File #2307: "2018_Book_TheModernisationOfStateAidForE.pdf"
Text
1|Contents|6
1|Introduction: The Modernization of State Aid Regulation|8
2|1 The Complexities of EU State Aid Policies|8
2|2 The Modernization Process: Historical Background|9
2|3 The Modernization Process: A First Assessment|12
2|4 The Central Idea of the Volume|14
3|4.1 A New Institutional Framework for State Aid Control|14
3|4.2 Policy Areas|17
2|5 Concluding Remarks|20
2|References|20
1|Part I: A New Institutional Framework for State Aid Control|22
2|State Aid Modernization|23
3|1 Introductory Remarks|23
4|1.1 Foster `Good Aid´|24
4|1.2 Focusing Enforcement on Cases with the Biggest Impact on the Internal Market|25
4|1.3 Streamlined Rules and Faster Decisions|26
3|2 Common Compatibility Principles|27
4|2.1 Contribution to a Well-Defined Objective of Common Interest|27
4|2.2 Need for State Intervention|27
4|2.3 Appropriateness of the Aid Measure|28
4|2.4 Incentive Effect of the Aid|28
4|2.5 Proportionality of the Aid and Keeping Aid to a Minimum|29
4|2.6 Avoidance of Undue Negative Effects on Competition and Trade Between Member States|29
4|2.7 Transparency of Aid|29
3|3 SAM: The Instruments|30
4|3.1 The Notice on the Notion of Aid|30
4|3.2 The Revised and New State Aid Guidelines|32
5|3.2.1 Broadband|32
5|3.2.2 Regional Aid|33
5|3.2.3 Audiovisual Production|34
5|3.2.4 Risk Finance|34
5|3.2.5 Aviation|35
5|3.2.6 Environmental Protection and Energy|36
5|3.2.7 Important Projects of Common European Interest (IPCEI)|37
5|3.2.8 Research and Development and Innovation|38
5|3.2.9 Rescue and Restructuring|38
4|3.3 The Revised State Aid Regulations|40
5|3.3.1 Procedural Regulation|40
5|3.3.2 De Minimis Regulation|40
5|3.3.3 General Block Exemption Regulation|41
6|SMEs|41
6|Training|42
6|Employment|42
6|Natural Disasters|42
6|Social Aid for Transport for Residents of Remote Regions|43
6|Culture and Heritage Conservation|43
6|Sport and Multifunctional Recreational Infrastructures|43
5|3.3.4 Local Infrastructures|43
3|4 A Renewed Partnership on State Aid Between the Commission and the Member States|44
3|5 Transparency|44
3|6 Evaluation|45
3|7 Conclusions|47
2|The Notice on the Notion of State Aid: Every Light Has Its Shadow|49
3|1 Introduction|49
3|2 The Place of the Notice Within the Hybrid State Aid Regulatory Framework|50
4|2.1 Legal Nature and Legal Effects|52
3|3 The `Oddity´ of the Notice: A Constitutional Uneasiness|55
3|4 The Notion of Aid as It Emerges from the Notice: Some Concerns|58
4|4.1 Infrastructure|58
4|4.2 Effect on Trade/Distortion of Competition-Some Ambiguities|60
4|4.3 Fiscal Aid: Too Much of a Look to the Future|62
4|4.4 A Selective Reading of Selectivity|64
3|5 Conclusions|65
3|References|66
2|A More Economic Approach to the Control of State Aid|68
3|1 The Common Principles of Compatibility of State Aid|68
3|2 Economic Approach to State Aid|69
3|3 A Case Study on the Application of the Common Assessment Principles|70
4|3.1 The Aid Measure and Its Assessment by the Commission|71
4|3.2 The Judgment of the General Court|72
4|3.3 An Assessment|73
3|4 Reasons for Incompatibility|73
3|5 Ex Post Evaluation|74
3|6 Quantitative Methods|75
4|6.1 Capital Asset Pricing Model|75
4|6.2 Guarantees|76
4|6.3 Funding Gap Method|77
3|7 Conclusions|78
2|State Aid Control: Are the Standards and the Institutional Setting Appropriate?|80
