|
(2)
|
Part III is amended as follows:
|
(a)
|
Parts III.1.A, III.1.B, III.1.C are replaced by the following:
‘PART III.1.A
SUPPLEMENTARY INFORMATION SHEET ON INDIVIDUAL REGIONAL INVESTMENT AID
This supplementary information sheet is not mandatory. It is, however, recommended that it is completed, in addition to the 'General information' form, for the notification of any individual investment aid covered by the Guidelines on regional State aid applicable as from 1 January 2022 (‘RAG’).
(29)
|
1.1.
|
Reasons for notifying the measure:
|
☐
|
The notification relates to individual aid granted under a scheme and the aid from all sources exceeds the notification threshold. Please provide State aid references of the approved or block-exempted aid schemes concerned:
…
|
|
☐
|
The notification relates to individual aid granted outside a scheme (ad hoc aid).
|
|
☐
|
The notification relates to aid granted to a beneficiary that has closed down the same or similar activity (30) in the EEA two years preceding the date of applying for aid or at the moment of aid application has the intention to close down such an activity within a period of two years after the investment to be subsidised is completed.
|
|
☐
|
Other (Please explain)
…
|
|
|
1.2.
|
Scope of the notified aid measure
|
|
1.2.1.
|
Please confirm that the beneficiary is not a firm in difficulty (31)
…
|
|
1.2.2.
|
Please provide a copy of the application form and the (draft) aid granting agreement.
|
|
2.
|
ADDITIONAL INFORMATION ON THE BENEFICIARY, INVESTMENT PROJECT AND AID
|
|
2.1.1.
|
Please identify the aid recipient(s):
…
|
|
2.1.2.
|
If the legal identity of the aid recipient is different from the undertaking(s) that finance(s) the project or from the actual beneficiary(ies) of the aid, please describe these differences and identify those other undertakings involved.
…
|
|
2.1.3.
|
Please give a clear description of the relation between the beneficiary, the group of enterprises it belongs to and other associated enterprises, including joint ventures.
…
|
|
2.2.
|
The investment project
|
|
2.2.1.
|
Please provide the following information on the notified investment project:
Date of application for the aid:
Date of start of works on the investment project:
Date of the start of production:
Date on which the full production capacity is reached:
Planned completion of the investment project:
|
|
2.2.2.
|
If the notification covers an investment in an 'a' area or an investment by an SME (32) (s) in a 'c' area (paragraph 45 of RAG), please specify the category/categories of initial investment concerned by the notification (paragraph 19(13) of RAG):
|
☐
|
the setting-up of a new establishment
|
|
☐
|
the extension of the capacity of an existing establishment
|
|
☐
|
the diversification of the output of an establishment into products not previously produced in the establishment
|
|
☐
|
a fundamental change in the overall production process of the product(s) concerned by the investment in the establishment
|
|
☐
|
an acquisition of assets belonging to an establishment that has closed or would have closed had it not been purchased (33)
|
|
|
2.2.3.
|
If the notification covers an investment in a 'c' area by a large enterprise, please specify the category/categories of initial investment concerned by the notification (paragraph 19(14) and paragraph 14 of RAG):
|
☐
|
the setting-up of a new establishment
|
|
☐
|
the diversification of the activity of an establishment, under the condition that the new activity is not the same or a similar activity to the activity previously performed in the establishment
|
|
☐
|
diversification of the output of an establishment into products not previously produced in the establishment under the 3 cumulative conditions of paragraph 14 of RAG (34)
|
|
☐
|
fundamental change in the overall production process of the product(s) concerned by the investment in the establishment under the 3 cumulative conditions of paragraph 14 of RAG
|
|
☐
|
an acquisition of assets belonging to an establishment that has closed or would have closed had it not been purchased, under the condition that the new activity to be carried out using the acquired assets is not the same or a similar activity than the activity carried out in the establishment before the acquisition (35)
|
|
|
2.2.4.
|
Please give a brief description of the investment project which also explains how the project concerned falls within one or more of the categories of initial investment indicated above:
…
|
|
2.3.
|
Eligible costs calculated on the basis of investment costs
|
|
2.3.1.
|
Please provide the following breakdown of the total eligible investment costs in nominal and discounted value:
|
|
Total eligible cost (nominal) (36)
|
Total eligible cost (discounted) (36)
|
|
Preparatory studies or consultancy costs linked to the investment (SMEs only)
|
|
|
|
Land
|
|
|
|
Buildings
|
|
|
|
Plant/machinery/equipment
|
|
|
|
Intangible assets
|
|
|
|
Total eligible cost
|
|
|
|
|
2.3.2.
|
Please confirm that the acquired assets are new (paragraph 27 of RAG) (37).
