欧盟国家援助制度研究
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摘要
欧盟的国家援助制度是一个历经半个世纪，发展较为完备的补贴控制制度。通过控制和引导成员国政府对个别企业实施的财政补贴，欧盟希冀达到维护内部市场的统一，确保内部市场竞争不受扭曲的目的。近些年来，欧盟通过“中欧世贸项目”等交流渠道向中国相关部门提出，中国应借鉴欧盟的制度模式，建立一个类似于欧盟的国家援助控制制度。本文将通过解读欧盟的制度模式，分析欧盟模式的借鉴意义。
根据经济学分析，政府对个别企业实施的援助一般会加强企业的竞争地位，从而对市场竞争造成影响，这对市场上其他竞争者而言是不公平的。如果援助措施缺乏必要的政策目的，则援助不仅损害了竞争而且浪费了公共财力。如果援助实施的过程不科学，或者援助金额超过企业所需，则市场竞争将受到不必要的损害。此外，政府援助措施的最终受益者未必是受援者。因此，政府在对个人实施援助的过程中很可能使个别企业获得了不当的竞争优势。
政府对企业实施援助一般会影响竞争，但是政府的多种行为，例如宏观经济政策的调整，均有可能影响企业间的竞争，甚至使市场面临重新洗牌。为什么在欧盟，政府的援助行为由竞争法来调整？这是因为欧盟作为一个独特的经济、文化政体，在一体化进程中不断推进各国财政一致和法律协调，在多种协商机制下协调发展经济。因此，成员国政府很少单方面出台违反联盟利益的宏观经济政策，单方面破坏联盟团结和单方面严重搅乱市场竞争。在这样的背景下，援助控制才对内部市场的完整统一，以及对欧盟经济、社会的协调发展起到关键的作用。然而，援助控制并不意味着完全禁止国家援助。欧盟不是一个国家，成员国政府根据条约中的辅助性原则拥有自主发展经济、文化和社会的权能，而且拥有充足的财政力量实施国家援助。一方面，如果不对援助进行控制，联盟内部市场的竞争将受到破坏，欧盟一体化的种种努力将功亏一篑；另一方面，国家援助具有经济学上的合理性，应当视情况具体分析，不能与违反“四大自由”条款的政府行为视同一律。而且，判断一项援助是否对联盟有利，往往需要参考与市场竞争有关的经济学数据。因此，国家援助行为在欧盟由竞争法调整，并不为怪。
根据《欧盟运行条约》第107-109条，成员国政府在实施国家援助之前，一般须向欧盟委员会申报，得到豁免后方可实施。这涉及两个关键步骤：国家援助的判定和国家援助的豁免。欧盟国家援助的判定需要满足4个构成要件，其中包括：政府是援助实施的主体；援助的对象是企业；援助使企业获得了竞争优势；以及援助不具备普遍性。国家援助的判定还将涉及“可归因性测试”和“市场投资人测试”的适用、国有企业与政府的财务关系，以及成员国的税收政策和地方自治权等问题。
国家援助的豁免分为绝对豁免和相对豁免两个部分。《欧盟运行条约》有关相对豁免的规定涉及地区援助、经济动荡援助、文化遗产保护援助和中小企业援助、培训与就业援助等平行援助豁免政策。为此，欧盟委员会和理事会制定了大量的条例、指令、指南和通告等文件，对条约中的豁免规则做出细化规定。
欧盟国家援助制度在欧盟独特的社会、经济、文化和法律环境中发展，与我国的财政制度和《反垄断法》中有关行政垄断的规定不存在太多可比性。中国若想引进这项制度，并使援助控制具有执行力，势必需要对现有法律体系进行大范围的调整。因此从目前来看，中国很难像欧盟所希望的那样，建立一个类似于欧盟的补贴控制制度。
然而，欧盟国家援助制度对我国有很重要的借鉴意义，原因在于中国长期以来忽视政府补贴对市场竞争产生的影响。在政府所有的财政文件中，几乎没有与竞争有关的任何规定。在中央政府的财政文件中可以加入有关政府补贴的规定，要求对政府补贴的竞争及市场影响实施分析评估，从而提高补贴使用的效率和透明度，使补贴更加科学、合理。此外，欧盟国家援助制度以完善的公司财务制度和政府财政审计制度为保障，在实施过程中遵循合法、合理行政原则，对欧盟和成员国政府的行政能力提出了较高的要求。因此，我国在弘扬竞争文化的同时需加强这方面的法治建设，完善相关财政、行政法规，并重视对竞争执法队伍的建设。
The State Aid Regime of the EU is a fully developed subsidy control system that has lasted for over half a century. By controlling and directing subsidies granted by Member States to undertakings so that they correspond with the Union's interest, the EU aspires to establish and maintain a Common Market in which competition is undistorted. In recent years, particularly through the "EU-China Trade Project" dialogue, the Commision has proposed to its Chinese counterparts that China should establish a State Aid control system similar to that in the EU. This thesis strives to undertand and draw lessons from the European model of State Aid control.
Studies in economics indicate that aid granted by the government to undertakings usually elevates the competitive status of those undertakings, which is unfair to other competitors on the market. If the aid itself lacks purpose, then, while adversely affecting competition, it would become a waste of public funding. If aid is not delivered in a reasonable manner and according to the principle of proportionality, competition may be disporportionly affected. Moreover, the recipient of aid is not necessarily the ultimate beneficiary, which means that the government may confer an advantage to certain undertakings by granting subsidies to individuals.
State Aid is not the only type of state acts that may affect competition and alter market conditions, such as general economic policies. Why is it that an act of state is governed by the rules on competition in the EU? This is because the EU is a supra-national polity with unique economic and cultural characteristics. During its integration, the EU strives to achieve economic solidarity, harmonizes laws of Member States, and coordinates efforts via various policy instruments in developing the economy. Therefore, it is unlikely for a Member State to unilaterally develop general economic policies against the interests of the Union, to unilaterally harm the Union's solidarity, and to unilaterally cause a serious disturbance in the economy by restricting competition via legislation. It is under this context that State Aid may prove to be a valuable instrument in maintaining the cohesion of the Common Market, and heavily influence the coordinated development of Europe's economy and society. Nevertheless, State Aid control does not necessarily probihit all State Aids. The EU is not a state, but a conglomeration of states with competencies in economic, social and cultural development according to the Principle of Subsidiarity. Member States possess the financial power to provide State Aid. On the one hand, without State Aid control, competition shall be unduly damaged in the Union, and the integration efforts shall be in vain. On the other hand, State Aid in general is a rational act of state that addresses market failure, which must be subject to scrutiny before reaching a conclusion of incompatibility with the Common Market, and should not be treated the same as state acts in violation of the "four freedoms". Moreover, compatibility is largely determined by economic indicators relating to competition. It is therefore quite plausible for State Aid to be regulated by EU competition law.
According to Article107-109TFEU, Member States must apply for clearance to the Commission before issuing State Aid. This begs two questions:What constitutes State Aid? And what constitutes lawful State Aid? In order for a government action to become State Aid, it must satisfy4criteria: Aid to be granted by the State, to undertakings, conferring a competitive advantage, that which is specific. This portion of the analysis involves the application of the Imputability Test, the Market Economy Investor Test, public undertaking's financial relations with governments, as well as taxation and regional autonomy.
The rules on lawful State Aid are divided into two categories:aid deemed to be compatible with the Common Market and aid which may be compatible with the Common Market. The latter type of aid governed by Article107(3) TFEU is explained in further detail by regulations, directives, guidelines, and communications made by the Commission and the Council.
The State Aid Regime of the EU is developed in a unique social, economic, cultural and legal environment, and has little in common with AML's provision on administrative monopoly and the laws relating to public finance. Therefore, in order to introduce a similar system, and able to enforce such a system, China would have to make too many changes in the legal system to make it worthwhile.
The State Aid Regime of the EU, however, does provide insight to China's competition law enforcement. The reason is that, for many years, China has turned a blind eye to anti-competitive effects of government subsides in the market, and there is nearly no sign of "competition" in official documents relating to public finance. This results in inapproate and intransparent handling of aid in China without analyses of the aid's impact on competition. One should keep in mind that the European model is established under the rule of law and a sound auditing system of undertakings and public finance. Therefore, it is necessary for China to focus on establishing the rule of law and reforming the laws on public finance, while cultivating a culture for competition.
