Staatliche Beihilfe - Vereinigtes Königreich

Beihilfe C 87/2001 (ex NN 108/1999) - Orkney Islands Council Track Record Scheme

Aufforderung zur Abgabe einer Stellungnahme gemäß Artikel 88 Absatz 2 EG-Vertrag sowie Artikel 6 der Verordnung (EG) Nr. 659/1999 des Rates vom 22. März 1999

(2002/C 38/02)

(Text von Bedeutung für den EWR)

Mit Schreiben vom 28. November 2001, das nachstehend in der verbindlichen Sprachfassung abgedruckt ist, hat die Kommission dem Vereinigten Königreich ihren Beschluss mitgeteilt, wegen der vorerwähnten Beihilfe das Verfahren nach Artikel 88 Absatz 2 EG-Vertrag einzuleiten.

Die Kommission fordert alle Beteiligten zur Stellungnahme innerhalb eines Monats nach dem Datum dieser Veröffentlichung an folgende Anschrift auf: Europäische Kommission Generaldirektion Fischerei

Direktion D - Rechtsreferat

B - 1049 Brüssel Fax (32-2) 295 19 42.

Alle Stellungnahmen werden dem Vereinigten Königreich übermittelt. Jeder, der eine Stellungnahme abgibt, kann unter Angaben von Gründen schriftlich beantragen, dass seine Identität nicht bekannt gegeben wird.

ZUSAMMENFASSUNG

Im Vereinigten Königreich werden die jährlichen Fangquoten seit 1999 anhand von Produktionsbelegen für die Jahre 1994 bis 1996 zugeteilt. In diesem Mitgliedstaat können besagte "Produktionsbelege" (track records) unter bestimmten Bedingungen abgetreten werden. Die lokalen Behörden der Orkney-Inseln haben eine Regelung für den Ankauf von track records getroffen, damit die Fischer der Orkneys die hierauf beruhenden Fangquoten nutzen können.

Es wurden Ankäufe in einem Wert von 1543000 GBP getätigt. Die Ankäufe erfolgten auf Vorschlag des Fischerverbands der Orkney-Inseln, sie wurden vom Orkney Islands Council finanziert und über die track records verfügt jetzt die Erzeugerorganisation der Orkney-Inseln mittels eines trust, der zugunsten des Councils eingerichtet wurde.

Die Quoten werden nunmehr nach den Vorschlägen des Fischerverbands an die Fischer der Orkney-Inseln verpachtet.

Diese track records wurden vom Council erworben, weil die Fischer der Orkney-Inseln die Ankäufe selbst nicht tätigen konnten, denn die Banken verweigerten die hierzu erforderlichen Darlehen, weil die Belege nicht als Sicherheit anerkannt werden.

In ihrem Standpunkt zur Beteiligung der öffentlichen Hand am Kapital von Unternehmen (Bulletin EG 1984-9) hat die Kommission erläutert, dass von einer staatlichen Beihilfe die Rede sein muss, wenn neues Kapital für Unternehmen unter Umständen bereitgestellt wird, die für einen privaten Kapitalgeber nicht annehmbar wären. Im vorliegenden Fall stellt die Kommission fest, dass die Banken nicht bereit waren, den Fischern die erforderlichen Gelder für den Ankauf dieser track records zu leihen. Sie schließt hieraus, dass der Orkney Islands Council die für den Ankauf erforderlichen Mittel unter Bedingungen bereitgestellt hat, die für die Banken nicht annehmbar waren. Es handelt sich mithin um eine staatliche Beihilfe.

Ferner konnte die Kommission nicht überprüfen, ob die Quoten-Pachtverträge unter den üblichen Bedingungen des Marktes geschlossen wurden, der sich für diese Quoten im Vereinigten Königreich entwickelt hat. Mithin fehlt der Nachweis, ob nicht auch bei diesen Verträgen ein Beihilfeaspekt ins Spiel kommen könnte.

Diese Beihilfen müssen anhand der zum betreffenden Zeitpunkt gültigen Leitlinien für die Prüfung der einzelstaatlichen Beihilfen im Fischerei- und Aquakultursektor(1) geprüft werden.

Auf den ersten Blick wirken diese track records wie Verbrauchsgüter. Es handelt sich um ein Grunderzeugnis, das ein Unternehmen zur Steigerung seiner Produktion im laufenden Jahr erwerben kann, das aber nach Ablauf dieses Jahres seinen Wert verloren hat. Wie die britischen Behörden bei der Einführung dieser Regelung der jährlichen Quotenzuteilung auf der Grundlage von track records angegeben hatten, war nicht geplant, dass sich aus dieser Regelung ein System übertragbarer Quoten entwickelt. Trotzdem ist ein Markt für track records entstanden, und es lässt sich fragen, ob diese track records inzwischen nicht doch als Gebrauchsgüter eingestuft werden sollten. Allerdings sind der Kommission keine Rechtsvorschriften oder Gerichtsurteile in diesem Sinne bekannt. Folglich scheint die Beihilfe für den Ankauf dieser track records die Betriebskosten der fraglichen Unternehmen zu betreffen und wäre als solche nach den Leitlinien grundsätzlich mit dem Gemeinsamen Markt unvereinbar.