…
|
|
2.3.3.
|
Please provide evidence to show that in the case of SMEs not more than 50% of the costs of preparatory studies or consultancy costs linked to the investment is included in the eligible cost (paragraph 28 of RAG).
…
|
|
2.3.4.
|
Please provide evidence to show that for aid awarded to large enterprises for a fundamental change in the production process, the eligible costs exceed the depreciation of the assets linked to the activity to be modernised in the course of the preceding three fiscal years (paragraph 29 of RAG).
…
|
|
2.3.5.
|
Please provide a reference to the legal basis or explain how it is ensured that for aid awarded for a diversification of an existing establishment, the eligible costs exceed by at least 200 % the book value of the assets that are reused, as registered in the fiscal year preceding the start of works (paragraph 30 of RAG). If appropriate, provide documentation containing the relevant quantitative data.
…
|
|
2.3.6.
|
In cases involving the lease of tangible assets, please provide a reference to the relevant provisions in the legal basis where it is stipulated that the following conditions are respected (paragraph 31 of RAG) or explain how this is otherwise achieved.
|
—
|
for land and buildings, the lease must continue for at least five years after the expected date of completion of the investment for large enterprises, and three years for SMEs;
…
|
|
—
|
for plant or machinery, the lease must take the form of financial leasing and must contain an obligation for the beneficiary of the aid to purchase the asset at the expiry of the term of the lease.
…
|
|
|
2.3.7.
|
Paragraph 32 of RAG provides that in the case of acquisition of an establishment “in principle only the costs of buying the assets from third parties unrelated to the buyer should be taken into consideration. However, if a member of the family of the original owner, or an employee, takes over a small enterprise, the condition that the assets must be bought from third parties unrelated to the buyer does not apply. The transaction must take place under market conditions. If the acquisition of the assets of an establishment is accompanied by an additional investment eligible for regional aid, the eligible costs of that additional investment should be added to the cost of acquisition of the assets of the establishment”.
If relevant in the notified case, please explain how these conditions have been complied with, providing relevant supporting documentation.
…
|
|
2.3.8.
|
If the eligible costs for the investment project include intangible assets, please explain how it is ensured that the conditions set out in paragraphs 33 and 34 of RAG (38) will be respected. In such cases please provide a precise reference to the relevant provision in the legal basis.
…
|
|
2.4.
|
Eligible costs calculated on the basis of wage costs
|
|
2.4.1.
|
Please:
|
—
|
explain how eligible costs calculated on the basis of wage costs have been established (paragraph 35 of RAG);
|
|
—
|
explain how the number of jobs created has been calculated with reference to paragraph 19(16) of RAG;
|
|
—
|
explain how the wage costs of the persons hired have been established with reference to paragraph 19(33) of RAG; and
|
|
—
|
provide the relevant calculations and documentation supporting the figures.
…
|
|
|
2.5.
|
Calculation of discounted eligible costs and the amount of aid
|
|
2.5.1.
|
Please fill in the below table with the details of the eligible costs by category of eligible cost to be defrayed over the whole duration of the investment project:
|
|
Nominal/ discounted
|
N-0 (39)
|
N+1 (39)
|
N+2 (39)
|
N+3 (39)
|
N+X (39)
|
Total (39)
|
|
Preparatory studies etc. (SMEs only)
|
Nominal
|
|
|
|
|
|
|
|
Discounted
|
|
|
|
|
|
|
|
Land
|
Nominal
|
|
|
|
|
|
|
|
|
Discounted
|
|
|
|
|
|
|
|
Buildings
|
Nominal
|
|
|
|
|
|
|
|
|
Discounted
|
|
|
|
|
|
|
|
Plant/machinery/
|
Nominal
|
|
|
|
|
|
|
|
equipment
|
Discounted
|
|
|
|
|
|
|
|
Intangible assets
|
Nominal
|
|
|
|
|
|
|
|
|
Discounted
|
|
|
|
|
|
|
|
Wage costs
|
Nominal
|
|
|
|
|
|
|
|
|
Discounted
|
|
|
|
|
|
|
|
Other (please specify)
|
Nominal
|
|
|
|
|
|
|
|
|
Discounted
|
|
|
|
|
|
|
|
Total
|
Nominal
|
|
|
|
|
|
|
|
|
Discounted
|
|
|
|
|
|
|
Please indicate the date to which the amounts were discounted, as well as the discount rate used (40):
…
|
|
2.5.2.