根据经济学分析，政府对个别企业实施的援助一般会加强企业的竞争地位，从而对市场竞争造成影响，这对市场上其他竞争者而言是不公平的。如果援助措施缺乏必要的政策目的，则援助不仅损害了竞争而且浪费了公共财力。如果援助实施的过程不科学，或者援助金额超过企业所需，则市场竞争将受到不必要的损害。此外，政府援助措施的最终受益者未必是受援者。因此，政府在对个人实施援助的过程中很可能使个别企业获得了不当的竞争优势。
政府对企业实施援助一般会影响竞争，但是政府的多种行为，例如宏观经济政策的调整，均有可能影响企业间的竞争，甚至使市场面临重新洗牌。为什么在欧盟，政府的援助行为由竞争法来调整？这是因为欧盟作为一个独特的经济、文化政体，在一体化进程中不断推进各国财政一致和法律协调，在多种协商机制下协调发展经济。因此，成员国政府很少单方面出台违反联盟利益的宏观经济政策，单方面破坏联盟团结和单方面严重搅乱市场竞争。在这样的背景下，援助控制才对内部市场的完整统一，以及对欧盟经济、社会的协调发展起到关键的作用。然而，援助控制并不意味着完全禁止国家援助。欧盟不是一个国家，成员国政府根据条约中的辅助性原则拥有自主发展经济、文化和社会的权能，而且拥有充足的财政力量实施国家援助。一方面，如果不对援助进行控制，联盟内部市场的竞争将受到破坏，欧盟一体化的种种努力将功亏一篑；另一方面，国家援助具有经济学上的合理性，应当视情况具体分析，不能与违反“四大自由”条款的政府行为视同一律。而且，判断一项援助是否对联盟有利，往往需要参考与市场竞争有关的经济学数据。因此，国家援助行为在欧盟由竞争法调整，并不为怪。
根据《欧盟运行条约》第107-109条，成员国政府在实施国家援助之前，一般须向欧盟委员会申报，得到豁免后方可实施。这涉及两个关键步骤：国家援助的判定和国家援助的豁免。欧盟国家援助的判定需要满足4个构成要件，其中包括：政府是援助实施的主体；援助的对象是企业；援助使企业获得了竞争优势；以及援助不具备普遍性。国家援助的判定还将涉及“可归因性测试”和“市场投资人测试”的适用、国有企业与政府的财务关系，以及成员国的税收政策和地方自治权等问题。
国家援助的豁免分为绝对豁免和相对豁免两个部分。《欧盟运行条约》有关相对豁免的规定涉及地区援助、经济动荡援助、文化遗产保护援助和中小企业援助、培训与就业援助等平行援助豁免政策。为此，欧盟委员会和理事会制定了大量的条例、指令、指南和通告等文件，对条约中的豁免规则做出细化规定。
欧盟国家援助制度在欧盟独特的社会、经济、文化和法律环境中发展，与我国的财政制度和《反垄断法》中有关行政垄断的规定不存在太多可比性。中国若想引进这项制度，并使援助控制具有执行力，势必需要对现有法律体系进行大范围的调整。因此从目前来看，中国很难像欧盟所希望的那样，建立一个类似于欧盟的补贴控制制度。
然而，欧盟国家援助制度对我国有很重要的借鉴意义，原因在于中国长期以来忽视政府补贴对市场竞争产生的影响。在政府所有的财政文件中，几乎没有与竞争有关的任何规定。在中央政府的财政文件中可以加入有关政府补贴的规定，要求对政府补贴的竞争及市场影响实施分析评估，从而提高补贴使用的效率和透明度，使补贴更加科学、合理。此外，欧盟国家援助制度以完善的公司财务制度和政府财政审计制度为保障，在实施过程中遵循合法、合理行政原则，对欧盟和成员国政府的行政能力提出了较高的要求。因此，我国在弘扬竞争文化的同时需加强这方面的法治建设，完善相关财政、行政法规，并重视对竞争执法队伍的建设。
The State Aid Regime of the EU is a fully developed subsidy control system that has lasted for over half a century. By controlling and directing subsidies granted by Member States to undertakings so that they correspond with the Union's interest, the EU aspires to establish and maintain a Common Market in which competition is undistorted. In recent years, particularly through the "EU-China Trade Project" dialogue, the Commision has proposed to its Chinese counterparts that China should establish a State Aid control system similar to that in the EU. This thesis strives to undertand and draw lessons from the European model of State Aid control.
Studies in economics indicate that aid granted by the government to undertakings usually elevates the competitive status of those undertakings, which is unfair to other competitors on the market. If the aid itself lacks purpose, then, while adversely affecting competition, it would become a waste of public funding. If aid is not delivered in a reasonable manner and according to the principle of proportionality, competition may be disporportionly affected. Moreover, the recipient of aid is not necessarily the ultimate beneficiary, which means that the government may confer an advantage to certain undertakings by granting subsidies to individuals.
State Aid is not the only type of state acts that may affect competition and alter market conditions, such as general economic policies. Why is it that an act of state is governed by the rules on competition in the EU? This is because the EU is a supra-national polity with unique economic and cultural characteristics. During its integration, the EU strives to achieve economic solidarity, harmonizes laws of Member States, and coordinates efforts via various policy instruments in developing the economy. Therefore, it is unlikely for a Member State to unilaterally develop general economic policies against the interests of the Union, to unilaterally harm the Union's solidarity, and to unilaterally cause a serious disturbance in the economy by restricting competition via legislation. It is under this context that State Aid may prove to be a valuable instrument in maintaining the cohesion of the Common Market, and heavily influence the coordinated development of Europe's economy and society. Nevertheless, State Aid control does not necessarily probihit all State Aids. The EU is not a state, but a conglomeration of states with competencies in economic, social and cultural development according to the Principle of Subsidiarity. Member States possess the financial power to provide State Aid. On the one hand, without State Aid control, competition shall be unduly damaged in the Union, and the integration efforts shall be in vain. On the other hand, State Aid in general is a rational act of state that addresses market failure, which must be subject to scrutiny before reaching a conclusion of incompatibility with the Common Market, and should not be treated the same as state acts in violation of the "four freedoms". Moreover, compatibility is largely determined by economic indicators relating to competition. It is therefore quite plausible for State Aid to be regulated by EU competition law.
According to Article107-109TFEU, Member States must apply for clearance to the Commission before issuing State Aid. This begs two questions:What constitutes State Aid? And what constitutes lawful State Aid? In order for a government action to become State Aid, it must satisfy4criteria: Aid to be granted by the State, to undertakings, conferring a competitive advantage, that which is specific. This portion of the analysis involves the application of the Imputability Test, the Market Economy Investor Test, public undertaking's financial relations with governments, as well as taxation and regional autonomy.
The rules on lawful State Aid are divided into two categories:aid deemed to be compatible with the Common Market and aid which may be compatible with the Common Market. The latter type of aid governed by Article107(3) TFEU is explained in further detail by regulations, directives, guidelines, and communications made by the Commission and the Council.
The State Aid Regime of the EU is developed in a unique social, economic, cultural and legal environment, and has little in common with AML's provision on administrative monopoly and the laws relating to public finance. Therefore, in order to introduce a similar system, and able to enforce such a system, China would have to make too many changes in the legal system to make it worthwhile.
The State Aid Regime of the EU, however, does provide insight to China's competition law enforcement. The reason is that, for many years, China has turned a blind eye to anti-competitive effects of government subsides in the market, and there is nearly no sign of "competition" in official documents relating to public finance. This results in inapproate and intransparent handling of aid in China without analyses of the aid's impact on competition. One should keep in mind that the European model is established under the rule of law and a sound auditing system of undertakings and public finance. Therefore, it is necessary for China to focus on establishing the rule of law and reforming the laws on public finance, while cultivating a culture for competition.
引文
①参见王晓晔：“市场失灵时的国家干预——欧盟竞争法中的国家援助”载《国际贸易》,2000年第3期,以及王晓晔：《欧共体竞争法》,中国社会科学出版社2007年版,第262页。
②State Aid Scoreboard:Number of newly introduced measures by type of aid (2005-2010)。
①欧盟委员会竞争总局国际关系部部长米克·范德威先生（MrMiekVanDerWee）在中国-欧盟世贸项目（二期）第二次中欧竞争政策周，“企业运营与反垄断法国际研讨会”上的发言，2011年11月28日。
①Musgrave, Richard A. and Peggy B. Public Finance in Theory and Practice (4th ed.). New York:McGraw-Hill,1984.参见李扬：《财政补贴经济分析》,上海三联书店1990年版,第27页。
②Musgrave, Richard A. and Peggy B., ibid, pp71-72,转引自李扬：前引书,第27页。
③见李扬：前引书,第29页：“准社会产品……的‘社会’性质根本无法确定。事实上,在决定对准社会产品是否提供补贴和提供多少补贴时,政府基本上是循着别的原则(例如平衡预算和宏观经济平衡)行事的。”
④《欧盟运行条约》第107条第2款。
①李扬：《财政补贴经济分析》,上海三联书店1990年版,第39页。
②Ehlermann, Claus-Dieter and Martin Goyette."The Interface between EU State Aid Control and the WTO Disciplines on Subsidies". EStAL42006, p714.