3|1 Introduction|80
3|2 The Economics of Anticompetitive State Subsidies: The Optimal Institutional Setting and Some Domestic Experiences with State...|82
3|3 Competition Assessment and Ex Post Evaluation|87
3|4 The Possible Role of the Domestic Antitrust Authority|89
3|5 Conclusion|91
3|References|91
1|Part II: Policy Areas|93
2|Services of General Economic Interest|94
3|1 Introduction|94
3|2 SGEI: The Birth of a Concept|95
3|3 Altmark: The Turning Point|96
3|4 The Modernisation of SGEI: The Procurement Rules|97
3|5 Shifting the Definition of a SGEI|99
3|6 A New Regulatory Framework|100
3|7 The Role of Public Interest in a SGEI|101
3|8 Market Failure|103
3|9 State Aid Law as a Determinant of Economic and Non-economic Activity|107
3|10 Healthcare: A Special Case?|110
3|11 The Evolution of SGEI|115
3|12 Infrastructure Projects|117
3|13 A New Form of SGEI: Security of Supply in Energy|119
3|14 Conclusion|122
3|References|123
2|Infrastructure Financing and State Aid Control: The Potential for a Virtuous Relationship|125
3|1 Introduction|125
3|2 Assessing Whether the Public Funding of an Infrastructure Is State Aid|129
4|2.1 Commission Guidance on the Notion of Aid|129
4|2.2 National Versus EU Public Resources|130
4|2.3 Assessment of Whether the Development/Owner Is Engaged in an Economic Activity|130
4|2.4 Selectivity and Economic Advantage|132
4|2.5 Distortion of Competition and Effect on Trade|132
4|2.6 Assessment of Whether Public Financing of the Infrastructure Entails State Aid at the Level of Operators or End Users|134
4|2.7 Excluding the Application of Article 107(1) for SGEI|135
3|3 Reconciling State Aid Control with the Investment Plan for Europe|136
3|4 Assessing the Compatibility of State Aid for Infrastructure Projects|137
4|4.1 Compatible Aid: Substantive Criteria and Ex Post Versus Ex Ante Assessment|137
4|4.2 Exemption for SGEI|138
4|4.3 GBER|138
4|4.4 The SGEI Framework|139
4|4.5 The General Criteria for the Application of Article 107(3)|140
4|4.6 Airports|141
4|4.7 Energy|141
4|4.8 Broadband|142
4|4.9 Regional Aid|142
4|4.10 Important Projects of Common European Interest|143
3|5 The Challenges for the Commission and for Member States|144
4|5.1 Implementing the Modernized Framework|144
4|5.2 Challenges for the Commission|145
4|5.3 Challenges for National Authorities|146
4|5.4 Specific Challenges for National Regulatory Authorities|146
3|References|147
2|Tasks for National Authorities in the Modernization Era: A Case Study-Italy|148
3|1 Introductory Remarks|148
3|2 Organization and Process in the Application of State Aid Rules in Italy|150
3|3 Law 234/2012 and the Coordinating Role of State Aid Matters|155
3|4 Compliance|156
4|4.1 Training|157
4|4.2 Ex Ante Phase|159
4|4.3 Strict SAM Phase|161
4|4.4 Transparency|163
3|5 Networking|166
3|6 Conclusion|167
3|References|168
2|Energy and Environment|170
3|1 Introduction|170
3|2 Notion of Aid|172
4|2.1 State Resources|175
4|2.2 The Market Economy Operator Test|178
4|2.3 Infrastructures|180
3|3 Block-Exempted Aid Under the GBER|183
4|3.1 Investment Aid for Early Adaptation to Future Union Standards, to Enable Undertakings to Go Beyond EU Standards for Enviro...|187
4|3.2 Energy Efficiency Measures|189
4|3.3 Investment Aid for Energy Efficiency Projects in Buildings|190
4|3.4 Investment Aid for High-Efficiency Cogeneration|192