|
Please complete the table below with the details of the notified aid (to be) granted for the investment project by reference to the applicable form of aid:
|
|
Nominal/ discounted
|
N-0 (41)
|
N+1 (41)
|
N+2 (41)
|
N+3 (41)
|
N+X (41)
|
Total (41)
|
|
Grant
|
Nominal
|
|
|
|
|
|
|
|
|
Discounted
|
|
|
|
|
|
|
|
Loan
|
Nominal
|
|
|
|
|
|
|
|
|
Discounted
|
|
|
|
|
|
|
|
Guarantee
|
Nominal
|
|
|
|
|
|
|
|
|
Discounted
|
|
|
|
|
|
|
|
Tax advantage
|
Nominal
|
|
|
|
|
|
|
|
|
Discounted
|
|
|
|
|
|
|
|
…
|
Nominal
|
|
|
|
|
|
|
|
|
Discounted
|
|
|
|
|
|
|
|
…
|
Nominal
|
|
|
|
|
|
|
|
|
Discounted
|
|
|
|
|
|
|
|
Total
|
Nominal
|
|
|
|
|
|
|
|
|
Discounted
|
|
|
|
|
|
|
Please indicate the date to which the amounts were discounted, as well as the discount rate used:
…
For each form of aid mentioned in the table above, please indicate how the grant equivalent is calculated:
|
Soft loan:
…
|
|
Guarantee:
…
|
|
Tax reduction:
…
|
|
Other:
…
|
|
|
2.5.3.
|
If any of the aid measures to be granted to the project are not yet defined, please indicate this, and explain how the granting authority will ensure that the applicable maximum aid intensity is respected (paragraphs 93 and 94 of RAG):
…
|
|
2.5.4.
|
Is the project co-financed by any of the Union Funds implemented under shared management (the “Funds”)? If so, please explain under which programme such funding will be obtained. Please also indicate the amount of funding from the Funds that will be involved.
…
|
|
2.5.5.
|
If the beneficiary (at group level) has received aid for one (or more) initial investment(s) related to the same or a similar activity started in the same NUTS 3 region in a period of three years before the date of start of works of the notified investment project (paragraph 19(27) of RAG), please provide details of the aid measures for each of the previous aided initial investments (including a short description of the investment project, the date of aid application, the date of the aid award, the date of start of works, the aid amount(s) and the eligible costs (42)).
|
|
Eligible investm. cost (43)
|
Aid amount granted (43)
|
Date of applic-ation
|
Date of aid granting
|
Date of start of work
|
Short description
|
Aid reference(s)
|
|
Initial investm. project 1
|
|
|
|
|
|
|
|
|
Initial investm. Project 2
|
|
|
|
|
|
|
|
|
Initial investm. project 3
|
|
|
|
|
|
|
|
|
…
|
|
|
|
|
|
|
|
|
|
2.5.6.
|
Please confirm that the total amount of aid that will be granted to the initial investment project does not exceed the amount resulting from the ‘maximum aid intensity’ (as defined in paragraph 19(19) of RAG), taking into account the increased aid intensity for SMEs (as determined in paragraph 186 of RAG) and the ‘adjusted aid amount’ (as defined in paragraph 19(3) of RAG), where applicable. Please provide relevant documentation and calculations to support this confirmation.