①因为欧盟是一个不同于一般国际组织的“超国家组织”。
②请见《关贸总协定1947》第16条，及卜海：《国际经济中的补贴与反补贴》，中国经济出版社2009年版，第21-24页。
③《马拉喀什建立世界贸易组织协定》附件1A《补贴与反补贴措施协定》。参见卜海：前引书，第5页。
①《欧盟运行条约》第345条。
②参见Ehlermann, Claus-Dieter and Martin Goyette."The Interface between EU State Aid Control and the WTO Disciplines on Subsidies". EStAL42006, p699.
③Ehlemann:前引文,同页。
④卜海：前引书,第6页。
⑤Case C88/03Portual v Commission, Judgment of6September2006,未公开出版。参见Ehlemann前引文,第704页。
①参见Case C-301/87, France v Commission [1990] ECR I-307第33段,和Cases T-239/04&T-323/04, Italy v Commission [2007] ECR11-3265第127段。
②李扬：前引书,第49页。
①李扬：前引书，第50页。
②参见李扬：前引书，第63-66页。
④参见孔少飞博士论文：《欧盟国家援助法律制度研究》第96页。
①参见李扬：前引书，第95-96页。
①见Mill, John Stuart and Jeremy Bentham. Alan Ryan (ed.). Utilitarianism and other Essays. New York:Penguin Books,1987. pp.65-112.272-338.
②见Hobson, John Atkinson. Imperialism. Cambridge:Cambridge UP,2010. pp.76-99.
③见Hobhouse, Leonard Trelawny. James Meadowcroft (ed.) Liberalism and Other Writings. Cambridge: Cambridge UP,1994. pp.10-23.67-102.
①参见Dimand, Robert et al (ed.). Keynes' General Theory after Seventy Years. IEA Conference Volumne No.147. pp.63-90.
②参见Keynes, John Maynard. The General Theory of Employment. Interest and Money. New York:Classic House Books,2008. pp.96-111.
③前引书,pp.65-74.
④参见Dumenil, Gerard and Dominique Levy. The Crisis of Neoliberalism. Cambridge:Harvard UP,2011. pp1-13,28-32.
①Bacila, Nicolae."The Relation between State Aid and Economic Development in the European Union". REJ ⅩⅢ, no.362010, p113-114.
②Bacila:前引文,第115页。
③同上
④参见Krugman, Paul Robin "Introduction:New Thinking about Trade Policy" in Paul Robin Krugman (ed.) Strategic Trade Policy and the New International Economics. Cambridge, MIT Press,1998. ppl-22.
①Brander, James Alan."Rationales for Strategic Trade and Industrial Policy",前引书,pp23-46.
①参见Dumenil, Gerard and Dominique Levy. The Crisis of Neoliberalism. Cambridge:Harvard UP,2011.297-326.
②"Less and better targeted aid-key figures"和"Subsidies (1) to the railway sector, in million EUR;2000-2010" State Aid Expenditure Scoreboard2010, http://ec.europa.eu/competition/state aid/studies reports/expenditure.html访问日期：2012年2月1日。
②程卫东、李靖堑译：《欧洲联盟基础条约》(经里斯本条约》修订,社会科学文献出版社2010年版,第88页。
①参见王晓晔著：《竞争法学》，北京：社会科学文献出版社2007年版，第371页。
①Council Regulation (EC) No994/98of7May1998on the application of Articles92and93(now87and88respectively) of the Treaty establishing the European Community to certain categories of horizontal State aid, OJ L142,14.05.1998,第一页,第2和第3条。
②同上,第4、5、6、8条。
②Commission Regulation (EC) No1998/2006of15December2006on the application of Articles87and88of the Treaty to de minimis aid OJ L379,28.12.2006,第510页,第二条,前言部分第12和第13款。
①Commission Regulation (EC) No800/2008of6August2008declaring certain categories of aid compatible with the common market in application of Articles87and88of the Treaty (General block exemption Regulation) OJ L214,9.8.2008,第3-47页,第一条。
①见Communication of the Commission:Temporary Union framework for State aid measures to support access to finance in the current financial and economic crisis. Official Journal C6,11.1.2011,第5页。
①详见Communication from the Commission on the application of the European Union State aid rules to compensation granted for the provision of services of general economic interest OJ C8,11.1.2012,第4-14页。
②该指令又称《透明度指令》("Transparency Directive"),详见Commission Directive2006/111/EC of16November2006on the transparency of financial relations between Member State and public undertakings as well as on financial transparency within certain undertakings, OJL318,17.11.2006,第17页。
①见曾令良：《论欧洲联盟法中的从属原则》，载《武汉大学学报》1999年第2期。
①Case26/62Van Genden Loos [1963] ECR1, A,B两段。参见Craig, Paul and Grainne de Burca. EU Law. Texts. Cases and Materials4th ed. OUR第275页。
②见Consolidated Version of The Treaty on the Functioning of the European Union, OJ2008/C115/88, TITLE VII, Chapter1:"Rules on Competition"
③同上,Section2,"Aids Granted by States".
①见1999年第659号条例第4条。
②Case T_171/0,Regione autonoma della Sardegna v Commission [2005]ECR Ⅱ.2123第60段。
①Jones, Alison and Brenda Sufrin. EC Competition Law3rd ed. Oxford UP,2008,第101页。
②参见《条约》258条。
③参见《条约》265条。
④参见《条约》第263和264条。
⑤Case C-482/99France v Commission [2002]I-4397第39段。
①参见周牧：“欧盟实践中关于国家援助的判定问题——论‘可归因性测试’和‘市场投资人测试’的适用”,载《欧洲研究》第29卷2011年第6期。
②Conor Ouigley. European State Aid Law and Policy2nd ed. Oxford:Hart publishing,2009,第448页。
①关于此章内容,请见周牧：“欧盟实践中关于国家援助的判定问题——论‘可归因性测试’和‘市场投资人测试’的适用”,载《欧洲研究》第29卷2011年第6期。
①Conor Quigley, European State Aid Law and Policy2nd ed. Oxford:Hart publishing,2009,第1-31页。
②Case290/83, Commission yF rance [1985] ECR439.
③Case C-379/98, Preussen Electro AG v Schleswag AG[2001]ECR1-2099,总顾问意见。转引自Conor Quigley, European State Aid Law and Policy2nd ed. Oxford:Hart,2009,第21页。
④关于以上分析,参见Ian Winter,"Redefining the Notion of State Aid in Article87(1) of the EC Treaty", Common Market Law Review, Vol.41, No.2,2004, pp.475-504.
⑤Commission Directive2006/111/EC of16November2006. OJ L318/19.
①王晓晔著：《王晓晔论反垄断法》,北京：社会科学文献出版社2010年版,第355-56页。
②参见王晓晔著：《竞争法学》,北京：社会科学文献出版社2007年版,第371页。
③目前学界有一种译法,将Public Undertakings"译为“公共企业”。见程卫东、李靖堃译：《欧洲联盟基础条约》第106条(经《里斯本条约》修订),社会科学文献出版社2010年版。
④Commission Directive2006/111/EC of16November2006.OJ L318/19。
①Case C-342/96,Spain v Commission[1999]ECR Ⅰ-2459.
①Case47/69, France v Commission [1970] ECR487,第16段。
①参见Case259/85,France v Commission[1987]ECR4393,第24段；Case C-303/88,Italy v Commission[1990] ECR I.1433.第27段；Cases C-278/92-280/92.Spal-v Commission[1994]ECR1-4103,第41-42段。
②Case234/84,Belgium v Commission[1986]ECR2263,总法律顾问的观点,第2274页。
③Case C-280/00,Altmark Trana v Nahverkehrsgesellschaft Altmark GmbH[2003]ECRI-7747,第81段。
①参见Case C-482/99, France v Commission [2002] ECR1-4397.
①Case78/76, Steinike und Weinlig v Germany [1977]ECR595,第21段。
③参见Case C-482/99France v Commission [2002]1-4397。
④该并购金额远远低于欧盟企业并购集体豁免条例规定的申报门槛,因此不属于企业并购的规制范围。参见Council Regulation (EC) No139/2004of20January2004on the control of concentrations between undertakings (the EC Merger Regulation)。
①参见Case C-482/99France v Commission[2002]I-4397序言部分：“The imputability of a measure to the State cannot be inferred from the mere fact that the measure at issue was taken by a public undertaking".
