has been achieved by
Romania over a short period of time and the
challenges which are still ahead.

(3) There had to be a credible enforcement record.


In practice, each of the new Member States had to
establish a State aid monitoring authority. Where
identified State aid measures were deemed to be
incompatible with the EU acquis, countries had to
either adapt them to Community standards, or
abolish them or gradually phase them out.

III. Change of culture


II. Competition Chapter
The process for the accession of Romania and
Bulgaria was in se no different from the enlargement
of EU-1051. They were part of the so-called Helsinki
group. However, their accession was delayed as they
were not ready in time. Competition and, in
particular, State aid constituted a stumbling block.
Before the competition chapter could be closed, the
EU required that three conditions were met:
(1) The necessary legislative framework had to be in
place;
(2) There had to be an adequate administrative
capacity;

50

As of 2004 and following harsh criticism by the


Commission in the various progress reports on the
lack of progress made in the field of State aid, the
Romanian authorities finally seemed to realize that
something had to be done.
The Competition Office and the Competition
Council were merged into one institution. A new
chairman was appointed. Contacts were sought with
the Commission services to get much closer contacts
and technical assistance on the different cases. Also
the support through twinning projects received a
much wider remit.

Administrator DG Competition (European Commission), coordinator State aid Task Force Enlargement. The views expressed are
purely those of the writer and may not in any circumstances be regarded as stating an official position of the European Commission.
51
On the accession process, see DEVUYST Y., KNKNEN, J., LINDBERG, P., ORSSICH, I. and ROEBLING, G., EU enlargement and
competition policy: where are we now?, Competition Policy Newsletter, No. 1, February 2002 and KNKNEN, J., Accession
negotiations brought to successful conclusion, Competition Policy Newsletter, No. 1, Spring 2003, p. 24-28.

27

Folosind un criteriu pur formal, se poate observa c


deciziile Consiliului Concurenei n materie de ajutor
de stat de la nceputul anului 2004 aveau n medie 5
pagini, n timp ce deciziile din a doua jumtate a
anului au de regul aproximativ 15 pagini fiind
acordat o mai mare atenie descrierii situaiei de
fapt i analizei juridice i economice a acesteia.
Cu toate acestea, Comisia nu a fost convins de
sustenabilitatea acestui progres i de calitatea
procesului decizional. Mai mult, continua s
lipseasc colaborarea din partea instituiilor
furnizoare de ajutoare de stat, ceea ce zdrnicea
toate eforturile fcute de Consiliul Concurenei. De
asemenea, persistau n continuare ngrijorrile legate
de ajutoarele din sectorul siderurgic52.
De aceea, Comisia a propus Consiliului [Uniunii
Europene n.t.] s nu nchid capitolul de
concuren. Totui, Consiliul are ultimul cuvnt cu
privire la aceste aspecte. n decembrie 2004, acesta a
decis s procedeze la nchiderea ultimelor capitole
ale negocierilor de aderare, Justiie i Afaceri
Interne (capitolul 24) i Concuren (capitolul 6)53 .
Ulterior, Tratatul de Aderare a fost semnat pe data de
25 aprilie 2005 (cu o serie de clauze de salvgardare54,
care includeau posibilitatea amnrii cu un an a
extinderii).
IV. Ajutorul existent
nchiderea capitolului de concuren nu a
reprezentat finalul procesului. Pentru a nu permite
ca, la data aderrii, s fie importate n UE ajutoare
de stat incompatibile, a fost stabilit un sistem pentru
examinarea msurilor care fuseser aplicate n rile
candidate i care erau aplicabile i dup respectiva
dat (mecanismul ajutorului existent). De asemenea,
scopul acestui mecanism este acela de a oferi rilor
candidate i operatorilor economici certitudine
juridic cu privire la msurile de ajutor de stat care
sunt aplicabile i dup data aderrii. Dac o msur
este calificat drept ajutor existent, aceasta
beneficiaz de o protecie special mpotriva
aciunilor Comisiei.
52

Ca i n cazul UE-10, exist trei tipuri diferite de


msuri care, dac au fost aplicate nainte de data
aderrii i sunt aplicabile i dup aceast dat, pot fi
considerate ajutoare existente:

primul tip include msurile de ajutor aplicate ntrun nou stat membru nainte de 10 decembrie 1994.

al doilea tip const ntr-o list de msuri de ajutor de


stat anexat Tratatului de Aderare55.

al treilea tip de ajutoare existente include alte


msuri transmise Comisiei, msuri care fuseser
evaluate de autoritatea de monitorizare a ajutoarelor
de stat nainte de aderare i care fuseser considerate
compatibile cu acquis ul i fa de care Comisia nu a
ridicat obiecii, aa numitul mecanism interimar.
Pentru Romnia, mecanismul putea fi utilizat doar
dup ce Comisia acepta faptul c palmaresul
implementrii a atins un nivel satisfctor.
Astfel, pentru autoritile romne (avnd Consiliul
Concurenei n prima linie), presiunea obinerii de
rezultate a continuat. Dac msurile de ajutor de stat
nu puteau fi calificate drept ajutor existent, pentru
investitori ar fi existat mai puin certitudine juridic.
Mai mult, posibilitatea amnrii aderrii rmnea n
continuare disponibil. Vizita doamnei comisar
Kroes n mai 2005 a ntrit acest mesaj. Ea a subliniat,
de asemenea, rolul pe care autoritile furnizoare de
ajutor de stat trebuia s l aib n obinerea unui
palmares credibil.
La nivel tehnic, ntre serviciile Comisiei i Consiliul
Concurenei a continuat s existe o bun cooperare,
n cadrul mecanismului de pre-consultare. Aceasta a
condus la mbuntirea continu a situaiei,
consolidat printr-o serie de remedii structurale, cum
ar fi crearea unui Grup de lucru inter-ministerial pe
probleme de ajutor de stat i unui Comitet interministerial la nivel nalt.
n luna mai 2006, Comisia a considerat drept
satisfctor palmaresul implementrii n domeniul
ajutorului de stat n Romnia, astfel nct, ncepnd
cu acel moment, au putut fi trimise msuri n cadrul
mecanismului interimar. n cele din urm au fost
trimise dou msuri56.

Pentru mai multe detalii cu privire la cerinele privind sectorul siderurgic, a se vedea LIENEMEYER, M., "State aid for restructuring the
steel industry in the new Member States", Competition Policy Newsletter, 2005, No. 1, p. 94.
53
Cu dou aranjamente tranzitorii privind msurile de ajutor fiscal (zone libere i zone defavorizate). Aceste aranjamente tranzitorii sunt
modelate dup aranjamentele tranzitorii aplicabile, inter alia, pentru Polonia.
54
Pentru o descriere mai detaliat, a se vedea VAN DE CASTEELE, K., "Next EU enlargement: Romania and State aid control", Competition
Policy Newsletter, 2005, No. 1, p. 39.
55
Nici o msur nu a fost acceptat pentru Romnia.
56
Att pentru Romnia, ct i pentru Bulgaria, au fost transmise mult mai puine msuri n cadrul mecanismului interimar dect n cazul
rilor UE-10. Faptul c liniile directoare privind ajutorul regional au expirat la 31 decembrie 2006 a fcut ca mai puine msuri s fie
puse n aplicare nainte i aplicabile i dup aderare. Schimbarea cadrului legal a mpeidicat aplicarea continu.

28

Using a purely formal criterion, one can only notice


that the State aid decisions from the Competition
Council dating from the beginning of 2004 are on
average 5 pages long, while the decisions from the
second half of the year are usually approx. 15 pages
long more attention is paid to the factual description
and the legal and economic analysis of these facts.
Nevertheless the Commission was not convinced
about the sustainability of this progress and the
quality of the decision-making. Furthermore, there
was a continued lack of cooperation by aid-granting
institutions, which thwarted all the efforts made by
the Competition Council. Also concerns about aid
for steel57 persisted. Therefore, the Commission had
proposed the Council not to close the competition
chapter.
However, the Council has the final say in these
matters. In December 2004, it decided to proceed
with the closure of the final chapters of the accession
negotiations, Justice and Home Affairs (chapter 24)
and Competition (chapter 6)58.

and are still applicable after that date which can be


regarded as existing aid:

The first one covers aid measures put into effect in a


new Member State before 10 December 1994.

The second one consists of a list of State aid


measures attached to the Accession Treaty60.

The third type of existing aid covers other measures


submitted to the Commission which were assessed
by the State aid monitoring authority prior to
accession and found to be compatible with the
acquis and to which the Commission did not raise an
objection, the so-called Interim mechanism. For
Romania, the interim procedure could only start
running once the Commission accepted that
Romania's state aid enforcement record reached a
satisfactory level.
For the Romanian authorities (with the Competition
Council in the frontline), the pressure to deliver thus
persisted. If aid measures could not be qualified as
existing aid, there was less legal certainty for
investors. Furthermore, the possibility of a delay of
accession remained on the table.

The Accession Treaty was then signed on 25 April


2005 (with a series of safeguard clauses59, including
the possibility to postpone enlargement by one year).

The visit of Commissioner Kroes in May 2005 further


drove that message home. She also emphasized the
role that aid granting authorities had to play in
delivering a credible enforcement record.

IV. Existing aid

At a technical level, there continued to be a good


cooperation between the Commission services and
the Competition Council through the preconsultation mechanism. That led to a continuing
improvement of the situation, further enhanced by a
series of structural measures like the creation of an
inter-ministerial working group on State aid issues
and a high level inter-ministerial task force.

The closure of the competition chapter was not the


end of the process. In order to prevent incompatible
aid from being imported into the EU on the date of
accession, a system was set up for examining
measures which were put into effect in the acceding
countries before the date of accession and are still
applicable after that date (the existing aid
mechanism). The purpose of this mechanism is also
to provide Acceding Countries and economic
operators with legal certainty as regards State aid
measures that are applicable after the date of
accession. If a measure is qualified as existing aid, it
benefits from a special protection against actions
from the Commission.
Like for EU-10, there are three different types of
measures which were put into effect before accession

The Commission considered that Romania's track


record in the State aid area was satisfactory as of May
2006 so that measures could be submitted under the
interim mechanism from then onwards. Two
measures were eventually submitted61.

57
For further details on the requirements as to steel, see LIENEMEYER, M., "State aid for restructuring the steel industry in the new
Member States", Competition Policy Newsletter, 2005, No. 1, p. 94.
58
With two specific transitional arrangements regarding fiscal aid measures (Free Trade Areas and Deprived Areas). These transitional
arrangements are modelled after the transitional arrangements applicable for, inter alia, Poland.
59
For a more detailed description, see VAN DE CASTEELE, K., "Next EU enlargement: Romania and State aid control", Competition
Policy Newsletter, 2005, No. 1, p. 39
60
No measures accepted for Romania.
61
Both for Romania and Bulgaria, much less measures have been brought under the interim mechanism than for EU-10. The expiry of the
regional aid guidelines on 31 December 2006 made that much fewer measures were "put into effect before and are still applicable after
accession". The change in legal rules prevented a continued application.

29

La 1 ianuarie 2007 Romnia, mpreun cu Bulgaria


au aderat la Uniunea European. Experiena n cazul
capitolului de concuren s-a dovedit a fi un succes
astfel nct, pentru negocierile viitoare, n funcie de
capitol, alinierea legislativ i existena unui palmares
satisfctor privind implementarea acquis-ului i a
obligaiilor decurgnd din relaiile contractuale cu
Uniunea European vor constitui etaloane pentru
nchiderea provizorie.
V. Provocri
n ceea ce privete perioada post-aderare, este de
salutat pstrarea de ctre Consiliul Concurenei a
poziiei de coordonator central pentru toate cazurile
de ajutor de stat, aa nct know-how ul dobndit
nu se va pierde. Aceasta reprezint, de asemenea, o
provocare Consiliul Concurenei trebuie s fie
capabil s ofere foarte rapid consiliere de nalt
calitate furnizorilor de ajutor de stat, altfel va fi
perceput ca o sarcin birocratic suplimentar.

de ajutoare de salvare i restructurare, condiiile sunt


foarte stricte. Hotrrea de a juca conform regulilor
ar putea fi testat n unele din aceste cazuri.
n cele din urm, mai exist nc cteva dosare de
dinanintea aderrii i care vor trebui urmrite, cum ar
fi continuarea respectrii programului de
restructurare a siderurgiei i recuperarea ajutoarelor
de stat acordate n afara programului sau
nerespectarea regulilor de ajutor de stat de ctre
anumii furnizori de ajutor de stat, cum ar fi
Ministerul Finanelor62. Se poate spera totui c, dup
acest proces extins de pregtire, Consiliul
Concurenei este bine situat pentru a nfrunta aceste
provocri.
ntr-o not personal, a dori s le mulumesc tuturor
celor pe care i-am ntlnit n diferitele instituii
romne, i n special la Consiliul Concurenei, pentru
excelenta cooperare chiar i n momente de mare
tensiune.

Mai mult, rmne nc un numr important de


ntreprinderi de stat, unele dintre acestea aflate n
ncurctur. Dei exist reguli care permit acordarea

62
Aa cum se arat n Raportul de monitorizare al Comisiei din May 2006, COM (2006) 214 final, section 4.1.6., p. 22,
http://ec.europa.eu/enlargement/pdf/key_documents/2006/monitoring_report_ro_en.pdf.

30

On 1 January 2007 Romania, together with Bulgaria


acceded to the European Union.
The experience with the competition chapter has
proven successful so that for future negotiations,
depending on the chapter, legislative alignment and a
satisfactory track record of implementation of the
acquis as well as obligations deriving from contractual
relations with the European Union will be the
benchmarks for provisional closure.

restructuring aid, conditions are very strict. The


determination to play by the rules could be tested in
some of these cases.
Finally, there are some files which pre-date accession
and which will need to be followed up, like the
continued respect of the steel restructuring program
and recovery of aid granted outside the program or
the disrespect by certain aid grantors like the Ministry
of Finance of State aid rules63.

V. Challenges
As regards the post-accession period, it is to be
welcomed is that the Competition Council retains a
central coordinating position for all State aid cases, so
that the know-how acquired is not lost.
That also represents a challenge: the Competition
Council must be able to deliver very rapidly high
quality advice to State aid grantors, otherwise it will
only be perceived as an additional bureaucratic
hurdle.

With the extensive preparation process, one may


however hope that the Competition Council is well
placed to face these challenges.

On a personal note, I would like to thank all the


people I have met in the different Romanian
institutions, in particular the Competition Council,
for the excellent cooperation even at times of great
stress.

Furthermore, there remains an important number of


State owned undertakings, some of which are in dire
straits. Although rules exist for allowing rescue and

63

As listed in the May 2006 Commission monitoring report, COM (2006) 214 final, section 4.1.6., p. 22,
http://ec.europa.eu/enlargement/pdf/key_documents/2006/monitoring_report_ro_en.pdf.

31

EXTINDEREA DIN 2004/2007


UN SUCCES INCONTESTABIL
Prof.univ.dr. Gabriela DRGAN

64

Rezumat
Majoritatea analizelor concluzioneaz c n general, cea de a cincea extindere poate fi considerat un succes.
Fr a pune la ndoial aceast constatare, studiul subliniaz faptul c povestea de succes amintit vizeaz
ndeosebi domeniul economic (al schimburilor comerciale n cretere, al fluxurilor investiionale tot mai
consistente, menite s genereze, n Est dar i n Vest, noi locuri de munc dar i profituri n cretere), n vreme ce,
la nivel politic se consider c cea nu a fost nc pe de-a-ntregul digerat. Spre deosebire de extinderile
anterioare, extinderea din 2004/2007 se particularizeaz prin condiionalitile impuse n perioada de preaderare, care au permis, pe de o parte, integrarea economic treptat a noilor state membre (NSM), de-a lungul
ntregii perioade de pre-aderare i, pe de alt parte, adoptarea i implementarea acquis-ului comunitar,
genernd astfel un aa numit proces de europenizare forat. Fr ndoial, pe msur ce procesul de
integrare se va extinde, noi evoluii i noi tendine se vor nregistra (convergenta la zona euro, va reprezenta o
nou provocare) care se pot cuantifica greu la nceputul lui 2007.
Cuvinte cheie: noile state membre UE, integrare economic, impactul extinderii UE.

I. Introducere
Fiecare din extinderile anterioare (spre Nord n 1973,
spre Sud n 1981 i 1986, spre Centru si Nord n
1995) au impus i generat dezbateri considerabile
privind impactul generat. Valul din 2004/2007 se
particularizeaz nu doar cantitativ (prin numrul de
noi state membre, creterea decalajelor economice
ntre statele-regiunile bogate i cele srace, etc.) ct
mai ales calitativ (calitatea transformrilor nregistrate
la nivelul politicilor, a administraiilor naionale, etc.),
impunnd din aceast cauz abordri mai nuanate i
selective.
n cazul extinderii din 2004/2007, conceptul de nou
stat membru a dobndit o ncrctur aparte, n
special prin raportarea dihotomic la vechile state
membre. Evident, noiunea de nou stat membru
(caracteriznd un fenomen tranzitoriu) a mai fost
utilizat, cu semnificaii ns diferite, i n cazul
extinderilor anterioare. De aceast dat ns,
dihotomia dintre noile i vechile state membre
este de cele mai multe ori acceptat, att n anumite

64
65

ri membre ct i la Brussels. Ea a aprut cu eviden


att n perioada interveniei din Irak, a negocierilor
privind bugetul Uniunii pentru perioada 2007-2013
dar i n dezbaterile ce au urmat respingerii Tratatului
Constituional n Frana i Olanda. Pe fondul acestor
evoluii, remarca maliioas a preedintelui Poloniei,
Kwasniewski, nu apare deloc surprinztoare: Atunci
cnd observi atmosfera din anumite state europene,
n special din cele fondatoare, precum Frana,
Germania sau Olanda, i atmosfera din rile noastre,
noi state membre, constai c diferena este c rile
fondatoare sunt asemenea acelor oameni aflai dup
50 de ani de cstorie, n vreme ce noi suntem nc
ndrgostii de Europa65.
II. Extinderea din 2004 un succes incontestabil
Majoritatea analizelor, fie ele realizate la solicitarea
Comisiei sau de ctre diferite institute de cercetri
(Commission, 2006, Barysh, K, 2004, 2006,
Pridham, G, 2006, etc.) concluzioneaz c n
general, cea de a cincea extindere poate fi
considerat un succes. Fr a pune la ndoial

Prodecan al Facultii de Relaii Economice Internaionale, ASE Bucureti.


www.euractiv.com, 20 Iunie 2005.

32

THE 2004/2007 ENLARGEMENT


AN UNDENIABLE SUCCESS
Prof.dr. Gabriela DRGAN

66

Abstract67
Most of the analysis reports conclude that in general, the fifth enlargement can be considered a success.
Without doubting this finding, the study underlines the fact that the mentioned success story aims mainly at the
economic field (increasing trade exchanges, significant investment flows, meant to generate, both in East and
West, new jobs and growing profits), whilst at political level it is considered that it was not fully digested. In
contrast to the previous enlargements, the 2004/2007 enlargement has a peculiarity through the
conditionalities set in the pre-accession period, which have allowed, on one hand, the gradual economic
integration of the New Member States (NMS), during the entire pre-accession period and, on the other hand,
the adoption and implementation of the acquis communautaire generating thus a so called forced
europeanization process. Without a doubt, by the time the integration process is extended, new evolutions and
trends will be recorded (the convergence to the Euro area, will represent a new challenge) hardly to be
quantified at the beginning of 2007.
Keywords: the new EU member states, economic integration, the impact of the EU enlargement.
I. Introduction
Each of the previous enlargements (to the North in
1973, to the South in 1981 and 1986, to the Center
and North in 1995) have imposed and generated
considerable debates regarding the generated
impact. The wave of 2004/2007 is particular not only
by quantity (the number of the new member states,
the increase of the economic discrepancies between
the reach and poor states -regions, etc.) but mostly by
quality (the quality of the transformations recorded at
the policy level, of the national administrations, etc.),
imposing because of that more nuanced and
selective approaches.
In the case of the 2004/2007 enlargement, the
concept of new member state has gained a special
conotation, especially by the dichotomy relation to
the old member states. Obviously, the notion of a
new member state (as a transition phenomenon)
has been previously used, however with different
significance, even in the previous enlargements. This
time though, the dichotomy between the new and
old member states is most of the time accepted,
both in certain member states as well as in Brussels. It
66

has become obvious both during the intervention in


Irak, the negotiations for the 2007-2013 Union
budget, as well as in the debates following the
rejection of the Constitutional Treaty in France and
the Netherlands. On the background of these
evolutions, the rude remark of the Polish President,
Kwasniewski, does not appear at all surprising:
When one notices the atmosphere from certain
european states, especially the founding members,
such as France, Germany or the Netherlands, and the
atmosphere from our countries, new member states,
you can tell the difference is that founding countries
are like people after 50 years of marriage, whereas
we are still in love with Europe68.
II. The 2004 enlargement - an undeniable success
Most of the analysis reports, made either at the
Commission's request or by different research
institutes (Commission, 2006, Barysh, K, 2004, 2006,
Pridham, G, 2006, etc.) conclude that in general,
the fifth enlargement can be considered a success.
Without doubting this finding, these studies
underlines the fact that the mentioned success story

Deputy Dean of the International Economic Relations Faculty, Academy of Economic Studies, Bucharest.
Translated into English by Mircea Ilie.
68
www.euractiv.com, June 20, 2005.
67

33

aceast constatare, trebuie ns subliniat faptul c


povestea de succes amintit vizeaz ndeosebi
domeniul economic (al schimburilor comerciale n
cretere, al fluxurilor investiionale tot mai
consistente, menite s genereaze, n Est dar i n Vest,
att noi locuri de munc ct i profituri n cretere), n
vreme ce, la nivel politic se consider c extinderea
nu a fost nc pe de-a-ntregul digerat. Anumii
politicieni din Germania, Austria i nu numai,
consider c extinderea a afectat i continu s
afecteaze de o manier negativ mediul economic
autohton.
O parte a populaiei din vechile state membre
caracterizeaz competiia noilor state membre pe
piaa comunitar ca fiind una neloial, care pune n
pericol modelul social european. n Frana, de pild,
dei fr a exista un fundament real, unul din
motivele respingerii Tratatului Constituional din mai
2005 l-a reprezentat opoziia n faa extinderii. n
mare parte, toate aceste resentimente sunt
alimentate de false percepii privind avalana de for
de munc ieftin, sub forma instalatorilor polonezi
sau a constructorilor letoni, care, pe de o parte, vor
fura slujbele vest-europenilor iar, pe de alt parte,
prin acceptarea unor salarii mult mai mici vor pune n
pericol standardele sociale autohtone. Pe de alt
parte, n unele Noi State Membre (NSM) persist nc
resentimente legate de tratamentul aplicat pe
parcursul negocierilor dar i ulterior (privind nivelul
subveniilor pentru agricultur sau libera circulaie a
persoanelor i lucrtorilor).
Ceea ce face ns, n cazul actualei extinderi,
diferena fa de extinderile anterioare sunt
particularitile, am putea spune fr precedent,
specifice perioadei de pre-aderare, legate de
adoptarea i implementarea acquis-ului comunitar.
Ca urmare, actualele NSM au fcut obiectul unui
proces de europenizare forat (Goetz, K, 2005,
p.255) realizat ntr-un ritm rapid i susinut i pe o
scar larg (care a implicat preluarea i
implementarea legislaiei, politicilor i practicilor
UE). Nu trebuie uitat c i integrarea economic a
noilor state membre (NSM) s-a realizat treptat, de-a
lungul ntregii perioade de pre-aderare. Fr ndoial
ns, pe msur ce procesul de integrare se va
extinde, noi evoluii, noi tendine se vor nregistra
(participarea la zona euro, de pild, va reprezenta o
asemenea provocare).
Cu toate acestea, dei exist diferene semnificative
ntre diferitele valuri de acces, analizele, studiile
comparative privind efectele generate de extinderile
anterioare menite s ofere informaii utile n cazul
actualei extinderi nu sunt mai puin necesare. Aa de
pild, un foarte interesant exerciiu (Pridham, G.,

34

2006) privind evoluiile nregistrate n Spania n


primii doi ani dup aderare (1986-1988) scotea n
eviden cele mai frecvente teme de dezbatere,
specifice acestei tri imediat dup aderare, precum:

Entuziasm i euforie, imediat dup aderare, privind


sfritul izolrii n plan internaional (drmarea
Pirineilor);

Problemele sectorului agricol n preluarea politicii


agricole comune i aspecte privind nivelul preurilor;

Creterea greutii instituionale a Ministerului


Afacerilor Externe;

Relaii bilaterale mai strnse cu alte state membre i


a unui parteneriat special cu Portugalia;

Fluxul de ISD i invazia firmelor strine;

Introducerea TVA, cerine de modernizare a


metodelor contabile, precum i ngrijorri privind
industria filmului n faa competiiei europene i
americane;

Provocri aduse obiceiurilor sociale locale precum


mesele trzii sau siestele din miezul zilei (complet
diferite de practicile europene).
Dou observaii se cer a fi fcute: prima, are n
vedere faptul c lista prezint remarcabile
similitudini cu situaia existent astzi n NSM,
excepie ultimul subiect menionat, care, n cazul
Romniei, poate fi nlocuit cu teme privind
transhumana sau comercializarea produselor lactate
n piee. Pe de alt parte, apare cu eviden faptul c
dei lipsesc subiecte privind efectele pozitive ale
integrrii, succesul pe care-l va avea procesul de
modernizare, exist ns suficiente teme care
exprim temeri privind impactul extinderii.
Spre deosebire de situaia nregistrat n Spania, n
cazul majoritii NSM, i n special n Romnia,
sondajele relev un grad mult mai ridicat de
entuziasm, una din explicaii fiind i aceea c pe
parcursul perioadei de pre-aderare n toate NSM sau produs transformri structurale, rezultat al
procesului de modernizare a economiilor naionale
i a condiionalitilor impuse de procesul de
negociere. n plus, o alt caracteristic specific NSM
este cea legat de calitatea, uneori discutabil, a
instituilor i administraiei. Nimic surprinztor dac
inem cont de faptul c majoritatea NSM, foste ri
comuniste, au experimentat dup 1989 transferuri
de politici i instituii dinspre alte state democratice,
impactul esenial fiind cel generat de Brussels. Ceea
ce conteaz, ns, n prezent, este dac efectele
instituionale produse, pe fondul presiunilor venite
dinspre Brussels, sunt unele profunde i de durat sau
doar unele de suprafa (vezi, n cazul Romniei,
dezbaterile pe tema justiiei sau a creerii ANI).

aims mainly at the economic field (increasing trade


exchanges, significant investment flows, meant to
generate, both in East and West, new jobs and
growing profits), whilst at political level it is
considered that it was not fully digested. Certain
politicians from Germany, Austria and not only,
consider that the enlargement afected and continues
to afect in a negative manner the domestic economic
environment.
A part of the population in the old member states
characterize the competition from the new member
states on the community market as being unfair,
which jeopardizes the European social model. In
France, for example, although without a real basis,
one of the reasons for the rejection of the
Constitutional Treaty in May 2005 was represented
by the oposition to the enlargement. Most of these
resentments are fuelled by false perceptions
regarding the flood of cheap labor force, such as
Polish plummers or Latvian constructors, which on
one hand, will steal the jobs of west Europeans and
on the other hand, by accepting much lower salaries
will jeopardize the domestic social standards. On the
other hand, in the new member states (NMS) there
are still resentments linked to the treatment applied
during negotiations and later on (related to the level
of subsidies for agriculture or free circulation of
persons and workers).
What makes, in the case of the actual enlargement,
the difference to the previous enlargements are
peculiarities, we could say without precedent,
specific to the pre-accession period, related to the
adoption and implementation of the acquis
communautaire. As a result, the actual NMS were
subject to a forced europeanization process
(Goetz, K, 2005, p.255) achieved at a high pace and
sustained widely (involving the takeover and
implementation of EU legislation, policies and
practices). It must not be forgotten that the economic
integration of the NMS has been achieved gradually,
during the entire pre -accession period.
Undoubtedly, however, by the time the integration
process is extended, new evolutions and trends will
be recorded (participation to the Euro area, for
instance, will represent such a challenge).
Given all these, although there are significant
differences between different accession waves,
analyses, comparative studies regarding effects
generated by previous enlargements meant to offer
useful information in the case of the actual
enlargement are nonetheless necessary. For instance,
a very interesting exercise (Pridham, G., 2006)

35

regarding evolutions recorded in Spain in the first two


years after accession (1986-1988) highlighted the
most frequent debate themes, specific to this country
right after accession, such as:

enthusiasm and euphoria, right after accession,


regarding the end of isolation internationally (the
downfall of the Pirineas);

problems of the agricultural sector in taking over the


common agricultural policy and price level issues;

increase of the institutional weight of the Ministry of


Foreign Affairs;

bilateral relations with other member states and a


special partnership with Portugal;

the flow of direct foreign investments and the


invasion of the foreign firms;

introduction of the VAT, requirements to modernize


accounting methods, as well as concerns regarding
the film industry towards European and American
competition;

challenges to the local social habits such as late


dinners or mid-day siestas (completely different of
European practices).
Two observations are to be made: first, considering
that the list presents remarkable similarities with the
existing situation in the NMS, except for the last
mentioned item, which, in the case of Romania, can
be replaced by themes like shepherd's transhumance
or the selling of dairy products in open markets. On
the other hand, it is obvious that although topics
regarding the positive effects of the integration and
the success of the modernization process are missing,
there are however sufficient themes concerning fears
related to the enlargement impact.
As opposed to the situation of Spain, in the case of
most NMS, and especially in Romania, polls highlight
a higher level of enthusiasm, one of the explanations
being that during the pre-accession period, in all
NMS structural transformations occured, result of the
modernization process of national economies and
conditionalities imposed by the negotiation process.
In addition, another characteristic specific to the
NMS is related to the quality, sometimes debatable,
of institutions and administration. Nothing surprising
if we take into account the fact that most of the NMS,
ex-communist countries, experienced after 1989
transfers of policies and institutions from other
democratic states, the esential impact being
generated by Brussels. What matters, though, at
present, is whether the institutional effects produced,
as a result of pressures from Brussels, are profound
ones and long term or just superficial (see, in the case
of Romania, debates on justice or the creation of the
National Integrity Agency).