Da andererseits diese Regelung für den Ankauf von Quoten zugunsten der Mitglieder einer Erzeugerorganisation getroffen wurde, lässt sich fragen, ob sie damit nicht unter die "Aktionen, die von den Unternehmen selbst durchgeführt werden" im Sinne der Leitlinien Ziffer 2.7 letzter Absatz fallen würde. Doch eine Beihilfe zur Durchführung einer solchen Regelung lässt sich wohl kaum als mit dem Gemeinsamen Markt vereinbar ansehen, da sie den Bedingungen von Ziffer 1.2 besagter Leitlinien und damit den Zielen der gemeinsamen Fischereipolitik keinesfalls genügt. Im zweiten Absatz von Ziffer 1.2 heißt es nämlich, dass Beihilfen keine Erhaltungsmaßnahmen sein dürfen, sondern vielmehr die Rationalisierung und die Effizienz der Produktion und Vermarktung von Fischereierzeugnissen fördern sollen. Besagte Regelung scheint aber sehr viel eher einen erhaltenden Charakter zu haben als dem Fischereisektor in der aktuellen Krise einen Anstoß zur Anpassung zu geben.

Infolgedessen bezweifelt die Kommission auf der Grundlage der vorgenannten Leitlinien die Vereinbarkeit dieser Beihilfemaßnahmen mit dem Gemeinsamen Markt.

Die Kommission weist noch einmal darauf hin, dass sie gemäß Artikel 14 der Verordnung (EG) Nr. 659/1999 des Rates vom 22. März 1999 in Negativentscheidungen festlegt, dass der betreffende Mitgliedstaat alle notwendigen Maßnahmen ergreifen muss, um die bereits ausgezahlten Beihilfen von den Empfängern zurückzufordern.

WORTLAUT DES SCHREIBENS

"The Commission wishes to inform the United Kingdom of Great Britain and Northern Ireland that, having examined the information supplied by your authorities on the aid referred to above, it has decided to initiate the formal investigation procedure laid down in Article 88(2) of the EC Treaty and Council Regulation (EC) No 659/1999 of 22 March 1999 laying down detailed rules for the application of this Article.

1. PROCEDURE

In February 1999, the Commission was informed by a Member of the European Parliament of a scheme involving the purchase of quotas by Orkney Islands Council, where the quotas acquired would be rented to fishermen.

By a letter of 25 March 1999, the Commission requested the United Kingdom authorities to send information about this scheme. After a reminder, the first information was sent by the United Kingdom authorities by a letter dated 9 August 1999.

The Commission requested further information by letters of 1 September 1999, 12 April and 22 June 2000. The United Kingdom authorities sent information by letters of 6 March, 9 March and 16 May 2000, but did not reply to the letter of 22 June. A meeting was held with these authorities at the Commission offices on 18 October 2000 at which they were reminded to send the information requested. The Commission has still not received it, despite informal contacts with those authorities since then.

2. DESCRIPTION

2.1. In the United Kingdom, the national fisheries quotas are allocated to three groups of fishermen: the 'sector' which is constituted of fish producers' organisations on behalf of their members with vessels over 10 m, the 'non-sector' which comprises fishermen with over 10 m vessels not in membership of a producers' organisation and the 'under 10 m fleet'.

The allocations of quotas are made annually on the basis of 'track records' which are the catch levels of each vessel over a certain period. Before 1999, the track records were based on the catches made by fishing vessels during the three years immediately preceding each quota year. Since 1 January 1999, they have been based on the period from 1994 to 1996. This system is known as 'fixed quota allocation' (FQA).

The track records can be, under certain conditions, sold outwith the vessel. This situation is a very specific one among Member States. Except for the Netherlands which have a system of individual transferable quotas (ITQ) set up by law, the fisheries quotas or the track records giving access to them are not usually transferable.

Under this system, in the United Kingdom, a specified market for track records has developed; during the year 2000, it was possible to follow the market prices for FQA trade and the market lease costs for quotas allocated in respect of the track records in the trade newspaper Fishing News.

It is in this context that the Orkney authorities, in 1998, decided to implement the scheme under examination. According to the United Kingdom authorities, this scheme of quota purchase was set up because the Orkney fleet was unable to borrow from commercial sources as quotas are intangible assets and cannot be used as security.