②罗剑雯：“论国家责任的免除”,《中山大学学报》1996年第3期,第158-159页。
①Case C-482/99France v Commission [2002]I-4397,第56段。
②同上,第70段和序言部分
①Case T-196/04Ryanair Ltd v Commission[2008]ECR Ⅱ.nyr,第53-61段。
②Conor Quigley,European State Aid Law and Policy2nd ed.Oxford:Hart,2009,第102页。
③王晓晔：《欧共体竞争法》,中国社会科学出版社2007年版,第269-273页。
③Case173/73Italy v Commission[1974]ECR709,第15段。
①参见前引书第270页。
②参见Berwin Leighton Paisner律师事务所对Ryanair-一案的评论：http://www.inhouselawyer.co.uk/index.php/eu-a-competition/7216-ryanair-wins-cfi-overturns-charleroi-state-aid-d ecision。访问日期：2012年2月1日。
③Case T-196/04RyanairLtd v Commission of the European Communities ECR [2008]11-3643"Application of the private investor in a market economy test",
④Case C-278/00, Greece v Commission [2004] ECR1-3997,第41-59段。
⑤Joined cases T-228/99and T-233/99Westdeutsche Landesbank Girozentrale and Land Nordrhein-Westfalen v Commission ofthe European Communities ECR[2003]Ⅱ-435,另见Press Release No13/036March2003。
①Case84/82,Germany v Commission[1984]ECR1451,总法律顾问Slynn的意见,第1501页。
②Case C-278-280/92,Spain v Commission[1994]ECR I-4103,总法律顾问Jacobs的意见,第4112页。
③Case C-39/94,SFEI v La Poste [1996]ECR I-3547,第60段。
④Case67,68&70/85,Van der Kooy v Commission[1988]ECR219,总法律顾问Slynn的意见,第250页。
⑤Case T-196/04Ryanair Ltd v Commission[2008] ECR Ⅱ-nyr
⑥参见上述第59段。
⑦参见上述第68段。
①Case T-98/00,Linder v Commission[2002]ECR Ⅱ.3961,第46段。
②Case T-123/97,Salomon SA v Commission[1999]ECR I.2925,第68段。
①参见Hall, David."Public Enterprise in Europe".由Institute for Public Policy Research (IPPR), UK赞助。Commissioned by:Institute for Public Policy Research (IPPR), UK. Presented at:IPPR Conference24th November1997"What Future for Public Enterprise?"1998年2月。www.psiru.org/reports/9803-U-Eur-Pubent.doc.访问日期2012年2月1日。
①Joined Cases188,189and190/80France,Italy and UK v Commission[1982]ECR2545.
②即Commission Directive80/723/EEC OJ L195/35.
③Joined Cases188,189and190/80France,Italy and UK v Commission[1982]ECR2545,第21段。
④Commission Directive2006/111/EC of16November2006.OJ L318/19.
⑤同上第3条。
①参见Application of Articles92and93of the EEC Treaty to public authorities' holdings (Bulletin EC91984) http://ec.europa.eu/competition/state_aid/legislation/ec1984_en.html.访问日期2011年2月1日。
①同上。
②《人民日报》2011年2月21日http://news.163.com/11/0221/03/6TCTI6N800014AED.html,访问日期：2012年2月20日。
②Commission Directive2006/111/EC of16November2006.OJ L318/19第1至3款。
①请参见Wolf Sauter,"Services of general economic interest and universal service in EU law". E.L. Rev.2008,33(2),179.
②Case T-289/03, BUPA Ltd v Commission [2008] ECR11-81,第178段。
③参见王晓晔著：《竞争法学》,北京：社会科学文献出版社2007年版,第371页。
①Case C-280/00Altmark Trans GmbH and Regierungsprasidium Magdeburg v Nabverkehrsgesellschaft Altmark GmbH[2003]ECR I-7747第89段。
②同上,第89-93段。
③Case T-266/02Deutsche Post AG v Commission,OJ C209.15.8.2008第39-40页。
④同上第74页
⑤Commission Decision2005/842/EC on the application of Anicle86(2) of the EC Treaty to State aid inthe form of public service compensation granted to certain undertakings entrusted with the operation of services of general economic interest (2005)OJ L312/67
⑥Communication from the Commission—European Union framework for State aid in the form of public service compensation (2011) OJ C8,11.1.2012第15-22页
①Alison Jones and Brenda Sufrin. EC Competition Law (3rd ed). OUP,2007,第654页。
②Communication from the Commission-European Union framework for State aid in the form of public service compensation (2011) OJ C8,11.1.2012,第15-22页,第2.3-2.5条
③同上,第2.10条。
①参见State aid scoreboard,2(?)08年8月,第49页。
①参见The Commission Notice on the application the State aid rules on measures relating to direct business taxation OJ1998C384/3.
②Case57/86, Greece v Commission [1988] ECR2855,第10段。
③Quigley, Conor. European State Aid Law and Policy. Oxford:Hart publishing,2009第73页。
④参见Case C-182/03&C-217/93, Belgium and Forum187v Commission [2006] ECR Ⅰ-5479和T-211/04&T-215/04, Government of Gibraltar v Commission [2008] ECR Ⅱ-nyr.
④T-211/04&T-215/04, Government of Gibraltar v Commission [2008] ECR Ⅱ-nyr.第171-173段。
①Case C.353/95P,/Iterce Ladbroke v Commission[1997]ECRI-7007,第33-35段。
②参见Case C-159/01,Nethertands v Commission[2004]ECR I-4461,和Case C-182/03&C-217/03Belgium andForum187v Commission[2006]ECRI-5479.
③Case T-308/00,Salzgitter AG v Commission[2004]ECRⅡ-1933.
④同上,第18段。
①Report on the implementation of the Commission notice on the application of the state aid rules to measures relating to direct business taxation, c(2004)434,第34-37段。
②Cases C-400/97-C402/97, Administracion delEstado v Juntas Generates de Guipuzcoa[2000]ECR1-1071总法律顾问Saggio的意见,第37段。
③Case T-92/00&T-103/00, Teritorio HIstorico de Alava-Disputacion Foral de Alava v Commission [2002] ECR11-1385第27段。
④Case C-88/03, Portugalv Commission [2006] ECR1-7115,第56-58段。
①同上,第63-66段。
②同上,第67段。
③以上关于欧盟地方政府自治权的论述,参见Quigley, Conor. European State Aid Law and Policy2nd ed. Oxford: Hart publishing,2009%79-86页.
①Case52/72, Benedett vMunari [1977] ECR163,第13-15段。
②Guidelines on State aid in the aviation sector, section Ⅲ.3, Thirtieth Report on Competition Policy(2000),第378页。
③参见Twenty-Fourth Report on Competition Policy (1994),第354页。
①见Case T-445/05, AssociazioneItaliana delRisparmio Gestito v Commission [2009] ECR Ⅱ-nyr,第182段。
②Twenty-Second Report on Competition Policy (1992).第495页。
③Guidelines on State aid in the aviation sector, section Ⅲ.3, Thirtieth Report on Competition Policy(2000),第378页。以上参见Conor Quigley. European State Aid Law and Policy2nd ed. Oxford:Hart,2009,第127-129页。
④Eighth Report on Competition Policy (1978).第164页。参见Conor Quigley, European State Aid Law and Policy2nd ed. Oxford:Hart,2009,第129页。
③参见Twenty-Second Report on Competition Policy (1992),第497页。及Case C-364/90, Italy v Commission [1993]ECR1-2097,总法律顾问Jacobs的意见,第2113页。
①Case T-268/06, Olympiaki Aeropria Ypiresies AE v Commission [2008] ECR Ⅱ-nyr,第66段。
②s Twenty-Fourth Report on Competition Policy (1994).(?)第495页。
①Case C-156/98, Germany v Commission [2000] ECR Ⅰ-6857,第52-55段。
②Twentieth Report on Competition Policy (1990),第178页。
①《地区援助指南》Guidelines on National Regional Aid for2007-2013OJ2006/C54/08第16段。
②Case C-225/91, Matra SA v Commission [1993] ECR1-3203第27段。
③Case310/85, Deufil GmbH v Commission [1987] ECR901第17段。
④Case C-278-280/92, Spain v Commission [19941ECr1-4103第49段。
⑤Twenty-second Report on Competition Policy (1992)第356页,以及Twenty-fifth Report on Competition Policy (1995),第238页。
①Sixteenth Report on Competition Policy (1986)第180页。
②见Case C-301/99, Germany v Commission [2003] ECR1-9919,第106段。
③见Commission Decision84/508/EEC, Belgian polypropylene fibre and yarn OJ1984L283/42
④Commission Decision88/167/EEC, Greek Industry OJ1988L76/18
①Case84/82, Germany v Commission [1984] ECR1451,总法律顾问Slynn的观点,第1504页。
②Twenty-second Report on Competition Policy (1992).第446页。
③Twenty-first Report on Competition Policy (1991),第272页。
④Case C-301/87, France v Commission [1990]ECRI-307,第54段。
①Cases62&72/87, ExecutifRegional Wallon v Commission [1988] ECR1573,第29段。
②参见N221/2003, Dutch aviation museum, OJ2003C301/7
③Commission Decision2008/354/EC, Videogames, OJ2008L118/16
①Conor Quigley, European State Aid Law and Policy2nd ed. Oxford:Hart,2009,第142-143页。
①参见Case T-162/06, Kronoply GmbH v Commission [2009] ECR Ⅱ-nyr
②见Case74/76, Iannelli v Meroni [1977] ECR557
③同上第15段。
④参见Case18/84, Commission vFrance [1985] ECR1339
①Nineteenth Report on Competition Policy (1989)第152页。
②例如Case152/73, Sotgiu v Deutsch Bundesport[1911] ECR153,第10段。
③参见Case C-156/98Germany v Commission [2000] ECR1-6857
②Case C-35/98, Staatssecretans van Financien v Verkooijen [2000] ECR1-4071,第36段。
①参见Conor Quigley, European State Aid Law and Policy2nd ed. Oxford:Hart,2009,第151页。
①Bacila, Nicolae."The Relation between State Aid and Economic Development in the European Union". REJ ⅩⅢ, no.362010, p113-114.