III. Cretere economic, exporturi i investiii


strine n cretere
Conform unui comunicat al Comisiei Europene
(Commission, 2006) creterea economic n NSM a
fost, n medie, mult mai rapid dect cea nregistrat
n vechile state membre (respectiv, n perioada 19972005, 3.75% fa de 2.5%). Ca urmare, decalajele
dintre PIB pe locuitor dintre media UE i media NSM
s-au redus, de la circa 44% n 1997 (anul n care, prin
Agenda 2000, procesul de extindere a devenit unul
concret) la circa 50% n 2005. n plus, ritmurile
ridicate de cretere au fost nsoite de indicatori
macroeconomici stabili, rata inflaiei i a dobnzii
apropiiindu-se tot mai mult de media din UE-15
(Tabelul nr.1). Cu toate acestea, la nivelul finanelor
publice evoluiile au fost mai puin uniforme, ase din

cele zece NSM intrnd n UE cu deficite bugetare


peste limita de 3% stabilit prin criteriile de la
Maastricht.
n cazul relaiilor comerciale, procesul de liberalizare
a debutat la nceputul anilor 90, odat cu semnarea
Acordurilor Europa. Urmare a acestor acorduri a fost
creat treptat o zon de liber schimb ntre statele
membre ale UE i rile din Europa Central i de Est
(TECE), zona acoperind n cele din urm circa 2/3 din
comerul bilateral (s-au meninut totui restricii
asupra comerului cu servicii sau a celui cu produse
agricole). Liberalizarea schimburilor comerciale a
stimulat att creterea exporturilor ct i pe cea a
importurilor, n cazul TECE, de-a lungul anilor 90,

36

balana comercial nregistrnd fr excepie un


substanial deficit. n plus, modelul integrrii
comerciale reflecta complementaritile existente
ntre cele dou grupe de ri, comerul TECE fiind
dominat de produse ncorpornd tehnologie redus
sau medie i munc intensiv n vreme ce comerul
UE-15 fiind specializat n produse intensive n capital
i munc nalt calificat.
Exporturile sunt strns legate de nivelul investiilor
strine directe (ISD). Astfel, stocul ISD, aproape
inexistent la nceputul anilor 90, a atins circa 190
miliarde n 2004, respectiv 40% din nivelul PIB local.
Deoarece barierele referitoare la circulaia bunurilor
i a capitalurilor fuseser ridicate nainte de aderarea
propriu-zis, libera circulaie a persoanelor i

lucrtorilor reprezint cea mai semnificativ


caracteristic a extinderii din 2004/2007. Tratatele
de Aderare din 2003/2005 au prevzut o derogare de
la libera circulaie a forei de munc, sub forma unei
perioade de tranziie de 7 ani. Poziia statelor
membre din UE-15 a fost diferit, unele ri, de pild,
lund decizia ca n primii doi ani ai perioadei de
tranziie s nu aplice restricii (cazul Marii Britanii,
Irlandei i Suediei). Este de remarcat c n primii doi
ani dup valul din 2004, fluxurile migratorii dinspre
UE-10 s-au ncadrat n limite ce pot fi considerate
normale i care au fost nregistrate i n cazul
extinderilor anterioare. Mai mult chiar, n momentul
revizuirii Acordurilor tranzitorii s-a constatat c
fluxurile migratorii dinspre rile tere sunt, de

III. Economic growth, increasing exports and


foreign investments
According to a communnication of the European
Commission (Commission, 2006) economic growth
in the NMS was, in average, much higher than that in
the old member states (respectively, in 1997-2005,
3.75% versus 2.5%). As a result, discrepancies
between GDP/capita for EU average and NMS
average were reduced, from about 44% in 1997
(when through Agenda 2000, the enlargement
process got shape) to about 50% in 2005. In addition,
the high growth paces were doubled by stable
macroeconomic indicators, inflation and interest
rates getting much closer to the EU-15 average (Table
no. 1). With all these, evolutions of public finance

was less uniform, six of the ten NMS entering the EU


with budget deficits over the 3% threshold set by the
Maastricht criteria.

In the case of the trade relations, the liberalization


process was launched at the beginning of the 90's,
once Europe Agreements were signed. Following
these agreements, a free trade area was gradually
created between EU member states and the
countries of the Central and Eastern Europe (CCEE),
the area covering up to 2/3 of the bilateral trade
(restrictions were maintained for trade with services
and agricultural products). The liberalization of the

37

trade exchanges has fostered the growth of exports


and imports, in the case of CCEE, during the 90's, the
trade balance showing with no exception a
substantial deficit. In addition, the trade integration
model reflected existing complementarities between
the two group countries, the CCEE trade being
dominated by products with low or average
technology and intensive labor whereas the EU-15
was specialized in capital intensive products and
highly qualified labor.
Exports are closely related to the level of foreign direct
investments (FDI). Thus, the FDI stock, almost
inexistent at the beginning of the 90s, reached about
Euro 190 billion in 2004, respectively 40% of the
local GDP.

Due to the fact that barriers relating to circulation of


goods and capital were lifted prior to the accession,
the free circulation of persons and workers represents
the most significant characteristic of the 2004/2007
enlargement. The Accession Treaties of 2003/2005
provided a derogation from the free circulation of
labor, under a 7 year transition period. The position
of the EU-15 member states was different, some
countries, for instance, deciding not to apply
restrictions in the first two years of transition (the case
of United Kingdom, Ireland and Sweden). It is to be
noted that in the first two years after the 2004 wave,
migratory flows from the EU-10 were in situated in

departe, mult mai importante dect cele din


interiorul Uniunii. Ca atare, meninerea restriciilor n
calea liberei circulaii a forei de munc nu apare ca
justificat din punct de vedere economic, de vreme
ce fluxurile de for de munc sunt, n cele din urm,
rezultatul cererii i a ofertei iar impunerea de restricii
genereaz premize n favoarea deturnrii fluxurilor
oficiale spre piaa neagr. n plus, pe fondul
creterilor economice impresionante nregistrate la
nivelul NSM i a unor rate ale omajului n scdere, e
de ateptat ca presiunea migraionist dinspre NSM
s nu cunoasc creteri semnificative.
IV. n loc de concluzii
Al cincilea val al extinderii Uniunii Europene a
acionat ca un catalizator pentru progresul economic
din vechile i noile state membre, chiar dac
intensitatea reaciilor produse a fost diferit (n ultimii
cinci ani, cele 12 NSM au nregistrat o rat medie de
cretere de 4.5%, cu mult peste nivelul de 1.5%
nregistrat n UE-15). De asemenea, se poate constata
faptul c efectele induse de extindere au fost i sunt n
continuare absorbite fr ocuri considerabile i c,
nici la nivelul pieei muncii, nu exist dovezi care s
probeze existena anumitor efectele negative
generate de liberalizare.
Mai mult chiar, nici alte evaluri privind impactul
politic al extinderii nu au scos n eviden concluzii
nefavorabile. CEPS Special Report (2007) a
demonstrat faptul c, n ciuda lipsei unei reforme
instituionale, blocajul politic ntr-o Uniune cu 25 de
membri a fost evitat, lucru remarcabil dac e s inem
cont c NSM aezate la masa negocierilor au adus nu
numai o sporire a numarului de locuitori cu 2/3 dar i
o multiplicare a numrului de posibile aliane
politice.
Spre deosebire de extinderile anterioare, cea din
2004/2007 se particularizeaz prin condiionalitile impuse n perioada de pre-aderare, care au
permis, pe de o parte, integrarea economic treptat
a noilor state membre (NSM) de-a lungul ntregii
perioade de pre-aderare i, pe de alt parte,
adoptarea i implementarea acquis-ului comunitar,
genernd asfel un aa numit proces de europenizare
forat. Fr ndoial ns, pe msur ce procesul de
integrare se va extinde, noi evoluii i noi tendine se
vor nregistra (convergen economic la zona euro,
va reprezenta o nou provocare economic i
social) care este greu de evaluat la nceputul anului
2007.

38

Bibliografie
Barish, Katinka (2004), EU enlargement:how to

reap the benefits, Economic Trends, Survey


Enlargement;
Barish, Katinka (2006), East versus West ? The EU

economy after enlargement, CER, London;


CEPS Special Report (2007), Decision-making in

the Council of Ministers before and after May 2004,


London;
Commission of the European Communities (2006),

Communication from the Commission to the Council


and the European Parliament. Enlargement, two
years after. An economic success, Brussels, 3.5.2006;
Ederveen, Sjef, Albert Van Der Horts, Paul Tang
(2005), Is the European Economy a patient and the
Union its doctor? On jobs and growth in Europe,
ENEPRI, April 2005;
Pridham, Geoffrey (2006), New member state

comparisons: Slovakia and Latvia, European


Research Working Paper Series, No.4.

normal limits recorded in the previous enlargements.


More than that, when revising the Transitory
Agreements it has been noticed that migratory flows
from third countries are by far much more important
than those from within the Union. As such, the
maintenance of restrictions in the way of free labor
circulation does not appear justified economically,
since labor flows are, lastly, the result of supply and
demand and setting restrictions generates premises in
favor of hijacking official flows towards the black
market. In addition, given the impressive economic
growth of the NMS and the decreasing rates of
unemployment, it is expected that the migrating
pressure from the NMS will not witness significant
increases.
IV. In lieu of conclusions
The fifth wave of EU enlargement has been a catalyst
for the economic progress from the old and new
member states, even if the intensity of reactions was
different (in the last five years, the 12 NMS have
shown an average growth of 4.5%, much higher than
the 1.5% of the EU-15). Also, it can be noticed the
fact that effects induced by the enlargement were
and are absorbed without considerable shocks, and
at the labor market level there is no evidence to
probe the existence of certain negative effects
generated by the liberalization.
Moreover, no other evaluations regarding the
political impact of the enlargement have pointed
unfavorable conclusions. The CEPS Special Report
(2007) demonstrated that despite lack of institutional
reform, the political blockage in a 25 members Union
was avoided, which is remarkable if we are to
consider that the negotiating NMS brought not only
an increase of the population by 2/3 but also a
multiplication of the possible political alliances.
In contrast to the previous enlargements, the
2004/2007 enlargement has a peculiarity through
the conditionalities set in the pre-accession period,
which have allowed, on one hand, the gradual
economic integration of the New Member States
(NMS), during the entire pre-accession period and,
on the other hand, the adoption and implementation
of the acquis communautaire generating thus a so
called forced europeanization process. Without a
doubt, by the time the integration process is
extended, new evolutions and trends will be
recorded (the convergence to the Euro area, will
represent a new challenge) hardly to be quantified at
the beginning of 2007.

39

Bibliography
Barish, Katinka (2004), EU enlargement:how to

reap the benefits, Economic Trends, Survey


Enlargement;
Barish, Katinka (2006), East versus West ? The EU

economy after enlargement, CER, London;


CEPS Special Report (2007), Decision-making in

the Council of Ministers before and after May 2004,


London;
Commission of the European Communities (2006),

Communication from the Commission to the Council


and the European Parliament. Enlargement, two
years after. An economic success, Brussels, 3.5.2006;
Ederveen, Sjef, Albert Van Der Horts, Paul Tang
(2005), Is the European Economy a patient and the
Union its doctor? On jobs and growth in Europe,
ENEPRI, April 2005;
Pridham, Geoffrey (2006), New member state

comparisons: Slovakia and Latvia, European


Research Working Paper Series, No.4.

REGIMUL JURIDIC AL CONCENTRRILOR


ECONOMICE N DREPTUL COMUNITAR
69

Mihaela Violeta TOADER69


Rezumat
Unul dintre scopurile dreptului comunitar al concurenei este de a veghea mpotriva crerii sau consolidrii de
poziii dominante, care ar mpiedica semnificativ concurena efectiv pe piaa comun sau pe o parte
substanial a acesteia.
Legislaia comunitar n domeniul concentrrilor economice70, prezentat pe scurt n prezentul articol, este
reprezentat de Regulamentul Consiliului (EC) nr.139/2004 privind controlul concentrrilor ntre ageni
economici i de legislaia secundar n acest domeniu.
Cuvinte cheie: concentrare economic, legislaie european, comunicri, instruciuni.
I. Principalele domenii de aciune ale dreptului
concurenei n Uniunea European
n cazul unei piee unice extinse, aa cum este cea a
Uniunii Europene, dreptul concurenei apare ca o
necesitate, fiind esenial pentru consolidarea pieei
comune. Dreptul comunitar al concurenei se
concentreaz pe urmtoarele aspecte: (i) vegheaz
mpotriva crerii sau consolidrii unei poziii
dominante, dobndit prin modificarea structural a
unei piee la un moment dat (prin realizarea de
concentrri economice), poziie care ar mpiedica
semnificativ concurena efectiv pe piaa comun
sau pe o parte substanial a acesteia; (ii)
supravegheaz modificrile comportamentale ale
agenilor economici activi pe o anumit pia, n
scopul mpiedicrii apariiei i manifestrii oricror
forme de practici anticoncureniale; (iii)
monitorizeaz ajutoarele de stat.
II. Cadrul legal aplicabil concentrrilor economice
Spre deosebire de dispoziiile Tratatului privind
crearea Comunitii Economice a Crbunelui i a
Oelului, Tratatul de instituire a Comunitii
Europene (n continuare Tratat) nu cuprinde
dispoziii specifice n materie de concentrri
economice. Astfel, a aprut necesitatea existenei
unui instrument legal specific, care s fie singurul
69
70

aplicabil unor asemenea operaiuni i care s permit


controlul efectiv al concentrrilor economice, din
punct de vedere al efectului lor asupra concurenei n
Uniunea European.
Drept urmare, a fost adoptat Regulamentul
Consiliului (EEC) nr.4064/89 privind controlul
concentrrilor ntre ageni economici, modificat
ulterior prin Regulamentul Consiliului (EC)
nr.1310/1997 de amendare a Regulamentului
Consiliului (EEC) nr.4064/1989 privind controlul
concentrrilor ntre ageni economici. Ultima
modificare a acestui regulament s-a realizat prin
Regulamentul Consiliului (EC) nr.139/2004, intrat n
vigoare la data de 01.05.2004.
Legislaia n domeniul concentrrilor economice
presupune o activitate normativ deosebit la nivelul
legislaiei secundare. Astfel, alturi de Regulamentul
Consiliului (EC) nr.139/2004 privind controlul
concentrrilor ntre ageni economici, exist
numeroase reglementri prin care se pun n aplicare
dispoziiile cu caracter general prevzute de legislaia
de baz. Acestora li se adaug deciziile Curii
Europene de Justiie i ale Tribunalului de Prim
Instan, precum i acordurile internaionale, n care
se fac referiri exprese la situaii specifice privind
concurena.

Inspector de concuren, Direcia Industrie i Energie, Consiliul Concurenei.


n elaborarea prezentului articol s-a avut n vedere legislaia comunitar n vigoare la data de 31.12.2006.

40

THE LEGAL FRAMEWORK OF ECONOMIC


CONCENTRATIONS IN COMMUNITY LAW
Mihaela Violeta TOADER71
Abstract72
One of the main purposes of the Community competition law is to watch against the creation or strengthening
of a dominant position that would impede effective competition in the common market or in a substantial part
of it.
The Community legislation in the field of economic concentration73, briefly presented in this article, consists
in the Council Regulation (EC) No 139/2004 on the control of concentrations between undertakings and
the secondary legislation in this field.
Keywords: economic concentration, legislation, regulation, Commission Notice, guidelines.
I. Main areas of competition law's action in the
European Union
In the case of an extended market, like the European
Union market, the competition law appears as a
necessity, being essential for the common market
consolidation.
The Community competition law focuses on the
following aspects: (i) it watches against the creation or
strengthening of a dominant position, held through
the structural modifications of a market at a certain
moment (by achievement of economic
concentrations), position that would significantly
impede effective competition in the common market
or in a substantial part of it; (ii) it monitors tends the
behavioural modifications of the undertakings
present on a certain market, having as scope to
impede any anticompetitive practices; (iii) it
monitories State aids.
II. The legal framework applicable to economic
concentrations
Unlike the provisions of the Treaty establishing the
European Coal and Steel Community, the Treaty
establishing the European Community (hereinafter
referred to as Treaty) does not include specific
provisions in the economic concentrations field.
71

Thus, it appeared the necessity for a specific legal


instrument that should be the only applicable to such
operations and that allows effective control of
economic concentrations, from the point of view of
their effect on the competition in the European
Union.
Consequently, it was adopted the Council Regulation
(EEC) No 4064/89 on the control of concentrations
between undertakings, subsequently modified
through the Council Regulation No 1310/97
amending Regulation (EEC) No 4064/89 on the
control of concentrations between undertakings. The
last modification of this regulation was made through
the Council Regulation No 139/2004, come into
force on May 1st 2004.
The legislation in the economic concentrations field
assumes a special normative activity at the level of
secondary legislation. Thus, alongside the Council
Regulation (EC) No 139/2004 on the control of
concentrations between undertakings, there are a lot
of regulations that enforce the general provisions set
out in the basic legislation. Alongside this legislation,
there are decisions of the European Court of Justice
and of the Court of First Instance, as well as the
international agreements that contains express
references to specific situations related to the
competition.

Competition inspector, Directorate of Industry and Energy, Competition Council.


Translated into English by Mihaela Violeta Toader.
73
In the elaboration of this article it was taken into account the Community legislation until on December 31st 2006.
72

41

Regulamentul Consiliului (EC) nr.139/2004 privind


controlul concentrrilor ntre ageni economici (n
continuare Regulamentul nr.139/2004) i legislaia
suport aplicabil n domeniul concentrrilor
economice sunt prezentate, pe scurt, n continuare.
1. Regulamentul Consiliului (EC) nr.139/2004
privind controlul concentrrilor ntre ageni
economici (publicat n OJ74 L 24/29.01.2004)
Regulamentul nr.139/2004 conine prevederi legale
att imperative (n special procedurale), ct i
dispozitive, n ceea ce privete controlul efectiv al
concentrrilor economice, din punct de vedere al
efectelor acestora asupra structurii concurenei n
Uniunea European.
Acest Regulament se aplic operaiunilor de
concentrare economic ce au dimensiune
comunitar. n baza Regulamentului nr.139/2004,
concentrrile economice care ar mpiedica
semnificativ concurena efectiv, pe piaa comun
sau pe o parte substanial a acesteia, n special ca
rezultat al crerii sau consolidrii unei poziii
dominante, sunt declarate incompatibile cu piaa
comun.
2. Regulamentul Comisiei (EC) nr.802/2004 de
implementare a Regulamentului Consiliului (EC)
nr.139/2004 privind controlul concentrrilor ntre
ageni economici (OJ L 133/30.04.2004)
Avnd n vedere c Regulamentul nr.139/2004 se
bazeaz pe principiul notificrii obligatorii a
concentrrilor economice, nainte de implementarea
acestora, Regulamentul Comisiei (EC) nr.802/2004 de
implementare a Regulamentului Consiliului (EC)
nr.139/2004 privind controlul concentrrilor ntre
ageni economici (n continuare Regulamentul
nr.802/2004) reglementeaz, n principal, anumite
aspecte privind procedura de notificare a
concentrrilor economice, respectiv: modalitatea de
realizare a notificrii (persoanele mputernicite s
notifice, transmiterea notificrii, documentele i
informaiile de prezentat, data efectiv a notificrii);
termenele; exercitarea dreptului de a fi audiat i
procedura de desfurare a audierilor; accesul la
dosar i confidenialitatea informaiilor;
angajamentele agenilor economici implicai.
Regulamentul nr.802/2004 conine ca anexe
formularele de notificare ce trebuie naintate
Comisiei Europene, n funcie de specificul fiecrui
caz, i precizeaz informaiile pe care prile
notificatoare trebuie s le furnizeze atunci cnd fac o
notificare.
74

Jurnalul Oficial al Uniunii Europene.

42

3. Comunicarea Comisiei privind procedura


simplificat de analiz a anumitor concentrri n
baza Regulamentului Consiliului (EC) nr.139/2004
(OJ C 56/05.03.2005)
Comisia poate evalua anumite concentrri
economice printr-o procedur simplificat de
analiz, deoarece se consider c acestea nu prezint
ndoieli serioase privind compatibilitatea cu piaa
comun sau cu o parte substanial a acesteia.
Beneficiaz de aceast procedur, n absena unor
mprejurri speciale, concentrrile economice care
ndeplinesc condiiile cerute de Comunicarea
Comisiei privind procedura simplificat de analiz a
anumitor concentrri n baza Regulamentului
Consiliului (EC) nr.139/2004.
4. Comunicarea Comisiei privind alocarea
cazurilor de concentrri (OJ C 56/05.03.2005)
Scopul acestei Comunicri este de a descrie, la
modul general, sistemul de alocare a cazurilor ntre
Comisie i statele membre, sistem prevzut la art.4
(4) i (5), la art.9 i la art.22 din Regulamentul
nr.139/2004. Comunicarea Comisiei privind alocarea
cazurilor de concentrri specific criteriile legale ce
trebuie ndeplinite pentru ca alocarea cazurilor s fie
posibil, factorii care pot fi luai n considerare atunci
cnd se decide alocarea cazurilor, precum i o
orientare practic privind funcionarea
mecanismului de alocare a cazurilor.
5. Comunicarea Comisiei privind conceptul de
concentrare n baza Regulamentului Consiliului
(EEC) nr.4068/89 privind controlul concentrrilor
ntre ageni economici (OJ C 66/02.03.1998)
Aceasta Comunicare precizeaz modul n care
Comisia interpreteaz termenul concentrare,
termen utilizat la art.3 din Regulamentul
nr.139/2004, identificnd totodat modalitile de
realizare a concentrrilor economice.
6. Comunicarea Comisiei privind conceptul de
funcionare deplin a societilor n comun n baza
Regulamentului Consiliului (EEC) nr.4068/89
privind controlul concentrrilor ntre ageni
economici (OJ C 66/02.03.1998)
Aceast Comunicare ofer orientri despre modul n
care Comisia interpreteaz art.3(4) din Regulamentul
nr.139/2004 n legtur cu societile n comun,
fcnd distincia ntre operaiunile concentrative,
care ndeplinesc condiiile cerute la art.3(4) din acest
Regulament, i cele de cooperare, care cad sub
incidena art.81 din Tratat.

1. Council Regulation (EC) No 139/2004 on the


control of concentrations between undertakings
(published in OJ75 L 24/29.01.2004)
The Regulation (EC) No 139/2004 contains legal
provisions both compulsory (especially procedural
provisions) and permisive, related to the effective
control of the economic concentrations, from the
point of view of these operations' effects on the
competition structure in the European Union.

3. Commission Notice on a simplified procedure


for treatment of certain concentrations under
Council Regulation (EC) No 139/2004 (OJ C
56/05.03.2005)
The Commission can asses certain economic
concentrations under a simplified procedure, on the
basis that they do not raise competition concerns
regarding their compatibility with the common
market or with a substantial part of it. In the absence
of special circumstances, the economic
concentrations are suitable for this procedure, when
all necessary conditions set in the Commission Notice
on a simplified procedure for treatment of certain
concentrations under Council Regulation (EC) No
139/2004 are met.

This Regulation applies to the operations of economic


concentration having a Community dimension.
According to the Regulation (EC) No 139/2004, the
economic concentrations that would significantly
impede effective competition in the common market
or in a substantial part of it, in particular as a result of
the creation or strengthening of a dominant position,
shall be declared incompatible with the common
market.

4. Commission Notice on the concept of


concentration under Council Regulation (EEC) No
4064/89 on the control of concentrations between
undertakings (OJ C 66/02.03.1998)
This Notice determines the way the Commission
interprets the term concentration used in Art. 3 of
the Regulation (EC) No 139/2004, identifying at the
same time the possibilities to achieve the economic
concentrations.

2. Commission Regulation (EC) No 802/2004


implementing Council Regulation (EC) No
139/2004 on the control of concentrations
between undertakings (OJ L133/30.04.2004)
Taking into account that the Regulation (EC) No
139/2004 relays on the principle of the compulsory
notification of the economic concentrations, prior
their implementation, the Commission Regulation
(EC) No 802/2004 implementing Council Regulation
(EC) No 139/2004 on the control of concentrations
between undertakings (hereinafter referred to as
Commission Regulation (EC) No 802/2004)
controls, mainly, certain aspects related to the
concentrations notification procedure, respectively:
the way to comply with the notification requests (the
entitled persons to submit the notification,
notification submission, information and documents
to be provided, data when the notification is deemed
to be effective); deadlines; exercise of the right to be
heard and hearings procedure; access to file and
treatment of confidential information; commitments
of the undertakings concerned.
The Commission Regulation (EC) No 802/2004
contains in the annexes the notification forms which
have to be submitted to the European Commission
and specifies the information that must be provided
by the notifying parties when they submit a
notification to the European Commission.

5. Commission Notice on the concept of fullfunction joint ventures under Council Regulation
(EEC) No 4064/89 on the control of concentrations
between undertakings (OJ C 66/02.03.1998)
This Notice provides guidance to the way the
Commission interprets Art. 3 (4) of the Regulation
(EC) No 139/2004 in relation to joint ventures,
making the distinction between concentrative and
cooperative joint ventures, which fall under the Art.
81 of the Treaty.

The Council Regulation (EC) No 139/2004 on the


control of concentrations between undertakings
(hereinafter referred to as Regulation (EC) No
139/2004) and the support legislation are briefly
presented bellow.

75

Official Journal of the European Union.

43

6. Commission Notice on calculation of turnover


under Council Regulation (EEC) No 4064/89 on the
control of concentrations between undertakings
(OJ C 66/02.03.1998)
The purpose of this Notice is to clarify certain
procedural and practical aspects related to the
modalities of turnover calculation set out by the
Regulation (EC) No 139/2004, for the Commission
jurisdiction.

7. Comunicarea Comisiei privind calculul cifrei de


afaceri n baza Regulamentului Consiliului (EEC)
nr.4068/89 privind controlul concentrrilor ntre
ageni economici (OJ C 66/02.03.1998)
Scopul acestei Comunicri este de a clarifica anumite
aspecte procedurale i practice cu privire la
modalitile de calcul a cifrei de afaceri prevzut de
Regulamentul nr.139/2004, cifr de afaceri care
determin jurisdicia Comisiei.
8. Comunicarea Comisiei privind conceptul de
ageni economici implicai n baza Regulamentului
Consiliului (EEC) nr.4068/89 privind controlul
concentrrilor ntre ageni economici (OJ C
66/02.03.1998)
Prin aceast Comunicare, Comisia clarific termenul
ageni economici implicai (participanii direci n
fuziuni sau dobndiri de control) i, totodat,
identific agenii economici implicai n cele mai
ntlnite tipuri de operaiuni de concentrare
economic.
9. Instruciunile de evaluare a concentrrilor
orizontale n baza Regulamentului Consiliului
privind controlul concentrrilor ntre ageni
economici (OJ C 31/05.02.2004)
Art.2 din Regulamentul nr.139/2004 prevede c, n
scopul stabilirii compatibilitii unei concentrri
economice cu piaa comun, Comisia evalueaz
dac respectiva operaiune ar mpiedica sau nu
semnificativ concurena efectiv, n special ca
rezultat al crerii sau consolidrii unei poziii
dominante pe piaa comun sau pe o parte
substanial a acesteia.
Cazurile n care se poate concluziona de cele mai
multe ori c o concentrare economic ar putea avea
ca efect mpiedicarea semnificativ a concurenei
efective sunt cele n care prile implicate n
respectiva operaiune sunt concureni reali sau
poteniali pe aceeai pia relevant i care conduc la
crearea sau consolidarea unei poziii dominante
deinute de unul sau mai muli ageni economici. n
acest sens, Instruciunile privind evaluarea
concentrrilor orizontale n baza Regulamentului
Consiliului privind controlul concentrrilor ntre
ageni economici ofer o orientare privind modul n
care Comisia evalueaz asemenea operaiuni.
10. Comunicarea Comisiei privind definirea pieei
relevante n scopul dreptului comunitar al
concurenei (OJ C372/09.12.1997)
Comunicarea Comisiei Europene privind definirea
pieei relevante n scopul dreptului comunitar al

44

concurenei precizeaz modul n care Comisia aplic


conceptul de pia relevant a produsului i
geografic. Avnd n vedere scopul controlului
concentrrilor economice, se consider c numai o
corect definire a pieei relevante permite luarea
unei decizii corecte cu privire la o astfel de
operaiune.
11. Comunicarea Comisiei privind remediile
acceptabile n baza Regulamentului Consiliului
(EEC) nr.4068/89 i a Regulamentului Comisiei (EC)
nr.447/98 (OJ C 68/02.03.2001)
n cazul n care o concentrare economic conduce la
crearea sau consolidarea unei poziii dominante,
prile implicate pot modifica operaiunea, n scopul
nlturrii problemelor concureniale i al autorizrii
operaiunii respective. Aceast Comunicare
stabilete principiile generale aplicabile remediilor
acceptabile de ctre Comisie, principalele tipuri de
angajamente care pot fi acceptate de Comisie,
cerinele specifice pe care propunerile de
angajamente trebuie s le ndeplineasc n ambele
faze ale procedurii i principalele cerine pentru
implementarea angajamentelor.
12. Comunicarea Comisiei privind restricionrile
direct legate i necesare implementrii
concentrrilor (OJ C 56/05.03.2005)
Prin precizrile fcute n Comunicarea Comisiei
privind restricionrile direct legate i necesare
implementrii concentrrilor, Comisia stabilete
interpretarea pe care o d noiunii de restricionri
direct legate i necesare pentru implementarea
concentrrilor economice (restricionri auxiliare)
i principiile n baza crora se evalueaz dac i n ce
msur cele mai ntlnite acorduri sunt considerate
ca fiind restricionri auxiliare unei concentrri
economice. Restricionrile avute n vedere n
aceast Comunicare sunt cele convenite ntre prile
la o concentrare economic, care limiteaz propria
lor libertate de aciune pe pia, i nu restricionrile
n detrimentul terilor.
13. Decizia Comisiei privind rolul ofierilor de
audieri n anumite proceduri de concuren (OJ
L162/19.06.2001)
Aceast Decizie stabilete rolul ofierilor de audieri n
cadrul procedurilor de audiere ce au loc n faa
Comisiei, respectiv de a asigura respectarea dreptului
prilor implicate i a terilor de a fi audiai. Ofierii de
audiere sunt persoane independente cu experien
n domeniul concurenei, care contribuie la
obiectivitatea, transparena i eficiena procedurilor
de audiere.