…
|
|
2.5.7.
|
Please confirm that neither the approved maximum aid amount in discounted value, nor the approved aid intensity will be exceeded if the amount of eligible costs deviates from the notified amount.
|
|
2.5.8.
|
Where the aid to be granted to the investment project is to be awarded under several regional aid schemes or cumulated with ad hoc aid, please confirm that the maximum permissible aid intensity that may be granted to the project has been calculated in advance by the first granting authority and specify this maximum aid intensity. Please explain how the aid granting authorities will ensure that this maximum aid intensity will be respected (paragraph 99 of RAG).
|
|
2.5.9.
|
If the initial investment is linked to a European Territorial Cooperation (ETC) project please explain with reference to the provisions set out in paragraph 100 of RAG how the maximum aid intensity applicable to the project and the different beneficiaries involved is established.
…
|
|
3.
|
COMPATIBILITY ASSESSMENT OF THE MEASURE
|
|
3.1.
|
Contribution to regional development, positive effects and need for State intervention
|
|
3.1.1.
|
Please:
|
—
|
indicate the exact location of the aided project (i.e. the locality and the NUTS 2 or 3 region to which the locality belongs);
|
|
—
|
provide details on its regional aid status in the current regional aid map (i.e. is it in an area eligible for regional aid under Article 107(3), points (a) or (c)); and
|
|
—
|
provide the maximum aid intensity applicable to large enterprises,
…
|
|
|
3.1.2.
|
Please explain how the aid will contribute to regional development and, if applicable, what other positive effects are produced by the aid? (44)
…
|
|
3.1.3.
|
If the notification concerns an individual application for aid under a scheme, please explain how the project contributes towards the objective of the scheme and provide relevant supporting documents (paragraph 46 of RAG)?
…
|
|
3.1.4.
|
If the notification concerns ad hoc aid, please explain how the project contributes towards the development strategy of the area concerned and provide relevant supporting documents (paragraph 53 of RAG)?
…
|
|
3.1.5.
|
Please explain how the provision requiring that the investment will be maintained in the area concerned for at least five years (three years for SMEs) after its completion is implemented (paragraph 47 of RAG). Please provide the reference to the relevant provision in the legal basis (for example, the aid granting contract).
…
|
|
3.1.6.
|
In cases where the aid is calculated on the basis of wage costs, please explain how the provision requiring that jobs are created within three years of the investment completion and that each job created by the investment will be maintained within the area for a period of five years (three years for SMEs) from the date the post is first filled in is implemented (paragraph 36 of RAG). Please provide the reference to the relevant provision in the legal basis (for example, the aid granting contract).
…
|
|
3.1.7.
|
Please provide a reference to the legal basis or demonstrate that the recipient(s) has to make a contribution of at least 25% of the eligible costs, through its own resources or by external financing, in a form that is exempted of any public financial support. (45) (paragraph 48 of RAG)
…
|
|
3.1.8.
|
Did you or do you commit to carry out an Environmental Impact Assessment ("EIA") for the investment? (paragraph 49 of RAG)?
If no, please explain why it is an EIA is not required for this project
…
|
|
3.2.
|
Incentive effect of the measure
|
|
3.2.1.
|
Please confirm that works on the notified individual investment started only after submission of the application for the aid (paragraph 62 of RAG). Please provide a copy of the aid application sent to the granting authority by the beneficiary and documentary evidence of the date of the start of works.
…
|
|
3.2.2.
|
Please explain the incentive effect of the aid by describing the counterfactual scenario with reference to one of the two possible scenarios set out in paragraph 59 of RAG.
…
|
|
3.2.3.
|
If the regional aid is awarded through cohesion policy funds or the EAFRD in ‘a’ areas to investments necessary to achieve standards set by Union law, please explain the following (and provide supporting documentation):
|
—
|
What is the standard concerned?
|
|
—
|
Why is the investment necessary to achieve the standard?
|
|
—
|
Why in the absence of the aid it would not be sufficiently profitable for the beneficiary to make the investment in the area concerned (paragraph 61 of RAG)
|
…
|
|
3.3.
|
Appropriateness of the measure
|
|
3.3.1.
|
If the notification concerns ad hoc aid, please demonstrate how the development of the area concerned is better ensured by such aid than by aid under a scheme or other types of measures (paragraph 83 of RAG):
…
|
|
3.3.2.
|
If the aid is granted in forms that provide a direct pecuniary advantage (46), please demonstrate why other potentially less distortive forms of aid such as repayable advances or forms of aid that are based on debt or equity instruments (47) are not appropriate (paragraph 85 of RAG):
…
|
|
3.4.