②State Aid Expenditure Scoreboard, http://ec.europa.eu/competition/state_aid/studies_reports/expenditure.html访问日期：2012年2月1日
①State Aid Scoreboard,Autumn2008.第4-5,7页。
①参见Commission Regulation No.800/2008OJ2008L214/3,第5条(1)项。
②同上第7条。
①Case C-86/89,Italy v Commission[1990]ECR I-3891,第18段。
②参见Case C-288/96,Germany v Commission[2000]ECR I-8237.
③Conor Quigley,European State Aid Law and Policy2nd ed.Oxford:Hart,2009,第191页。
③Commission Regulation No.800/2008OJ2008L214/3,第6段。
④Regional Aid Guidelines2007-2013,第1-3段。
①同上,第30段。另见Summaries of EU Legislation: http://europa.eu/legislation summaries/competition/state aid/g24242en.htm,访问日期：2012年2月1日。
②Regional Aid Guidelines2007-2013,第12-14段。
③同上,第8-9段。
①同上,第35段。
②同上,第38、40段,以及Commission Regulation No800/2008,第8、13条。
③同上,第50-54段,以及Commission Regulation No800/2008,第13条。
①State aid expenditure for agricultural sector by Member State in million Euro (2005-2010).
②另见Council Regulation (EC) No1698/2005OJ L277,21.10.2005第22条。
②Commission Regulation (EC) No1857/2006of15December2006on the application of Articles87and88of the Treaty to State aid to small and medium-sized enterprises active in the production of agricultural products and amending Regulation (EC) No70/2001, OJ L358,16.12.2006,p3-21.第4-16条。
④同上,序言第4段。
①王晓晔：《欧共体竞争法》,中国社会科学出版社2007年版,第283-284页。
②Commission Decision No2496/96/ECSC,第4(2)-(4)条。Communication on rescue and restructuring aid and closure aid for the steel sector, OJ C702002年3月19日第2.2-2.3段。另见王晓晔：《欧共体竞争法》,中国社会科学出版社2007年版,第283页。
③见《地区援助指南》Guidelines on National Regional Aid for2007-2013OJ2006/C54/08第8段。
①Press release IP/11/1488:State aid:Commission extends crisis rules for banks,2011年12月10日
②Communication from the Commission-The application of State aid rules to measures taken in relation to financial institutions in the context of the current global financial crisis. OJ C270,25.10.2008,第8页,第19-23,第27段。
③Temporary framework for State aid measures to support access to finance in the current financial and economic crisis (consolidated version) OJ C83,7.4.2009,第1页。
④Temporary Union framework for State aid measures to support access to finance in the current financial and economic crisis. OJ C6,11.1.2011,第5页。
①同上，另见周牧：“欧盟——坚持竞争政策，实施国家援助”，载《中国社会科学报》，总第191期，2011年5月26日。
①Handbook on Community State Aid Rules for SMEs.2009.2.25
②Small Business Act for Europe (SB A) http://ec.europa.eu/enterprise/policies/sme/small-business-act/implementation/files/sba_imp_en.pdf,访问日期：2012年2月1日。
③Communication from the Commission to the Council, the European Parliament, the European Economic and Social Committee and the Committee of the Regions "Think Small First" A "Small Business Act" for Europe". http://eur-lex.europa.eu/LexUriServ/LexUriServ.do?uri=COM:2008:0394:FIN:en:PDF访问日期：2012年2月1日。
④见“The SMEs in the frame of the 'Europe2020strategy'" http://ec.europa.eu/enterprise/policies/finance/files/citibank position paper for sme forum en.pdf访问日期：2012年2月1日。
⑤郎咸平：《谁在侵蚀温州民间金融》。http://biz.cn.vahoo.com/vpen/20111222/773184.html访问日期：2012年2月1日。
①Handbook on Community State Aid Rules for SMEs.2009.2.25
②同上第6页,另见Commission Regulation No1998/2006on the application of Articles87and88of the Treaty to de minimis aid" OJ L379,28.12.2006,第5页。
②Commission Regulation No800/2008OJ2008L214/3, Annex I第2条。
①参见Guidelines on Risk Capital Aid OJ2006C194/2, Section4.2
②同上,Section1.1
③同上,Section1.3
②Commission Regulation No800/2008OJ2008L214/3第1条(2)-(6)
①同上,第29条第(1)-(6)项。
②同上,第29条第(7)-(8)项。
③Guidelines on risk capital aid, section4.3.5.
①参见Conor Quigley, European State Aid Law and Policy2nd ed. Oxford:Hart,2009,第234-235页。
②见Commission Decision2005/644/EC, Invest Northern Ireland2003,OJ2005L236/14.
③见Case NN81/2005, NESTAIIP, OJ2006C85/3.
④Case C33/2007, IBG Risk Capital Fund Sachsen-Anhalt, OJ2007C246/20
①Guidelines on Risk Capital Aid, Section5.2.3.
②同上,Section5.3.1-5.3.2
②Commission Regulation No800/2008OJ2008L214/3第16条。
①"Growth, Competitiveness, Employment:The Challenges and Ways Forward into the21st Century"-White Paper. Parts A and B. COM (93)700final/A and B,5December1993. Bulletin of the European Communities, Supplement6/93.
①参见1998Framework on Training Aid,第7段。
②同上,第23-29段。
③同上,第3、29段。
④参见Conor Quigley, European State Aid Law and Policy2nd ed. Oxford:Hart,2009,第240页。
①Commission Regulation No.800/2008OJ2008L214/3,第6段。
②见Commission Decision2006/225IEC, Italian vocational training institutes, OJ2006L81/25。
③Commission Regulation No.800/2008OJ2008L214/3,序言部分第62段。
④同上,第38条(a)和(b)项。
①同上,第39条第(4)项。
②Commission Regulation No.800/2008OJ2008L214/3,第38条(3)、(4)项。
③Commission Regulation No68/2001,第4条(2)-(3)项。
④Commission Regulation No.800/2008OJ2008L214/3,第39条(2)项。
①Commission Regulation No2204/2002,第4条(1)-(2)项。
②Commission Regulation No.800/2008OJ2008L214/3,第12条(3)项。
①孔少飞博士论文：《欧盟国家援助法律制度研究》第129页。
①见《中小企业促进法》第十四、第十六、第十七和第二十九条。
②国发[2004]20号
①Commission Regulation (EC) No1998/2006of15December2006on the application of Articles87and88of the Treaty to de minimis aid OJ L379,28.12.2006.
②周弘主编：《欧盟是怎样的力量——兼论欧洲一体化对世界多极化的影响》,社会科学文献出版社2008年版,第5-6页。
①同上第12页。
②国家统计局2008年“中央和地方财政收支”数据。转引自杨志勇、杨之刚著：《中国财政制度改革30年》，格致出版社2008年版，第8-9页。
①Ehlermann, Claus-Dieter and Martin Goyette."The Interface between EU State Aid Control and the WTO Disciplines on Subsidies". EStAL42006, p705.
②同上,第713页。另见Report of the Panel, European Communities-Export Subsidies on Sugar WT/DS283/R,2004年10月15日。
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-李扬：《财政补贴经济分析》，上海三联书店1990年版
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-曾令良：《欧盟联盟法总论》，武汉大学出版社2007年版
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-周弘主编：《欧盟是怎样的力量》，社会科学文献出版社2008年版
-孔少飞博士论文：《欧盟国家援助法律制度研究》
-罗剑雯：“论国家责任的免除”，《中山大学学报》1996年第3期
-王晓晔：“市场失灵时的国家干预——欧盟竞争法中的国家援助”载《国际贸易》，2000年第3期
-曾令良：《论欧洲联盟法中的从属原则》，载《武汉大学学报》1999年第2期
-周牧：“欧盟实践中关于国家援助的判定问题——论‘可归因性测试’和‘市场投资人测试’的适用”,载《欧洲研究》第29卷2011年第6期
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②State Aid Scoreboard:Number of newly introduced measures by type of aid (2005-2010)。
①欧盟委员会竞争总局国际关系部部长米克·范德威先生（MrMiekVanDerWee）在中国-欧盟世贸项目（二期）第二次中欧竞争政策周，“企业运营与反垄断法国际研讨会”上的发言，2011年11月28日。
①Musgrave, Richard A. and Peggy B. Public Finance in Theory and Practice (4th ed.). New York:McGraw-Hill,1984.参见李扬：《财政补贴经济分析》,上海三联书店1990年版,第27页。
②Musgrave, Richard A. and Peggy B., ibid, pp71-72,转引自李扬：前引书,第27页。
③见李扬：前引书,第29页：“准社会产品……的‘社会’性质根本无法确定。事实上,在决定对准社会产品是否提供补贴和提供多少补贴时,政府基本上是循着别的原则(例如平衡预算和宏观经济平衡)行事的。”
④《欧盟运行条约》第107条第2款。
①李扬：《财政补贴经济分析》,上海三联书店1990年版,第39页。
②Ehlermann, Claus-Dieter and Martin Goyette."The Interface between EU State Aid Control and the WTO Disciplines on Subsidies". EStAL42006, p714.