7. Commission Notice on the concept of


undertakings concerned under Council Regulation
(EEC) No 4064/89 on the control of concentrations
between undertakings (OJ C 66/02.03.1998)
By this Notice, the Commission clarifies the term
undertakings concerned (the direct participants in
a merger or acquisition of control) and also identifies
the undertakings concerned in the most typical
situations of economic concentration.

to resolve the competition concerns and to authorize


the respective operation. This Notice sets out the
general principles applicable to remedies acceptable
to the Commission, the main types of commitments
that can be accepted by the Commission, the specific
requirements that proposals of commitments must
be fulfilled in the both phases of the procedure and
the main requirements for the implementation of
commitments.

8. Guidelines on the assessment of horizontal


mergers under the Council Regulation on the
control of concentrations between undertakings
(OJ C 31/05.02.2004)
Art. 2 of the Regulation (EC) No 139/2004 provides
that, with the purpose of establishing whether or not
an economic concentration is compatible with the
common market, the Commission appraises whether
or not a concentration would significantly impede
effective competition, in particular as a result of the
creation or strengthening of a dominant position, in
the common market or in a substantial part of it.

11. Commission Notice on restrictions directly


related and necessary to concentrations (OJ C
56/05.03.2005)
By adopting the Commission Notice on restrictions
directly related and necessary to concentrations, the
Commission sets out the interpretation of the
concept of restrictions directly related and necessary
to the implementation of the concentration
(ancillary restraints) and the principles for assessing
whether and to what extent the most common types
of agreements are deemed to be ancillary restraints to
an economic concentration. The restraints
considered in this Notice are those appointed
between the concentration parties which can restrict
their own freedom of action in the market, but not
restrictions in the detriment of third parties.

The cases in which, most of the time, it could can be


concluded that an economic concentration could
impede the significantly the effective competition are
those in which the involved parties are actual or
potential competitors on the same relevant market
and that leads to the creation or strengthening of a
dominant position held by one or more undertakings.
In this line, the Guidelines on the assessment of
horizontal mergers under the Council Regulation on
the control of concentrations between undertakings
regarding the way of such concentrations are
assessed by the Commission.
9. Commission Notice on the definition of relevant
market for the purposes of Community
competition law (OJ C372/09.12.1997)
The Commission Notice on the definition of relevant
market for the purposes of Community competition
law sets out the Commission's way to apply the
concept of relevant product and geographic market.
Taking into account the purpose of concentration
control, it deems that only a correct definition of the
relevant market allows issuing a correct decision
related to such operation.
10. Commission Notice on remedies acceptable
under Council Regulation (EEC) No 4064/89 and
under Commission Regulation (EC) No 447/98 (OJ
C 68/02.03.2001)
In case that an economic concentration leads to the
creation or strengthening of a dominant position, the
parties may seek to modify the concentration in order

45

12. Commission Decision on the terms of


reference of hearing officers in certain
competition proceedings (OJ L162/19.06.2001)
This Decision sets out the term of hearing officers
under Commission hearings, respectively to ensure
that the right of the parties concerned and of third
parties to be heard is guaranteed. The hearing officers
are independent persons experienced in
competition matters, who contribute to the
objectivity, transparency and efficiency of those
proceedings.
13. Commission Notice on the rules for access to
the Commission file in cases pursuant to Articles
81 and 82 of the EC Treaty, Articles 53, 54 and 57 of
the EEA Agreement and Council Regulation (EC) No
139/2004 (OJ C 325/22.12.2005)
In the cases of economic concentration, the access to
the Commission files is provided by Art. 18 (1) and (3)
of the Regulation (EC) No 139/2004 and by the Art.
17 (1) of the Commission Regulation (EC) No
802/2004. The framework for the exercise of the
right of the file access is set out by the Commission
Notice on the rules for access to the Commission file
(), this right being one of the procedural guarantees
granted to undertakings, before taking a decision by
the Commission.

14. Comunicarea Comisiei privind accesul la


dosarul Comisiei n cazurile ce cad sub incidena
art.81 si 82 din Tratatul EC, art.53, 54 si 57 din
Tratatul EEA si a Regulamentului Consiliului (EC)
nr.139/2004 (OJ C 325/22.12.2005)
Accesul la dosarele Comisiei este prevzut, pentru
cazurile de concentrri economice, de art.18 (1) i (3)
din Regulamentul nr.139/2004 i de art.17 (1) din
Regulamentul nr.802/2004. Cadrul de exercitare a
dreptului de acces la dosar este stabilit n
Comunicarea Comisiei privind accesul la dosarul
Comisiei (), acest drept constituind una dintre
garaniile procedurale acordate agenilor economici, nainte de emiterea unei decizii de ctre
Comisie.
15. Nota informativ a Directoratului General de
Concurena n baza art.6 (1) (c) paragraful al
d o i l e a d i n R e g u l a m e n t u l n r. 1 3 9 / 2 0 0 4
(abandonarea concentrrilor)
Abandonarea concentrrilor este prevzuta la art. 6
(1) (c) paragraful al doilea din Regulamentul
nr.139/2004 i se refer la ncheierea procedurilor de
investigaie fr emiterea unei decizii finale de ctre
Comisie, cu privire la o procedur iniiat n baza art.
6 (1) (c) primul paragraf din acelai Regulament, n
cazul n care agenii economici implicai
demonstreaz Comisiei c au renunat la
concentrarea economic investigat. Cerinele ce
trebuie ndeplinite pentru a demonstra c o
concentrare economic a fost abandonat sunt
stabilite n Nota informativ a Directoratului General
de Concurena n baza art. 6 (1) (c) paragraful al doilea
din Regulamentul nr.139/2004.

III. Proiecte privind legislaia european n


domeniul concentrrilor economice
1. Comisia European urmeaz s adopte o
Comunicare consolidat privind aspectele
jurisdicionale n baza Regulamentului Consiliului
(EC) nr.139/2004 privind controlul concentrrilor
ntre ageni economici. Aceast Comunicare
consolideaz, actualizeaz i clarific patru
Comunicari ale Comisiei, n vigoare la acest moment,
referitoare la conceptul de concentrare, conceptul
de ageni economici implicai, calculul cifrei de
afaceri i conceptul de funcionare deplin a
societilor n comun. Comunicarea va include i
Nota informativ a Directoratului General de
Concurena n baza art.6 (1) (c) paragraful al doilea
din Regulamentul nr.139/2004 (abandonarea concentrrilor).

46

Comunicarea consolidat privind aspectele


jurisdicionale se dorete a fi un instrument de lucru
care s permit agenilor economici s stabileasc
mai uor, naintea oricrui contact cu Comisia, dac i
n ce msur o operaiune este supus controlului
comunitar al concentrrilor economice.
2. Avnd n vedere diferenele importante care exist
n evaluarea concentrrilor orizontale fa de
evaluarea celor non-orizontale, Comisia European
intenioneaz adoptarea unor Instruciuni de
evaluare a concentrrilor economice nonorizontale (concentrri ce au loc ntre ageni
economici care nu opereaz pe aceeai pia, care
includ att concentrri verticale, ct i concentrri de
tip conglomerat), care s ofere o orientare cu privire
la modul n care Comisia evalueaz astfel de
operaiuni.
IV. Concluzii
Cunoaterea regimului juridic al concurenei n
dreptul comunitar se dovedete extrem de necesar
pentru ca att agenii economici, ca principali factori
n relaiile comerciale ce se desfoar n interiorul
pieei comune, ct i organele administraiei publice
care acioneaz sau intervin pe o pia, s se
adapteze la exigenele pieei, privind accesul liber,
nerestricionat i nengrdit de modificrile
structurale sau comportamentale ale celor activi pe o
anumit pia.

14. DG Competition Information note on Art. 6 (1)


(c) 2nd sentence of Regulation 139/2004
(abandonment of concentrations)
The abandonment of concentrations is set out on Art.
6 (1) (c) second sentence of the Regulation (EC) No
139/2004 and is related to the closure of merger
control procedures without a final decision after the
Commission has initiated proceedings under Art. 6
(1) (c) first sentence of the same Regulation, when the
undertakings concerned have demonstrated the
Commission that they have abandoned the
investigated concentration. The requirements that
must be fulfilled to prove that an economic
concentration was abandoned are set out by the DG
Competition Information note on Art. 6 (1) (c) 2nd
sentence of Regulation 139/2004.
III. Drafts related to the European legislation in the
economic concentration field
1. The European Commission intends to adopt the
Consolidated Jurisdictional Notice under Council
Regulation (EC) No 139/2004 on the control of
concentrations between undertakings. This Notice
consolidates, updates and clarifies four Notices of the
Commission, in force in present, considering the
concept of concentration, on the concept of fullfunction joint ventures, the concept of undertakings
concerned and on calculation of turnover. Also, this
Notice shall include the DG Competition Information
note on Art. 6 (1) (c) 2nd sentence of Regulation
139/2004 (abandonment of concentrations).
Consolidated Jurisdictional Notice is meant to be a
working tool that allows to undertakings to establish
easier, before any contact with the Commission,
whether and to what extent an operation is subject to
Community control of economic concentrations.
2. Taking into account the important differences
existing in the assessment of horizontal mergers
besides the assessment of non-horizontal mergers,
the European Commission is going to adopt the
Guidelines on the assessment of non-horizontal
mergers (economic concentrations between
undertakings that are active on distinct markets and
that include both vertical mergers and conglomerate
mergers), that offer guidance about the way the
Commission assesses such operations.

47

IV. Conclusions
Knowing the legal framework of the competition in
Community law is very useful both for undertakings,
as the main factors in commercial relations within the
common market, and for the public administration
authorities which act or intervene on a market, to
adapt to the market requirements, related to the free
access, unrestricted and foreclosed by structural or
behavioural modifications of those acting on a certain
market.

IMPACTUL AJUTOARELOR DE STAT REGIONALE


ASUPRA DEZVOLTRII ZONELOR DEFAVORIZATE
Daniel DIACONESCU76
Constana DUMITRESCU77
Anca CRISTEA78
Rezumat
Politica zonelor defavorizate reprezint o component distinct a politicii de dezvoltare regional, determinat
de existena unor regiuni dezavantajate din punct de vedere socio-economic, structural i ca poziie geografic,
i care necesit msuri adecvate capabile s contribuie la redresarea acestora.
Valoarea total a investiiilor realizate n zonele defavorizate este de 1.804.000.000 RON, valoarea total a
ajutoarelor de stat acordate pentru investiii de 208.800.000 RON, iar a fondurilor nerambursabile de
4.400.000 RON. Avnd n vedere aceste valori, rezult o intensitate medie a ajutorului de stat acordat de
11,8%, mult sub nivelul maxim admis, ceea ce demonstreaz necesitatea acordrii n continuare de sprijin
financiar agenilor economici din zonele defavorizate.
n cadrul aciunilor de monitorizare Consiliul Concurenei a evaluat ajutoarele primite de fiecare agent
economic cu certificat de investitor i, pe baza intensitii maxim admise, a ntocmit o list a agenilor economici
care mai pot beneficia de ajutor de stat dup anul 2007, precum i o list a sumelor pe care furnizorul le mai
poate acorda acestora. Listele au fost transmise Ministerului Finanelor Publice n vederea evitrii depirilor i a
stoprii n timp util a ajutoarelor de stat ajunse la limita maxim admis a intensitii.
Valorea ajutorului de stat ce s-ar mai putea acorda agenilor economici pn la atingerea nivelului maxim admis
al intensitii este de cca. 225 mil Euro., cu meniunea c nu au fost luai n calcul potenialii beneficiari care,
dei au ndeplinit condiiile prevzute de lege, nu au solicitat ajutor de stat pn n octombrie 2006.
Agenii economici nominalizai n aceast list vor fi monitorizai n continuare pn la data la care vor atinge
pragul maxim al intensitii, urmnd ca de la aceast dat furnizorul s nceteze acordarea ajutorului de stat
pentru acetia, dar s urmreasc ndeplinirea condiiei privind meninerea investiiei.
Cuvinte cheie: investiii, ajutor de stat regional, creare de noi locuri de munca, monitorizare, intensitate ajutor
de stat.
I. Aciuni de control desfurate de Consiliul
Concurenei
n baza atribuiilor ce-i reveneau potrivit prevederilor
Legii nr.143/1999 privind ajutorul de stat79, Consiliul
Concurenei a efectuat n perioada martie 2005
octombrie 2006, un numr de 4 aciuni de
verificare a agenilor economici cu certificat de
investitor n zonele defavorizate, n scopul evalurii
ajutoarelor de stat acordate acestora, a verificrii
ndeplinirii condiiilor de acordare, precum i a
evalurii impactului pe care acestea l-au produs
asupra nivelului de dezvoltare economic a zonelor
defavorizate.

76

Au fost verificai agenii economici cu certificat de


investitor dintr-un numr de 28 de zone defavorizate
a cror durat de existen depete anul 2007,
precum i agenii economici din Zona minier
Hunedoara din judeul Hunedoara, zon care i-a
ncheiat activitatea la sfritul anului 2005 (conform
Legii nr. 157/2005).
Zonele defavorizate a cror durat de existen
depete anul 2007 se grupeaz astfel:
- 3 zone defavorizate, a cror durat de existen se
ncheie la sfritul anului 2008:

Zona minier BRAD judeul Hunedoara;

Zona minier VALEA JIULUI judeul Hunedoara;

Zona minier BLAN judeul Harghita.

Director, Direcia de Raportare, Monitorizare, Control Ajutoare de Stat, Consiliul Concurenei.


Inspector de concuren, Direcia de Raportare, Monitorizare, Control Ajutoare de Stat, Consiliul Concurenei.
78
Idem 2.
79
Legea nr.143/1999 privind ajutorul de stat, republicat n Monitorul Oficial nr.744/16.08.2005.
77

48

REGIONAL AID IMPACT ON THE DEPRIVED


AREAS DEVELOPMENT
Daniel DIACONESCU80
Constanta DUMITRESCU81
Anca CRISTEA82
Abstract83
The deprived areas policy is a separate component of the regional development policy, determined by the
existence of some areas which are disadvantaged from a socio - economic, structural and geographical point of
view and which require adequate measures to contribute to their strenghtening.
The total investments value amounts for RON 1,804,000,000, the total value of the the State aid for investments
amounts for RON 208,800,000 and of the non reimbursable funds amounts for RON 4,400,000. Starting from
these values, the average intensity is 11.8%. This is a lot more under the maximum admissible level, which
comes to support the idea that further financial assistance is needed in the Romanian deprived areas.
Within the State aid monitoring in the deprived areas, the Competition Council assessed the State aid granted to
each company having an investor certificate and, based on the maximum admissible intensity, drawn up a list of
companies which may further benefit from State aid after 2007 and a list of amounts that may be further
granted. These lists were submitted to the Ministry of Public Finance in order to avoid intensity exceedings and to
stop State aid that reached the maximum admissible level of the State aid intensity.
The value of the State aid to be further granted until the maximum admissible level is reached is about EUR 225
million. The potential beneficiaries fulfiling the legal conditions were not taken into account because they did
not request State aid until October 2006.
The companies from this list shall be further monitored until they reach the maximum admissible level of the
State aid intensity. Begining with that date the grantor shall cease granting the State aid but shall be further
monitoring the investment maintainance condition.
Keywords: investment, regional State aid, new jobs creation, monitoring, State aid intensity.
I. Control actions carried out by the Competition
Council
According to the competence provided for in the Law
no. 143/1999 on State aid, during March 2005
October 2006 the Competition Council undertook
4 monitoring actions of the State aids84 granted to
undertakings holding an investor certificates in the
deprived areas. The monitoring aimed at assessing
the State aid granted, the granting conditions
fulfilment, as well as the impact it had on the
economic development level of the deprived areas.

80

The Competition Council checked the undertakings


with investor certificate located in 28 deprived areas
which have a life period that exceeds the year 2007,
as well as the undertakings located in the mining area
of Hunedoara, county Hunedoara, which lasts until
the end of the year 2005.
The deprived areas which have a life period that
exceeds the year 2007 can be grouped in:
- 3 deprived areas which last until the end of 2008:
The mining area BRAD - Hunedoara county;

The mining area VALEA JIULUI Hunedoara county;

The mining area BLAN Harghita county.

Head of Directorate of Reporting, Monitorying and Control of State Aid, Competition Council.
Competition inspector, Directorate of Reporting, Monitorying and Control of State Aid, Competition Council.
82
Idem 37.
83
Translated into English by Daniel Diaconescu.
84
Law no 143/1999 on State aid, republished in the Official Gazette no. 744 of August, 16, 2005
81

49

- 22 zone defavorizate, a cror durat de existen se


ncheie la sfritul anului 2009:

Zona minier ALBENI judeul Gorj;

Zona minier SCHELA judeul Gorj;

Zona minier MOTRU ROVINARI judeul Gorj;

Zona minier STEI NUCET judeul Bihor;

Zona minier BOROD SUNCUIU DOBRETI


VADU CRIULUI judeul Bihor;

Zona minier POPETI-DERNA-ALED judeul


Bihor;

Zona miner RUCA MONTAN judeul CaraSeverin;

Zona minier BOCA judeul Cara-Severin;

Zona minier MOLDOVA NOU - ANINA judeul Cara-Severin;

Zona minier IP judeul Slaj;

Zona minier HIDA-SURDUC-JIBOU-BLAN judeul Slaj;

Zona minier SRMAG-CHIEJD-BOBOTA judeul Slaj;

Zona minier BAIA MARE judeul Maramure;

Zona minier BORA - VIEU judeul


Maramure;

Zona minier FILIPETI judeul Prahova;

Zona minier CEPTURA judeul Prahova;

Zona minier COMNETI judeul Bacu;

Zona minier BUCOVINA judeul Suceava;

Zona minier BARAOLT judeul Covasna;

Zona minier ALTAN TEPE judeul Tulcea;

Zona minier RODNA judeul Bistria - Nsud;

Zona minier APUSENI judeul Alba.


- 3 zone defavorizate, a cror durat de existen
se ncheie la sfritul anului 2010:

Zona ZIMNICEA judeul Teleorman;

Zona COPA MIC judeul Sibiu;

Oraul Cugir judeul Alba.


Prelucrarea i centralizarea datelor obinute, n
sensul determinrii intensitii ajutorului de stat, s-a
realizat innd seama de noile prevederi ale actelor
normative prin care s-au adus completri i
modificri ale O.U.G. nr.24/1998, respectiv
prevederile Legii nr.239/2004 i ale Legii
nr.507/2004 pentru aprobarea O.G. nr.94/2004
privind reglementarea unor msuri financiare.
Conform prevederilor actelor normative menionate
mai sus, beneficiaz de ajutor de stat regional numai
agenii economici care i au sediul i i desfoar
activitatea n zona defavorizat i care au obinut
certificatul de investitor n zona defavorizat nainte
de 1 iulie 2003.

50

n cazul a 2 zone miniere care continuau n cursul


anului 2005 i al unei zone care s-a ncheiat n anul
2006, zonele Pacani i Roman, i respectiv
Municipiul Turda, n care nu s-au eliberat certificate
de investitor nainte de 1 iulie 2003, nu s-au acordat
faciliti fiscale.
La calculul intensitii ajutorului de stat s-a luat n
considerare valoarea ajutorului de stat primit de
agenii economici ncepnd cu data de 2 ianuarie
2003 i pn la data controlului i costurile
eligibile aferente investiiilor realizate pn la data
de 15 septembrie 2004.
n timpul aciunilor efectuate, pe lng informaiile
specifice activitii de monitorizare a ajutoarelor de
stat, s-au mai nregistrat i alte date i informaii
suplimentare referitoare la obiectul de activitate al
agentului economic verificat, numrul total de
salariai, cifra de afaceri nregistrat, date necesare
determinrii dimensiunii sau categoriei de ncadrare
a agentului economic verificat.
n urma prelucrrii i centralizrii tuturor
informaiilor i datelor nregistrate n notele de
constatare ncheiate de ctre echipele
inspectoratelor teritoriale, s-au constatat i nregistrat
urmtoarele aspecte:

marea majoritate a zonelor defavorizate sunt foste


zone miniere n cadrul crora activitatea de minerit sa restrns considerabil n ultimii ani i ca urmare rata
omajului atinge o cot de pn la 90% din rata
omajului la nivel de jude;

marea majoritate a societilor nfiinate n aceste


zone s-au axat pe activiti n domeniul industriei
prelucrtoare, respectiv exploatarea i prelucrarea
lemnului, confecii textile, fabricarea produselor de
patiserie, construcii metalice, lucrri de construcii i
instalaii, comer, etc.
Din analiza efectuat a mai rezultat c agenii
economici verificai sunt n marea lor majoritate IMM

uri i chiar microntreprinderi. Au fost luate n


eviden i microntreprinderile numai cele cu
certificat de investitor obinut nainte de 1 iulie 2003

dei sunt pltitoare de impozit pe venit. Astfel, nc


din prima aciune de control, s-a constatat c unii
ageni economici cu certificat de investitor din zonele
defavorizate, declarai microntreprinderi, au depus
declaraii de schimbare a categoriei n IMM (conform
procedurilor stabilite de Ministerul Finanelor
Publice). Acest lucru s-a datorat prevederilor O.U.G.
nr.138/2004, prin care s-au modificat prevederile
art.107 din Codul Fiscal, n sensul majorrii cotei

- 22 deprived areas which last until the end of 2009:


The mining area ALBENI Gorj county;

The mining area SCHELA Gorj county;

The mining area MOTRU - ROVINARI

Gorj county;
The mining area STEI - NUCET - Bihor county;

The mining area BOROD - SUNCUIU


DOBRETI -VADU CRIULUI - Bihor county;
The mining area POPETI-DERNA-ALED Bihor

county;
The mining area RUSCA MONTAN Cara
Severin county;
The mining area BOCA - Cara - Severin county;

The mining area MOLDOVA - NOU - ANINA


Cara Severin county;
The mining area IP Salaj county;

The mining area HIDA-SURDUC-JIBOU-BLAN


Slaj county;
The mining area SRMAG-CHIEJD-BOBOTA
Slaj county;
The mining area BAIA MARE Maramures county;

The mining area BORSA-VIEU-Maramure

county;
The mining area FILIPETI - Prahova county;

The mining area CEPTURA - Prahova county;

The mining area COMNETI - Bacu county;

The mining area BUCOVINA - Suceava county;

The mining area BARAOLT - Covasna county;

The mining area ALTAN TEPE - Tulcea county;

The mining area RODNA- Bistria Nsud county;

The mining area APUSENI - Alba county.

- 3 deprived areas which last until the end of 2010:


The area ZIMNICEA - Teleorman county;

The area COPA MIC - Sibiu county;

The town of CUGIR - Alba county.

The processing and the centralisation of data


obtained, in order to calculate the State aid intensity
as well as to verify the other conditions provided, by
the Regulation on the regional State aid85, was realized
regarding the new provisions of the normative acts by
witch the G.E.O. no. 24/1998 was modified and
completed, respectively the provisions of the Law no.
239/2004 and the Law no. 507/2004, for the
approval of the G.O. no. 94/2004 regarding some
financial measures regulation.
According to the provisions of the normative acts
aforesaid, only the undertakings which have their
establishment and operate in the deprived area and
which obtained an investor certificate before July, 1st,
2003 benefit from regional State aid.
85

For this reason, for two mining areas which last


through the year 2005, respectively areas Pascani
and Roman, and for one area which ends in 2006,
respectively Turda, investor certificates were not
issued before July, 1st, 2003 and therefore fiscal
facilities were not granted.
In order to calculate the State aid intensity, the State
aid value granted to the undertakings beginning
with January, 2nd, 2003 and until the date of
control, and the eligible costs related to the
investments were taken into account, considering
the value of the investment realized until
September, 15, 2004.
During the actions undertaken, except for the
specific information of the monitoring activity of the
State aids, other additional data and information
were registered, related to: the purpose of business,
total number of employees, the turnover and data
needed to determine the category and size of the
verified undertaking.
As a consequence of the processing and the
centralization of the information and data compiled
in the control notes concluded by the territorial
teams of the Competition Council, the following
aspects came out:

the majority of the deprived areas are ex mining


areas where the mining activity was considerably
concentrated over the last years and consequently
the unemployment rate is up to 90% of the county
unemployment rate;

the majority of the undertakings set up in these


areas focused their business in manufacturing
industry, respectively wood exploitation nd
procession, textiles, pastry, metallic constructions,
constructions and instalations a.s.o.
The assessment led to the conclusion that the major
part of the verified undertakings is SMEs and even
micro-entreprises. The micro-entreprises with an
investor certificate obtained until July, 1st, 2003 were
taken into account even if they are income tax
payers. Thus, as from the first control action, it has
come out that some of the undertakings with an
investor certificate located in the deprived areas,
stated as micro-enterprises, applied for changing the
status into SME (in accordance with the proceedings
established by the Ministry of Public Finance). This
was due to the provisions of G.E.O no. 138/2004,
which modified the provisions of article 107 of the
Fiscal Code, meaning the increase of the quote to

Regulation on regional State aid, published in the Official Gazette no 340 of April, 19, 2004.

51

pentru calculul impozitului pe venitul microntreprinderilor de la 1,5% la 3%. Prevederea


respectiv a determinat pe muli ageni economici
din zonele defavorizate, declarai microntreprinderi i care plteau impozit pe venit, s
solicite Direciilor Generale Teritoriale ale Finanelor
Publice trecerea n categoria IMM-urilor, devenind
pltitori de impozit pe venit i, ca urmare, s
beneficieze de scutirea de la plata impozitului pe
profit.
Situaia agenilor economici verificai n perioada
martie 2005 octombrie 2006 cu rezultatele
controalelor efectuate este redat n tabelul nr.1.

Numrul agenilor economici verificai la fiecare


aciune de monitorizare a sczut de la an la an, acest
fapt datorndu-se eliminrii agenilor economici care
nu ndeplineau condiiile de eligibilitate pentru a
beneficia de ajutor de stat n continuare, ct i
datorit expirrii termenului limit de existen
(pentru zona defavorizat Hunedoara).
Evoluia numrului agenilor economici verificai i a
celor care mai pot beneficia de ajutor de stat este
prezentat n Graficul nr.1.
Graficul nr.1 Evoluia numrului de ageni economici verificai

Se constat i faptul c de la o aciune de


monitorizare la alta, numrul agenilor economici
care au depit nivelul maxim admisibil al intensitii
ajutorului de stat a sczut.
Ca efect al controalelor repetate ale Consiliului
Concurenei i datorit ntiinrii agenilor economici
asupra sumelor de care mai pot beneficia, s-a
nregistrat o scdere a numrului agenilor
economici care au depit nivelul maxim admis al
intensitii (de la 32 ageni economici n primvara
anului 2005 i 20 ageni economici n toamna anului
2005, la 6 ageni economici n aciunea din primvara
anului 2006, respectiv niciun agent economic n

octombrie 2006).
Acest aspect demonstreaz faptul c agenii economici
au luat la cunotin de regulile de acordare a ajutorului
de stat, respectndu-le, devenind pltitori de impozit
pe profit la momentul atingerii pragului maxim admis al
intensitii sau chiar rambursnd voluntar sumele care
depeau acest prag.
Acelai aspect rezult i din evoluia numrului
agenilor economici care au atins pragul maxim
admis al intensitii ajutorului de stat primit.
Evoluia acestor ageni economici este ilustrat n
Graficul nr.2.
Graficul nr.2 Evoluia numrului agenilor economici care au depit
intensitatea maxim admis i a celor care au atins nivelul intensitii

52

calculate the income tax of the micro-enterprises


from 1.5% to 3%. That provision made a lot of
undertakings located in the deprived areas, stated as
micro-enterprises and which were paying the
income tax, to request the Territorial General
Directorates of the Public Finances to change their
status into SME and therefore to benefit from the
exemption of the profit tax payment.
The situation of the undertakings verified during
March 2005 October 2006 with the control results is
presented in Table 1.
The number of the undertakings verified decreased
with each monitoring action, due to the elimination

The assessment of data in Table 1 leads to the


conclusion that the number of the undertakings
exceeding the maximum admissible level of the State
aid intensity considerably decreased.
As a result of the repeated controls made by the
Competition Council and of the informing of the
undertakings on the amounts they may further
benefit from, the number of undertaking exceeding
the maximum admissible level of the State aid
intensity decreased (from 32 in spring 2005 and 20
in autumn 2005 to 6 in spring 2006 and no
undertaking in the last action of 2006).
This aspect demonstrates that the undertakings

Table no. 1. Situation of the undertakings verified during March 2005 October 2006
Number of undertakings verified:
June 2005

October 2005

of the undertakings which did not fulfil the eligibility


conditions for further State aid, as well as to the
expiring of the dead line for the deprived area of
Hunedoara.
The evolution of the number of verified undertakings
and of undertakings which may further benefit from
State aid is presented in Chart no.1.