4|3.5 Promotion of Renewable Energy Sources|192
5|Investment Aid for the Promotion of Energy from RES|193
5|Operating Aid for the Promotion of Electricity from RES|196
5|Operating Aid for the Promotion of Energy from RES in Small-Scale Installations|197
4|3.6 Reductions in Environmental Taxes|198
4|3.7 Remediation of Contaminated Sites|199
4|3.8 Investment Aid for the Installation of Energy-Efficient District Heating and Cooling Systems|201
4|3.9 Waste Recycling and Reutilization|202
4|3.10 Energy Infrastructure|203
4|3.11 Environmental Studies|205
3|4 Aid Compatibility Under the EEAG|206
4|4.1 General Compatibility Criteria|209
5|Contribution to an Objective of Common Interest|210
5|Need for State Intervention|211
5|Appropriateness of the Aid|212
5|Incentive Effect|212
5|Proportionality of the Aid|213
5|Avoidance of Undue Negative Effects on Competition and Trade|215
5|Transparency|216
4|4.2 Specific Aid Measures|216
5|Aid to Energy from Renewable Sources|216
5|Energy Efficiency Measures, Including Cogeneration and District Heating and District Cooling|219
5|Aid for Resource Efficiency and in Particular Aid to Waste Management|220
5|Aid to Carbon Capture and Storage (CCS)|221
5|Aid in the Form of Reductions in or Exemptions from Environmental Taxes and in the Form of Reductions in Funding Support for E...|222
5|Aid to Energy Infrastructure|225
5|Aid for Generation Adequacy|226
5|Aid in the Form of Tradable Permit Schemes|229
5|Aid for the Relocation of Undertakings|229
3|5 Conclusions|229
3|References|233
3|Treaties|233
3|Regulations|233
3|Directives|233
3|Decisions|234
3|Press Releases|235
3|Other|235
3|General Court|236
3|European Court of Justice|236
3|Books and Journals|237
2|Public Policies for Financing the Deployment of Broadband and Very High-Speed Broadband Networks and EU Rules on State Aid Con...|238
3|1 Introduction|238
3|2 Notion of Aid in Support of Broadband and Compatibility with the Internal Market|241
4|2.1 Broadband Networks and State Resources|241
4|2.2 Broadband Networks, the Granting of an Advantage and Distortion of Competition|242
4|2.3 Broadband Networks and Selectivity|246
4|2.4 Broadband Networks and Effect on Intra-EU Trade|246
3|3 Compatibility of State Aid in Support of Broadband; Characterization of the Provision of a Broadband or NGA Network as an SG...|247
4|3.1 Introduction: Aid Exempt from the Obligation to Notify and Possible SGEI Mission|247
4|3.2 Compatibility Requirements|251
4|3.3 Balancing of the Positive and Negative Effects of the Measure Under Examination|253
4|3.4 Classification of the Areas of Intervention|254
4|3.5 Conditions to Minimize the Impact on Competition|255
5|Publicity and Transparency|256
5|Criteria Inferred from Sectoral Regulations|257
3|4 ``Ultra-Fast´´ NGA Networks|258
3|5 The Deployment of Broadband in Italy|260
4|5.1 The National Broadband Plan|260
4|5.2 The Strategic Plan for Very High-Speed Broadband|261
3|6 Conclusions|266
3|References|267
2|State Aids, Social Services and Healthcare in EU Law|268
3|1 The Definition and Regulation of Social Services and Healthcare Under EU Law|268
3|2 The Financing of SSGIs According to the `Almunia Package´|276
3|3 Recent Developments on State Aid and Healthcare|284
3|4 Recent Developments on State Aids and Social Security|297
3|5 Recent Developments on State Aids and Social Housing|305