①因为欧盟是一个不同于一般国际组织的“超国家组织”。
②请见《关贸总协定1947》第16条，及卜海：《国际经济中的补贴与反补贴》，中国经济出版社2009年版，第21-24页。
③《马拉喀什建立世界贸易组织协定》附件1A《补贴与反补贴措施协定》。参见卜海：前引书，第5页。
①《欧盟运行条约》第345条。
②参见Ehlermann, Claus-Dieter and Martin Goyette."The Interface between EU State Aid Control and the WTO Disciplines on Subsidies". EStAL42006, p699.
③Ehlemann:前引文,同页。
④卜海：前引书,第6页。
⑤Case C88/03Portual v Commission, Judgment of6September2006,未公开出版。参见Ehlemann前引文,第704页。
①参见Case C-301/87, France v Commission [1990] ECR I-307第33段,和Cases T-239/04&T-323/04, Italy v Commission [2007] ECR11-3265第127段。
②李扬：前引书,第49页。
①李扬：前引书，第50页。
②参见李扬：前引书，第63-66页。
④参见孔少飞博士论文：《欧盟国家援助法律制度研究》第96页。
①参见李扬：前引书，第95-96页。
①见Mill, John Stuart and Jeremy Bentham. Alan Ryan (ed.). Utilitarianism and other Essays. New York:Penguin Books,1987. pp.65-112.272-338.
②见Hobson, John Atkinson. Imperialism. Cambridge:Cambridge UP,2010. pp.76-99.
③见Hobhouse, Leonard Trelawny. James Meadowcroft (ed.) Liberalism and Other Writings. Cambridge: Cambridge UP,1994. pp.10-23.67-102.
①参见Dimand, Robert et al (ed.). Keynes' General Theory after Seventy Years. IEA Conference Volumne No.147. pp.63-90.
②参见Keynes, John Maynard. The General Theory of Employment. Interest and Money. New York:Classic House Books,2008. pp.96-111.
③前引书,pp.65-74.
④参见Dumenil, Gerard and Dominique Levy. The Crisis of Neoliberalism. Cambridge:Harvard UP,2011. pp1-13,28-32.
①Bacila, Nicolae."The Relation between State Aid and Economic Development in the European Union". REJ ⅩⅢ, no.362010, p113-114.
②Bacila:前引文,第115页。
③同上
④参见Krugman, Paul Robin "Introduction:New Thinking about Trade Policy" in Paul Robin Krugman (ed.) Strategic Trade Policy and the New International Economics. Cambridge, MIT Press,1998. ppl-22.
①Brander, James Alan."Rationales for Strategic Trade and Industrial Policy",前引书,pp23-46.
①参见Dumenil, Gerard and Dominique Levy. The Crisis of Neoliberalism. Cambridge:Harvard UP,2011.297-326.
②"Less and better targeted aid-key figures"和"Subsidies (1) to the railway sector, in million EUR;2000-2010" State Aid Expenditure Scoreboard2010, http://ec.europa.eu/competition/state aid/studies reports/expenditure.html访问日期：2012年2月1日。
②程卫东、李靖堑译：《欧洲联盟基础条约》(经里斯本条约》修订,社会科学文献出版社2010年版,第88页。
①参见王晓晔著：《竞争法学》，北京：社会科学文献出版社2007年版，第371页。
①Council Regulation (EC) No994/98of7May1998on the application of Articles92and93(now87and88respectively) of the Treaty establishing the European Community to certain categories of horizontal State aid, OJ L142,14.05.1998,第一页,第2和第3条。
②同上,第4、5、6、8条。
②Commission Regulation (EC) No1998/2006of15December2006on the application of Articles87and88of the Treaty to de minimis aid OJ L379,28.12.2006,第510页,第二条,前言部分第12和第13款。
①Commission Regulation (EC) No800/2008of6August2008declaring certain categories of aid compatible with the common market in application of Articles87and88of the Treaty (General block exemption Regulation) OJ L214,9.8.2008,第3-47页,第一条。
①见Communication of the Commission:Temporary Union framework for State aid measures to support access to finance in the current financial and economic crisis. Official Journal C6,11.1.2011,第5页。
①详见Communication from the Commission on the application of the European Union State aid rules to compensation granted for the provision of services of general economic interest OJ C8,11.1.2012,第4-14页。
②该指令又称《透明度指令》("Transparency Directive"),详见Commission Directive2006/111/EC of16November2006on the transparency of financial relations between Member State and public undertakings as well as on financial transparency within certain undertakings, OJL318,17.11.2006,第17页。
①见曾令良：《论欧洲联盟法中的从属原则》，载《武汉大学学报》1999年第2期。
①Case26/62Van Genden Loos [1963] ECR1, A,B两段。参见Craig, Paul and Grainne de Burca. EU Law. Texts. Cases and Materials4th ed. OUR第275页。
②见Consolidated Version of The Treaty on the Functioning of the European Union, OJ2008/C115/88, TITLE VII, Chapter1:"Rules on Competition"
③同上,Section2,"Aids Granted by States".
①见1999年第659号条例第4条。
②Case T_171/0,Regione autonoma della Sardegna v Commission [2005]ECR Ⅱ.2123第60段。
①Jones, Alison and Brenda Sufrin. EC Competition Law3rd ed. Oxford UP,2008,第101页。
②参见《条约》258条。
③参见《条约》265条。
④参见《条约》第263和264条。
⑤Case C-482/99France v Commission [2002]I-4397第39段。
①参见周牧：“欧盟实践中关于国家援助的判定问题——论‘可归因性测试’和‘市场投资人测试’的适用”,载《欧洲研究》第29卷2011年第6期。
②Conor Ouigley. European State Aid Law and Policy2nd ed. Oxford:Hart publishing,2009,第448页。
①关于此章内容,请见周牧：“欧盟实践中关于国家援助的判定问题——论‘可归因性测试’和‘市场投资人测试’的适用”,载《欧洲研究》第29卷2011年第6期。
①Conor Quigley, European State Aid Law and Policy2nd ed. Oxford:Hart publishing,2009,第1-31页。
②Case290/83, Commission yF rance [1985] ECR439.
③Case C-379/98, Preussen Electro AG v Schleswag AG[2001]ECR1-2099,总顾问意见。转引自Conor Quigley, European State Aid Law and Policy2nd ed. Oxford:Hart,2009,第21页。
④关于以上分析,参见Ian Winter,"Redefining the Notion of State Aid in Article87(1) of the EC Treaty", Common Market Law Review, Vol.41, No.2,2004, pp.475-504.
⑤Commission Directive2006/111/EC of16November2006. OJ L318/19.
①王晓晔著：《王晓晔论反垄断法》,北京：社会科学文献出版社2010年版,第355-56页。
②参见王晓晔著：《竞争法学》,北京：社会科学文献出版社2007年版,第371页。
③目前学界有一种译法,将Public Undertakings"译为“公共企业”。见程卫东、李靖堃译：《欧洲联盟基础条约》第106条(经《里斯本条约》修订),社会科学文献出版社2010年版。
④Commission Directive2006/111/EC of16November2006.OJ L318/19。
①Case C-342/96,Spain v Commission[1999]ECR Ⅰ-2459.
①Case47/69, France v Commission [1970] ECR487,第16段。
①参见Case259/85,France v Commission[1987]ECR4393,第24段；Case C-303/88,Italy v Commission[1990] ECR I.1433.第27段；Cases C-278/92-280/92.Spal-v Commission[1994]ECR1-4103,第41-42段。
②Case234/84,Belgium v Commission[1986]ECR2263,总法律顾问的观点,第2274页。
③Case C-280/00,Altmark Trana v Nahverkehrsgesellschaft Altmark GmbH[2003]ECRI-7747,第81段。
①参见Case C-482/99, France v Commission [2002] ECR1-4397.