June 2006

October 2006

acknowledged and respected the State aid granting


rules, becoming profit tax payers the moment they
reached the maximum admissible level of the State
aid intensity and even reimbursing the amounts
exceeding thie threshold.
The same aspect results from the evolution of the
number of undertakings that reached the maximum
admissible level of the State aid intensity (presented
in Chart no. 2).
Chart no. 2. Evolution of the number of
undertakings that reached the maximum admissible
level of the State aid intensity and of those which
reached the maximum intensity level

53

Concomitent cu numrul agenilor economici


verificai a sczut i valoarea ajutoarelor de stat care
mai pot fi acordate n continuare.
n conformitate cu prevederile Legii nr.507/2004
pentru aprobarea O.G. nr.94/2004 privind
reglementarea unor msuri financiare, ajutoarele de
operare s-au acordat numai pn la sfritul lunii
februarie 2005.
Valorile uor sczute nregistrate pentru toi
indicatorii n luna iunie 2006 se datoreaz expirrii
termenului limit de existen declarat pentru zona
defavorizat Hunedoara.
Valoarea investiiilor are o tendin descresctoare
datorat, pe de o parte, scderii numrului zonelor
defavorizate, iar pe de alt parte, nstrinrii
investiiilor de ctre unii ageni economici. Situaia
comparativ a investiiilor, a ajutoarelor acordate i a
celor de primit n continuare este redat n Graficul
nr.3.
Graficul nr.3 Situaia comparativ a investiiilor fa de
ajutoarele acordate i cele ce urmeaz a se acorda

n perioada analizat, n cadrul tuturor aciunilor de


monitorizare efectuate n zonele defavorizate nu sau identificat ageni economici al cror obiect de
activitate se poate ncadra n sectorul
autovehicule, aa cum este definit acesta n
Regulamentul multisectorial privind ajutorul de stat
regional pentru proiecte mari de investiii.
II. Msuri luate de Consiliul Concurenei
Rezultatele finale ale primelor aciuni de
monitorizare efectuate de ctre Consiliul
Concurenei au fost transmise tuturor furnizorilor i
derulatorilor de ajutoare de stat solicitndu-se n
acelai timp luarea msurilor corespunztoare ce se
impuneau, respectiv stoparea i recuperarea
ajutoarelor ilegale.
Practica a demonstrat c, n ceea ce privete punerea
n aplicare a deciziilor, dispoziiilor, recomandrilor
Consiliului Concurenei, precum i a sarcinilor ce
revin furnizorilor de ajutor de stat, s-au ntmpinat
dificulti prin inexistena unui cadru legal care s
confere furnizorului instrumentele necesare n
vederea stoprii i recuperrii ajutorului de stat ilegal
sau interzis.
n vederea mbuntirii i accelerrii acestui proces a
fost adoptat O.U.G. nr.129/2005 pentru
modificarea i completarea O.G. nr.92/2003 privind
Codul de procedur fiscal, care a prevzut:
reglementarea modalitii de stopare i recuperare a
ajutoarelor de stat ilegale i interzise; stabilirea
anual, prin hotrre a Guvernului, a nivelului de
dobnd aplicat sumelor de recuperat cu titlu de
ajutor de stat ilegal sau interzis.

Valoarea total a ajutoarelor de stat acordate pentru


investiii, nregistrat la data ultimului control
(octombrie 2006), n cuantum de 208.800.000
RON, i a fondurilor nerambursabile, n cuantum de
4.400.000 RON, raportate la o valoare a investiiilor
de 1.804.000.000 RON, conduc la o intensitate
medie a ajutorului de stat acordat de 11,8%, mult sub
nivelul maxim admis, ceea ce demonstreaz
necesitatea acordrii n continuare de sprijin
financiar agenilor economici din zonele
defavorizate.

54

n conformitate cu prevederile acestei ordonane,


stoparea acordrii ajutoarelor de stat se realizeaz
prin emiterea unei decizii a Consiliului Concurenei,
iar n ceea ce privete recuperarea unui ajutor de stat
ilegal sau interzis, dispus prin deciziile Consiliului
Concurenei, aceasta constituie titlu executoriu.
Recuperarea efectiv urmeaz a se realiza de ctre
M.F.P. sau A.V.A.S., dup caz.
Aciunea de monitorizare efectuat n perioada
martie-iunie 2005 s-a finalizat prin msuri de stopare
a acordrii ajutoarelor de stat, solicitate furnizorului,
pentru cei 31 ageni economici (Tabelul nr.1), iar
pentru cei 32 de ageni economici identificai ca fiind
poteniali beneficiari de ajutoare ilegale, Consiliul
Concurenei a deschis investigaie din oficiu.

Together with the number of verified undertakings


the value of the State aid to be further granted
decreased.
In accordance with the Law no. 507/2004 for the
approval of GEO no. 94/2004 on some financial
measure regulation, the operating aid was granted
only until the end of February 2005.
The values slightly lower registered by all the
indicators in June 2006 are due to the expiring of the
existence limit term of the deprived area of
Hunedoara.
As regards the investment value, this has a decreasing
trend, due both to decreasing number of deprived
areas and the sale of investment by some of the
undertakings located in deprived areas. The situation
of investments, aid granted and aid to be further
granted is presented in Chart no. 3.
Chart no. 3. Situation of investments, aid granted and aid to be
further granted

Along the assessed period no undertaking operating


in the motor vehicles sector (as defined in the
Multisectorial framework on regional aid for large
investment projects) was identified.

II. Measures taken by the Competition Council


The final results of the first monitoring actions
undertaken by the Competition Council were
submitted to all the State aid grantors and other
authorities involved along with the request for the
approppriate measures to be taken in order for the
unlawful State aid to be stopped and recovered.
Practice have shown that the Competition Council
and the State aid grantors had to face many
difficulties in enforcing their decisions and
recomandations because of the lack of legislation that
had to empower the State aid grantors with the
necessay instruments to stop and recover the
unlawful or prohibited aid.
In order to improve and accelerate this process, GEO
no. 129/2005 was adopted to modify and complete
the GO no. 92/2003 on Fiscal procedure code. GEO
no. 129/2005 lay down: unlawful and prohibited aid
stopping and recovery; annual setting of interest rate
applicable to State aid to be recovered, through
Government decision.

Taking into account the total value of the the State aid
granted for invetments at the last control date
(October 2006) in amount of RON 208,800,000 and
of the non reimbursable funds in amount of RON
4,400,000, ant the total investments value in amount
of RON 1,804,000,000, the average intensity is
11.8%. This is a considerable below under the
maximum admissible level, which comes to support
the idea that further financial assistance is needed in
the Romanian deprived areas.

55

In accordance with the provisions of this ordinance,


State aid stopping is made by a Competition Council
decision. The unlawful and prohibited State aid
recovery decided by a Competition Council decision
is writ of execution. The actual recovery is to be made
by the Ministry of Public Finance or the Authority for
State Assets Recovery.

The monitoring action undertaken in March June


2005 imposed State aid stopping measures to be
taken by the grantor for 31 companies (Table 1). The
Competition Council opened an ex-officio
investigation for 32 companies which potentially
benefited from unlawful State aid.

Urmare investigaiei efectuate, s-a constatat c din


cei 32 ageni economci, un numr de 31 au depit
intensitatea maxim admis, iar un agent economic nu
a beneficiat de ajutor de stat. Prin Decizia nr.184 din
30 septembrie 2005, Consiliul Concurenei a
declarat ajutoarele de stat ca ilegale i incompatibile
cu un mediu concurenial normal i a solicitat
recuperarea acestora de ctre M.F.P., n calitate de
furnizor. Cuantumul total al ajutoarelor de stat ce
trebuiau recuperate era de 3.279.082,00 RON la
care se adug dobnzile calculate de la data la care
ajutorul a fost pus la dispoziia beneficiarului pn la
recuperarea efectiva a acestuia.
n urma aciunii de monitorizare din augustoctombrie 2005, pentru cei 37 ageni economici
identificai ca atingnd limita maxim admis a
intensitii ajutorului de care au beneficiat, Consiliul
Concurenei a emis Decizia nr.227 din 20
decembrie 2005 n vederea stoprii acordrii
ajutorului de stat, pentru ca M.F.P., n calitatea sa de
furnizor de ajutor de stat, s ia msurile necesare
pentru a pune n aplicare dispoziiile deciziei.
Investigaia declanat pentru cei 24 ageni
economici identificai ca fiind poteniali beneficiari
de ajutoare ilegale s-a finalizat prin emiterea Deciziei
Consiliului Concurenei nr.52 din 09 martie 2006,
prin care s-a solicitat recuperarea ajutoarelor ilegale
pentru un numr de 19 ageni economici (pentru
restul de 5 ageni economici care au rambursat
voluntar solicitndu-se stoparea ajutorului). Suma
total a ajutoarelor de stat ce trebuie recuperate
conform deciziei este de 2.546.692 RON plus
dobnda.
n anul 2006, urmare rezultatelor aciunilor de
monitorizare efectuate n zonele defavorizate,
Consiliul Concurenei a emis decizii de stopare i de
recuperare a ajutoarelor de stat.
Astfel, pentru cei 45 ageni economici care au atins
limita maxim a intensitii, constatai n aciunea de
monitorizare din martie-iunie 2006, s-a solicitat
stoparea acordrii ajutoarelor de stat prin emiterea
Deciziei nr.165 din 14 iulie 2006.
n urma investigaiei declanate din oficiu pentru un
numr de 6 ageni economici, prin Decizia
Consiliului Concurenei nr. 211 din 11 octombrie
2006 s-a solicitat recuperarea ajutoarelor ilegale
pentru un numr de 4 ageni economici, stoparea

56

ajutorului de stat pentru un agent economici i


monitorizarea n continuare pentru un agent
economic. Suma total a ajutoarelor de stat ce
trebuie recuperate conform deciziei este de
76.224,63 RON, sum la care se adaug dobnzile
calculate de la data la care ajutorul a fost pus la
dispoziia beneficiarului pn la recuperarea efectiv
a ajutorului.
La aciunea din august-octombrie 2006 nu s-a
nregistrat niciun agent economic cu intensitatea
ajutorului de stat depit.
Totodat, pentru cei 35 de ageni economici care au
atins limita maxim a intensitii s-a solicitat stoparea
acordrii ajutoarelor de stat prin emiterea Deciziei
nr.222 din 28 noiembrie 2006.
III. Concluzii
Politica zonelor defavorizate reprezint o component distinct a politicii de dezvoltare regional,
determinat de existena unor regiuni dezavantajate
din punct de vedere socio-economic, structural i ca
poziie geografic, i care necesit msuri adecvate
capabile s contribuie la redresarea acestora.
Investiiile realizate pn n prezent n zonele
defavorizate, ca o consecin a acestei politici,
probeaz o contribuie medie a beneficiarilor de
88,2%, ceea ce demonstreaz caracterul eficient al
facilitilor acordate.
n urma aciunii de monitorizare a ajutoarelor de stat
acordate zonelor defavorizate, Consiliul Concurenei
a evaluat ajutoarele primite de fiecare agent
economic cu certificat de investitor i, pe baza
intensitii maxim admise, a ntocmit o list a
agenilor economici care mai pot beneficia de ajutor
de stat dup anul 2007, precum i a sumelor pe care
furnizorul le mai poate acorda acestora, liste
transmise Ministerului Finanelor Publice n vederea
evitrii depirilor.
Cu aceast ocazie a rezultat c valorea ajutorului de
stat ce s-ar mai putea acorda agenilor economici
pn la atingerea nivelului maxim admis al intensitii
este de cca. 795 mil. RON, ceea ce la un curs de
3,5398 Lei/Euro (cursul mediu pe semestrul I al
anului 2006) reprezint cca. 225 mil Euro., cu
meniunea c nu au fost luai n calcul potenialii
beneficiari care, dei au ndeplinit condiiile

From the 32 companies investigated, 31 exceeded


the maximum admissible level of the State aid
intensity and one company did not benefit from State
aid. The Competition Council issued the Decision
no. 184 of September, 30, 2005 declaring the State
aid unlawful and incompatible with a normal
competitive environment and requested the Ministry
of Public Finance to recover that State aid. The State
aid to be recovered amounted for RON
3,279,082,000 plus interests calculated from the day
the State aid was at the benficiary's disposal until the
date of actual recovery.
The monitoring action undertaken in AugustOctober 2005 imposed State aid stopping measures
to be taken by the Ministry of Public Finance for the
37 companies identified as reaching the maximum
admissible level of the State aid intensity. The
Competition Council issued the Decision no. 227 of
December, 20, 2005 in this respect.
The Competition Council opened an ex-officio
investigation for 24 companies which potentially
benefited from unlawful State aid. The investigation
was closed by the Decision no. 52 of March, 09,
2006 which ordered State aid recovery for 19
companies. The other 5 companies voluntary
reimbursed the unlawful State aid and therefore
stopping measures were taken for them. The State aid
to be recovered amounted for RON 2,546,692 RON
plus interests calculated from the day the State aid
was at the benficiary's disposal until the date of actual
recovery.
As a result of the monitoring actions undertaken by
the Conpetition Council in the deprived areas, the
stopping and recovery decisions continued in 2006.
Thus, the Competition Council requested the State
aid stopping for the 45 companies identified during
the monitoring action undertaken in March June
2006, which reached the maximum admissible level
os the State aid intensity (Decision no. 165 of July,
14, 2006).
The Competition Council also opened an ex-officio
investigation for 6 companies which potentially
benefited from unlawful State aid. The investigation
was closed by the Decision no. 211 of October, 11,
2006 which imposed State aid recovery for 4

57

companies. Stopping measures were taken for one


company and further monitoring was disposed for
one company. The State aid to be recovered
amounted for RON 76,224.63 plus interests
calculated from the day the State aid was at the
benficiary's disposal until the date of actual recovery.
No company exceeding the maximum admissible
level of the State aid intensity was identified through
the monitoring action undetaken in August
October 2006.
The Competition Council issued the Decision no.
222 of November, 28, 2006 deciding to stop the
State aid for the 35 companies which reached the
maximum admissible level if the State aid intensity.

III. Conclusions
The deprived areas policy is a separate component of
the regional development policy, determined by the
existence of some areas which are disadvantaged
from a social economic, structural and geographical
point of view and which require adequate measures
to contribute to their strenghtening.
The investments made to date as a consequence of
this policy come to prove a medium beneficiaries
contribution of 88.2%. This demonstrates the
efficiency of the facilities granted in the deprived
areas.
Within the State aid monitoring in the deprived areas,
the Competition Council assessed the State aid
granted to each company having an investor
certificate and, based on the maximum admissible
intensity, drawn up a list of companies which may
further benefit from State aid after 2007 and a list of
amounts that may be further granted. These lists were
submitted to the Ministry of Public Finance in order
to avoid intensity exceedings.
The value of the State aid to be further granted until
the maximum admissible level is reached is about
RON 795 million (EUR 225 million). The potential
beneficiaries fulfiling the legal conditions were not
taken into account because they did not request State
aid to date.

prevzute de lege, nu au solicitat ajutor de stat pn


n prezent.
Agenii economici nominalizai n aceast list vor fi
monitorizai n continuare pn la data la care vor
atinge pragul maxim al intensitii, urmnd ca de la
aceast dat furnizorul s nceteze acordarea
ajutorului de stat pentru acetia, dar s urmreasc
ndeplinirea condiiei privind meninerea investiiei.
Conform prevederilor legale, ajutorul de stat sub
forma scutirii de impozit pe profit va fi acordat pe

58

toat durata de existen a zonei defavorizate. Faptul


c acesta nu trebuie s depeasc nivelul maxim
admis al intensitii va determina reducerea n timp a
numrului beneficiarilor de ajutor de stat.
Cu toate ca beneficiaz de faciliti, situaia
economic i social a zonelor defavorizate
afecteaz nc atractivitatea lor pentru posibilii
investitori, fapt ce necesit n continuare investiii n
vederea mbuntirii infrastructurii, precum i
crerii de locuri de munc.

The companies from this list shall be further


monitored until they reach the maximum admissible
level of the State aid intensity. Begining with that date
the grantor shall cease granting the State aid but shall
further monitor the investment maintainance
condition.
Although according to the legal provisions in force,
the State aid in form of profit tax exemption shall be
granted until the end of the deprived area's existence,
the fact they have not to exceed the maximum
admissible level of the State aid intensity will lead in

59

time to the decreasing of number of State aid


beneficiaries.
Despite the incentives provided by law, the
economic and social situation of the deprived areas
still affect their attractiveness to potential investors.
Thus the deprived areas still need investments to
improve infrastructure and to create new jobs.

PUTERILE DE INSPECIE ALE ORGANELOR


ADMINISTRATIVE I PROTECIA
SEDIILOR PERSOANELOR JURIDICE
86

Dumitru ENE87
Paul PRISECARU
Rezumat
Problema extinderii noiunii de domiciliu i asupra sediilor persoanelor juridice, cu consecine asupra
dreptului la inviolabilitatea domiciliului garantat de art.8 CEDO, a devenit o tem de actualitate. Evoluiile din
ultimele dou decenii ale jurisprudenei curilor europene nu au dus, nc, la o clarificare a acestei probleme,
dar au artat o tendin ctre includerea persoanelor juridice n sistemul de garanii instituite de Convenie.
Acest articol prezint o analiz succint a legislaiei relevante i a modului n care aceasta a fost interpretat de
Curtea European a Drepturilor Omului i de Curtea de Justiie a Comunitilor Europene, precum i
implicaiile acestor decizii asupra dreptului intern. n contextul puterilor de inspecie ale Consiliului
Concurenei, jurisprudena celor dou instane europene constituie un punct de reper deosebit de important.
Cuvinte cheie: domiciliu, sediu, persoan juridic, drepturi fundamentale, puteri de inspecie, autoritate
administrativ, mandat judiciar.

n ultimii ani, efortul continuu de maximizare a


eficienei regulilor de concuren a condus la
introducerea unor mijloace mbuntite de
investigare, la impunerea unor sanciuni mai dure
(inclusiv introducerea sanciunilor pentru persoanele fizice) i la stimularea aciunilor private n
instan, ca instrument suplimentar de descurajare.
Aceast evoluie a politicii antitrust genereaz
necesitatea tot mai stringent de a proteja drepturile
fundamentale ale persoanelor fizice i juridice aflate
sub investigaie. Dorina autoritilor de concuren
de a folosi cele mai eficiente tehnici de investigare i
sancionare a comportamentelor anticoncureniale
trebuie s se afle n echilibru cu preocuparea
respectrii drepturilor i libertilor fundamentale,
care au fost instituite pentru a-i proteja pe cei
investigai, vinovai sau nu, i pentru a asigura un
comportament responsabil al autoritilor publice88.
n acest context, delimitarea dintre sediile
persoanelor juridice i domiciliul persoanelor fizice
reprezint o problem sensibil n practic, asupra

86

creia s-au manifestat puncte de vedere divergente la


nivel internaional. Pentru a se putea institui o
practic unitar, instanele europene au stabilit
criterii clare n legtur cu modul n care trebuie
abordat problema puterilor de inspecie ale
organelor administrative.
Consiliul Concurenei este o autoritate administrativ, nu un organ judiciar, iar puterile sale de
inspecie sunt limitate i pot fi exercitate doar cu
privire la persoanele juridice. Exercitarea acestor
puteri asupra persoanelor fizice se face, conform
articolelor 37 i 38 din Legea concurenei nr.21/1996
republicat, numai n baza unei autorizri judiciare
date prin ncheiere, iar inspecia se desfoar sub
controlul judectorului care a autorizat-o i n
conformitate cu prevederile Codului de procedur
penal. Practic, inspeciile domiciliare sunt
echivalentul percheziiilor i necesit mandat judiciar
datorit faptului c independena i imparialitatea
judectorului garanteaz respectarea drepturilor
omului i a principiului proporionalitii.

Director adjunct, Direcia Monitorizare Teritorial, Consiliul Concurenei.


Inspector de concuren, Direcia Monitorizare Teritorial, Consiliul Concurenei.
88
Roth, Peter Ensuring that Effectiveness of Enforcement Does Not Prejudice Legal Protection: Rights of Defence, Fundamental Rights
Concerns, European University Institute 2006.
87

60

INSPECTION POWERS OF ADMINISTRATIVE


AUTHORITIES AND THE PROTECTION
OF LEGAL ENTITIES` PREMISES
89

Dumitru ENE 90
Paul PRISECARU
Abstract91
The issue of extending the notion of "home" over premises owned by legal persons, with consequences on the
right to inviolability of home as guaranteed by Article 8 ECHR, has become an up-to-date topic. The
developments from the last two decades of European courts` jurisprudence have not led yet to a clarification
of this issue, but they have showed a trend towards including legal persons in the system of guarantees set up
by the Convention.
This article presents a brief analysis of the relevant legislation and the way this legislation was interpreted by the
European Court for Human Rights and by the Court of Justice of the European Communities, and it also
presents the impact of these decisions over the internal legal system. In the context of the powers of inspection
granted to the Competition Council, the jurisprudence of the two European courts is an important benchmark.
Keywords: home, premises, legal person, fundamental rights, powers of inspection, administrative authority,
search warrant.
In the last years, the continuing endeavor to
maximize the efficiency of competition rules has led
to the introduction of enhanced means of
investigation, the imposition of heavier penalties
(including the possibility of sanctions against
individuals) and the encouragement of private
actions to serve as an additional deterrent. Such
developments of the antitrust policy brought into
relief the necessity to protect the fundamental rights
of those subject to investigation. The competition
agencies' desire to use the most efficient tools for the
detection and punishment of anticompetitive
behaviors has to be balanced against the concern for
preserving the fundamental rights developed to
protect those subject to investigation, innocent or
guilty, and to sustain a high standard of conduct by
public authorities92.
In this context, the borderline between legal entities`
premises and private homes represents a sensitive
problem in practice, which is subject to different
divergent opinions at international level. In order to

89

set up a common practice, the European courts


established coherent criteria regarding the way that
the administrative bodies' powers of inspection
should be dealt with.
The Competition Council is an administrative body,
not a judicial one, and its powers of inspection are
limited and can only be used to search the premises
of legal entities. Using these powers on individuals is
possible, under articles 37 and 38 of the Competition
Law no. 21/1996 republished, only with a judicial
warrant issued by a judge. In this case the inspection
is supervised by the judge and it has to respect the
provisions of the Penal Procedure Code. Virtually,
home inspections are the equivalent of judicial
searches and, in order to carry out such an
inspection, it is required a warrant issued by a judge
who is independent and unbiased and this
guarantees the observance of human rights and the
proportionality principle.

Deputy Director, Directorate of Territorial Monitoring, Competition Council.


Competition inspector, Directorate of Territorial Monitoring, Competition Council.
91
Translated into English by Paul Prisecaru.
92
Roth, Peter Ensuring that Effectiveness of Enforcement Does Not Prejudice Legal Protection: Rights of Defense, Fundamental Rights
Concerns, European University Institute 2006
90

61

I. Legislaie relevant
A. Titlul I Articolul 8 din Convenia pentru aprarea
Drepturilor Omului i a Libertilor fundamentale:
1. Orice persoan are dreptul la respectarea vieii sale
private i de familie, a domiciliului su i a
corespondenei sale.
2. Nu este admis amestecul unei autoriti publice n
exercitarea acestui drept dect n msura n care acest
amestec este prevzut de lege i dac constituie o
msur care, ntr-o societate democratic, este
necesar pentru securitatea naional, sigurana
public, bunstarea economic a rii, aprarea
ordinii i prevenirea faptelor penale, protejarea
sntii sau a moralei, ori protejarea drepturilor i
libertilor altora.
B. Articolul 27 din Constituia Romniei - republicat:
(1) Domiciliul i reedina sunt inviolabile. Nimeni nu
poate ptrunde sau rmne n domiciliul ori n
reedina unei persoane fr nvoirea acesteia.
(2) De la prevederile alineatului (1) se poate deroga
prin lege pentru urmtoarele situaii:
a) executarea unui mandat de arestare sau a unei
hotrri judectoreti;
b) nlturarea unei primejdii privind viaa, integritatea
fizic sau bunurile unei persoane;
c) aprarea securitii naionale sau a ordinii publice;
d) prevenirea rspndirii unei epidemii.
(3)Percheziia se dispune de judector i se efectueaz
n condiiile i n formele prevzute de lege.
(4)Percheziiile n timpul nopii sunt interzise, n afar
de cazul infraciunilor flagrante.
II. Jurisprudena Curii Europene a Drepturilor
Omului CEDO
1. Analiznd cazul Niemietz vs. Germania93, Curtea
European a Drepturilor Omului a statuat, prin
hotrrea din 16 decembrie 1992, c noiunea de
domiciliu este mult mai cuprinztoare dect cea de
home care figureaz n textul n limba englez al
Conveniei. Practic, noiunea de domiciliu poate
include i biroul unei persoane care exercit o
profesie liberal (n cazul de fa fiind vorba despre
un birou de avocatur). De asemenea Curtea a decis
93

c nu exist niciun motiv pentru care noiunea de


via privat ar trebui s exclud sfera activitilor
profesionale.
n consecin, Curtea a extins sfera de aplicare a art.8
din Convenie la localurile sau activitile
profesionale sau comerciale, dar numai atunci cnd,
prin aceast msur, este protejat individul mpotriva
ingerinelor arbitrare ale autoritilor publice. Deci,
prin aceast decizie, titular al proteciei instituite
de art.8 din Convenie apare exclusiv persoana
fizic ce desfoar o activitate profesional ntrun cabinet/birou propriu94.
2. Poate cel mai important caz n aceast materie este
Socit Colas Est i alii vs. Frana95. n aceast cauz
este vorba despre desfurarea unor activiti de
control de amploare de ctre inspectorii Oficiului
Naional de Investigaie (Frana) 96 , autoritate
administrativ ce a efectuat n anul 1985 un numr
de 56 de inspecii la sediile a trei societi franceze de
lucrri publice rutiere, respectiv: Colas Est, Colas
Sud-Ouest i Sacer. Inspeciile s-au desfurat n baza
Ordonanei nr. 45-1484 din 30 iunie 1945, care nu
cerea autorizare judiciar pentru efectuarea
inspeciilor n localurile profesionale ale persoanelor
juridice. n urma inspeciilor desfurate simultan i
inopinat au fost ridicate mii de documente i au fost
iniiate mai multe investigaii conexe, iar, n final s-a
constatat nclcarea normelor de concuren, ceea
ce a i dus la amendarea drastic a celor trei
societi 97 . Acestea au contestat legalitatea
controalelor i confiscrilor de documente n faa
Curii de Apel de la Paris care, la 4 iulie 1994, a dispus
sancionarea contravenional a celor trei societi,
amenzile aplicate totaliznd 14 milioane de franci
francezi, decizie meninut de Curtea de Casaie
care a respins recursul ca nefondat. Astfel, la data de
2 decembrie 1996, societile au naintat o petiie
ctre Comisia CEDO, afirmnd c interveniile
anchetatorilor administraiei, n afara oricrui control
sau a oricrei restricii, constituie violri ale
domiciliilor acestora, efectuate cu nclcarea art.8
din Convenie.
ntemeindu-se pe jurisprudena sa i interpretnd n
mod dinamic Convenia, Curtea European a
Drepturilor Omului a decis c este timpul s se
recunoasc, n anumite circumstane, c drepturile
garantate n virtutea art.8 pot fi interpretate ca

Niemietz v. Germany 251-B (16.12.92).


Berger, Vincent Jurisprudena Curii Europene a Drepturilor Omului, Ediia a 5-a, Institutul Romn pentru Drepturile Omului,
Bucureti 2005, p.458-463.
95
Socit Colas Est and Others v. France, no. 37971/97 (Sect. 2) (bil.), ECHR 2002-III (16.4.02).
96
Acesta face parte din Departamentul de Concuren, Protecia Consumatorului i Prevenire a Fraudei din cadrul Guvernului Francez.
97
Amenzile au fost aplicate de Consiliul Concurenei din Frana.
94

62

I. Relevant legislation
A. Section I Article 8 Convention for the Protection of
Human Rights and Fundamental Freedoms:
1. Everyone has the right to respect for his private and
family life, his home and his correspondence.
2. There shall be no interference by a public authority
with the exercise of this right except such as is in
accordance with the law and is necessary in a
democratic society in the interests of national security,
public safety or the economic well-being of the
country, for the prevention of disorder or crime, for
the protection of health or morals, or for the
protection of the rights and freedoms of others.

B. Article 27 Constitution of Romania republished:


(1) The home and residence are inviolable. No one
can enter or stay in one's residence without his
approval.
(2) From the provisions of paragraph (1) it can be
departed by law for the following situations:
a) in order to execute an arrest warrant or a judicial
decision;
b) for the removal of a threat regarding one's life,
physical integrity or goods;
c) when defending national security or public order;
d) for the prevention of an epidemic.
(3) The search is ordered by a judge and it is carried
out in the terms and forms provided by the law.
(4) Night searches are forbidden, excepting flagrant
offences.
II. The jurisprudence of the European Court for
Human Rights ECTHR
1. When analysing the case of Niemietz vs.
Germany98, the European Court for Human Rights
stated, by its decision from December the 16th 1992,
that the notion of residence is wider than the
notion of home that is stipulated in the English
version of the Convention. Virtually, the notion of
residence can comprise the office of a person that
practices a liberal profession (this case involved a
98

lawyer's office). The Court also decided that there is


no reason for excluding professional activities from
the notion of <private life>.
As a consequence, the Court extended the scope of
Article 8 over professional activities or premises, but
this can be applied only when a person is protected
against arbitrary interventions by public authorities.
Hence, by this decision, the protection established
by Article 8 is assigned to the individual that
carries on a professional activity in his own office99.
2. Maybe the most important case regarding this issue
is Societe Colas Est and others vs. France100. This
case is about a large operation undertaken by
inspectors from the National Office for Investigation
(France)101, administrative authority that carried out
in 1985 a number of 56 inspections at the premises of
three public road building companies: Colas Est,
Colas Sud-Ouest and Sacer. The inspections were
carried out in accordance with Ordinance no. 451484 from June the 30th 1945 that allowed
inspections in the offices of legal persons to be
conducted without a judicial authorization.
Following the raids that were executed
simultaneously and unannounced, thousands of
documents were seized and a number of related
investigations were initiated. Finally the infringement
of competition rules was established and heavy
penalties were imposed 1 0 2 . The companies
challenged the lawfulness of the inspections and the
document seizures in front of the Court of Appeal in
Paris that decided on July the 4th 1994 to sanction the
three companies with a total amount of 14 million
francs. The decision was upheld by the Supreme
Court (Court de Cassation) that rejected the appeal as
being groundless. Thereby, on December the 2nd
1996, the companies forwarded a petition to the
ECtHR Commission, stating that the interventions
made by the governmental officials, outside any kind
of control or restriction, represented residence
violations, contrary to Article 8 of the Convention.
Relying on its jurisprudence and using a flexible
interpretation of the Convention, the European
Court for Human Rights admitted that it is high time
they recognized that, in certain circumstances, the
rights guaranteed by Article 8 can include, for a
legal person, the right to respect for his
headquarters, branch offices or business
premises103.