|
Proportionality of the measure
|
|
3.4.1.
|
In Scenario 1 cases, please provide the following information (or refer to the relevant parts of the submitted counterfactual) (paragraph 96 of RAG):
|
—
|
the calculation of the investment’s Internal Rate of Return (“IRR”) with and without the aid (48):
…
|
|
—
|
information on the relevant benchmarks for the company (for example, normal rates of return required by the beneficiary to undertake similar projects, cost of capital of the company as a whole, relevant industry benchmarks):
…
|
|
—
|
an explanation of why, on the basis of the above, the aid is the minimum necessary to render the project sufficiently profitable:
…
|
|
|
3.4.2.
|
In Scenario 2 cases, please provide the following information (or refer to the relevant parts of the submitted counterfactual) (paragraph 97 of RAG):
|
—
|
the calculation of the difference of the Net Present Value (“NPV”) of the investment in the target area and the NPV of the investment in the alternative location (49):
…
|
|
—
|
all the parameters used for the above calculation (among others the time frame concerned, discount rate used, etc.):
…
|
|
—
|
an explanation of why on the basis of the above the aid does not exceed the difference between the NPV of investment in the target area and the NPV in the alternative location:
…
|
|
|
3.5.
|
Avoidance of undue negative effects on competition and trade
Definition of the relevant market:
|
|
3.5.1.
|
Please provide the information specified below to identify the product market(s) concerned (that is to say, products affected by the change in behaviour of the aid beneficiary) and to identify the competitors and customers/consumers affected (paragraphs 124 and 125 of RAG):
|
—
|
Please specify all the product(s) that will be produced in the aided establishment upon the completion of the investment and indicate, where appropriate, the NACE code or Prodcom code or CPA nomenclature for projects in the service sectors.
…
|
|
—
|
Please indicate whether the products envisaged by the project will replace any other products produced by the beneficiary (at group level). What product(s) will it replace? If these replaced products are not produced at the location of the project, indicate where they are currently produced. Please provide a description of the link between the replaced production and the current investment and give a time schedule for the replacement.
…
|
|
—
|
Please indicate what other product(s) can be produced with the same new facilities (through flexibility of the production installations of the beneficiary) at little or no additional cost.
…
|
|
—
|
Please explain whether the project concerns an intermediate product and whether a significant part of the output is sold otherwise than on the market (under market conditions). Based on the above explanation, for the purpose of calculating the market share and capacity increase in the remainder of this section, please indicate whether the product concerned is the product envisaged by the project or whether it is a downstream product.
…
|
|
—
|
Please indicate the relevant product market(s). A relevant product market includes the product concerned and its demand side substitutes, i.e. products considered to be such by the consumer (by reason of the product's characteristics, prices and intended use) and its supply side substitutes, i.e. products considered as such by producers (through flexibility of the production installations of the beneficiary and its competitors). Please indicate what you regard as the relevant demand and supply side substitutes in this case. Please provide evidence, from an independent third party if possible, to support your conclusions on this point.
…
|
|
|
3.5.2.
|
Please provide information, and supporting evidence, on the relevant geographic market of the beneficiary:
…
For scenario 1 cases
(50)
Market Power (paragraphs 108 and 127 of RAG):
|
|
3.5.3.
|
Please provide the following information on the market position of the beneficiary (over a period of time before receiving the aid and the expected market position after finalising the investment) (paragraph 133 of RAG):
|
—
|
an estimate of all sales (in value and volume terms) of the aid recipient in the relevant market (at group level).
…
|
|
—
|
an estimate of the overall sales of all producers in the relevant market (in value and volume terms). If available, include statistics prepared by public and/or independent sources.
…
|
|
|
3.5.4.
|
Provide an assessment of the structure of the relevant market including, for example, the level of concentration in the market, possible barriers to entry, buyer power and barriers to expansion or exit. Please provide evidence, from an independent third party if possible, to support your conclusions on this point.