①Case78/76, Steinike und Weinlig v Germany [1977]ECR595,第21段。
③参见Case C-482/99France v Commission [2002]1-4397。
④该并购金额远远低于欧盟企业并购集体豁免条例规定的申报门槛,因此不属于企业并购的规制范围。参见Council Regulation (EC) No139/2004of20January2004on the control of concentrations between undertakings (the EC Merger Regulation)。
①参见Case C-482/99France v Commission[2002]I-4397序言部分：“The imputability of a measure to the State cannot be inferred from the mere fact that the measure at issue was taken by a public undertaking".
②罗剑雯：“论国家责任的免除”,《中山大学学报》1996年第3期,第158-159页。
①Case C-482/99France v Commission [2002]I-4397,第56段。
②同上,第70段和序言部分
①Case T-196/04Ryanair Ltd v Commission[2008]ECR Ⅱ.nyr,第53-61段。
②Conor Quigley,European State Aid Law and Policy2nd ed.Oxford:Hart,2009,第102页。
③王晓晔：《欧共体竞争法》,中国社会科学出版社2007年版,第269-273页。
③Case173/73Italy v Commission[1974]ECR709,第15段。
①参见前引书第270页。
②参见Berwin Leighton Paisner律师事务所对Ryanair-一案的评论：http://www.inhouselawyer.co.uk/index.php/eu-a-competition/7216-ryanair-wins-cfi-overturns-charleroi-state-aid-d ecision。访问日期：2012年2月1日。
③Case T-196/04RyanairLtd v Commission of the European Communities ECR [2008]11-3643"Application of the private investor in a market economy test",
④Case C-278/00, Greece v Commission [2004] ECR1-3997,第41-59段。
⑤Joined cases T-228/99and T-233/99Westdeutsche Landesbank Girozentrale and Land Nordrhein-Westfalen v Commission ofthe European Communities ECR[2003]Ⅱ-435,另见Press Release No13/036March2003。
①Case84/82,Germany v Commission[1984]ECR1451,总法律顾问Slynn的意见,第1501页。
②Case C-278-280/92,Spain v Commission[1994]ECR I-4103,总法律顾问Jacobs的意见,第4112页。
③Case C-39/94,SFEI v La Poste [1996]ECR I-3547,第60段。
④Case67,68&70/85,Van der Kooy v Commission[1988]ECR219,总法律顾问Slynn的意见,第250页。
⑤Case T-196/04Ryanair Ltd v Commission[2008] ECR Ⅱ-nyr
⑥参见上述第59段。
⑦参见上述第68段。
①Case T-98/00,Linder v Commission[2002]ECR Ⅱ.3961,第46段。
②Case T-123/97,Salomon SA v Commission[1999]ECR I.2925,第68段。
①参见Hall, David."Public Enterprise in Europe".由Institute for Public Policy Research (IPPR), UK赞助。Commissioned by:Institute for Public Policy Research (IPPR), UK. Presented at:IPPR Conference24th November1997"What Future for Public Enterprise?"1998年2月。www.psiru.org/reports/9803-U-Eur-Pubent.doc.访问日期2012年2月1日。
①Joined Cases188,189and190/80France,Italy and UK v Commission[1982]ECR2545.
②即Commission Directive80/723/EEC OJ L195/35.
③Joined Cases188,189and190/80France,Italy and UK v Commission[1982]ECR2545,第21段。
④Commission Directive2006/111/EC of16November2006.OJ L318/19.
⑤同上第3条。
①参见Application of Articles92and93of the EEC Treaty to public authorities' holdings (Bulletin EC91984) http://ec.europa.eu/competition/state_aid/legislation/ec1984_en.html.访问日期2011年2月1日。
①同上。
②《人民日报》2011年2月21日http://news.163.com/11/0221/03/6TCTI6N800014AED.html,访问日期：2012年2月20日。
②Commission Directive2006/111/EC of16November2006.OJ L318/19第1至3款。
①请参见Wolf Sauter,"Services of general economic interest and universal service in EU law". E.L. Rev.2008,33(2),179.
②Case T-289/03, BUPA Ltd v Commission [2008] ECR11-81,第178段。
③参见王晓晔著：《竞争法学》,北京：社会科学文献出版社2007年版,第371页。
①Case C-280/00Altmark Trans GmbH and Regierungsprasidium Magdeburg v Nabverkehrsgesellschaft Altmark GmbH[2003]ECR I-7747第89段。
②同上,第89-93段。
③Case T-266/02Deutsche Post AG v Commission,OJ C209.15.8.2008第39-40页。
④同上第74页
⑤Commission Decision2005/842/EC on the application of Anicle86(2) of the EC Treaty to State aid inthe form of public service compensation granted to certain undertakings entrusted with the operation of services of general economic interest (2005)OJ L312/67
⑥Communication from the Commission—European Union framework for State aid in the form of public service compensation (2011) OJ C8,11.1.2012第15-22页
①Alison Jones and Brenda Sufrin. EC Competition Law (3rd ed). OUP,2007,第654页。
②Communication from the Commission-European Union framework for State aid in the form of public service compensation (2011) OJ C8,11.1.2012,第15-22页,第2.3-2.5条
③同上,第2.10条。
①参见State aid scoreboard,2(?)08年8月,第49页。
①参见The Commission Notice on the application the State aid rules on measures relating to direct business taxation OJ1998C384/3.
②Case57/86, Greece v Commission [1988] ECR2855,第10段。
③Quigley, Conor. European State Aid Law and Policy. Oxford:Hart publishing,2009第73页。
④参见Case C-182/03&C-217/93, Belgium and Forum187v Commission [2006] ECR Ⅰ-5479和T-211/04&T-215/04, Government of Gibraltar v Commission [2008] ECR Ⅱ-nyr.
④T-211/04&T-215/04, Government of Gibraltar v Commission [2008] ECR Ⅱ-nyr.第171-173段。
①Case C.353/95P,/Iterce Ladbroke v Commission[1997]ECRI-7007,第33-35段。
②参见Case C-159/01,Nethertands v Commission[2004]ECR I-4461,和Case C-182/03&C-217/03Belgium andForum187v Commission[2006]ECRI-5479.
③Case T-308/00,Salzgitter AG v Commission[2004]ECRⅡ-1933.
④同上,第18段。
①Report on the implementation of the Commission notice on the application of the state aid rules to measures relating to direct business taxation, c(2004)434,第34-37段。
②Cases C-400/97-C402/97, Administracion delEstado v Juntas Generates de Guipuzcoa[2000]ECR1-1071总法律顾问Saggio的意见,第37段。
③Case T-92/00&T-103/00, Teritorio HIstorico de Alava-Disputacion Foral de Alava v Commission [2002] ECR11-1385第27段。
④Case C-88/03, Portugalv Commission [2006] ECR1-7115,第56-58段。
①同上,第63-66段。
②同上,第67段。
③以上关于欧盟地方政府自治权的论述,参见Quigley, Conor. European State Aid Law and Policy2nd ed. Oxford: Hart publishing,2009%79-86页.
①Case52/72, Benedett vMunari [1977] ECR163,第13-15段。
②Guidelines on State aid in the aviation sector, section Ⅲ.3, Thirtieth Report on Competition Policy(2000),第378页。
③参见Twenty-Fourth Report on Competition Policy (1994),第354页。
①见Case T-445/05, AssociazioneItaliana delRisparmio Gestito v Commission [2009] ECR Ⅱ-nyr,第182段。
②Twenty-Second Report on Competition Policy (1992).第495页。
③Guidelines on State aid in the aviation sector, section Ⅲ.3, Thirtieth Report on Competition Policy(2000),第378页。以上参见Conor Quigley. European State Aid Law and Policy2nd ed. Oxford:Hart,2009,第127-129页。
④Eighth Report on Competition Policy (1978).第164页。参见Conor Quigley, European State Aid Law and Policy2nd ed. Oxford:Hart,2009,第129页。
③参见Twenty-Second Report on Competition Policy (1992),第497页。及Case C-364/90, Italy v Commission [1993]ECR1-2097,总法律顾问Jacobs的意见,第2113页。
①Case T-268/06, Olympiaki Aeropria Ypiresies AE v Commission [2008] ECR Ⅱ-nyr,第66段。
②s Twenty-Fourth Report on Competition Policy (1994).(?)第495页。
①Case C-156/98, Germany v Commission [2000] ECR Ⅰ-6857,第52-55段。
②Twentieth Report on Competition Policy (1990),第178页。
①《地区援助指南》Guidelines on National Regional Aid for2007-2013OJ2006/C54/08第16段。
②Case C-225/91, Matra SA v Commission [1993] ECR1-3203第27段。
③Case310/85, Deufil GmbH v Commission [1987] ECR901第17段。
④Case C-278-280/92, Spain v Commission [19941ECr1-4103第49段。
⑤Twenty-second Report on Competition Policy (1992)第356页,以及Twenty-fifth Report on Competition Policy (1995),第238页。
①Sixteenth Report on Competition Policy (1986)第180页。
②见Case C-301/99, Germany v Commission [2003] ECR1-9919,第106段。
③见Commission Decision84/508/EEC, Belgian polypropylene fibre and yarn OJ1984L283/42
④Commission Decision88/167/EEC, Greek Industry OJ1988L76/18
①Case84/82, Germany v Commission [1984] ECR1451,总法律顾问Slynn的观点,第1504页。
②Twenty-second Report on Competition Policy (1992).第446页。
③Twenty-first Report on Competition Policy (1991),第272页。
④Case C-301/87, France v Commission [1990]ECRI-307,第54段。
①Cases62&72/87, ExecutifRegional Wallon v Commission [1988] ECR1573,第29段。
②参见N221/2003, Dutch aviation museum, OJ2003C301/7
③Commission Decision2008/354/EC, Videogames, OJ2008L118/16
①Conor Quigley, European State Aid Law and Policy2nd ed. Oxford:Hart,2009,第142-143页。
①参见Case T-162/06, Kronoply GmbH v Commission [2009] ECR Ⅱ-nyr
②见Case74/76, Iannelli v Meroni [1977] ECR557
③同上第15段。
④参见Case18/84, Commission vFrance [1985] ECR1339
①Nineteenth Report on Competition Policy (1989)第152页。
②例如Case152/73, Sotgiu v Deutsch Bundesport[1911] ECR153,第10段。
③参见Case C-156/98Germany v Commission [2000] ECR1-6857
②Case C-35/98, Staatssecretans van Financien v Verkooijen [2000] ECR1-4071,第36段。
①参见Conor Quigley, European State Aid Law and Policy2nd ed. Oxford:Hart,2009,第151页。
①Bacila, Nicolae."The Relation between State Aid and Economic Development in the European Union". REJ ⅩⅢ, no.362010, p113-114.