Niemietz v. Germany 251-B (16.12.92).


Berger, Vincent Jurisprudena Curii Europene a Drepturilor Omului, Ediia a 5-a, Institutul Romn pentru Drepturile Omului,
Bucureti 2005, p.458-463.
100
Socit Colas Est and Others v. France, no. 37971/97 (Sect. 2) (bil.), ECHR 2002-III (16.4.02).
101
The Office is a part of the Competition, Consumer Protection and Fraud Prevention Department from the French Government.
102
The fines were imposed by the French Competition Council.
103
Brsan, Corneliu Convenia european a drepturilor omului. Comentariu pe articole, Vol. I, Editura All Beck, Bucureti 2005, p.659662.
99

63

incluznd, pentru o persoan juridic, dreptul la


respectarea sediului su social, ageniei sale sau
locaiiilor sale profesionale104.
Curtea a reinut c ptrunderea inspectorilor de
concuren n sediile persoanelor juridice n scopul
exercitrii unui control era prevzut de lege,
urmrea un scop legitim i era proporional. Cu
toate acestea, Curtea a decis c aceast msur nu
era necesar ntr-o societate democratic, ntruct
inspectorii Oficiul Naional de Investigaii,
beneficiind de puteri foarte largi n conformitate cu
Ordonana din 1945, aveau competena exclusiv
de a aprecia oportunitatea, numrul, durata i
amploarea operaiunilor de inspecie. n plus,
inspeciile au avut loc fr existena unui mandat
prealabil emis de judector i fr prezena unui
ofier al poliiei judiciare. Toate acestea au dus la
concluzia c nu au fost satisfcute condiiile
prevzute de art.8 paragraful 2, prin urmare Curtea a
decis n unanimitate, n data de 16 aprilie 2002, c a
avut loc o nclcare a Conveniei. Prin aceast
hotrre a fost recunoscut faptul c, n anumite
condiii, titularul proteciei instituite de art.8
poate fi i o persoan juridic.

III. Jurisprudena Curii de Justiie a Comunitilor


Europene CJCE
1. Prima instan european care s-a confruntat cu
aceast problem a fost Curtea de Justiie a
Comunitilor Europene (CJCE) n cazul Hoechst vs.
Comisia Comunitilor Europene105. Decizia CJCE
n acest caz, din data de 21 septembrie 1989, a
statuat c, dei existena dreptului fundamental al
inviolabilitii domiciliului trebuie s fie recunoscut
n ordinea legal a Comunitii ca un principiu
comun legilor statelor membre n ceea ce privete
locuinele particulare ale persoanelor fizice, acest
lucru nu este valabil n ceea ce privete sediile,
ntruct sistemele juridice ale statelor membre
cuprind divergene minime n ceea ce privete natura
i gradul de protecie acordat locaiilor comerciale
mpotriva interveniei autoritilor publice. De
asemenea, s-a statuat c scopul prevederilor art.8 din
Convenia pentru aprarea Drepturilor Omului i a
Libertilor fundamentale este de a proteja libertatea
personal a omului, iar aplicarea acestora nu poate fi
extins i n privina sediilor persoanelor juridice. n

hotrrea CJCE n acest caz s-a reinut c n toate


sistemele legale ale statelor membre, orice
intervenie a autoritilor publice n sfera activitilor
private a unei persoane fizice sau juridice trebuie s
aib un fundament legal i s fie justificat n
conformitate cu legea, asigurndu-se astfel o
protecie mpotriva arbitrariului i a interveniei
disproporionate. O astfel de protecie, n ceea ce
privete activitatea persoanelor juridice, este un
principiu general al dreptului comunitar, iar msurile
de investigare ale Comisiei Europene sunt supuse
controlului CJCE. Din acest prim hotrre a CJCE
rezult c sediile i locaiile profesionale sau
comerciale ale persoanelor juridice nu se bucur de
protecia care este asigurat domiciliului unei
persoane fizice.
2. Curtea de Justiie a Comunitilor Europene a
revenit asupra deciziei de mai sus, prin hotrrea din
22 octombrie 2002, pronunat n cauza Roquette
Frres S.A. vs. Directeur gnral de la
concurrence, de la consommation et de la
rpresion des fraudes, en prsence de la
Commission des Communauts europennes106. n
acest caz, CJCE a statuat c pentru a determina
scopul acestui principiu (principiul proteciei
mpotriva arbitrariului i a interveniei disproporionate n sfera de activitate privat a persoanei
fizice sau juridice) trebuie luat n considerare
jurisprudena Curii Europene a Drepturilor Omului,
ulterioar hotrrii date n cauza Hoechst. n acest
sens au fost invocate cazurile Niemietz vs. Germania
(1992) i Socit Colas Est i alii vs. Frana (2002)107.
Astfel, CJCE a recunoscut c sediile i locaiile
profesionale ale persoanelor juridice se bucur de
un anumit grad de protecie.

IV. Jurisprudena Curii Constituionale a


Romniei
Curtea Constituional a Romniei a tratat aceast
problem n decizia nr. 296 din 9 iunie 2005 cu
privire la dreptul inspectorilor de munc de a
ptrunde n sediile i locaiile profesionale ale
persoanelor juridice. Practic, prin aceast decizie,
Curtea Constituional a stabilit condiiile n care
sediile persoanelor juridice sunt inviolabile,
asemenea domiciliului, precum i nivelul de
protecie de care se bucur acestea n faa

104
Brsan, Corneliu Convenia european a drepturilor omului. Comentariu pe articole, Vol. I, Editura All Beck, Bucureti 2005,
p.659-662.
105
Hoechst AG v. Commission of the European Communities, Joined cases 46/87 and 227/88, European Court reports 1989 Page 02859.
106
C-94/00 published in the Official Journal of the European Communities 7.12.2002 (2002/C 305/04).
107
Acesta nu este singurul caz n care jurisprudena CJCE a fost influenat de cea a CEDO.

64

The Court considered that the competition


inspectors` access in the legal persons` offices was in
accordance with the law, it was driven by a legitimate
aim and it was proportional. Still, the Court decided
that this measure was not necessary in a
democratic society because the inspectors from the
National Office of Investigation, possessing broad
powers according to the Ordinance from 1945, had
the exclusive competence when estimating the
opportunity, the number, the duration and the
proportions of the inspections. Moreover, the
inspections took place without a search warrant
issued previously by a judge and without the
presence of a judicial police officer. All these facts led
to the conclusion that the conditions stipulated in
Article 8 paragraph 2 were not met and the Court
decided unanimously on April the 16th 2002 that
there has been a breach of the Convention. This
decision finally recognized that, in certain
conditions, the protection instituted by Article 8
can also be assigned to legal persons.

III. The Court of Justice of the European


Communities ECJ`S jurisprudence
1. The first European Court that was faced with this
problem was the Court of Justice of the European
Communities (ECJ) in the case Hoechst vs.
Commission of the European Communities108 . The
decision adopted by the ECJ in this case on
September the 21st 1989 stated that although the
existence of a fundamental right to the inviolability of
the home must be recognized in the Community
legal order as a principle common to the laws of the
Member States in regard to the private dwellings of
natural persons, the same is not true in regard to
undertakings, because there are not inconsiderable
divergences between the legal systems of the
Member States in regard to the nature and degree of
protection afforded to business premises against
intervention by the public authorities. The Court
also stated that the aim of Article 8 ECHR is to protect
the personal freedom of the individual, and this can
not be applied to the premises owed by legal persons.
The decision taken by the ECJ stipulates that in all
the legal systems of the Member States, any
intervention by the public authorities in the sphere of
private activities of any person, whether natural or
legal, must have a legal basis and be justified on the
108

grounds laid down by law and this provides


protection against arbitrary or disproportionate
interventions. Such protection, regarding the
activities of legal persons, represents a common
principle for the Community law and the
investigations undertaken by the European
Commission are subject to ECJ supervision.
According to this decision, the business premises and
offices of the legal persons are not entitled to the
same protection as private residences.
2. The Court of Justice of the European Communities
reconsidered its opinion in the judgment given on
October the 22nd 2002, regarding the case Roquette
Frres S.A. vs. Directeur gnral de la
concurrence, de la consommation et de la
rpresion des fraudes, en prsence de la
Commission des Communauts europennes109. In
this case, the ECJ considered that in order to
determine the purpose of this principle (the principle
of protection against arbitrary and disproportionate
intervention in the sphere of private activities of any
persons, natural or legal) it must be taken into
account the ECtHR jurisprudence subsequent to the
Hoechst case. On these lines, the cases Niemietz vs.
Germany (1992) and Societe Colas Est and others vs.
France (2002)110 were referred to. In this way, the ECJ
recognized that the business premises and offices
owed by legal persons are entitled to a certain
degree of protection.

IV. The jurisprudence of Romania`s Constitutional


Court
The Constitutional Court of Romania dealt with
problem in the Decision no. 296 from June the 9th
2005 regarding the right of the labour inspectors to
enter in the premises and offices of the legal persons.
Actually, this judgment given by the Constitutional
Court set down the situations in which the premises
of legal persons are inviolable, as the private homes,
and the level of protection they are entitled to against
external interventions. Therefore, the Court stated
that regarding the industrial and commercial
premises that are not, at the same time, private
residences, these places don't have such a
personal status and the authorities can exercise in
different conditions, much more permissive, the
inspection of activities that are carried out in these

Hoechst AG v. Commission of the European Communities, Joined cases 46/87 and 227/88, European Court reports 1989 Page 02859.
C-94/00 published in the Official Journal of the European Communities 7.12.2002 (2002/C 305/04).
110
This is not the only case when the jurisprudence of the ECJ was influenced by the jurisprudence of the ECtHR.
109

65

ingerinelor externe. Astfel, Curtea a reinut c n


cazul sediilor industriale sau comerciale care nu
sunt, n acelai timp, i locuri de domiciliu,
personalizarea locului nu este att de pronunat,
astfel c autoritile pot exercita, n alte condiii,
mult mai permisive, controlul asupra activitilor
profesionale care se desfoar n aceste sedii. n
consecin, Curtea reine c activitile pe care
Inspecia muncii le controleaz nu in de sfera
privat, ci, dimpotriv, de cea public, viznd n
mod evident ocrotirea unui interes general.

fundamentale i fr nclcarea Constituiei


Romniei, doar n baza unui mandat judiciar.
Practic, n acest caz, Consiliul Concurenei poate
efectua inspecii doar n temeiul i condiiile art.37
i 38 din Legea concurenei nr.21/1996
republicat.

Din acest decizie a Curii Constituionale pot fi


reinute cel puin urmtoarele dou aspecte:

n msura n care interesul public nu prevaleaz


asupra celui privat, prevederile art.27 din Constituie
referitoare la inviolabilitatea domiciliului sunt
aplicabile i sediilor sau localurilor profesionale ale
persoanelor juridice;

simplele activiti de inspecie urmresc ocrotirea


unui interes general i vizeaz aspecte care in de
sfera public a activitii persoanei juridice; n acest
caz sfera privat a persoanei juridice se bucur de o
protecie extrem de redus111.
V. Concluzii
Din analiza jurisprudenei CJCE, CEDO i a Curii
Constituionale rezult, n mod evident, faptul c
protecia unor drepturi fundamentale se extinde i
asupra persoanelor juridice, n special n ceea ce
privete dreptul la inviolabilitatea domiciliului,
care asigur protecia mpotriva interveniilor
arbitrare ale autoritilor publice. Aceast
protecie este totui limitat, mai ales de
necesitatea ocrotirii intereselor generale. Astfel,
activitile de inspecie desfurate de ctre
organele administrative, n spe Consiliul
Concurenei, n sediile sau locaiile profesionale
ale persoanelor juridice nu necesit mandat
judiciar dac sunt efectuate n vederea ocrotirii
unui interes public general, cu respectarea
exigenelor impuse de art.8 paragraful 2 CEDO.
n cazul sediilor sau locaiilor profesionale care
sunt, n acelai timp, i locuri de domiciliu,
activitile de inspecie pot fi desfurate, fr ca
prin aceasta s fie nclcat Convenia pentru
aprarea Drepturilor Omului i a Libertilor

111

Benke, Karoly Jurispruden comparat privind dreptul organelor administrative de control de a ptrunde n sediile sau n localurile
profesionale ale persoanelor juridice i influena acesteia asupra deciziei Curii Constituionale nr.296/2005, Revista Dreptul nr.12/2005.

66

premises. As a consequence, the Court states that


the activities supervised by the Labour Inspection
are not involving the private sphere but, on the
contrary, the public one, and the inspections aim
at protecting the public interest.

Romania's Constitution, only with a judicial


warrant. Virtually, in this case, the Competition
Council can carry out inspections only on the basis
and in the terms provided by articles 37 and 38 of
the Competition Law no.21/1996 republished.

From this judgment given by the Constitutional


Court, there are at least two main aspects that can be
mentioned:

when the public interest does not prevail over the


private one, the provisions of Article 27 of the
Constitution referring to the inviolability of the
residence can be applied to the business offices and
premises of the legal persons;

the basic inspection activities are intended to


protect the public interest and they are exercised
upon activities that involve only the public sphere of
the legal person; in this case the private sphere of the
legal person is entitled to an extremely reduced
degree of protection112.

V. Conclusions
From the analysis of ECJ, ECtHR an Constitutional
Court's jurisprudence it clearly results the fact that
the protection of certain fundamental rights
extends over legal persons, especially as regards
to the right to inviolability of the residence, that is
meant to protect against arbitrary interventions by
public authorities. Still, this protection is restricted
by the need to protect the public interest.
Therefore, the inspections carried out by
administrative bodies, in this case the
Competition Council, at the business offices and
premises of legal persons do not require a judicial
warrant if they are executed in order to protect a
general public interest and if they comply with the
conditions laid down in Article 8 paragraph 2
ECHR.
As regards the legal persons` business offices and
premises that are, at the same time, private
residences, inspections can be executed without
breaching the Convention for the Protection of
Human Rights and Fundamental Freedoms and

112
Benke, Karoly Jurispruden comparat privind dreptul organelor administrative de control de a ptrunde n sediile sau n localurile
profesionale ale persoanelor juridice i influena acesteia asupra deciziei Curii Constituionale nr.296/2005, Revista Dreptul nr.12/2005.

67

PROCEDURI NAIONALE
N DOMENIUL AJUTORULUI
STAT: COMPETENE I OBLIGAII
DE STAT:
113

Mihaela MARINESCU113
Rezumat
Aderarea Romniei la Uniunea European impune adoptarea, n anumite domenii, a unor msuri de natur
organizatoric i modificarea unor competene la nivel naional. Unul dintre aceste domenii l reprezint
ajutorul de stat.
ncepnd cu 1 ianuarie 2007, rolul Consiliului Concurenei n materia ajutorului de stat s-a schimbat. Pentru a
determina poziia pe care o va ocupa Consiliul Concurenei, n materia ajutorului de stat, i pentru a se stabili
modalitile n care se vor realiza la nivel naional procedurile n materia ajutorului de stat, a fost elaborat
O.U.G. nr 117/2006 114(numit n continuare Ordonan).
Conform legislaiei comunitare n domeniul ajutorului de stat, Comisia European este singura instituie abilitat
s se pronune n legtur cu compatibilitatea unei msuri de ajutor de stat cu un mediu concurenial normal.
De asemenea, Comisia European realizeaz, pe baza rapoartelor transmise de statele membre, monitorizarea,
la nivel comunitar, a ajutoarelor de stat.
Cuvinte cheie: proceduri, ajutor de stat, competene, monitorizare, autoritate de contact.
I. Acordarea de consultan
La nivel naional Consiliul Concurenei acord
furnizorilor i beneficiarilor consultan pentru
asigurarea respectrii reglementrilor impuse de
legislaia comunitar n domeniu. Experii Consiliului Concurenei colaboreaz cu furnizorii la
completarea i mbuntirea notificrilor i fielor de
informare, inclusiv la elaborarea actelor normative
sau administrative ce pot institui msuri care mbrac
forma unor ajutoare de stat.
Ordonana stabilete etapele pe care un furnizor de
ajutor de stat trebuie s le parcurg pentru a
implementa o msur de ajutor de stat. Furnizorii vor
avea responsabilitatea elaborrii actelor normative
prin care se instituie msuri de ajutor de stat, precum
i a notificrilor sau fielor de informare. n vederea
realizrii acestui deziderat, furnizorii de ajutor de stat
trebuie s-i formeze, n cadrul instituiilor, un
personal specializat care s poat realiza o analiza
preliminar a msurilor ce se intenioneaz a se
institui, pentru a constata dac respectivele msuri
sunt susceptibile de a constitui ajutor de stat.
II. Avizarea
Astfel, atunci cnd se intenioneaz acordarea unui
ajutor de stat, furnizorul elaboreaz, dup caz, o
notificare sau o fi de informare care vor fi naintate
Consiliul Concurenei n vederea avizrii.
113

Ulterior emiterii avizului, Consiliul Concurenei va


nainta Comisiei Europene, prin intermediul
Reprezentanei Permanente a Romniei pe lng
Uniunea European, notificarea sau fia de
informare. n cazul n care, prin aviz, Consiliul
Concurenei a propus modificri i furnizorul nu este
de acord cu acestea, notificarea, respectiv fia de
informare vor fi transmise n forma dorit de furnizor.
Consiliul Concurenei, mpreun cu furnizorul de
ajutor de stat, va susine notificarea n faa Comisiei
Europene, n vederea obinerii autorizrii msurilor
de sprijin. Dup adoptarea de ctre Comisia
European a unei decizii, Consiliul Concurenei va
informa, de ndat, furnizorul asupra msurilor
dispuse de Comisie prin decizie i i va transmite o
copie a acesteia.
III. Monitorizarea
n ceea ce privete monitorizarea ajutoarelor de stat
acordate n Romnia, Ordonana subliniaz rolul din
ce n ce mai important pe care trebuie s l joace
furnizorul de ajutor de stat n asumarea
responsabilitii respectrii reglementrilor n
vigoare. Astfel, dac n Legea nr. 143/1999115se
prevedea posibilitatea pentru experii Consiliului
Concurenei de a realiza controale la faa locului
pentru a vedea n ce masura sunt respectate
condiiile n care a fost autorizat acordarea unui
ajutor de stat, prin Ordonan, sarcina verificrii
respectrii condiiilor revine exclusiv furnizorului.

Inspector de concuren, Direcia Raportare, Monitorizare i Control Ajutoare de Stat, Consiliul Concurenei.
Privind procedurile naionale n domeniul ajutorului de stat, publicat n M.Of. nr. 1042/28.12.2006
115
Privind ajutorul de stat, republicat.
114

68

NATIONAL PROCEDURES
IN THE STATE AID FIELD:
COMPETENCES AND OBLIGATIONS
Mihaela MARINESCU116
Abstract117
The accession of Romania to the European Union imposes the adoption, in certain fields, of some organizational
measures and the modification of national competences. One of these fields is State aid.
Starting with January 1st, 2007, the role of the Competition Council in the State aid field has changed. To define
the Competition Council's position in the State aid field and to establish the ways of implementing the national
procedures in the State aid field, was adopted the G.E.O. no 117/2006118 (hereinafter the Ordinance).
According to the Community State aid legislation, the European Commission is the only institution that has the
power to pronounce on the compatibility of a State aid measure with the Common market. Also, at the
Community level, the European Commission performs the monitoring activity of the State aid, based on the
Member States reports.
Keywords: procedures, State aid, competences, monitorying, contact point.
I. Consultancy activity
At the national level, the Competition Council
provides consultancy to the State aid grantors and
beneficiaries for the observance of the rules imposes
by the Community State aid legislation. The
Competition Council's experts collaborate with the
grantors for the filling and improvement of the
notifications and summary information, including for
the elaboration of the normative or administrative
acts that could institute State aid measures.
The Ordinance lays down the steps that a grantor has
to pass through for the implementation of a State aid
measure. The grantors shall have the responsibly for
the elaboration of the normative acts that institute
State aid measures and of the notifications and
summary sheets. For the accomplishment of this goal,
the grantors have to create, in their agencies, a
specialized staff that can realize a preliminary
analyze of the measures that is intended to be
instituted in order to find out if these measures
constituted State aid.
II. Advisory opinion
When it intends to grant a State aid, the grantor
elaborates a notification or a summary information,
as the case may be, that shall be transmitted to the
Competition Council that will give an advisory
opinion on it.
116

After issuing the advisory opinion, the Competition


Council shall submit the notification or summary
information sheet to the Commission through
Romania's Permanent Representative at the
European Union. If through its advisory opinion, the
Competition Council suggested some modifications
and if the solicitant does not agree with the
modification proposed by the Competition Council,
the notification or the information sheet shall be
transmitted in the form decided by the grantor.
The Competition Council together with the granting
authority shall sustain the notification before the
European Commission in order to obtain the
authorization of the support measures. After the
adoption by the European Commission of a decision
in the State aid field, the Competition Council shall
inform, without delay, the grantor on the decisions
taken by the European Commission and also shall
submit a copy of the relevant decision.
III. Monitoring activity
As far as the monitoring of the State aid granted in
Romania is concerned, the Ordinance underlines the
importance of the role played by the grantor in
assuming the responsibility of obeying the rules in the
area. The State Aid Law (law no 143/1999
republished) mentioned that the competition
inspectors have had the power to do on site
monitoring activities in order to see if the condition

Competition inspector, Directorate of Reportying, Monitorying and Control of State Aid, Competition Council.
Translated into English by Mihaela Marinescu.
118
Regarding national procedures in the State aid field, publish in the Official Gazette no 1042/28.12.2006.
117

69

Furnizorilor de ajutor de stat le revine obligaia de a


verifica permanent modul n care sunt cheltuii banii
publici. n acest context, furnizorul este responsabil
s verifice, periodic, dac beneficiarul de ajutor de
stat i respect obligaiile asumate la momentul
primirii unui ajutor de stat i, n cazul n care aceste
obligaii nu sunt respectate, furnizorul de ajutor de
stat trebuie s intervina pentru a nltura
incompatibilitile cu prevederile comunitare n
domeniu.
Anual, furnizorii trebuie s transmit Consiliului
Concurenei raportri privind ajutoarele de stat
acordate n Romnia. De asemenea, la solicitarea
Consiliului Concurenei, furnizorul trebuie s
transmit orice alte informaii necesare pentru
ndeplinirea de ctre Romnia a obligaiilor asumate
n calitate de stat membru.
Furnizorii rspund de veridicitatea informaiilor
transmise Consiliului Concurenei n cadrul
procesului de notificare/informare, respectiv de
monitorizare. Rolul Consiliului Concurenei n
procesul de monitorizare a ajutoarelor de stat
acordate n Romnia este ca, pe baza raportrilor
transmise de catre furnizori, s elaboreze inventarul
ajutoarelor de stat, Raportul anual al ajutoarelor de
stat acordate n Romnia, precum i toate raportarile
care decurg din calitatea Romniei de stat membru.
De asemenea, Consiliul Concurenei organizeaz i
menine registrul ajutoarelor de stat.

IV. Respectarea deciziilor Comisiei Europene


Un alt element de noutate introdus i reglementat de
Ordonan l reprezint prevederile referitoare la
procedura care trebuie urmat n cazul existenei
unei decizii de rambursare/recuperare sau
suspendare a unui ajutor de stat incompatibil sau
utilizat abuziv.
Ulterior emiterii de ctre Comisia European a unei
decizii prin care se dispune recuperarea/suspendarea acordrii unui ajutor de stat,
Consiliul Concurenei va nainta o copie dup acest
decizie furnizorului de ajutor de stat, care va trebui s
ntreprind toate msurile necesare pentru a pune n
aplicare respectiva decizie.
Furnizorul va transmite o copie dup decizie
beneficiarului care poate rambursa ajutor de stat i
dobnzile aferente. n cazul n care nu se realizeaz
rambursarea voluntar, furnizorul poate solicita
Curii de Apel Bucureti anularea actului
administrativ prin care s-a instituit msura de ajutor

70

de stat i, pe cale de consecin, recuperarea


ajutorului de stat i a dobnzilor aferente. Furnizorii
vor transmite Consiliului Concurenei date,
informaii i documente privind stadiul recuperrii
sau suspendrii ajutoarelor de stat.

V. Autoritate de contact
Trebuie remarcat faptul c, prin prevederile
introduse de aceast Ordonana se dorete
contientizarea i responsabilizarea furnizorului de
ajutor de stat n legatura cu tot ceea ce nseamn
ajutorul de stat. Astfel, comparativ cu prevederile
legislative anterioare se observ o modificare
esenial a rolului pe care l joac Consiliul
Concurenei n materia ajutorului de stat i
responsabilitatea care revine furnizorilor. Consiliul
Concurenei reprezint autoritatea de contact n
raporturile dintre Comisia European i furnizorii sau
beneficiarii de ajutor de stat.
Experii Consiliului Concurenei i vor asista pe
reprezentanii Comisiei Europene n cazul
eventualelor controale la faa locului i vor rspunde
la toate solicitrile de informaii pe care Comisia
European le va formula.
Consiliul Concurenei colaboreaz cu autoritatea
competent pentru a reprezenta Romnia n faa
Curii Europene de Justiie a Comunitilor Europene
n cazurile privind ajutorul de stat. n ceea ce privete
deciziile emise de Consiliul Concurenei anterior
aderrii, acestea continu s-i produc efectele,
urmnd ca furnizorii s ntreprind toate msurile
pentru punerea lor n executare (fizic, valoric i ca
impact).
Noul rol al Consiliului Concurenei este acela de a
acorda consultan de specialitate n elaborarea,
notificarea/informarea i monitorizarea schemelor
de ajutor de stat sau n susinerea cazurilor n faa
Comisiei Europene, de a asigura promovarea culturii
concurenei att pentru furnizorii de ajutor de stat ct
i pentru mediul de afaceri.
Adoptarea Ordonanei prin care se instituie
procedurile naionale n domeniul ajutorului de stat
reprezint o parte din contribuia Romniei la
atingerea obiectivelor stabilite de Comisia European
n Planul de aciune n domeniul ajutorului de stat,
al crui deziderat, mereu actual, este acordarea de
ajutoare de stat mai puine dar mai bine orientate.

set for granting an aid are fulfilled. The Ordinance


came and modified this provision, and currently only
the grantor has the right to do the onsite monitoring
activities and, so, the obligation to check the
observance of the rules belongs only to the grantor.

was granted and, as a consequence, the recovery of


the aid and the related interest. The State aid grantors
shall submit to the Competition Council information
regarding the evolution of the recovery, the
provisionally recovery or the suspension of the State
aid

The State aid grantors have the obligation to verify the


way public money are being spent. Thus, the grantor
is responsible to check periodically if the State aid
beneficiary is fulfilling the conditions assumed when
receiving the State aid. If the beneficiary do not fulfill
those obligations, the State aid grantor must act in
order to eliminate the incompatibilities with the law
in force.

V. Contact point

On an annual basis, the grantors have to submit to the


Competition Council reports on State aid granted in
Romania. Also, at the Competition Council's request,
the grantors have to submit any other data needed to
fulfill the obligation assumed by Romania as a
Member State. The State grantors are responsible for
the accuracy of the data and information submitted
to the Competition Council during the
notification/informing or monitoring activity. The
Competition Council role in the monitoring activity is
to elaborate, based on the grantors reports, the State
aid inventory, the annual report on the State aid
granted in Romania, the State aid registry and other
necessary reports in view of fulfilling the obligations
set for Romania as a Member State.

IV. The observance of the European Commission's


decisions
Other elements introduced and settled by the
Ordinance are the provisions on the procedure that
has to be followed in case of a decision on recovery or
suspension of an incompatible or misused State aid.
Following the adoption by the European Commission
of such a decision, the Competition Council shall
submit to the grantor a copy of it. The grantor shall
take all the measures needed to implement the
decision.
The grantor shall submit a copy of the decision to the
beneficiary. If the beneficiary does not voluntary
reimburse the State aid and the interest related to it,
the grantor shall address to the Bucharest Court of
Appeal in order for this Court to dispose the
cancellation of the act through which the State aid

71

It has to be noticed the fact that, one of the aims of the


Ordinance was to make the grantors be aware and
responsible for their role in the State aid area.
Comparing to the previous law, the role of the
Competition Council has changed and the grantors
are more responsible for the observance of the rule in
the area. The Competition Council shall be the
contact point in the relations between the European
Commission and State aid grantors and beneficiaries
involved in the State aid procedures.
The Competition Council officials shall assist the
European Commission on the on-site monitoring
visits and shall answer to all the information
requested by the European Commission. The
Competition Council shall cooperate with the
authority empowered to represent Romania at the
European Court of Justice in State aid cases.
The decisions issued by the Competition Council
prior to the accession shall continue to produce their
effects and the grantors have to take all the measures
needed to implement them.
The role that the Competition Council shall play from
now on is to provide specialized assistance in
drawing up of notifications, information sheets and
on monitoring activities, or in the allegation of the
notification before the European Commission. Also,
the Competition Council shall continue to carry on its
activity to inform the authorities, other State aid
grantors and beneficiaries and the public on the
community State aid regulations, by publishing
guides, monthly bulletins, case law and legislative
syntheses, other informational materials and by
organizing seminars, roundtables, conferences etc.
The adoption of the Ordinance on national
procedure in the State aid area represents just a small
part of Romania's contribution in achieving the goals
of the European Commission's State Aid Action Plan:
"Less but better targeted State aid".