3|6 Concluding Remarks|313
3|References|313
1|Introduction: The Modernization of State Aid Regulation|8
2|1 The Complexities of EU State Aid Policies|8
2|2 The Modernization Process: Historical Background|9
2|3 The Modernization Process: A First Assessment|12
2|4 The Central Idea of the Volume|14
3|4.1 A New Institutional Framework for State Aid Control|14
3|4.2 Policy Areas|17
2|5 Concluding Remarks|20
2|References|20
1|Part I: A New Institutional Framework for State Aid Control|22
2|State Aid Modernization|23
3|1 Introductory Remarks|23
4|1.1 Foster `Good Aid´|24
4|1.2 Focusing Enforcement on Cases with the Biggest Impact on the Internal Market|25
4|1.3 Streamlined Rules and Faster Decisions|26
3|2 Common Compatibility Principles|27
4|2.1 Contribution to a Well-Defined Objective of Common Interest|27
4|2.2 Need for State Intervention|27
4|2.3 Appropriateness of the Aid Measure|28
4|2.4 Incentive Effect of the Aid|28
4|2.5 Proportionality of the Aid and Keeping Aid to a Minimum|29
4|2.6 Avoidance of Undue Negative Effects on Competition and Trade Between Member States|29
4|2.7 Transparency of Aid|29
3|3 SAM: The Instruments|30
4|3.1 The Notice on the Notion of Aid|30
4|3.2 The Revised and New State Aid Guidelines|32
5|3.2.1 Broadband|32
5|3.2.2 Regional Aid|33
5|3.2.3 Audiovisual Production|34
5|3.2.4 Risk Finance|34
5|3.2.5 Aviation|35
5|3.2.6 Environmental Protection and Energy|36
5|3.2.7 Important Projects of Common European Interest (IPCEI)|37
5|3.2.8 Research and Development and Innovation|38
5|3.2.9 Rescue and Restructuring|38
4|3.3 The Revised State Aid Regulations|40
5|3.3.1 Procedural Regulation|40
5|3.3.2 De Minimis Regulation|40
5|3.3.3 General Block Exemption Regulation|41
6|SMEs|41
6|Training|42
6|Employment|42
6|Natural Disasters|42
6|Social Aid for Transport for Residents of Remote Regions|43
6|Culture and Heritage Conservation|43
6|Sport and Multifunctional Recreational Infrastructures|43
5|3.3.4 Local Infrastructures|43
3|4 A Renewed Partnership on State Aid Between the Commission and the Member States|44
3|5 Transparency|44
3|6 Evaluation|45
3|7 Conclusions|47
2|The Notice on the Notion of State Aid: Every Light Has Its Shadow|49
3|1 Introduction|49
3|2 The Place of the Notice Within the Hybrid State Aid Regulatory Framework|50
4|2.1 Legal Nature and Legal Effects|52
3|3 The `Oddity´ of the Notice: A Constitutional Uneasiness|55
3|4 The Notion of Aid as It Emerges from the Notice: Some Concerns|58
4|4.1 Infrastructure|58
4|4.2 Effect on Trade/Distortion of Competition-Some Ambiguities|60
4|4.3 Fiscal Aid: Too Much of a Look to the Future|62
4|4.4 A Selective Reading of Selectivity|64
3|5 Conclusions|65
3|References|66
2|A More Economic Approach to the Control of State Aid|68
3|1 The Common Principles of Compatibility of State Aid|68
3|2 Economic Approach to State Aid|69
3|3 A Case Study on the Application of the Common Assessment Principles|70
4|3.1 The Aid Measure and Its Assessment by the Commission|71
4|3.2 The Judgment of the General Court|72
4|3.3 An Assessment|73
3|4 Reasons for Incompatibility|73
3|5 Ex Post Evaluation|74
3|6 Quantitative Methods|75
4|6.1 Capital Asset Pricing Model|75
4|6.2 Guarantees|76
4|6.3 Funding Gap Method|77
3|7 Conclusions|78
2|State Aid Control: Are the Standards and the Institutional Setting Appropriate?|80
3|1 Introduction|80