②State Aid Expenditure Scoreboard, http://ec.europa.eu/competition/state_aid/studies_reports/expenditure.html访问日期：2012年2月1日
①State Aid Scoreboard,Autumn2008.第4-5,7页。
①参见Commission Regulation No.800/2008OJ2008L214/3,第5条(1)项。
②同上第7条。
①Case C-86/89,Italy v Commission[1990]ECR I-3891,第18段。
②参见Case C-288/96,Germany v Commission[2000]ECR I-8237.
③Conor Quigley,European State Aid Law and Policy2nd ed.Oxford:Hart,2009,第191页。
③Commission Regulation No.800/2008OJ2008L214/3,第6段。
④Regional Aid Guidelines2007-2013,第1-3段。
①同上,第30段。另见Summaries of EU Legislation: http://europa.eu/legislation summaries/competition/state aid/g24242en.htm,访问日期：2012年2月1日。
②Regional Aid Guidelines2007-2013,第12-14段。
③同上,第8-9段。
①同上,第35段。
②同上,第38、40段,以及Commission Regulation No800/2008,第8、13条。
③同上,第50-54段,以及Commission Regulation No800/2008,第13条。
①State aid expenditure for agricultural sector by Member State in million Euro (2005-2010).
②另见Council Regulation (EC) No1698/2005OJ L277,21.10.2005第22条。
②Commission Regulation (EC) No1857/2006of15December2006on the application of Articles87and88of the Treaty to State aid to small and medium-sized enterprises active in the production of agricultural products and amending Regulation (EC) No70/2001, OJ L358,16.12.2006,p3-21.第4-16条。
④同上,序言第4段。
①王晓晔：《欧共体竞争法》,中国社会科学出版社2007年版,第283-284页。
②Commission Decision No2496/96/ECSC,第4(2)-(4)条。Communication on rescue and restructuring aid and closure aid for the steel sector, OJ C702002年3月19日第2.2-2.3段。另见王晓晔：《欧共体竞争法》,中国社会科学出版社2007年版,第283页。
③见《地区援助指南》Guidelines on National Regional Aid for2007-2013OJ2006/C54/08第8段。
①Press release IP/11/1488:State aid:Commission extends crisis rules for banks,2011年12月10日
②Communication from the Commission-The application of State aid rules to measures taken in relation to financial institutions in the context of the current global financial crisis. OJ C270,25.10.2008,第8页,第19-23,第27段。
③Temporary framework for State aid measures to support access to finance in the current financial and economic crisis (consolidated version) OJ C83,7.4.2009,第1页。
④Temporary Union framework for State aid measures to support access to finance in the current financial and economic crisis. OJ C6,11.1.2011,第5页。
①同上，另见周牧：“欧盟——坚持竞争政策，实施国家援助”，载《中国社会科学报》，总第191期，2011年5月26日。
①Handbook on Community State Aid Rules for SMEs.2009.2.25
②Small Business Act for Europe (SB A) http://ec.europa.eu/enterprise/policies/sme/small-business-act/implementation/files/sba_imp_en.pdf,访问日期：2012年2月1日。
③Communication from the Commission to the Council, the European Parliament, the European Economic and Social Committee and the Committee of the Regions "Think Small First" A "Small Business Act" for Europe". http://eur-lex.europa.eu/LexUriServ/LexUriServ.do?uri=COM:2008:0394:FIN:en:PDF访问日期：2012年2月1日。
④见“The SMEs in the frame of the 'Europe2020strategy'" http://ec.europa.eu/enterprise/policies/finance/files/citibank position paper for sme forum en.pdf访问日期：2012年2月1日。
⑤郎咸平：《谁在侵蚀温州民间金融》。http://biz.cn.vahoo.com/vpen/20111222/773184.html访问日期：2012年2月1日。
①Handbook on Community State Aid Rules for SMEs.2009.2.25
②同上第6页,另见Commission Regulation No1998/2006on the application of Articles87and88of the Treaty to de minimis aid" OJ L379,28.12.2006,第5页。
②Commission Regulation No800/2008OJ2008L214/3, Annex I第2条。
①参见Guidelines on Risk Capital Aid OJ2006C194/2, Section4.2
②同上,Section1.1
③同上,Section1.3
②Commission Regulation No800/2008OJ2008L214/3第1条(2)-(6)
①同上,第29条第(1)-(6)项。
②同上,第29条第(7)-(8)项。
③Guidelines on risk capital aid, section4.3.5.
①参见Conor Quigley, European State Aid Law and Policy2nd ed. Oxford:Hart,2009,第234-235页。
②见Commission Decision2005/644/EC, Invest Northern Ireland2003,OJ2005L236/14.
③见Case NN81/2005, NESTAIIP, OJ2006C85/3.
④Case C33/2007, IBG Risk Capital Fund Sachsen-Anhalt, OJ2007C246/20
①Guidelines on Risk Capital Aid, Section5.2.3.
②同上,Section5.3.1-5.3.2
②Commission Regulation No800/2008OJ2008L214/3第16条。
①"Growth, Competitiveness, Employment:The Challenges and Ways Forward into the21st Century"-White Paper. Parts A and B. COM (93)700final/A and B,5December1993. Bulletin of the European Communities, Supplement6/93.
①参见1998Framework on Training Aid,第7段。
②同上,第23-29段。
③同上,第3、29段。
④参见Conor Quigley, European State Aid Law and Policy2nd ed. Oxford:Hart,2009,第240页。
①Commission Regulation No.800/2008OJ2008L214/3,第6段。
②见Commission Decision2006/225IEC, Italian vocational training institutes, OJ2006L81/25。
③Commission Regulation No.800/2008OJ2008L214/3,序言部分第62段。
④同上,第38条(a)和(b)项。
①同上,第39条第(4)项。
②Commission Regulation No.800/2008OJ2008L214/3,第38条(3)、(4)项。
③Commission Regulation No68/2001,第4条(2)-(3)项。
④Commission Regulation No.800/2008OJ2008L214/3,第39条(2)项。
①Commission Regulation No2204/2002,第4条(1)-(2)项。
②Commission Regulation No.800/2008OJ2008L214/3,第12条(3)项。
①孔少飞博士论文：《欧盟国家援助法律制度研究》第129页。
①见《中小企业促进法》第十四、第十六、第十七和第二十九条。
②国发[2004]20号
①Commission Regulation (EC) No1998/2006of15December2006on the application of Articles87and88of the Treaty to de minimis aid OJ L379,28.12.2006.
②周弘主编：《欧盟是怎样的力量——兼论欧洲一体化对世界多极化的影响》,社会科学文献出版社2008年版,第5-6页。
①同上第12页。
②国家统计局2008年“中央和地方财政收支”数据。转引自杨志勇、杨之刚著：《中国财政制度改革30年》，格致出版社2008年版，第8-9页。
①Ehlermann, Claus-Dieter and Martin Goyette."The Interface between EU State Aid Control and the WTO Disciplines on Subsidies". EStAL42006, p705.
②同上,第713页。另见Report of the Panel, European Communities-Export Subsidies on Sugar WT/DS283/R,2004年10月15日。
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