PROCESUL DE ELABORARE A
TRATATULUI INSTITUIND
O CONSTITUIE PENTRU EUROPA (II)
Lilian OSTROPEL119
Raluca BADIC120
Motto:
Europa nu este dect o voin comun a celor care
triesc n ea, printr-o vocaie comunUnitatea
european st n spiritul european.
Bernard Voyenne
Rezumat
Dac n numrul anterior al revistei am prezentat Structura Tratatului constitutional care este format din patru
pri precedate de un Preambul, la care urmeaz s se adauge o serie de Protocoale, n continuare vom ncerca
s prezentm cteva aspecte referitoare la poziia statelor membre cu privire la elementele de noutate aduse de
Constituie.
Cuvinte cheie: tratat constituional, memorandum, globalizare, cooperare ntrit.
I. Introducere
Chiar din faza de negociere, Tratatul Constituional a
strnit numeroase discuii. Este de remarcat faptul c
motto-ul (Constituia noastr ... se numete
democraie pentru c puterea este n minile nu ale
unei minoriti, ci ale majoritii - Tucidide II, 37),
propus de preedintele Conveniei, Valry Giscard
d'Estaing, a fost eliminat.

legtur cu valoarea juridic a acestuia a fost cea


referitoare la chestiunea religioas: trebuie sau nu
realizat o referire la motenirea/valorile cretine?
Motivaiile susintorilor ambelor posibiliti au fost
diferite: recunoaterea unui fapt istoric evident,
contribuia cretintii la civilizaia european etc.
Au existat i preri n sensul unei dorine de
impunere a supremaiei Vaticanului, dar i opinii
care au solicitat eliminarea referinei la valorile
cretine pe motivul necesitii eliminrii oricrei
posibile interpretri n sensul discriminrii persoanelor de religie musulman sau a ateilor.

n cadrul Conveniei privind viitorul Europei,


Preambulul a suscitat numeroase dezbateri. Astfel,
nc de la 3 iunie 2003, trei membri ai Conveniei
Robert Madinter, Olivier Duhamel i Pervenche
Beres au semnat o propunere viznd eliminarea
motto-ului din Tucidide, motivnd c nu ar fi oportun
ca Uniunea European s fie refondat sub auspiciile
ntemeietorului realismului geopolitic. De
asemenea, motto-ul a fost contestat pentru motivul
c traducerea din limba greac nu ar fi exact sau c
se pune un accent mult prea mare pe puterea
deinut de popor, n detrimentul statului.

Din aceast dezbatere, se rein urmtoarele aspecte:


n primul rnd, n numeroase state persist anumite
antagonisme ntre componentele laic i cleric; n
al doilea rnd, este relevat un aspect pozitiv
interesul cetenilor i al societii civile pentru
Constituie chestiunea religiei era un aspect uor
sesizabil, n contrast cu prevederile instituionale, cu
caracter complex, prevzute n Partea a III-a.

Una din dezbaterile cele mai mediatizate n legtur


cu preambulul care a generat, de altfel, i discuii n

Unul dintre aspectele fundamentale ale


compromisului de la Bruxelles (17-18 iunie 2004) a

119
120

Inspector de concuren, Inspectoratul de Concuren al Muncipiului Bucureti i jud.Ilfov.


Inspector de concuren, Inspectoratul de Concuren al Muncipiului Bucureti i jud.Ilfov.

72

THE ELABORATION
OF THE TREATY IMPLEMENTING
A CONSTITUTION FOR EUROPE (II)
121
Lilian OSTROPEL
122
Raluca BDIC

Motto:
Europe is nothing but a common will
of those who inhabit it by a common calling
The European unity lays in the European spirit
Bernard Voyenne
Abstract123
Whereas in the previous number of the magazine we presented the structure of the Constitutional Treaty
consisting in four parties, preceded by a Preamble, to which a series of Protocols will follow, the present article
will try to resume some aspects about the position of the member states regarding the elements of novelty
brought by the Constitution.
Keywords: constitutional treaty, memorandum, globalization, strengthened cooperation.
1. Introduction
Even from the negotiating phase, the Constitutional
Treaty generated many discussions. It is to be
mentioned the fact that the motto (Our Constitution
is called democracy for the power lays not in the
hands of the minority, but the majority`s Thucydides
II, 37) proposed by Valery Giscard d'Estaing, the
president of the Convention, was eliminated.

about the Christian values/ inheritance necessary or


not? Motivations of the supporters of both
possibilities, varied: the recognition of a obvious
historical fact, Christianity's contribution to European
civilization, etc.
There were also allegations about a wish to impose
the Vatican's supremacy, but also opinions
suggesting the elimination of the references to
Christian values motivating the necessity of the
elimination of any possible interpretations regarding
the discrimination of Muslims or atheists.

Within the framework of the Convention, regarding


the future of Europe, the Preamble raised many
debates. In this way, even from the 3rd of June 2003,
three members of the Convention Robert Madinter,
Oliver Duhamel and Pervenche Beres signed a
proposal meant to eliminate Thucydides`s motto,
thought as inadequate for the European Union to be
rebuilt under the auspices of the founder of
geopolitical realism. The motto was also contested on
the grounds that the translation from Greek is
inaccurate or the fact that it stresses more on people's
power, than on the states.

From this debate, two aspects can be underlined: on


one hand, in numerous states still persists some
antagonisms between the laic and clerical
components; on the other hand, an important
positive aspect is revealed - the interests of the
citizens and the civil society for the Constitution - the
religious aspect it is not difficult to be noticed,
contrarily to the institutional provisions, of a complex
nature, foreseen in the third Part.

One of the most mediated debates regarding the


preamble which also generated discussions about its
judicial value - was the religious aspect: is a reference

One of the fundamental aspects of the Brussels


compromise (17th-18th of June 2004) was represented
by the agreement on the decision's content article I-

121

Competition inspector, Territorial Inspectorate of Competition for Bucharest and Ilfov County.
Competition inspector, Territorial Inspectorate of Competition for Bucharest and Ilfov County.
123
Translated into English by Lilian Ostropel.
122

73

fost reprezentat de convenirea asupra textului


deciziei convenite de articolul I-24, care va
reglementa mecanismul de rotaie n cadrul
Consiliului. Variantele propuse au urmarit asigurarea
unui echilibru ntre accesul tuturor statelor, ntr-un
interval rezonabil, la preedinie, eficiena
decizional i volumul important de activitate pe care
l presupune exercitarea preediniei.
S-a pornit de la principiul exercitarii unei preedinii
n echipa de trei state, n scopul acoperirii eficiente a
volumului de activitate. Variantele avansate au fost:
a) rotaia simpla: echipa de trei state, pe termen de
18 luni, fiecare dintre ele exercitnd, pe ntreaga
durata a mandatului, preedinia anumitor
formaiuni ale Consiliului (se exercit succesiv n ceea
ce privete Consiliul Afaceri Generale). Sistemul
prezenta dezavantajul eliminarii posibilitaii ca un
stat sa aiba raspundere n toate domeniile;
b) rotaia n rotaie echipa de trei state, pe termen
de 18 luni; fiecare stat deine, prin rotaie, pentru
cte 6 luni, preedinia unor anumite formaiuni ale
Consiliului. Principalul dezavantaj era reprezentat de
complexitatea mult prea ridicata a sistemului;
c) sistemul quasi-Nisa (troica) echipa de trei
state, pe termen de 18 luni, fiecare deinnd pentru 6
luni preedinia tuturor formaiunilor Consiliului,
fiind ajutat de celelalte doua.
S-a optat pentru sistemul quasi-Nisa (troica),
potrivit criteriului eficienei decizionale i a simplitaii
mecanismului. Cu toate acestea, pentru a conferi
flexibilitate modalitaii exercitarii preediniei, s-a
prevazut posibilitatea ncheierii de aranjamente
ntre statele care exercita preedinia, prin care
acestea pot conveni ca preedinia anumitor
formaiuni sa fie exercitata de state diferite.
n discuiile care au precedat adoptarea Constituiei
s-a pus problema daca exista, ntr-adevar, o diferena
din punct de vedere juridic ntre acte legislative i
acte non-legislative (fora juridica etc.).
De asemenea, distincia este dificila din punctul de
vedere al separarii tradiionale a executivului de
legislativ. Astfel, daca procedura legislativa poate fi
individualizata n Uniunea Europeana, nu avem de-a
face un un executiv propriu-zis, n condiiile n care,
spre exemplu, Consiliul deine i atribute legislative i
atribute executive. Din punct de vedere procedural,
regula pentru actele legislative este procedura

124

codeciziei, reglementata detaliat n partea a III-a. De


asemenea, distincia este importanta n economia
reglementarilor constituiei, care face referire, n
unele cazuri, la acte legislative (n special n partea
a III-a).
O alta problema a fost ncadrarea regulamentelor
delegate n aceasta distincie, avnd n vedere ca
acestea modifica acte legislative, dar ele nsele nu au
aceasta calitate. n plus, s-a recunoscut ca distincia
prezinta i o semnificaie simbolica deosebita, fiind
necesara poate pentru impulsionarea unei
dezvoltari, n viitor, a dreptului constituional
comunitar.
Principala problema pe care o ridica actele de
implementare este reprezentata de urmatoarea
situaie de fapt: n conformitate cu Tratatul instituind
Comunitatea Europeana, n vigoare, actele de
implementare sunt regulamente (direct aplicabile)
i directive (obligatorii n ceea ce privete
rezultatul, lasnd statului libertatea alegerii
mijloacelor) fiind adoptate prin procedura
comitologiei124.
n conformitate cu Constituia, actele de
implementare cu aplicabilitate generala poarta
denumirea de regulament, fie ca sunt direct
aplicabile (efect regulament actual), fie ca sunt
obligatorii doar cu privire la rezultat (efect
directiva actuala). Prin urmare, va fi dificil pentru
statele membre sa cunoasca ce dispoziii trebuie sa
transpuna n dreptul intern (efect directiva) i ce
dispoziii sunt direct i imediat aplicabile, cel puin n
lipsa unor prevederi exprese n preambulul actului
respectiv. n practica, poate aparea situaia ca un act
sa conina anumite articole cu efect regulament i
alte articole cu efect directiva ceea ce
accentueaza problemele aplicabilitii.
Aceasta conduce la necesitatea manifestarii unei
atenii sporite de catre instituiile comunitare la
redactarea acestor acte n vederea precizarii exacte
a obligaiilor statelor membre faa de transpunerea
viitoarelor regulamente de aplicare.
n cadrul Conferinei Interguvernamentale, ca
urmare a definirii majoritaii calificate de 55%
(numrul de state) i de 65% (populaia
reprezentat), s-a considerat necesara introducerea
n prevederile referitoare la adoptarea unei decizii de

In limbajul comunitar desemneaz o practic a utilizrii comitetelor n procesul de execuie.

74

24, regarding the rotation mechanism within the


Council. The alternatives proposed were seeking to
ensure a balance between all state's access, in a
reasonable period of time, to the Presidency,
decisional efficiency, and the important volume of
activity that the Presidency supposes..

procedural point of view, the rule related to


legislative documents is the co-decision procedure,
stipulated in detail in the IIIrd part. The distinction is
also important in the economy of the Constitution's
regulations, which in some cases, refers, to
legislative documents (especially in the IIIrd part).

It was started from the principle of having a


Presidency as a three states team, in order to
efficiently cover the volume of activity. The proposed
solutions were:
a) simple rotation: three - states team, for 18
months, each of them exercising, during the whole
mandate, the Presidency of certain Council divisions
(which is successively executed regarding the
General Affairs Council). The disadvantage of the
system consists in the elimination of the possibility for
a state to have responsibility in all domains;
b) rotation in rotation: three - states team, for 18
months; each state holds, by rotation, for 6 months,
the Presidency of certain Council divisions. The main
disadvantage is
the system`s
high level of
complexity;
c) quasi Nisa system (troika): three - states team,
for 18 moths and relying on the help of the other two,
each state holds the Presidency of all the Council
divisions for 6 moths.

Another problem was framing within this distinction


the delegated regulations, keeping in mind that they
modify legislative documents, but they themselves
do not posses this quality.
Additionally, it was recognized that the distinction
also holds a special symbolic signification, necessary
to get on wheels a future development, of the
community constitutional law.

According to the decisional efficiency and the


simplicity of the mechanism criterion, the option was
the quasi Nisa system (troika). Nevertheless, in
order to allow flexibility to the modality of executing
the Presidency, a possibility has been foreseen for
concluding arrangements between the states wich
hold the Presidency, making possible for these states
to agree for the Presidency of some divisions to be
executed by different states.
During the discussions preceding the Constitution's
adoption, the issue was wether there is a real
difference, legally speaking, between the legislative
documents and the non-legislative ones (judicial
power, etc.).
The conclusion that must be retained is that from a
legal point of view, as a rule, it cannot be
mentioned a hierarchy. In addition, the distinction is
defective from the traditional separation of the
legislative executive point of view. As a result, if the
legislative procedure can be individualized in the
European Union, we cannot speak about a proper
executive, if, for example, the Council also holds
both legislative and executive attributes. From the
125

The main problem raised by the implemented


documents is represented by the following situation:
accordingly to the present Treaty instituting the
European Community, the implementation
documents are rules (directly applicable) and
directives (compulsory as far as the result is
concerned, allowing the state the freedom of
means) being adopted by the commitology
procedure125.
In conformity with the Constitution, the
implementation documents with general appliance
are called rule, though they are directly applicable
(actual rule effect), or they are obligatory only
regarding the result (actual directive effect).
However, it will be difficult for the member states to
take knowledge about the dispositions that must be
transposed in intern right (directive effect) and
what are the directly applicable dispositions, at least
when there is a lack of express foresights in the
preamble of that document.
In practice, it also can also appear a situation, when a
document contains certain articles with rule effect
and articles with directive effect which makes the
appliance much difficult.
This problem leads to the necessity of a greater
attention from the communitarian institutions when
editing this documents so as to exactly specify the
obligations of the member states in the transposition
of future application rules.
Within the framework of the Intergovernmental
Conference, as a follow-up of the definition of the
qualified states majority of 55% and 65% population,
it has been considered as necessary the introduction

In community language, it represents a practice to use the commits in the execution process.

75

catre Consiliu n ceea ce privete admiterea unui nou


stat n cooperarea structurata sau suspendarea
participarii unui stat a unei prevederi speciale
privind minoritatea de blocaj 35% din statele
membre plus un stat membru.
II. Poziia statelor membre referitoare la
elementele de noutate

instituiilor comunitare, statutul Cartei Drepturilor


Fundamentale i propunerea de simplificare a
tratatelor Uniunii Europene.
n ceea ce privete rolul parlamentelor naionale,
propunerea danez const n instituirea unei
structuri formate din reprezentani ai parlamentelor
naionale care s dein funcii specifice, s menin
contactul att cu parlamentele naionale, ct i cu
Parlamentul European.

Privitor la reforma instituional a Uniunii Europene,


oficialii austrieci abordeaz structura Comisiei, a
Consiliului European si a Parlamentului European,
acordnd o atenie special procesului decizional din
reeaua instituional european. Lund n
considerare rolul Comisiei n procesul legislativ,
reducerea numarului membrilor acesteia nu trebuie
sa aib n vedere doar ndeplinirea funciei executive
a Comisiei.

n ceea ce privete poziia Finlandei, n vederea


implicrii parlamentelor naionale n adoptarea
deciziilor la nivel comunitar, s-a naintat propunerea
de a crea o serie de sisteme naionale, bazate pe
interactivitate, transparen i modaliti eficiente de
preconsultare a parlamentelor, care vor conduce la
acceptarea politicilor comune ale Uniunii Europene.

Este sugerat, de asemenea, creterea puterii


Parlamentului European, prin implicarea acestuia n
zone de importan extrem pentru ceteni, cum ar
fi justiia si afacerile interne, puterea forelor de
poliie.

Poziia italian se contureaz prin abordarea


urmatoarelor aspecte: extinderea Uniunii Europene,
punerea n aplicare a principiului cooperrii ntrite,
procesul de luare a deciziilor i structura dezbaterii
despre noua Europ.

Modificarea structurii instituionale a Uniunii


Europene conform Memorandumul Benelux
adoptat n comun de guvernele Belgiei, Olandei si
Luxemburgului, propune urmatoarele soluii:

ntrirea si extinderea metodei comunitare;

dezvoltarea Parlamentului European ca o instituie


legislativa, cu extensie si n linia bugetar, care s
exercite rolul legislativ, alturi de Consiliul European;

conferirea unei personaliti legale Uniunii


Europene;

ntrirea Comisiei, ale crei responsabiliti sunt


stabilite prin tratate.

n opinia oficialilor italieni, extinderea este, ntradevr, cea mai eficient politic de stabilizare
regional pe care o va implementa Uniunea
European, exercitnd n acelai timp o influen
fundamental n realizarea reformei interne.
Necesitatea aplicrii principiului cooperrii ntrite
este n mod sugestiv argumentat prin prezentarea
unui exemplu referitor la controlarea fenomenului
imigraiei. Realizarea acestui lucru necesit
coordonarea politicilor naionale. Crearea unei
politici eficiente necesit o armonizare ntre politicile
europene (ca i n cazul politicii de azil) i cele
naionale orientate, legate de piaa de munc i
hotrrile de repatriere n ara de origine.

n legtur cu restructurarea Comisiei Europene,


Memorandumul propune alegerea preedintelui
acesteia de catre cetaenii europeni, simultan cu
alegerea parlamentarilor europeni. Funciile
legislative, politice si deliberative ale Consiliului vor fi
delimitate. Se va utiliza sistemul de vot al majoritatii
calificate, care, n procesul legislativ, trebuie s se
interfereze cu procesul de codecizie.

Acelai principiu se aplic i n lupta mpotriva


emigrrii ilegale, pentru care soluia se regsete n
cooperarea inter-guvernamental i armonizarea la
nivel comunitar. n cazul politicii externe i de
securitate comun se petrece acelai fenomen.

n ceea ce privete poziia Danemarcei, guvernul


danez i manifest ngrijorarea fa de scderea
rolului acestei ri n procesul de restructurare a
Uniunii Europene, poziie exprimat oficial prin
adoptarea, la 12 iunie 2001, a unei Carte Albe
Danemarca i Europa: extinderea, globalizarea i
susinerea public. Documentul nfieaz aspecte
ale delimitrii puterilor statelor naionale i ale

Conform opiniei spaniole, referitor la restructurarea


Comisiei Europene i a Consiliului European,
renunarea la un comisar se poate compensa prin
obinerea unei ponderi adecvate a voturilor n
Consiliu. Un aspect important al restructurrii
Parlamentului European ar fi introducerea unor
comitete, tocmai n scopul eficientizrii activitii
sale.

76

in the stipulations regarding the adoption of a


decision by the Council about the admission of a new
state in the structured cooperation or suspending the
participation of a state of a special stipulation
regarding the minority for blocking -35% of the
member states, plus one member state.
II. The position of the member states in reference
to the novelty elements.
Referring to the institutional reform of the European
Union, the Austrian officials approach the
Commission's structure, of the European Council and
the European Parliament, granting a special attention
to the decisional process from the European
institutional network. Taken into consideration the
Commission's role in the legislative process, the
reduction of its members must not have in attention
only fulfilling the executive function of the
Commission.
It is also suggested the increase of the European
Parliament's power, by involving it in extremely
important areas for the citizens, as justice and
internal affairs, the power of political forces.
Modifying the institutional structure of
the
European Union is a problem for which the Benelux
Memorandum commonly adopted by the
governments of Belgium, Holland and Luxemburg,
propose the following solutions:

Strength and extension of the communitarian


method

The development of the European Parliament as a


legislative institution, with extension in the budgetary
area, which to hold the legislative role, together with
the European Council

Giving a legal personality to the European Union

Strengthening the Commission, which


responsibilities are decided by treaties
Regarding the reorganization the European
Commission, the Memorandum proposes the
election of the President by the European citizens,
simultaneously with the European Parliament
elections.
The legislative, political, and deliberative functions of
the Council would be delimitated. A vote system of
the qualified majority, would be used, which, in the
legislative process, must interfere with the codecision process.
About Denmark's position, the Danish government
manifests its worries about diminishing this country's

77

role in the process of reorganizing the European


Union, position voiced officially by adopting, at 12th
of June 2001, of the White Charta Denmark and
Europe: the extinction, globalization and public
support. The Document shows the aspects of
delimiting the power of national states and the
communitarian institutions, the status of the
Fundamental Rights Charta and the proposal of
simplifications of the European Union treaty.
In what the national parliaments role is concerned,
the Danish proposal consisted in creating a structure
formed from the representatives of the national
Parliaments, which hold specific functions, to
maintain the contact with both national Parliaments
and the European Parliament.
With referrence to Finland's position, for implying the
national Parliaments in adopting the decisions at
communitarian level, a proposal was forwarded to
create a series of national systems, based on
interactivity, transparency and efficient modalities of
prior consultancy of the Parliaments, which will lead
to the acceptance of common politics of the
European Union.
The Italian position is detailed by accessing the
following aspects: the extension of the European
Union, applying the principal of strengthened
cooperation, the process of decision-making and the
debate structure about the new Europe.
In the Italian officials' opinion, the enlargement is,
really, the most efficient policy of regional
stabilization, which will be implemented by the
European Union, exercising a fundamental influence
in realizing an intern reform, in the same time.
The necessity of applying the principle the
strengthened cooperation is the suggestive modality
argued by presenting an example, about controlling
the immigration phenomena. In order to realize it, a
coordination of the national politics is required.
Creating an efficient politic requires a harmony
between the European politics (as in the asylum
policy) and the national politics, in connection with
the work force market and the decisions of
repatriating to the home country.
The same principle apply to a fight against illegal
emigration, the problem which solution is found in
the inter-governmental cooperation and harmony at
communitarian level. In the case of foreign politics
and of commune security it appears the same
phenomenon.

La nivelul politicilor, Suedia subliniaz necesitatea


coordonrii politicii externe n vederea prevenirii
conflictului armat. n privina politicilor de mediu,
este important asigurarea unui cadru de dezvoltare
durabil a strategiilor. n domeniul drepturilor
omului, clauzele hotrrilor adoptate de Uniunea
European i de rile din lumea a treia vor fi aplicate
n situaiile specificate n cadrul acestora.
Estonia susine echilibrul n sistemul de votare din
Parlament, afirmnd c votul estonian trebuie s aib
aceeai greutate ca i votul german. Punctul de
vedere maltez susine ca ar trebui sa aib acelai
numr de voturi ca Marea Britanie. Puterea legislativ
trebuie s fie susinut de o capacitate executiv
eficient. Pentru a fi luat n considerare candidatura
preedintelui Comisiei Europene, el trebuie s fie
propus de un numr de 25-30 de senatori.
Pentru a fi ales, acesta ar trebuie s fie susinut de
50%+1 voturi din Senat. n atribuiile preedintelui
Comisiei intr desemnarea comisarilor, reprezentani
ai fiecrei ri membre. Tot preedintele Comisiei
alege comisari din rndul senatorilor i i formeaz
propria echip.
Printr-o astfel de reform, statele membre sunt
asigurate ca interesele lor sunt reprezentate n mod
corect.
Polonia exprim punctul propriu de vedere referitor
la restructurarea instituional a Uniunii Europene,
sprijinind ideea crerii unei Europe unite. n ceea ce
privete reformarea Parlamentului European,
susinem necesitatea de a contura n mod clar
viitoarea structur a celei de a doua Camere a
Parlamentului. Legitimitatea democratic ar fi
asigurat i prin posibilitatea ca Parlamentul s dein
dreptul de selecie a membrilor Comisiei Europene,
inclusiv a preedintelui acesteia.
n concluzie se ateapt cooperarea dintre instituiile
naionale i cele comunitare, prin care se va
eficientiza procesul de luare a deciziilor, ntrirea
rolului parlamentelor naionale n procesul de luare a
deciziilor la nivel interstatal.
Romnia nu a privit procesul dificil al redactrii i
negocierii Constituiei ca pe un simplu exerciiu al
statelor membre. Ea a avut statut de observator activ
att n cadrul Conveniei pentru viitorul Europei, ct
i n cadrul Conferinei Interguverna-mentale, iar
deznodmntul corespunde pe deplin ateptrilor
Romniei. Statutul de observator activ a comportat

78

posibilitatea de a-i exprima propria opinie i viziune


n cadrul procesului de reflecie, redactare i
convenire a noii Constituii.
Ca stat membru al UE, Romnia joac un rol
important n cadrul arhitecturii instituionale a UE.
Timp de dou mandate ale Comisiei, Romnia va
avea propriul comisar european. n cadrul
Consiliului, forul legislativ al UE, Romnia ocup
locul 7 ca putere de influenare a deciziilor. n ceea
ce privete Parlamentul European, Romnia
beneficiaz de 35 de mandate de europarlamentari. Dup 2009, acest numr va fi
modificat printr-o redistribuire a numrului de locuri
alocat fiecrei ri.
Romnia este semnatar al Actului Final al Conferinei
Interguvernamentale.

In conformity with the Spain's opinion, regarding to


reorganization of the European Commission and the
European Council, renouncing at a commissar can be
compensated by obtaining an adequate weighting of
the votes in Council. An important aspect of
reorganizing the European Parliament would be the
introducing of some committees, aiming to make its
activity more efficient.
At the policy level, Sweden underlines the necessity
of coordinating the external policy preventing from
armed conflict. Regarding the environment politics, it
is important to ensure a durable development of the
strategies frame. In the human rights domain, the
clauses of the decisions adopted by European Union
and the countries from the third World will be
applied in the situations mentioned in their
framework.
Estonia sustains the equilibrium in the voting system
of the Parliament, affirming that the Estonian vote
must have the same weight as the German vote. The
same, Malta should have the same number of votes as
Great Britain. The legislative power must be
sustained by an efficient executive capacity. To be
taken into consideration the aspiration of the
president of the European Commission, he must be
proposed by 25-30 senators. To be elected, he must
be sustained by 50% +1 votes from the Senate. The
Commission's President attributions imply the
designation of the commissars, representatives of
each member state. In addition, the Commission
Presidents chooses commissars from 45 senators and
forms his own team. By this kind of reform, the
member states are assured that their interests are
correctly represented .
Poland expresses its own point of view referring to the
European Union institutional reorganization,
supporting the idea of creating a unified Europe.
About the reorganization of the European
Parliament, it is underlined the necessity of showing
clearly the future structure of the second Parliament
Chamber. Democratic legitimacy would be assured
also by the possibility for the Parliament to detain the
selection right of the European Commission
members, including its president.
In conclusion we show that the cooperation between
the national and communitarian institutes is
expected, which will make more efficient the process
of decisions making, strengthening the national
parliament's role in the process of taking decisions at

79

interstate level. Romania have never looked at the


difficult process of elaborating and negotiating the
Constitution as a simple practice of the Member
States. Romania had the status of an active observer
both in the Convention for Europe`s future and the
Intergovernmental Conference and the final
outcome to corresponds to Romania`s expectations.
The active observer status allowed the possibility to
express your own opinion and vision in the reflection,
elaboration and negotiation process of the
Constitution.
As an EU State member, Romania plays an important
role within the institutional architecture of the EU.
During two mandates of the Commission, Romania
will have its own European Commissioner. Within the
Council, the legislative EU forum, Romania is on the
7th place, in terms of power to influence decision making. Regarding the European Parliament,
Romania has 35 euro-parliamentary seats. After
2009, this number will be modified by a
redistribution of seats allocated to each country.
Romania has signed the Final Act of the
Intergovernmental Conference.

NOUA REGLEMENTARE
A INSOLVENEI (II)
126

126
Carmen BLTRESCU

Rezumat
Principala lege n privina falimentului Legea nr.64/1995 privind reorganizarea judiciar i procedura
falimentului a fost nlocuit de o lege modern, n concordan cu legislaia european referitoare la procedurile
de insolven. Ca rspuns la criticile formulate n Rapoartele Comisiei Europene referitoare la Romnia din anii
2004 i 2005, prin care se observa c sistemul nostru legal nu avea mecanisme eficiente de pia, Parlamentul
Romniei a adoptat Legea insolvenei nr. 85/2006, publicat n Monitorul Oficial nr. 359/21.04.2006, care a
intrat in vigoare la 20 iulie 2006. Prevederile acestei legi asigur o mai bun protecie a creditorilor i ofer o
modalitate mai rapid de recuperare a creanelor, n cadrul supervizrii juridice a managementului insolvenei.
Cuvinte cheie: insolven, judector sindic, administrator judiciar, lichidator, comitetul creditorilor.

Adoptarea i intrarea n vigoare a legii insolvenei a


constituit un argument n ncercarea de prezentare a
principalelor reglementri regsite n cuprinsul
noului act normativ. Dac n numrul 3/2006 al
revistei au fost prezentate cteva aspecte legate de
aplicabilitatea legii, judectorul sindic, adunarea
creditorilor, administratorul special, administratorul
judiciar i lichidatorul, vom ncerca s prezentm pe
parcursul acestui articol o serie de elemente
referitoare la procedura insolvenei.

II. Deschiderea procedurii la solicitarea


debitorului
Iniiatorul procedurii poate fi, prin adresarea unei
cereri ctre instan, debitorul aflat n stare de
insolven sau cel n situaia iminent de insolven.

Procedura insolvenei nu poate fi declanat din


oficiu dect de instana judectoreasc, ci numai de
acele persoane care au interes direct, prevzute
expres de dispoziiile legii. Procedura va fi nceput la
tribunal, prin introducerea unei cereri de ctre
debitor sau de ctre creditori, precum i de orice alte
persoane sau instituii prevzute expres de lege.

Cererea debitorului trebuie s fie nsoit de nscrisuri


doveditoare, printre care i o declaraie pe propria
rspundere autentificat de notar sau certificat de
avocat, din care s rezulte c nu a fost condamnat
definitiv pentru fals ori pentru infraciunile prevzute
n Legea concurenei nr. 21/1996 i din care s
rezulte c administratorii, directorii i/sau asociaii, la
rndul lor, nu au fost condamnai definitiv pentru
bancrut frauduloas, gestiune frauduloas, abuz de
ncredere, nelciune, delapidare, mrturie
mincinoas, infraciuni de fals ori infraciunile
prevzute n Legea nr. 21/1996, n ultimii 5 ani
anteriori deschiderii procedurii.

n situaia debitorilor care cad sub incidena


reglementrilor speciale privind piaa de valori,
aflndu-se sub supravegherea Comisiei Naionale a
Valorilor Mobiliare, aceasta poate formula cererea
introductiv.