…
Capacity (paragraph 127(1) of RAG): …
|
|
3.5.5.
|
Provide an estimate of the additional production capacity created by the investment (in volume and value terms):
…
For all cases
Manifest negative effects: …
|
|
3.5.6.
|
In scenario 1 cases, please provide the following information, and supporting evidence, on the relevant product market: (51)
|
—
|
From a long-term perspective, is the relevant market structurally in absolute decline (that is to say, showing a negative growth rate)? (paragraph 130 of RAG)
…
|
|
—
|
Is the relevant market in relative decline (that is to say, showing a positive growth rate, but not exceeding a benchmark growth rate)? (paragraph 130 of RAG)
…
|
|
|
3.5.7.
|
In scenario 2 cases, please indicate whether without aid the investment would have been located in an area with a regional aid intensity which is higher or the same as the target area? (paragraph 117 of RAG) Please provide evidence to support your position.
…
|
|
3.5.8.
|
Please confirm that the beneficiary has submitted a statement in which it confirms that, at group level, it has not closed down the same or a similar activity in the EEA in the two years preceding the aid application and does not intend to close down the same or similar activity in the EEA in the two years after the completion of investment (paragraph 118 of RAG).
If it provided such a statement, please annex a copy of it to the notification. If it did not, please explain why it did not do so.
…
|
|
3.5.9.
|
If the beneficiary at group level has closed down the same or a similar activity in another area in the EEA in the two years preceding the aid application, or intends to do so in the two years after the completion of investment, and has relocated that activity to the target area, or intends to do so, please explain why it considers that there is no causal link between the aid and the relocation (paragraph 118 of RAG).
…
|
|
3.5.10.
|
Please explain whether the State aid would directly result in a substantial loss of jobs in existing locations within the EEA. If the State aid would result in a substantial loss of jobs in existing locations within the EEA, please indicate their number and the proportion compared to the total employment of the location(s) concerned.
…
|
|
4.1.
|
Please confirm that the full text of the individual aid granting decision or the approved aid scheme and its implementing provisions, or a link to it and information on each individual aid award exceeding EUR 100 000, will be published using the structure in Annex VIII in the European Commission’s Transparency Award Module (TAM) or on a comprehensive State aid website, at national or regional level (52) within six months from the date of award of the aid, or, for aid in the form of tax advantages, within one year from the date the tax declaration is due.
|
|
4.2.
|
Please provide references to the relevant provisions in the legal basis stipulating that the granting authority should publish on the Transparency Award Module (TAM) or on a comprehensive State aid website, at national or regional level (53), at least the following information on the notified State aid schemes: the text of the notified aid scheme and its implementing provisions, granting authority, individual beneficiaries, aid amount per beneficiary, and aid intensity. (paragraph 136 of RAG)
If such provisions are not in place, please explain why not. Similarly, if such provisions are not contained in the legal basis for the notified scheme, but are contained in other legislative documents, please indicate this.
…
|
|
4.3.
|
Please provide references to the relevant provisions in the legal basis stipulating that the above-mentioned information will be made available for the general public without restrictions for at least 10 years from the date of award of the aid. (paragraph 140 of RAG).
|
|
5.
|
REPORTING AND MONITORING
|
|
5.1.
|
Please confirm that in accordance with Regulation (EU) 2015/1589 and Regulation (EC) No 794/2004, the annual reports will be submitted to the Commission.
|
|
5.2.
|
Please confirm that you will maintain for at least 10 years from the date of award of the aid detailed records containing the information and supporting documentation necessary to establish that all compatibility conditions are met, and that these records will be provided to the Commission upon request.
|
PART III.1.B
SUPPLEMENTARY INFORMATION SHEET ON REGIONAL INVESTMENT AID SCHEMES.
This supplementary information sheet is not mandatory. It is, however, recommended that it is completed, in addition to the 'General information' form, for the notification of any individual investment aid covered by the Guidelines on regional State aid applicable as from 1 January 2022 (‘RAG’).