2.2. The bodies involved in the scheme are:

- Orkney Islands Council (OIC),

- Shetland Fish Producers' Organisation Limited (SFPO) which is a fish producers' organisation, as defined in the Community legislation,

- Orkney Fisheries Association (OFA) which is an unincorporated association.

2.3. The scheme works as follows:

The funds for this scheme come from the 'Reserve Fund' established by OIC. The funds come from a number of sources, in particular surplus income of the Council from harbour dues and fees in relation to the oil terminal and payments of a non-statutory nature made by oil companies and other parties which make use of the harbour or harbour-related facilities of the Orkney Islands.

OIC had entered into an agreement with SFPO which acts as the proper holder of the track records. The agreement between OIC and SFPO states: 'Notwithstanding that the track record is held by SFPO, the track record shall vest in OIC and SFPO hereby assigns to OIC its whole right, title and interest in and to the track record such as the same shall vest absolutely in OIC and, to the extent that the track record shall fail to vest effectively in OIC as aforesaid, SFPO shall hold the trust property in trust for the benefit of OIC. During the period of this agreement, SFPO shall each year make available the quota for the utilisation by OIC ...'.

There is also an agreement between OIC and OFA which is the manager for the purpose of acquisition of track records and of the benefits of those acquired track records. Under this agreement, first, OFA makes a proposal to OIC to purchase track records which OFA considers would be suitable for OIC to acquire; second, OFA seeks a rental agreement for those track records and directs SFPO regarding the transfer of quotas to the lessee.

OFA is required to use all reasonable endeavours to obtain a net rental in respect of any quota, after deduction of its management fee (1 %), representing a return to the Council of no less than 7 % par annum on the acquisition cost of the relative track record. The SFPO management fee is also 1 %.

The vessels eligible for rental of these quotas under this scheme are vessels which are in membership of OFA and on which at least 50 % of the crew members are resident in Orkney.

2.4. According to the information sent by the United Kingdom authorities by letter of 9 August 1999, the track records acquired cost GBP 1543000; no further purchases were planned under this scheme. According to the following letter of 6 March 2000, eight vessels had benefited from that scheme. All of these vessels are members of OFA.

The Commission requested copies of the quota rental agreements. The United Kingdom authorities replied that the process had been put on hold and did not send them, although they gave the names of the eight vessels involved.

3. ASSESSMENT

3.1. It must be determined, first, if there is State aid and, second, if this is the case, if this aid is compatible with the common market.

Existence of State aid

3.2. With this scheme, the track records are bought by a producers' organisation, SFPO. But, in reality, the decision to buy track records rests with OIC.

According to the United Kingdom authorities, this scheme was set up because the Orkney fleet was unable to borrow from commercial sources in order to buy track records; the track records acquired under this scheme are rented to that fleet. In other words, OIC made funds available to SFPO to buy track records in conditions which were not acceptable for banks to give loans to the vessel owners concerned.

As Point 3(3) of the Commission's position about public capital injections lays down (Bulletin EC 9-1984), there is State aid where fresh capital is contributed in circumstances that would not be acceptable to a private investor operating under normal market conditions. The case under examination is such a case as banks were not prepared to give loans for the purchase of track records while a public body (OIC) injected fresh capital to allow for this purchase for the benefit of the vessel owners concerned.

3.3. According to the agreement between OFA and SFPO, OFA is required to use all reasonable endeavours to obtain a net rental in respect of any quota, after deduction of its management fee, representing a return to the Council of no less than 7 % per annum on the acquisition cost of the related track record.

The Commission requested copies of the individual rental agreements between OIC, OFA and the lessees. The United Kingdom authorities did not send them, arguing that they had been put on hold. But the Commission does believe that those agreements have been in existence since the scheme was launched in 1999 and the United Kingdom authorities informed the Commission about the amount dedicated to the purchase of track records and the number of beneficiary vessels. The track records acquired are apparently always held by SFPO for the benefit to OFA members; there is no contradictory indication. Despite reminders, copies of those agreements have still not been sent to the Commission.

Consequently, the Commission has not been able to check whether the rentals were fixed under normal market conditions. These 'normal market conditions' could have been determined from the conditions of this specific market which are known from quota lease rates published in the trade newspaper Fishing News. Aid would have existed if the rental rates mentioned in the individual rental agreements had been lower than those rates (some flexibility should indeed have been used when making the appreciation because of the apparently high elasticity of this market).

In addition, the Commission observes that OFA must use 'all reasonable endeavours' to obtain a net rental representing a return to OIC to 7 %. Consequently, there is no firm commitment concerning this return rate which, in fact, remains unknown.

Thus, the Commission did not receive evidence showing that those rentals were operated under normal market conditions and that aid does not exist.