3|2 The Economics of Anticompetitive State Subsidies: The Optimal Institutional Setting and Some Domestic Experiences with State...|82
3|3 Competition Assessment and Ex Post Evaluation|87
3|4 The Possible Role of the Domestic Antitrust Authority|89
3|5 Conclusion|91
3|References|91
1|Part II: Policy Areas|93
2|Services of General Economic Interest|94
3|1 Introduction|94
3|2 SGEI: The Birth of a Concept|95
3|3 Altmark: The Turning Point|96
3|4 The Modernisation of SGEI: The Procurement Rules|97
3|5 Shifting the Definition of a SGEI|99
3|6 A New Regulatory Framework|100
3|7 The Role of Public Interest in a SGEI|101
3|8 Market Failure|103
3|9 State Aid Law as a Determinant of Economic and Non-economic Activity|107
3|10 Healthcare: A Special Case?|110
3|11 The Evolution of SGEI|115
3|12 Infrastructure Projects|117
3|13 A New Form of SGEI: Security of Supply in Energy|119
3|14 Conclusion|122
3|References|123
2|Infrastructure Financing and State Aid Control: The Potential for a Virtuous Relationship|125
3|1 Introduction|125
3|2 Assessing Whether the Public Funding of an Infrastructure Is State Aid|129
4|2.1 Commission Guidance on the Notion of Aid|129
4|2.2 National Versus EU Public Resources|130
4|2.3 Assessment of Whether the Development/Owner Is Engaged in an Economic Activity|130
4|2.4 Selectivity and Economic Advantage|132
4|2.5 Distortion of Competition and Effect on Trade|132
4|2.6 Assessment of Whether Public Financing of the Infrastructure Entails State Aid at the Level of Operators or End Users|134
4|2.7 Excluding the Application of Article 107(1) for SGEI|135
3|3 Reconciling State Aid Control with the Investment Plan for Europe|136
3|4 Assessing the Compatibility of State Aid for Infrastructure Projects|137
4|4.1 Compatible Aid: Substantive Criteria and Ex Post Versus Ex Ante Assessment|137
4|4.2 Exemption for SGEI|138
4|4.3 GBER|138
4|4.4 The SGEI Framework|139
4|4.5 The General Criteria for the Application of Article 107(3)|140
4|4.6 Airports|141
4|4.7 Energy|141
4|4.8 Broadband|142
4|4.9 Regional Aid|142
4|4.10 Important Projects of Common European Interest|143
3|5 The Challenges for the Commission and for Member States|144
4|5.1 Implementing the Modernized Framework|144
4|5.2 Challenges for the Commission|145
4|5.3 Challenges for National Authorities|146
4|5.4 Specific Challenges for National Regulatory Authorities|146
3|References|147
2|Tasks for National Authorities in the Modernization Era: A Case Study-Italy|148
3|1 Introductory Remarks|148
3|2 Organization and Process in the Application of State Aid Rules in Italy|150
3|3 Law 234/2012 and the Coordinating Role of State Aid Matters|155
3|4 Compliance|156
4|4.1 Training|157
4|4.2 Ex Ante Phase|159
4|4.3 Strict SAM Phase|161
4|4.4 Transparency|163
3|5 Networking|166
3|6 Conclusion|167
3|References|168
2|Energy and Environment|170
3|1 Introduction|170
3|2 Notion of Aid|172
4|2.1 State Resources|175
4|2.2 The Market Economy Operator Test|178
4|2.3 Infrastructures|180
3|3 Block-Exempted Aid Under the GBER|183
4|3.1 Investment Aid for Early Adaptation to Future Union Standards, to Enable Undertakings to Go Beyond EU Standards for Enviro...|187
4|3.2 Energy Efficiency Measures|189
4|3.3 Investment Aid for Energy Efficiency Projects in Buildings|190
4|3.4 Investment Aid for High-Efficiency Cogeneration|192
4|3.5 Promotion of Renewable Energy Sources|192