(54)
|
1.1.
|
Reasons for notifying the scheme instead of putting it in place under the General Block Exemption Regulation (“GBER”) (55)
or de minimis Regulation (56):
|
☐
|
The notification relates to a sectoral scheme. In this case, please indicate the sector covered by the scheme (NACE code):
…
|
|
☐
|
Other. Please specify:
…
|
|
|
1.2.
|
Scope of the notified scheme
|
|
1.2.1.
|
Please confirm that the legal basis for the notified scheme includes an obligation to notify to the Commission individual aid to a beneficiary in case the aid from all sources exceeds the individual notification threshold laid down in the General Block Exemption Regulation (“GBER”) for regional investment aid (paragraph 22 of RAG)
Please provide the reference to the relevant provision of the legal basis:
…
|
|
1.2.2.
|
Please confirm that the legal basis for the notified scheme includes an obligation to notify to the Commission individual aid to a beneficiary unless it (1) has confirmed that in the two years preceding the application for aid, it has not carried out a relocation to the establishment in which the aided initial investment is to take place and (2) has committed not to carry out such relocation up to a period of two years after completion of the initial investment. (paragraph 23 of RAG)
|
|
1.2.3.
|
Please provide the reference to the relevant provision of the legal basis:
…
|
|
1.2.4.
|
Please confirm that the notified aid scheme provides that no regional investment aid will be granted to categories of companies and sectors listed below? In each case, please list the relevant provision in the legal basis of the scheme.
|
Excluded categories of companies and sectors
|
Relevant provision in the legal basis of the scheme
|
|
Firms in difficult (57)
|
|
|
The steel sector (58)
|
|
|
The lignite sector (59)
|
|
|
The coal sector (60)
|
|
|
Fisheries and aquaculture (61)
|
|
|
Agriculture (62)
|
|
|
Processing and/or marketing of agricultural products listed in Annex I to the Treaty (63) into products listed in Annex I
|
|
|
Transport (64)
|
|
|
Broadband (65)
|
|
|
Energy (66)
|
|
|
|
2.
|
INITIAL INVESTMENT, ELIGIBLE COSTS AND AID
|
|
2.1.
|
Types of initial investments covered by the scheme
|
|
2.1.1.
|
In case the scheme covers investments in 'a' areas by SMEs or Large Enterprises (67) or investments by SME(s) in 'c' areas (paragraph 45 of RAG), please specify the category/categories of initial investment concerned by the notification (paragraph 19(13) of RAG):
|
☐
|
the setting-up of a new establishment
|
|
☐
|
the extension of the capacity of an existing establishment
|
|
☐
|
the diversification of the output of an establishment into products not previously produced in the establishment
|
|
☐
|
a fundamental change in the overall production process of the product(s) concerned by the investment in the establishment
|
|
☐
|
an acquisition of assets belonging to an establishment that had closed or would have closed had it not been purchased (68).
|
|
|
2.1.2.
|
In case the scheme covers investments in 'c' areas by Large Enterprises, please specify the category/categories of initial investment concerned by the notification (paragraph 19(14) and paragraph 14 of RAG):
|
☐
|
the setting-up of a new establishment
|
|
☐
|
the diversification of the activity of an establishment, under the condition that the new activity is not the same or a similar activity (69) to the activity previously performed in the establishment
|
|
☐
|
an acquisition of assets belonging to an establishment that has closed or would have closed had it not been purchased, under the condition that the new activity to be carried out using the acquired assets is not the same or a similar activity than the activity carried out in the establishment before to the acquisition (70)
|
|
|
2.2.
|
Eligible costs calculated on the basis of investment costs
|
|
2.2.1.
|
Where the eligible costs under the scheme relate to tangible assets (paragraph 19(31) of RAG), please indicate whether the value of the investment is established as a percentage of the costs of land, buildings and plant, machinery and equipment:
|
☐
|
plant/machinery/equipment
Please provide the reference to the relevant provisions of the legal basis:
…
|
|
|
2.2.2.
|
Please provide a reference to the relevant provision of the legal basis where it is stipulated that the acquired assets should be new (71)? (paragraph 27 of RAG)
…
|
|
2.2.3.
|
Please provide a reference to the relevant provision in the legal basis where it is stipulated that in the case of SMEs not more than 50% of the costs of preparatory studies or consultancy costs linked to the investment can be considered as eligible costs (paragraph 28 of RAG).
…
|
|
2.2.4.
|
Please provide a reference to the relevant provision of the legal basis where it is stipulated that for aid awarded to large enterprises for a fundamental change in the production process, the eligible costs exceed the depreciation of the assets linked to the activity to be modernised in the course of the preceding three fiscal years (paragraph 29 of RAG).