3.4. As explained above, first, public aid existed through the purchase of track records and, second, the Commission does not have any evidence that public aid did not exist and does not still exist in the rental agreements concerning the quotas allocated in respect of those track records.

These aids constitute an economic advantage to the fishing undertakings concerned.

By favouring certain undertakings, aid in any form whatsoever distorts or threatens to distort competition. The trade between Member States is affected when the undertakings concerned carry on an economic activity involving trade between those States.

The aids under examination are directed to a definite category of undertakings, the fishing undertakings whose vessels are members of OFA. They are selective and affect the balance between these undertakings and other undertakings. Thus, they are State aids in the sense of Article 87 of the EC Treaty.

Compatibility with the common market

3.5. Point 3(4) of the current Guidelines (OJ C 19, 20.1.2001, p. 7) establishes that illegal aids will be examined under the guidelines that were in force at the time of the grant of the aid. The aid scheme examined in this decision was adopted in 1998. Therefore, this aid scheme must be assessed in the light of the 1997 Guidelines for the examination of State aid to fisheries and aquaculture (OJ C 100, 27.3.1997, p. 12).

3.6. In a circular letter dated 11 June 1998 and addressed to all parties concerned and describing the workings of the FQAs system (see above Paragraph 2.1.), the United Kingdom Government said that it had no plans to introduce by law a system of individual transferable quotas (ITQs), i.e. a system of tradable quotas; such action would not have been taken without consultation with the industry. It clearly added that, in moving to FQAs, there will not be a free trade in quota units.

One could argue that free trade in FQAs has indeed developed in practice. From the moment the plan for purchase of track records was launched (in 1998), the track records acquired have remained controlled by SFPO. Since that time, these track records have entitled SFPO to the annual corresponding quotas without interruption. In theory, the question could therefore be posed as to whether, to some extent, these track records could be qualified as durable goods. However, the Commission is not aware of any rule made by law or case-law going in this direction.

In any event, it appears that quotas and track records are by nature not durable goods. Even if they can be bought, they are only raw products that the fishing enterprises have to acquire regularly if they want to increase their output; those quotas and track records do not have theoretically any more value at the end of each calendar year. Aid for the purchase of track records can therefore appear as aid related to operating costs for the running of the fishing vessels concerned.

3.7. According to Paragraph 1(2), fourth indent, third dash, of the Guidelines, aid related to operating costs are incompatible with the common market unless the aid scheme is directly linked to a restructuring plan considered to be compatible with the common market.

As this scheme is not linked to such a plan, it does not appear to be considered compatible with the common market.

3.8. In addition, as this scheme has been established for the benefit of fishermen in membership of a specified Producers' Organisation (SFPO) and as track records purchased are managed by that PO, the question could be posed whether it could be considered as a measure implemented by members of the industry falling under Paragraph 2(7) of the Guidelines.

The last indent of this Paragraph states that aid for measures implemented by members of the industry may be deemed to be compatible with the common market provided that it covers joint schemes of limited duration and contributes to attaining the objectives of the common fisheries policy.

Although this purchase scheme had a limited duration, it does not appear to contribute to attaining those objectives. According to Paragraph 1(2), second indent, aid may not be protective in its effect; it must serve to promote the rationalisation and efficiency of the production and marketing of fishery products in a way which encourages and accelerates the adaptation of the industry to the new situation it faces.

The Commission has doubts about the effects of this scheme with regard to the objectives laid down in this provision. By ringfencing track records rather than letting the market forces work in this track records market which now exists in the United Kingdom, this aid seems to be more protective than to encourage the industry to adapt to the new situation it faces.

4. DECISION

The Commission observes that it exists, at this stage of the preliminary examination, as provided for by Article 6 of Council Regulation (EC) No 659/1999 of 22 March 1999 laying down detailed rules for the application of Article 88 of the EC Treaty, serious doubts on the compatibility of this aid scheme with the Guidelines for the examination of State aid to fisheries and aquaculture and, therefore, with the EC Treaty.

In the light of the foregoing conditions, the Commission, acting under the procedure laid down in Article 88(2) of the EC Treaty and Article 6 of Regulation (EC) No 659/1999, requests the United Kingdom of Great Britain and Northern Ireland to submit its comments and to provide all such information as may help to assess the aid scheme, within one month of the date of receipt of this letter. It requests your authorities to forward a copy of this letter to the recipients of the aid immediately.

The Commission wishes to remind the United Kingdom of Great Britain and Northern Ireland that Article 88(3) of the EC Treaty has suspensory effect and would draw your attention to Article 14 of Council Regulation (EC) No 659/1999, which provides that all unlawful aid may be recovered from the recipient."

(1) ABl. C 100 vom 27.3.1997, S. 12.