5|Investment Aid for the Promotion of Energy from RES|193
5|Operating Aid for the Promotion of Electricity from RES|196
5|Operating Aid for the Promotion of Energy from RES in Small-Scale Installations|197
4|3.6 Reductions in Environmental Taxes|198
4|3.7 Remediation of Contaminated Sites|199
4|3.8 Investment Aid for the Installation of Energy-Efficient District Heating and Cooling Systems|201
4|3.9 Waste Recycling and Reutilization|202
4|3.10 Energy Infrastructure|203
4|3.11 Environmental Studies|205
3|4 Aid Compatibility Under the EEAG|206
4|4.1 General Compatibility Criteria|209
5|Contribution to an Objective of Common Interest|210
5|Need for State Intervention|211
5|Appropriateness of the Aid|212
5|Incentive Effect|212
5|Proportionality of the Aid|213
5|Avoidance of Undue Negative Effects on Competition and Trade|215
5|Transparency|216
4|4.2 Specific Aid Measures|216
5|Aid to Energy from Renewable Sources|216
5|Energy Efficiency Measures, Including Cogeneration and District Heating and District Cooling|219
5|Aid for Resource Efficiency and in Particular Aid to Waste Management|220
5|Aid to Carbon Capture and Storage (CCS)|221
5|Aid in the Form of Reductions in or Exemptions from Environmental Taxes and in the Form of Reductions in Funding Support for E...|222
5|Aid to Energy Infrastructure|225
5|Aid for Generation Adequacy|226
5|Aid in the Form of Tradable Permit Schemes|229
5|Aid for the Relocation of Undertakings|229
3|5 Conclusions|229
3|References|233
3|Treaties|233
3|Regulations|233
3|Directives|233
3|Decisions|234
3|Press Releases|235
3|Other|235
3|General Court|236
3|European Court of Justice|236
3|Books and Journals|237
2|Public Policies for Financing the Deployment of Broadband and Very High-Speed Broadband Networks and EU Rules on State Aid Con...|238
3|1 Introduction|238
3|2 Notion of Aid in Support of Broadband and Compatibility with the Internal Market|241
4|2.1 Broadband Networks and State Resources|241
4|2.2 Broadband Networks, the Granting of an Advantage and Distortion of Competition|242
4|2.3 Broadband Networks and Selectivity|246
4|2.4 Broadband Networks and Effect on Intra-EU Trade|246
3|3 Compatibility of State Aid in Support of Broadband; Characterization of the Provision of a Broadband or NGA Network as an SG...|247
4|3.1 Introduction: Aid Exempt from the Obligation to Notify and Possible SGEI Mission|247
4|3.2 Compatibility Requirements|251
4|3.3 Balancing of the Positive and Negative Effects of the Measure Under Examination|253
4|3.4 Classification of the Areas of Intervention|254
4|3.5 Conditions to Minimize the Impact on Competition|255
5|Publicity and Transparency|256
5|Criteria Inferred from Sectoral Regulations|257
3|4 ``Ultra-Fast´´ NGA Networks|258
3|5 The Deployment of Broadband in Italy|260
4|5.1 The National Broadband Plan|260
4|5.2 The Strategic Plan for Very High-Speed Broadband|261
3|6 Conclusions|266
3|References|267
2|State Aids, Social Services and Healthcare in EU Law|268
3|1 The Definition and Regulation of Social Services and Healthcare Under EU Law|268
3|2 The Financing of SSGIs According to the `Almunia Package´|276
3|3 Recent Developments on State Aid and Healthcare|284
3|4 Recent Developments on State Aids and Social Security|297
3|5 Recent Developments on State Aids and Social Housing|305
3|6 Concluding Remarks|313
3|References|313