Termenul de nregistrare a cererii este de 30 de zile


de la apariia strii de insolven, ca fiind momentul
n care debitorul, din datele finaciar-contabile
rezultate din propriile evidene, constat c
disponibilitile sale bneti au devenit insuficiente

I. Procedura insolvenei (continuare)

126

Inspector de concuren, Direcia Juridic Contencios Administrativ.

80

THE NEW REGULATION


ON INSOLVENCY (II)
127

127
Carmen BLTRESCU

Abstract128
The main law in respect of bankruptcy - Law no.64/1995 regarding judicial reorganization and bankruptcy
procedure has been replaced by a modern law, in line with the European legislation regarding insolvency
procedures. In response to the criticism displayed in the European Commission's Reports on Romania of 2004
and 2005, observing that the legal Romanian system had no efficient market exit mechanisms, the Parliament of
Romania adopted Insolvency Law no.85/2006, published in the Official Gazette no.359/21.04.2006, which
came into force on the 20th of July 2006. The procedures provided by this law emphasize a better creditor
protection and offer a faster way of debts recovery within a judicial supervision of the insolvency management.
Keywords: insolvency, syndic judge, judicial administrator, liquidator, committee of creditors.

The adoption and the entering into force of the


Insolvency Law were the reasons for this attempt to
present the main provisions of the new normative
act. While in the issue no.3/2006 of the magazine
there were presented a few topics related to the
applicability of the law, the syndic judge, the
committee of creditors, the liquidator and the judicial
administrator, this article will present certain
elements regarding the insolvency procedure.
I. Insolvency procedure (continuation)
The insolvency procedure cannot be opened exofficio by a court but only by the persons having a
direct interest, expressly mentioned by the law. The
starting point of the procedure will begin by the
tribunal, after a request is submitted by the debtor or
by other creditors, as well as by any other person or
institution explicitly mentioned by the law.
In case of debtors falling under the special regulations
regarding the securities market, and thus being under
the supervision of the National Securities
Commission, the latter may formulate the
introductive request.

127
128

Competition inspector, Legal Directorate, Competition Council.


Translated into English by Ioan D.Popa.

81

II. Opening the procedure at the debtor's request


By submitting a request to the court, the initiator of
the procedure may be the debtor which is in a state of
insolvency or in the situation of imminent insolvency.
The request of the debtor must have annexed
relevant substantiating evidence, among which a
statement under his own responsability,
authenticated by a lawyer or certified by a notary,
attesting that the debtor has not been previously
convicted definitively for false or for criminal offences
provided by Law no.21/1996. The statement must
also show that the administrators, directors and/or
their associates have not been convicted definitively
for fraudulent bankruptcy, fraudulent management,
abuse of trust, deceit, embezzlement, false
testimony, criminal offences involving the use of false
or for the criminal offences mentioned by Law no.
21/1996, in the last 5 years before opening the
procedure.
The time limit for registering the request is of 30 days
from the occurence of the state of insolvency, as the
moment when the debtor comes to the conclusion

pentru plata datoriilor certe, lichide i exigibile, care


au o vechime mai mare de 30 de zile, indiferent de
natura lor fiscal, comercial, sau civil.
n cazul neintroducerii cererii de deschidere a
procedurii insolvenei sau introducerii tardive,
respectiv, dup ce au trecut 6 luni de la mplinirea
termenului de 30 de zile, fapta constituie
infraciunea de bancrut simpl, pedepsit de
legea penal. Pe de alt parte i introducerea
prematur a cererii, dac este fcut cu rea credin,
este sancionat de lege prin antrenarea rspunderii
patrimoniale a debitorului, persoan juridic sau
fizic, pentru repararea prejudiciului cauzat.

III. Deschiderea procedurii la solicitarea


creditorului
Un creditor este ndreptit s solicite deschiderea
procedurii insolvenei dac are o crean cert,
lichid i exigibil cu o vechime mai mare de 30 de
zile, n suma de peste 10.000 RON. Cererea
creditorului va fi comunicat debitorului n regim de
urgen, respectiv n termen de 48 de ore de la
nregistrare, pentru ca debitorul, n termen de 10 zile
s recunoasc starea de insolven sau s o conteste.
Repingerea contestaiei
conduce la pierderea
dreptului debitorului la reorganizare judiciar.

Debitorului nu i este pus la dispoziie posibilitatea


de a alege asupra tipului procedurii de soluionare
a cererii. Indiferent de dorina sa, cererea va fi
supus procedurii simplificate, dac debitorul se
ncadreaz n una dintre urmtoarele categorii:
a) este comerciant persoan fizic, acionnd
individual;
b) este asociaie familial;
i ndeplinete una dintre urmtoarele condiii:
1. nu deine nici un bun n patrimoniul su;
2. actele constitutive sau documentele contabile nu
pot fi gsite;
3. administratorul nu poate fi gsit;
4. sediul nu mai exist sau nu corespunde adresei din
registrul comerului;
d) nu prezint n termenul legal documentele
necesare pentru procedura de reorganizare
judiciar;
e) este comerciant dizolvat anterior formulrii
cererii introductive;
f) este comerciant nendreptit s beneficieze de
procedura de reorganizare judiciar.

Deschiderea procedurii presupune:


Desemnarea administratorului judiciar sau a

lichidatorului;
Obligarea debitorului s depun documente i s

furnize informaii;
Suspendarea proceselor contra averii debitorului

precum i a procedurilor de executare silit;


Notificarea procedurii de deschidere;

Continuarea furnizrii serviciilor ctre debitor;

Suspendarea cursului prescripiei;

Anchetarea creanelor negarantate;

Indisponibilizarea prilor sociale sau aciunilor;

Nulitatea actelor debitorului efectuate dup data

deschiderii procedurii;
Ridicarea dreptului de administrare;

Compensarea creanelor;

Reconsitutuirea documentelor debitorului;

Adoptarea hotrrii adunrii creditorilor privind

intrarea n faliment.

n alte situaii, prin ncheiere judecatoreasc,


judectorul sindic129 va dispune deschiderea
procedurii generale, care va fi notificat dndu-se un
termen de 15 zile, pentru a se putea formula
opoziii.

n urma deschiderii procedurii, administratorul


judiciar va trimite o notificare tuturor creditorilor
menionai n lista depus, ori, dup caz, debitorului
i oficiului registrului comerului sau, dup caz,
registrului societilor agricole sau altor registre unde
debitorul este nmatriculat/nregistrat, pentru
efectuarea meniunii privind deschiderea procedurii
insolvenei.

Opoziiile se soluioneaz de ctre judectorul sindic


cu citarea administratorului judiciar, a debitorului i a
creditorilor oponeni. n situaia n care n termen de
15 zile nu s-au formulat opoziii, judectorul sindic
va dispune continuarea procedurii.

129

IV. Primele msuri de realizat n prealabil

Cu excepia salariailor ale cror creane vor fi


nregistrate de administratorul judiciar conform

Judectorul sindic este magistratul care, potrivit legii, are atribuii de a soluiona n materie de insolven, faliment.

82

that, based on its financial and accounting data, its


cash liquidity has become insufficient for covering
certain liquid and exigible debts, overdue for more
than 30 days, irrespectively of their fiscal,
commercial or civil nature.
In case of submitting the request for the opening of
the procedure or submitting it tardy- after 6 months
from the end of the 30 days time limit - is considered
criminal offence of simple bankruptcy and it is
punished by the criminal law. On the other hand, the
premature submission of the request made in bad
faith is sanctioned by the law through invoking the
patrimonial responsibility of the debtor (legal or
natural person) in order to cover the damage.
The debtor does not have the possibility choose the
type of the procedure for solving the request.
Regardless its wish, the request will follow the
simplified procedure if the debtor can be included in
one of the subsequent categories:
a) is a natural person merchant, acting individually;
b) is a familial association;
and fulfils the following conditions:
1. its patrimony includes no asset;
2. the constitutive acts and the accounting
documents are not to be found;
3. the administrator cannot be found;
4. the address of the headquarter is no longer valid or
does not correspond to the addresses from the trade
register;
d) does not submit within the legal time the necessary
documents for the judicial reorganization procedure;
e) is a dissolved merchant before the moment of
formulating the request;
f) is a merchant unentitled to benefit from the
judicial reorganization procedure.
In other situations, by the decision of the court, the
syndic judge130 will order the opening of the general
procedure which will be notified. Oppositions may
be formulated for a period of 15 days.
The oppositions within are solved by the syndic
judges through summoning the judicial
administrator, the debtor and the opponent
creditors. If within the 15 days time limit not
opposition was not formulated, the syndic judge will
order the continuation of the procedure.

130

III. Opening of the procedure at the creditor's


request
A creditor will be entitled to request the opening of
the insolvency procedure if it has to recover a certain
liquid and exigible debt, older than 30 days and in
quantum of more than RON 10,000. The request of
the debtor will be communicated urgently to the
debtor, namely within 48 hours from the registration
date, in order for him to recognize or to contest the
situation of insolvency within a 10 days time limit. If
the contestation is rejected the debtor loses its right to
judicial reorganization.
The opening of the procedure includes:
Designation of the judicial administrator or of the

liquidator;
Forcing the debtor to submit documents and to

supply information;
Suspension of the legal trials against the debtor's

fortune, as well as the forced execution procedures;


Notification of the opening procedure;

Continuation of the supply of services by the

debtor;
Suspension of the statute of limitation;

Inquiring the non-guaranteed receivable debts;

Making unavailable the social parts and shares;

Nullity of the debtor's acts carried out after the

opening of the procedure;


Withdrawal the right of administration;

Compensating the receivable debts;

Reconstituting the debtor's documents;

Adopting the decision of the committee of

creditors regarding the entering into bankruptcy.


IV. Preliminary measures
Following the opening of the procedure, in order for
it to be explicitly mentioned in the trade registry, the
judicial administrator will transmit a notification, to:
all the creditors mentioned by the submitted list, the
debtor and the trade registration office, the register of
the agricultural undertakings, other registers where
the debtor is registered.
With the exception of the employees having
receivable debts - which are registered by the judicial
administrator -, all the other creditors with receivable

The syndic judge is the magistrate who, according to the law, has attributions in deliberating within insolvency cases, bankruptcy.

83

evidenelor contabile, toi ceilali creditori, ale cror


creane sunt anterioare datei de deschidere a
procedurii, vor depune cererea de admitere a
creanelor n termenul prevzut de sentina prin
care s-a dispus deschiderea procedurii; cererile de
creane vor fi nregistrate ntr-un registru, care se va
pstra la grefa tribunalului.
Creanele nescadente sau cele aflate sub condiie la
data deschiderii procedurii vor fi admise provizoriu la
masa credal i vor putea s participe la distribuiri de
sume n msura ngduit de prezenta lege. Sunt
considerate sub condiie i acele creane care pot fi
valorificate mpotriva debitorului numai dup
executarea unui codebitor principal.
Posesorii de titluri de valoare la ordin sau la purttor
pot solicita administratorului judiciar restituirea
titlurilor originale i pstrarea la dosar a unor copii
certificate de acesta. n acest sens, administratorul
judiciar va face meniunea prezentrii titlului chiar
pe exemplarul original al titlului. Originalele vor fi
prezentate din nou la orice repartiie de sume ntre
creditori, precum i la exercitarea votului n adunarea
general a creditorilor.
Nu sunt supuse acestei proceduri creanele bugetare
rezultnd dintr-un titlu executoriu necontestat n
termenele prevzute de legi speciale. Creanele
negarantate i prile negarantate ale creanelor
garantate care nu sunt scadente la data nregistrrii
cererii de admitere vor fi nscrise n tabelul de creane
cu ntreaga lor valoare, ns, n cursul falimentului,
orice distribuire de sume pentru astfel de creane se
va face cu respectarea dispoziiilor din lege.
Creanele constnd n obligaii care nu au fost
calculate n valoare monetar sau a cror valoare este
supus modificrii vor fi calculate de ctre
administratorul judiciar sau lichidator i vor fi nscrise
n tabelul de creane menionndu-se valoarea
nominal pe care o aveau la data deschiderii
procedurii.
Creantele exprimate sau consolidate n valut vor fi
nregistrate la valoarea lor n lei, la cursul Bncii
Naionale a Romniei existent la data deschiderii
procedurii.
Un creditor care, nainte de nregistrarea unei cereri
de admitere, a primit o plat parial pentru creana
sa de la un codebitor sau de la un fidejusor al

131

debitorului131, va avea creana nscris n tabelul de


creane numai pentru partea pe care nu a ncasat-o
nc. Ca rezultat al verificrilor fcute, administratorul judiciar sau lichidatorul va ntocmi i va
nregistra la tribunal un tabel preliminar cuprinznd
toate creanele mpotriva averii debitorului,
preciznd c sunt: chirografare, garantate, cu
prioriti, sub condiie sau nescadente i artnd
pentru fiecare numele sau denumirea creditorului,
suma solicitat de creditor i suma acceptat de
administratorul judiciar.
La termenul stabilit prin sentina de deschidere a
procedurii pentru definitivarea tabelului de creane,
judectorul-sindic va soluiona deodat, printr-o
singur sentin, toate contestaiile, chiar dac pentru
soluionarea unora ar fi nevoie de administrare de
probe; n acest din urm caz, judectorul-sindic
poate s admit, n tot sau n parte, creanele, n mod
provizoriu, la masa credal, att n ceea ce privete
deliberrile, ct i repartiiile.
Dac se admite creana far dreptul de preferin132
pretins, aceasta va participa la repartiiile sumelor
obinute din valorificarea bunurilor negrevate de
garanii. Dup ce toate contestaiile la creane au fost
soluionate, administratorul judiciar sau lichidatorul
va nregistra imediat la tribunal tabelul definitiv al
tuturor creanelor mpotriva averii debitorului,
artnd suma, prioritatea i situaia garantat sau
negarantat a fiecrei creane i se va ngriji ca acesta
s fie afiat la sediul tribunalului. Dup nregistrarea
tabelului definitiv, numai titularii creanelor
nregistrate n tabelul definitiv pot s participe la votul
asupra planului de reorganizare sau la orice repartiii
de sume n caz de faliment n procedura simplificat.
Dup expirarea termenului de depunere a
contestaiilor i pn la nchiderea procedurii, orice
parte interesat poate face contestaie mpotriva
trecerii unei creane sau a unui drept de preferin n
tabel definitiv de creane, n cazul descoperirii
existenei unui fals sau unei erori eseniale care au
determinat admiterea creanei sau a dreptului de
preferin, precum i n cazul descoperirii unor titluri
hotrtoare i pn atunci necunoscute.
Cu excepia cazului n care notificarea deschiderii
procedurii s-a fcut cu nclcarea dispoziiilor din
lege, titularul de creane anterioare deschiderii
procedurii, care nu depune cererea de admitere a

Fidejusor este persoana care se oblig s garanteze fa de creditor executarea obligaiunii de care este inut debitorul, n cazul cnd
acesta nu o ndeplinete; n vechiul drept romnesc se numea cheza.
132
Facilitate ce ngduie unui creditor de a fi pltit din vnzarea unui anumit bun cu preferin fa de creditorii chirografari.

84

debts before the date of the opening of the procedure


will submit, within the time limit provided by the
legal sentence ordering the opening of the
procedure, a request for admission of the
receivable debts; these requests will be recorded
into a register which will be kept at the court's greffe.
The overdue receivable debts or the ones
conditioned by the date of the opening of the
procedure will be admitted into the total receivable
debt on a provisional basis and they may constitute
the object of payments, as permitted by the law. The
receivable debts which can be recovered from the
debtor only after executing a main co-debtor are also
considered to be under condition.
The owners of registered or bearer securities may
request to the judicial administrator to restitute the
original securities and to keep copies certified by him
within the file. Thus, the judicial administrator will
record the act of presenting the securities on the
original copies. The original copies will be also
presented at every repartition of sums between
creditors, as well for every vote proceeding within the
general committee of creditor.
The budgetary receivable debts resulted from an
uncontested writ of execution provided by special
laws do not fall under this procedure. The nonguaranteed receivable debts and the non-guaranteed
parts of the guaranteed receivable debts not payable
at the date of registering the admission request will be
recorded in the table of receivable debts at their full
value. However, during the bankruptcy procedure
any sums distribution for such receivable debts is
going to be undertaken as mentioned by the law.
The receivable debts representing obligations which
have not been calculated at the monetary value or of
which value may be changed will be computed by
the judicial administrator or by the liquidator and will
be recorded in the table of receivable debts by
mentioning their nominal value from the opening of
the procedure.
The receivable debts established or consolidated in
foreign currency will be registered at their ROL value
taking into consideration the exchange rate
communicated by the Romanian National Bank at
the date the procedure was opened.
For a creditor which has received from a co-debtor or
from a warrantor of the debtor133 a partial payment
in respect of its receivable debt before registering a

133

request, the receivable debt will be recorded in the


table of receivable debts only as regards the part the
creditor hasn't collect it already. As a result of the
verifications carried out, the judicial administrator or
the liquidator will draft and register to the court the
preliminary table comprising all the receivable debts
to be obtained from the debtor's fortune, by
mentioning they are: chirographers, guaranteed,
with priorities, under condition or not overdue and
by stipulating for each one the name of the creditor,
the requested sum by the creditor and the amount
accepted by the judicial administrator.
At the judgment session concerning the finalization of
the table of receivable debts, which has been
established by the sentence for opening the
procedure, all contestations will be solved by only
one sentence issued by the syndic judge even if this
would involve the administration of evidences; in the
latter case the syndic judge may temporarily admit,
partially or totally, the receivable debts as being part
of the total debt, as regards the deliberations, as well
as the repartitions.
If the receivable debt without the pretended
preference right134 is admitted, it will be used within
the repartitions of the sums obtained by capitalizing
the assets which are not object of guarantees. After all
the contestations concerning receivable debts were
solved, the judicial administrator or the liquidator will
immediately register at the court the final table of all
receivable debts to be obtain from the debtor's
fortune, by mentioning the sum, the priority and the
situation of guaranteeing or non-guaranteeing each
receivable debt. Also, he will make ensure that the
table is going to be advertise within the court's
headquarter. After registering the final table, only the
owners of the receivable debts registered in the final
table are able to attend the final vote over the
reorganization plan or to participate within any sum
repartitions in case of bankruptcy under the
simplified procedure.
After the time limit for submitting contestations
expired and until the procedure is closed, any
interested party may contest the introduction of a
certain receivable debt or of a preference right in the
final table of receivable debts. This provision is
applicable in the case of discovering a false or a
significant error allowing the admission of the
receivable debt or of the preference right, as well as in
the case of discovering certain crucial securities
unknown until that moment.

The person taking the responsibility to guarantee in front of the creditor the execution of the debtor's obligation when the debtor does
nor respect it; the old Romanian law mentions it as guarantor.
134
Facility permitting a creditor to be paid as result of the sell of a certain asset, in a preference manner compared to the chirographer
creditors.

85

creanelor pn la expirarea termenului, va fi


deczut n ceea ce privete creanele respective, din
urmtoarele drepturi:

dreptul de a participa i de a vota n cadrul adunrii


generale a creditorilor;

dreptul de a participa la distribuirile de sume n


cadrul reorganizrii i falimentului;

dreptul de a-i realiza creanele mpotriva


debitorului sau a membrilor ori asociailor cu
rspundere nelimitat a persoanei juridice debitoare,
ulterior nchiderii procedurii, sub rezerva ca
debitorul s nu fi fost condamnat pentru bancrut
simpl sau frauduloas ori s nu i se fi stabilit
rspunderea pentru efectuarea de pli ori transferuri
frauduloase.
Decderea va putea fi invocat oricnd, de orice
parte interesat, pe cale de aciune sau excepie.
V. Reorganizarea i procedura planului
n vederea reorganizrii, judectorul sindic poate
admite un plan care poate fi de restructurare i de
continuare a activitii sub supravegherea
administratorului judiciar sau de lichidare a
bunurilor care compun averea debitorului sau o
variant de plan constnd n combinaia acestora.
Procedura planului cuprinde anumite etape
obligatorii a fi parcurse: propunerea planului,
publicarea i notificarea, pronunarea hotrrii de
ctre judectorul sindic, votarea de ctre adunarea
general a creditorilor i confirmarea de ctre
judectorul sindic.
Potrivit legii, urmtoarele categorii de persoane vor
putea propune un plan de reorganizare:

debitorul, cu aprobarea adunrii generale a


acionarilor/asociailor, n termen de 30 de zile de la
afiarea tabelului definitiv de creane, cu condiia
formulrii inteniei de reorganizare, dac procedura
a fost declanat de acesta;

administratorul judiciar, de la data desemnrii sale


i pn la mplinirea unui termen de 30 de zile, care
curge de la data afirii tabelului definitiv de creane,
cu condiia ca acesta s-i fi manifestat o astfel de
intenie pn la votarea raportului prevzut de lege;

unul sau mai muli creditori care i-au anunat


aceast intenie pn la votarea raportului prevzut
de lege, care dein mpreun cel putin 20% din
valoarea total a creanelor cuprinse n tabelul
definitiv de creane, n termen de 30 de zile de la data
afirii tabelului definitiv de creane.

86

Planul de reorganizare trebuie s prevad


urmtoarele:

indicarea perspectivelor de redresare n raport cu


posibilitile i specificul activitii debitorului, cu
mijloacele financiare disponibile i cu cererea pieei
fa de oferta debitorului;

programul de plat a creanelor;

msurile adecvate pentru punerea sa n aplicare;

instituirea n sarcina debitorului a obligaiei de a


consulta creditorii atunci cnd se prevede
participarea lor la realizarea planului.
Dup admiterea planului, judectorul-sindic va
dispune administratorului judiciar convocarea
adunrii generale a creditorilor i a debitorului ntrun termen cuprins ntre 20 i 25 de zile, dar nu mai
nainte de afiarea tabelului definitiv de creane.
Activitatea debitorului intr n reorganizare n
momentul cnd sentina care confirm un plan intr
n vigoare. n urma confirmrii unui plan de
reorganizare, debitorul i va continua activitatea sub
supravegherea administratorului judiciar cu obligaia
conformrii planului respectiv, pn cnd vor fi
ntrunite suficiente motive ca judectorul-sindic s
dispun fie ncheierea procedurii insolvenei i luarea
tuturor msurilor pentru revenirea debitorului la o
activitate comercial normal, fie ncetarea
reorganizrii i trecerea la faliment.
n acest scop, n sarcina debitorului se instituie
obligativitatea prezentrii n faa comitetului
creditorilor de rapoarte trimestrale privind situaia
financiar a averii sale. n acest mod, creditorii
controleaz stricta respectare a planului, astfel nct
dup caz, au posibilitatea s propun n timp util alte
msuri de ncadrare n plan sau de trecerea la
faliment.

VI. Falimentul
Judectorul-sindic va decide, prin sentin sau prin
ncheiere intrarea n faliment. Prin hotrrea de
intrare n faliment, judectorul-sindic va pronuna
dizolvarea societii debitoare, urmat de o
procedur practic care se desfoar la sediile
debitorului, constnd n punerea de sigilii la
magazinele, magaziile, depozitele, birourile, arhiva,
sistarea corespondenei comerciale, nghearea
dispozitivelor de stocare i prelucrare a informaiei,
ncetarea contractelor, precum i sigilarea mrfurilor
i a oricror altor bunuri mobile aparinnd averii

Excepting the case when the notification regarding


the opening of the procedure has been carried out by
infringing the law provisions, the owner of the
receivable debts registered before the opening of the
procedure who does not submit the request
regarding the admission of its receivable debts within
the required time limit will loose the following related
rights:

right to attend and vote within the general


committee of creditors;

right to participate within the distribution of sums in


the process of reorganization and bankruptcy;

right to recover its receivable debts from the debtor


or from the members/associates with unlimited
responsibility of the legal person debtor - after the
closing of the procedure and under the condition
that, in the past, the debtor has not been convicted
for simple or fraudulent bankruptcy or that it has not
been found responsible for fraudulent transfers or
payments.
Any interested party may invoke, at anytime, the loss
of these rights, by means of action or exception.
V. Reorganization and the procedure of the plan
For the reorganization, the syndic judge may admit a
plan of restructuring and of prolongation of the
activity under the supervision of the judicial
administrator or a plan for liquidating the assets
composing the debtor's fortune or an alternative plan
representing a combination of these.
The procedure concerning the plan has certain
compulsory steps: the proposal of the plan, the
publishing and the notification, the sentence of the
syndic judge, the vote of the general committee of
creditors and the confirmation of the syndic judge.
According to the law, the following categories of
persons may propose a reorganization plan:

the debtor, with the approval of the general


assembly of shareholders/associates within 30 days
from advertising the final table of receivable debts,
under the condition that the intention of
reorganization was formulated - if the procedure was
opened by the debtor;

judicial administrator, after the moment of his


designation and within 30 days from advertising the
final table of receivable debts, under the condition
that the judicial administrator has announced this
intention until the vote for the report mentioned by
the law;
within 30 days from advertising the final table of

the receivable debts, one or more creditors which


announced their intention until the vote for the

87

report mentioned by the law and which have at least


20% of the total value of the receivable debts
compromised by the final table of the receivable
debts.
The reorganization plan must provide:

the probability of recovery, taking into


consideration the resources and the specific activity
of the debtor, the available financial means and the
market demand compared to the debtor's offer;

the payment program of the receivable debts;

the appropriate measures for implementing the


payment program;

the obligation of the debtor to consult its creditors


when theirs participation at implementing the plan is
provided.
After the plan's admission, the syndic judge will order
to the judicial administrator to convoke the general
committee of creditors and the debtor in a time limit
between 20 and 25 days, but not before advertising
the final table of receivable debts.
The reorganization process of the debtor's activity
begins when the sentence confirming a plan enters
into force. Following the confirmation of a
reorganization plan, the debtor will continue its
activity under the supervision of the judicial
administrator with the obligation to confirm the
respective plan until the syndic judge will have
enough grounds to order either the conclusion of the
insolvency procedure and the implementation of all
the necessary measures for the recover of the debtor,
either the conclusion of the reorganization and the
entering into bankruptcy.
In this view the debtor is beholden to present before
the committee of creditors quarterly reports
regarding the financial situation of its fortune. As a
result, the creditors have control over the strict
observance of the plan, thus having the possibility to
propose within the required time other measures to
be included in the plan or the entering into
bankruptcy, by case.
VI. Bankruptcy
The syndic judge will decide by sentence or by
resolution the entering into bankruptcy. By the
bankruptcy decision, the syndic judge will sentence
the dissolution of the debtor undertaking, followed
by a practical procedure undertaken at the
headquarters of the debtor consisting of sealing the

debitorului. Lichidarea bunurilor din averea


debitorului va fi efectuat de lichidator sub controlul
judectorului-sindic. Fondurile obinute din
vnzarea bunurilor debitorului, se distribuie ntr-o
ordine de prioriti n favoarea creditorului de
ipoteci, gajuri sau alte garanii reale mobiliare ori
drepturi de retenie de orice fel.

VII. nchiderea procedurii


n virtutea prevederilor legii, n orice stadiu al
procedurii, dac se constat c nu exist bunuri n
averea debitorului ori c acestea sunt insuficiente
pentru a acoperi cheltuielile administrative i nici un
creditor nu se ofer s avanseze mijloacele bneti
necesare, judectorul-sindic va putea pronuna o
sentin de nchidere a procedurii, prin care se va
dispune i radierea debitorului din registrul unde a
fost nmatriculat.
De asemenea i n situaia n care creanele au fost
complet acoperite prin distribuirile operate,
judectorul-sindic va pronuna o sentin de
nchidere a procedurii falimentului i de radiere a
debitorului din registrul unde a fost nmatriculat.
VIII. Rspunderea membrilor organelor de
conducere
Legea confer posibilitatea judectorului-sindic ca, la
cererea administratorului judiciar sau a
lichidatorului, s dispun antrenarea rspunderii
materiale, n sensul c o parte a pasivului debitorului
persoan juridic, ajuns n stare de insolven, s fie
suportat de membrii organelor de supraveghere din
cadrul societii sau de conducere, precum i de
orice alt persoan care a cauzat starea de insolven
a debitorului, prin una dintre urmtoarele fapte:

au folosit bunurile sau creditul persoanei juridice n


folosul propriu sau n cel al unei alte persoane;

au fcut acte de comer n interes personal, sub


acoperirea persoanei juridice;

au dispus, n interes personal, continuarea unei


activiti care ducea persoana juridic n mod vdit la
ncetarea de pli;

au inut o contabilitate fictiv, au fcut s dispar

unele documente contabile sau nu au inut


contabilitatea n conformitate cu legea;

au deturnat sau au ascuns o parte din activul


persoanei juridice ori au mrit n mod fictiv pasivul
acesteia.
IX. Infraciuni i pedepse
Ca un aspect general, trebuie artat c infraciunile
prevzute de legea insolvenei se judec n prim
instan de tribunal, cu meniunea c judecata se
face cu celeritate135. nsuirea, folosirea sau traficarea
de ctre administratorul judiciar ori lichidatorul averii
debitorului, precum i de orice reprezentant sau
prepus al acestuia de bani, valori ori alte bunuri pe
care le gestioneaz sau le administreaz, constituie
infraciunea de delapidare i se pedepsete cu
nchisoare de la un an la 15 ani i interzicerea unor
drepturi.
Potrivit legii, neintroducerea sau introducerea
tardiv, de ctre debitorul persoan fizic ori de
reprezentantul legal al persoanei juridice debitoare,
a cererii de deschidere a procedurii n termen,
respectiv care depete cu mai mult de 6 luni
termenul iniial de 30 de zile, constituie infraciunea
de bancrut136, care se pedepsete cu nchisoare de
la 3 luni la un an sau cu amend penal. n situaia
faptei mai grave de bancrut, respectiv cea de
bancrut frauduloas137, sanciunea cu nchisoare
este mai sever: de la 6 luni la 5 ani.
Cu noutile aduse legii insolvenei, s-a urmrit
acordarea de protecie creditorilor i, totodat,
posibilitatea implicrii lor directe n procedurile de
valorificare a potenialului debitorului i a averii
acestuia, precum i mai mult transparen prin
procedurile de notificare i publicitate, respectiv
nfiinarea Buletinului Procedurilor de Insolven,
publicaie editat de Oficiul Naional al Registrului
Comerului, accesibil inclusiv pe internet.

135
Celeritatea este conferit unor proceduri speciale, nsemnnd o soluionare mai rapid, cu termene de judecat mai scurte dect n
alte cauze.
136
Bancruta este infraciunea economic constnd n acte i fapte caracterizate de nereguli financiare, neglijen sau impruden,
debitorul ajungnd n incapacitate de plat n dauna creditorilor.
137
Bancruta frauduloas este infraciunea economic complex constnd n acte i fapte svrite cu rea credint, de natur s conduc
n mod intenionat la incapacitate de plat n scopul eludrii obligaiilor datorate creditorilor.

88

stores, the deposits, the offices, the archive, stopping


the commercial correspondence, blocking the use of
the devices for data stocking and processing,
stopping the contracts, as well as sealing the goods
and any other mobile goods belonging to the debtor's
fortune. The liquidation of the assents belonging to
the debtor's fortune will be carried out by the
liquidator under the control of the syndic judge. The
funds obtained from selling the debtor's assets are
distributed taking into consideration a certain order
of priorities favoring the creditors related to
mortgage, gage or other real-estate guarantees or any
other retention rights.
VII. Conclusion of the procedure
According to the law, at any step of the procedure, if it
is come to the conclusion that there are no assets in
the fortune of the debtor or if they are insufficient to
cover the administrative expenses and no creditor
offers the necessary financial means, the syndic judge
may pronounce a sentence for closing the procedure.
By this sentence the judge also orders the erase of the
debtor from the register where it has been recorded.
When the receivable debts have been completely
covered by the distributions carried out, the syndic
judge will pronounce a sentence for closing the
procedure and erasing the debtor from the register
where it has been recorded, as well.

VIII. Responsibility of the members of the


management board
At the request of the judicial administrator or of the
liquidator, the syndic judge may order the invocation
of the civil liability. This means that a part of the
liabilities registered by the insolvent debtor will be
beard by the members of the supervision bodies
within the undertaking or by the members of the
management board, as well as by any other person
which has caused the debtor's insolvency, by one of
the following conducts:

they used the goods or the credit of the legal person


in their own interest or in the interest of another
person;
they carried out acts of commerce in their own

138

personal interest, using the name of the legal person;

they ordered, in their own interest, the


prolongation of certain activity clearly leading the
legal person to the payment stop status;

they kept a fictive accounting, they made certain


accounting documents disappear or they didn't kept
the accounting according to the law;

they embezzled or hided part of the assets of the


legal person or they increased fictively its liabilities.
IX. Criminal offences and penalties
As a general rule, the criminal offences provided by
the insolvency law are judged initially by the court,
provided that the judgment is made with celerity138.
Appropriating, using or trafficking the debtor's
fortune, the money or other goods managed by the
judicial administrator, as well as by any representative
or pre-posed of this constitutes criminal offences of
embezzlement and it is punished by prison from one
to 15 years and the interdiction of certain rights.
According to the law, not introducing the request for
opening the procedure in the required time or
introducing it tardy, namely overrunning by 6 months
the initial 30 days, by the natural person debtor or by
the legal representative of the legal person debtor,
constitutes the criminal offence of bankruptcy139. It is
punished by prison from 3 months to one year or by
penal fines. For a more serious bankruptcy,
respectively the fraudulent bankruptcy140, the
sanction is represented by a more severe detention:
from 6 months to 5 years.
By novelties brought to the insolvency law it was
envisaged to allow the creditors to obtain a higher
level of protection, as well as the possibility to be
involved directly within the procedure regarding the
capitalization of the debtor's economic potential and
fortune. In the same time, the level of transparency
regarding the advertising and notification procedures
was increased by establishing The Bulletin of
Insolvency Procedures, which is a publication edited
by the National Office of Trade Register, accessible
also by Internet.

The celerity is granted to certain special procedures, meaning a faster resolving with shorter periods between judgment sessions.
The bankruptcy is the economic crime consisting of acts and deeds characterized by financial embezzlements, neglecting or
imprudence, the debtor reaching the state of incapacity to pay disfavoring the creditors.
140
The fraudulent bankruptcy is the economic crime consisting of acts and deeds carried out in bad faith, designed to intentionally lead to
payment incapacity in order to avoid the obligations owed to creditors.
139

89

ORDONANA DE URGEN NR.128/2006:


UN ACT NORMATIV DISCUTABIL CARE INSTITUIE
NOI MSURI DE NATURA AJUTORULUI DE STAT
141

Jzsef Nndor NEMENYI142


Carmen BUCUR

n ultimele zile ale anului 2006, Guvernul Romniei a


adoptat, prin ordonan de urgen, noi msuri
pentru diminuarea arieratelor bugetare. Potrivit
acestui act normativ, obligaiile fiscale principale ale
unui numr de 34 de societi comerciale cu impact
major economic i social se anuleaz.

Odat cu aderarea Romniei la Uniunea European,


competenele n ceea ce privete autorizarea
ajutoarelor de stat au fost tranferate ctre Comisia
European. De la 1 ianuarie 2007, reglementrile
comunitare n materie de ajutor de stat au devenit
direct aplicabile n Romnia, iar acordarea oricrui
ajutor de stat trebuie s fie, ca regul, precedat de
obinerea unei decizii de autorizare din partea
Comisiei Europene.

Obligaiile fiscale menionate n Ordonana de


urgen nr.128/2006 constau n:

impozite, taxe, contribuii i TVA aferent


obligaiilor bugetare, datorate sau datorate i
amnate;

obligaiile fiscale ctre fondul de risc aferente


mprumuturilor externe garantate sau submprumutate de stat, conform evidenei contabile a
Ministerului Finanelor Publice la data de 31
decembrie 2005, precum i cele amnate conform
actelor normative n vigoare i neachitate pn la
termenele prevzute de prezenta ordonan de
urgen;

obligaiile fiscale accesorii aferente celor


menionate anterior, datorate i neachitate;

ncepnd cu data intrrii n vigoare a ordonanei i


pn la data punerii n aplicare a msurilor, este
suspendat executarea silit a creanelor fiscale fa
de cei 34 de contribuabili menionai n anexa
ordonanei.

n materie de ajutor de stat, prin O.U.G.


nr.117/2006, au fost reglementate procedurile
naionale, n vederea aplicrii art. 87-89 din Tratatul
de instituire a Comunitii Europene i a legislaiei
secundare adoptate n baza acestuia, care sunt direct
i imediat aplicabile dup 1 ianuarie 2007. Consiliul
Concurenei ndeplinete rolul de autoritate de
contact n raporturile dintre Comisia European i
autoritile i instituiile publice, inclusiv instituiile
publice implicate n procesul de privatizare, ali
furnizori i beneficiarii de ajutor de stat.
Ajutoarele de stat de care vor beneficia probabil cele
34 de societi comerciale sunt considerate ajutoare
individuale i nu fac obiectul unei scheme de ajutor.
Conform Regulamentului Consiliului (CE) nr.
659/1999, schema de ajutor reprezint orice act n
baza cruia, fr a fi necesare msuri suplimentare de
punere n aplicare, pot fi acordate alocri specifice
individuale ntreprinderilor definite n mod general i
abstract, precum i orice act n baza cruia ajutorul,
care nu este legat de un anumit proiect, poate fi
acordat uneia sau mai multor ntreprinderi pentru o
perioad de timp nedeterminat i/sau ntr-un
cuantum nedeterminat.

Cu toate c articolul 2 al ordonanei de urgen


specific faptul c msurile de ajutor de stat vor fi
notificate, actul normativ nu are avizul Consiliului
Concurenei, iar msurile nu au fost notificate,
nici n baza reglementrilor valabile pn la data
de 31 decembrie 2006 i nici n baza celor
aplicabile dup data aderrii.

141
142

Consilier de concuren.
Inspector de concuren, Direcia Cercetare-Sinteze.

90

EMERGENCY ORDINANCE NO.128/2006:


A QUESTIONABLE NORMATIVE ACT INSTITUTING
NEW SUPPORT MEASURES OF THE NATURE OF STATE AID143
144
Jzsef Nandr NEMENYI
145
Carmen BUCUR

In the last days of 2006, the Romanian Government


adopted, through an emergency ordinance, new
measures for the reduction of budgetary arreas.
According to this normative act, the main fiscal debts
of 34 economic operators with major economic and
social impact are to be written-off.

transferred to the European Commission. After 1


January 2007, the Community legislation in the field
of State aid became directly applicable in Romania
and the granting of any State aid must be, as a rule,
preceeded by an authorization decision issued by the
European Commission.

The fiscal debts mentioned in the Emergency


Ordinance no.128/2006 consist in:
- income taxes, taxes, contributions and VAT afferent
to budgetary obligations, due or due and deferred;
- fiscal obligations to the risk fund afferent to extern
loans guaranteed or sub-loaned by the state, based
on the Ministry of Public Finance's accounting
records at 31st December 2005, as well as those
deferred by normative acts in force and which have
not been paid before the time limits provided for by
the emergency ordinance;
- accessory fiscal obligations afferent to the above
mentioned debts, due and unpaid;
- starting with the date when the ordinance enters
into force and until the measures are enforced, the
compulsory execution of fiscal debts of the 34
contributors mentioned in the ordinance's annex
shall be suspended.

In the field of State aid, the Government Emergency


Ordinance no.117/2006 regulated the national
proceeding for the application of Articles 87 89 of
the Treaty establishing the European Community and
of subsequent secondary legislation, which are
directly and immediately applicable after 1 January
2007. Competition Council is the national contact
authority in the relation between the European
Commission and the national authorities and public
institutions, including public institution involved in
the privatization process, other grantors and the State
aid beneficiaries.

Despite the fact that Article 2 of the emergency


ordinance specifies that the State aid measures shall
be notified, the normative act did not get the
Competition Council's binding opinion and the
measures were not notified, nor on the basis of
legal provisions in force until 31 December 2006
neither on the basis of those applicable after the
accession's date.
After Romania's accession to the European Union,
the competences for authorizing State aids was

143

The State aids which will probably be granted to the


34 economic operators are considered individual
aids and they are not part of an aid scheme.
According to Council Regulation (CE) no.659/1999, a
State aid scheme represents: any act on the basis of
which, without further implementing measures being
required, individual aid awards may be made to
undertakings defined within the act in a general and
abstract manner and any act on the basis of which aid
which is not linked to a specific project may be
awarded to one or several undertakings for an
indefinite period of time and/or for an indefinite
amount.
The economic operators which benefit from the
above mentioned exemption measures are stateowned companies and they do not fall in the category

Translated into English by Georgeta Gavriloiu.


Competition counsellor, member of the Competition Council's plenum.
145
Competition inspector within the Research and Syntheses Directorate.
144

91

Societile comerciale beneficiare de scutirile


prevzute mai sus sunt societi la care statul este
acionar majoritar i nu pot fi incluse n categoria
ntreprinderilor mici i mijlocii, nefiind ndeplinit
criteriul independenei146.
Ordonana de urgen nr.128/2006 cuprinde,
astfel, un cumul de noi ajutoare individuale care
trebuie notificate executivului european, urmnd
ca societile incluse n anexa actului normativ s
beneficieze de aceste faciliti numai dup
autorizarea de ctre Comisia European.
Conform reglementrilor n vigoare, ajutorul de stat
nou este definit ca fiind orice ajutor, respectiv orice
schem de ajutor i orice ajutor individual care nu este
ajutor existent, inclusiv modificrile ajutoarelor
existente. Ajutorul de stat nou este supus
obligaiei de notificare i nu poate fi acordat dect
dup autorizarea acestuia de ctre Comisia
European sau dup ce acesta este considerat a fi
fost autorizat.
Cu toate c actul normativ analizat de noi a fost
aprobat la finele lunii decembrie 2006, aplica-

146

bilitatea efectiv a msurilor de sprijin necesit


adoptarea de noi reglementri dup data de 1
ianuarie 2007.
Chiar dac diferite cotidiene centrale stipuleaz pe
seama sumei totale a ajutoarelor de stat de care vor
beneficia cele 34 de societi comerciale, sume
cuprinse ntre 3,5 i 8,3 mld.euro, totui, valoarea
final a ajutoarelor de stat va fi cunoscut cu
exactitate numai n momentul notificrii.
Putem presupune c prin acordarea de ajutoare de
stat fr autorizarea Comisiei Europene se pot
declana procedurile prevzute de legislaia
comunitar n vigoare, direct aplicabil i Romniei,
conducnd la decizia de recuperare a acestor
ajutoare.
Consiliul Concurenei este n ateptarea, poziiei
Ministerul Finanelor Publice, dac acesta va proceda
la acordarea efectiv a acestor ajutoare de
conjunctur ntr-un volum de peste 4% din PIB.

Regulamentul Comisiei Europene nr.70/2001 privind aplicarea articolelor 87 i 88 din Tratatul CE ajutorului de stat pentru
ntreprinderile mici i mijlocii, definete ca fiind independente ntreprinderile care nu sunt deinute n proporie de 25 % sau mai mult din
capital ori din drepturile de vot de o alt ntreprindere sau mpreun de mai multe ntreprinderi care nu corespund definiiei IMM sau a micii
ntreprinderi, dup caz. Acest prag poate fi depit n dou cazuri:
- n cazul n care ntreprinderea este deinut de societi publice de investiii, de societi cu capital de risc sau de investitori instituionali i
cu condiia ca acetia s nu exercite controlul asupra ntreprinderii, individual sau n comun,
- n cazul n care capitalul este divizat astfel nct s nu se poat determina cine l deine i dac ntreprinderea declar c poate s
presupun, n mod legitim, c nu este deinut, n proporie de 25 % sau mai mult, de o alt ntreprindere sau n comun de mai multe
ntreprinderi care nu corespund definiiei IMM sau a micii ntreprinderi, dup caz.

92

of small and medium sized enterprises, because they


do not meet the independence criteria147.

applicability of support measures requires the


adoption of new provisions after 1 January 2007.

Thus, the Emergency Ordinance no. 128/2006


comprises new individual State aids which must be
notified to the European Commission and the
economic operators included in the ordinance's
annex will benefit from these facilities only after
their approval.

Even though some central newspapers made


speculations about the total amount of State aid
which will be granted to the 34 economic operators,
between 3.5 and 8.3 billion EUR, the exact amount
of aids will only be known upon notification.
We can assume that the granting of State aids without
the European Commission's authorization may lead
to the initiation of the procedures provided for in the
Community legislation, directly applicable in
Romania as well, which might lead to the issuance of
a recovery decision.

According to the rules in force, a new State aid is


defined as: all aid, that is to say, aid schemes and
individual aid, which is not existing aid, including
alterations to existing aid. A new State aid has to be
notified and can be granted only after it was
authorized by the European Commission or after it
is deemed to be authorized.
Although the analyzed normative act was approved
at the end of December 2006, the effective

147

Competition Council waits for the Ministry of Public


Finance's position, if this shall proceed to the effective
granting of these conjunctural aids mounting at more
than 4% of GDP.

Commission Regulation (EC) No 70/2001 of 12 January 2001 on the application of Articles 87 and 88 of the EC Treaty to State aid
to small and medium-sized enterprises considers as independent: enterprises which are not owned as to 25 % or more of the capital
or the voting rights by one enterprise, or jointly by several enterprises, falling outside the definitions of an SME or a small enterprise,
whichever may apply. This threshold may be exceeded in the following two cases:
- if the enterprise is held by public investment corporations, venture capital companies or institutional investors, provided no control is
exercised either individually or jointly,
- if the capital is spread in such a way that it is not possible to determine by whom it is held and if the enterprise declares that it can
legitimately presume that it is not owned as to 25 % or more by one enterprise, or jointly by several enterprises, falling outside the definitions
of an SME or a small enterprise, whichever may apply.

93

NOUTI N DOMENIUL
CONCURENEI I AJUTORULUI DE STAT148
ncepnd cu numrul 1/2007 al revistei Profil:
Concurena, vom prezenta, ntr-o manier succint,
cele mai noi informaii din domeniul concurenei i
ajutorului de stat, att de la nivel comunitar ct i
naional.

ntreprinderi n cazul crora aceste aspecte


particulare justific o inspecie.
Mai multe informaii, inclusiv raportul final, sunt
disponibile la adresa:
http://ec.europa.eu/competition/antitrust/others/
sectorinquires/energy/

I. Antitrust i concentrri economice

n luna ianuarie 2007, Comisia European a publicat


raportul interimar referitor la ancheta din sectorul
asigurrii afacerilor, lansnd, cu acest prilej, o
dezbatere public n luna februarie a acestui an.
Ancheta sectorial, declanat n luna iunie a anului
2005, a avut drept scop o mai bun nelegere a
funcionrii acestui sector. nainte de publicarea
raportului final, Comisia European invit toate
prile interesate s transmit propriile observaii
asupra concluziilor preliminare ale raportului.
Mai multe informaii, inclusiv raportul preliminar,
sunt disponibile la adresa:
http://ec.europa.eu/comm/competition/antitrust/
others/sector_inquiries/financial_services/

Comisia European i-a publicat raportul final privind


ancheta n sectorul energiei concluzionnd c
ntreprinderile i consumatorii se afl n pierdere din
cauza ineficienei i costului ridicat al pieelor gazului
i electricitii. Printre problemele specifice se
numr: gradul ridicat de concentrare a pieei,
integrarea vertical a furnizrii, producerii i
infrastructurii, ceea ce mpiedic accesul echitabil la
infrastructur i duce la investiii insuficiente n acest
domeniu i, n al treilea rnd, posibilele nelegeri
ntre principalii operatori n vederea mpririi
pieelor. Pentru rezolvarea acestor probleme,
Comisia va continua aciunile de monitorizare n
cazuri individuale n temeiul normelor privind
concurena (concentrarea de ntreprinderi, controlul
fuziunilor i ajutoarele de stat) i va lua msuri pentru
ameliorarea cadrului legislativ aplicabil liberalizrii
energiei. Comisia a inspectat deja mai multe
148

Comisia European a publicat raportul final al


anchetei sale privind concurena n sectorul
serviciilor bancare cu amnuntul. Analiza a
evideniat un numr de preocupri privind
concurena pe piaa cardurilor de plat, a sistemelor
de plat i a produselor bancare cu amnuntul.
Comisia va uza de competenele sale, care i sunt
conferite de normele privind concurena, pentru a
combate abuzurile grave, n colaborare strns cu
autoritile naionale din domeniul concurenei.
Rezultatele acestei anchete ar trebui s stimuleze
concurena pe piaa serviciilor bancare cu
amnuntul, n perspectiva crerii spaiului unic de
plat n euro (SEPA).
Raportul final al investigaiei sectoriale a Comisiei i
documentele conexe sunt disponibile la:
http://europa.eu.int/comm/competition/antitrust/
others/sector_inquiries/financial_services/

n perioada 7-9 Martie 2007, se va desfura la


Brussels, conferina cu tema: Cartel Enforcement and
Antitrust damage actions in Europe.
A patra dintr-o serie de conferine organizate de
International Bar Association n colaborare cu
Comisia European, aceast manifestare va aduce la
masa discuiilor factori decideni din toate statele
membre, precum i reprezentani ai Comisiei
Europene, dezbaterile urmnd a fi axate pe vasta
problematic a cartelurilor.
Mai multe informaii referitoare la organizarea
conferinei pot fi obinute de la adresa:
http:// www/ibanet.org/conferences/Commission
2007/

Material realizat de Carmen Bucur, inspector de concuren, Direcia Cercetare-Sinteze.

94

NEWS IN THE COMPETITION


AND STATE AID FIELD149
Starting with issue no.1/2007 of Profil: Concurena
magazine, we shall present in brief recent
information from the competition and State aid field,
both at Community and national levels.
I. Antitrust and mergers

More information, including the final report, is


available at:
http://ec.europa.eu/competition/antitrust/others/
sectorinquires/energy/

Retail banking sector

Bussiness insurance sector


In January 2007, the European Commission
published the interim report regarding the business
insurance inquiry, launching with this occasion a
public debate, in February, this year. The sector
inquiry, opened in June 2005, had as goal a better
understanding of the sector functioning. Before the
publication of the final report, the European
Commission invites all stakeholders to submit their
views and observations on the preliminary findings of
the report.
More information, including the preliminary report,
is available at:
http://ec.europa.eu/comm/competition/antitrust/
others/sector_inquiries/financial_services/

The European Commission has published the final


report of its competition inquiry into the retail
banking sector. The inquiry has found a number of
competition concerns in the markets for payment
cards, payment systems and retail banking products.
The Commission will use its powers under the
competition rules to tackle any serious abuses,
working closely with national competition authorities.
The outcome of the inquiry should boost retail
banking competition in the run-up to the creation of
the Single Euro Payment Area (SEPA).
The final report of the Commission's sector inquiry
and associated documents are available at:
http://europa.eu.int/comm/competition/antitrust/
others/sector_inquiries/financial_services/

For all those interested ....

Energy sector
The European Commission has published its final
report on the energy sector competition inquiry,
concluding that consumers and businesses are losing
out because of inefficient and expensive gas and
electricity markets. Particular problems include high
levels of market concentration; vertical integration of
supply, generation and infrastructure leading to a lack
of equal access, and insufficient investment in
infrastructure; and, possible collusion between
incumbent operators to share markets. To tackle
these problems, the Commission will pursue follow
up actions in individual cases under the competition
rules (anti-trust, merger control and state aids) and
will act to improve the regulatory framework for
energy liberalization. The Commission has already
conducted a number of inspections in companies
where these particular issues justified an
investigation.

During 7-9 March 2007, the Conference on Cartel


Enforcement and Antitrust Damage Actions in
Europe will be organized in Brussels.
The conference is the fourth event within a series of
conferences organized by the International Bar
Association together with the European Commission.
This event will bring to the discussion table decidents
from all Member States, as well as the European
Commission representatives. The debates are going
to be focused on the vast issue of cartels.
More information regarding conference
organization may be obtained at:
http://www/ibanet.org/conferences/Commission
2007/

149
This article was elaborated and translated into English by Carmen Bucur and Georgeta Gavriloiu, competition inspector, Competition
Council.

95

II. Ajutor de stat

inovare. Acest nou cadru comunitar va ajuta statele


membre care doresc s utilizeze ajutorul de stat, ca
instrument complementar de sprijinire a cercetrii,
dezvoltrii i inovrii. Noul Cadru Comunitar se va
aplica ncepnd cu 1 ianuarie 2007.

La 1 ianuarie 2007, a intrat n vigoare O.U.G.


nr.117/2006 privind procedurile naionale n
domeniul ajutorului de stat, care abrog Legea
nr.143/1999 privind ajutorul de stat. Abrogarea
Legii nr.143/1999 a fost determinat de faptul c,
ncepnd cu data aderrii, reglementrile comunitare n materie de ajutor de stat au devenit direct
aplicabile n Romnia.

Acest document a fost publicat n Jurnalul Oficial


al Comunitilor Europene (OJ C 323) din data de
30.12.2006.

n acest context, odat cu data aderrii la Uniunea


European, Consiliul Concurenei ndeplinete rolul
de autoritate de contact n raporturile dintre Comisia
European i autoritile i instituiile publice, inclusiv
instituiile publice implicate n procesul de
privatizare, ali furnizori i beneficiarii de ajutor de
stat, implicai n procedurile din domeniul ajutorului
de stat.
Consiliul Concurenei acord asisten de
specialitate n domeniul ajutorului de stat furnizorilor
i beneficiarii de ajutor de stat, pentru asigurarea
ndeplinirii obligaiilor asumate de Romnia n acest
domeniu, n calitate de stat membru al Uniunii
Europene. Sprijinul este acordat inclusiv n cadrul
procesului de elaborare a actelor normative sau
administrative prin care se instituie msuri de natura
ajutorului de stat. Autoritatea de concuren
colaboreaz cu furnizorii i beneficiarii de ajutor de
stat pentru aplicarea corespunztoare a legislaiei
comunitare.
Site-ul Consiliului Concurenei a devint punct
naional de informare coninnd informaii publice
privind adoptarea de ctre Comisia European a
deciziilor n domeniul ajutorului de stat. Prin
elaborarea de publicaii i alte materiale informative,
precum i prin organizarea de seminarii, mese
rotunde i conferine, Consiliul Concurenei asigur
informarea autoritilor, a altor furnizori de ajutor de
stat, a beneficiarilor i a publicului privind
reglementrile europene n domeniu.

Comisia European a adoptat la data de 30


decembrie 2006, noul Cadru Comunitar privind
ajutorul de stat pentru cercetare, dezvoltare i

96

Comisia European a aprobat, n conformitate cu


normele privind ajutoarele de stat din Tratatul CE,
hrile ajutoarelor regionale pentru perioada 20072013 pentru Bulgaria, Cipru i Romnia. Noile
Orientri generale vizeaz redirecionarea ajutoarelor regionale nspre regiunile cele mai dezavantajate ale UE extinse, odat cu mbuntirea
competitivitii i o tranziie relativ uoar. Hrile
celorlalte optsprezece state membre au fost deja
aprobate de ctre Comisie.
O hart a ajutoarelor regionale definete regiunile
unui stat membru care sunt eligibile pentru
acordarea ajutorului regional naional pentru
investiii pentru ntreprinderile mari, n conformitate
cu normele privind ajutoarele de stat din Tratatul CE
i stabilete plafoanele maxime admise ale acestor
ajutoare n regiunile eligibile. Adoptarea unei hri a
ajutoarelor regionale reprezint o condiie preliminar pentru asigurarea continuitii programelor
de politic regional i ale Fondurilor Structurale
ncepnd cu luna ianuarie 2007, deoarece toate
hrile anterioare au expirat la 31.12.2006. Cele ase
state membre UE rmase nu pot acorda nici un ajutor
regional pe teritoriul propriu pn cnd Comisia nu
aprob o nou hart.
ntregul teritoriu al Romniei este eligibil pentru
acordarea ajutoarelor regionale, n sensul articolului
87 alineatul (3) litera (a), pentru ntreaga perioad
2007-2013. Intensitatea maxim a ajutorului este de
50% pentru ntregul teritoriu, cu excepia regiunii
Bucureti, unde intensitatea maxim a ajutorului va fi
de 40%.
Informaii referitoare la hrile aprobate vor fi
publicate n curnd n Jurnalul Oficial al UE. O
versiune neoficial a deciziilor va fi disponibil cu
titlu informativ pe website-ul Comisiei, n limba de
lucru:
http://ec.europa.eu/comm/competition/state_aid/
regional_aid/regional_aid.html

Framework will help Member States wishing to use


state aid as a complementary instrument to boost
research, development and innovation. The new
Framework is due to apply from the 1st of January
2007.

II. State aid

New provisions concerning


the State aids for research,
development and innovation
At the 1st of January 2007 G.E.O no.117/2006
concerning the national procedures in the field of
State aid has entered into force, thus repealing Law
no.143/1999 on State aid. The repeal of Law
no.143/1999 was determined by the fact that,
starting with the accession date, the Community
provisions in the State aid has become directly
applicable in Romania.
In this context, starting with the date of the EU
accession, the Competition Council is the authority contact point in the relations between the European
Commission and public authorities and institutions,
including the public institutions involved in the
privatization process, other State aid grantors and
beneficiaries involved in the State aid procedures.
The Competition Council grants specialized
consultancy in assistance in the State aid field to the
State aid grantors and beneficiaries in order to ensure
the fulfillment of the commitments assumed by
Romania in this field, taking into consideration its
status of EU Member State. The support is also
granted in the process of elaborating normative or
administrative acts establishing State aid measures.
The competition authority cooperates with State aid
grantors and beneficiaries, and supports them for an
adequate implementation of the Community
legislation.
The Competition Council website has become the
national contact point, containing public
information regarding the adoption by the European
Commission of the decisions in the State aid field.
The Competition Council will inform the authorities,
other State aid grantors and beneficiaries and the
general public on the European regulations in the
field by elaborating publications and other
informational materials and by organizing seminars,
round tables and conferences.

New provisions
in the State aid field
On the 30th December 2006 the European
Commission has adopted a new Community
Framework concerning the State aid for research,
development and innovation. This Community

97

This document was published in the Official


Journal of the European Communities (OJEC C
323) from 30.12.2006.

Regional map of State aids


for the 2007-2013 period
The European Commission has approved under EC
Treaty State aid rules the regional aid maps covering
the period 2007-2013 for Bulgaria, Cyprus and
Romania. The new Guidelines aim at re-focusing
regional aid on the most deprived regions of the
enlar ged EU, while allowing to improve
competitiveness and to provide for a smooth
transition. The maps of eighteen other Member States
have already been approved by the Commission.
A regional aid map defines the regions of a Member
State eligible for national regional investment aid for
large enterprises under EC Treaty state aid rules and
establishes the maximum permitted levels of such aid
in the eligible regions. The adoption of a regional aid
map is a pre-condition to ensure the continuity of the
regional policy and Structural Fund programs as from
January 2007, as the validity of all previous maps
expired on 31.12.2006. The six remaining EU
Member States are not able to grant any regional aid
within their territory until a new map is approved by
the Commission.
The whole of Romania is eligible for regional aid
under Article 87(3)(a) for the whole period 20072013. The maximum aid intensity is 50% for the
whole territory, except for the region of Bucharest
where the maximum aid intensity will be 40%.
Information on the approved maps will soon be
published in the EU's Official Journal. A non-official
version of the decisions will be available for
information purposes in the working language on the
Commission's website:
http://ec.europa.eu/comm/competition/state_aid/
regional_aid/regional_aid.html.