…
|
|
2.2.5.
|
Please provide a reference to the relevant provision of the legal basis where it is stipulated that for aid awarded for a diversification of an existing establishment, the eligible costs exceed by at least 200 % the book value of the assets that are reused, as registered in the fiscal year preceding the start of works (paragraph 30 of RAG).
…
|
|
2.2.6.
|
In cases involving the lease of tangible assets, please provide a reference to the relevant provisions of the legal basis where it is stipulated that the following conditions should be respected (paragraph 31of RAG).
|
—
|
for land and buildings, the lease must continue for at least five years after the expected date of completion of the investment for large enterprises, and three years for SMEs;
…
|
|
—
|
for plant or machinery, the lease must take the form of financial leasing and must contain an obligation for the beneficiary of the aid to purchase the asset at the expiry of the term of the lease.
…
|
|
|
2.2.7.
|
Paragraph 32 of RAG provides that in the case of acquisition of an establishment “in principle only the costs of buying the assets from third parties unrelated to the buyer should be taken into consideration. However, if a member of the family of the original owner, or an employee, takes over a small enterprise, the condition that the assets must be bought from third parties unrelated to the buyer does not apply. The transaction must take place under market conditions. If the acquisition of the assets of an establishment is accompanied by an additional investment eligible for regional aid, the eligible costs of that additional investment should be added to the cost of acquisition of the assets of the establishment”.
If relevant in the notified scheme, please provide a reference to the provisions of the legal basis where it is stipulated that the above conditions should be respected.
…
|
|
2.2.8.
|
Where the eligible costs under the scheme relate to intangible assets (paragraph 19(15) of RAG), please specify whether the value of the investment is established on the basis of expenditure entailed by the transfer of technology through the acquisition of patent rights, licences, know-how or other intellectual property:
|
☐
|
other intellectual property
Please provide the reference to the relevant provisions of the legal basis:
…
|
|
|
2.2.9.
|
Please provide a reference to the relevant provisions of the legal basis where it is stipulated that for large undertakings the expenditure on eligible intangible investment must not exceed 50% of the total eligible investment costs of the project (paragraph 33 of RAG).
…
|
|
2.2.10.
|
Please provide a reference to the relevant provisions of the legal basis where it is stipulated that the conditions set out in paragraph 34 of RAG (72) should be respected.
…
|
|
2.3.
|
Eligible costs calculated on the basis of wage costs
|
|
2.3.1.
|
Please provide a reference to the relevant provisions of the legal basis where it is stipulated how the eligible cost calculated on the basis of wage costs should be established (paragraph 35 of RAG), how the number of jobs created should be calculated with reference to paragraph 19(16) of RAG and how the wage costs of the persons hired should be established with reference to paragraph 19(33) of RAG.
…
|
|
2.4.
|
Calculation of discounted eligible costs
|
|
2.4.1.
|
Please indicate which forms of aid are allowed under the scheme:
|
☐
|
grants. Please provide the reference to the relevant provisions of the legal basis:
…
|
|
☐
|
loans. Please indicate how the grant equivalent will be calculated and provide the reference to the relevant provisions of the legal basis:
…
|
|
☐
|
guarantees. Please indicate how the grant equivalent will be calculated and provide the reference to the relevant provisions of the legal basis:
…
|
|
☐
|
tax advantages. Please specify which type of measures and indicate how the grant equivalent will be calculated. Please also provide the reference to the relevant provisions of the legal basis:
…
|
|
☐
|
other. Please specify and indicate how the grant equivalent will be calculated. Please also provide the reference to the relevant provisions of the legal basis:
…
|
|
|
2.4.2.
|
Please specify whether the aid scheme is eligible to be co-financed by any of the Union Funds implemented under shared management (the “Funds”). If so, please mention under which programme such funding might be obtained. Please also indicate the amount of funding from the Funds that will be involved, if known at this stage.
…
|
|
2.4.3.
|
Please provide the reference to the relevant provisions of the legal basis stipulating that the aid granting authority should establish before granting individual aid under the notified scheme whether the beneficiary (at group level) received aid for one (or more) initial investment(s) started in the same NUTS 3 region in a period of three years before the date of start of works on the investment project.
…
|
|
2.4.4.
|
Please provide the reference to the relevant provisions of the legal basis that stipulate that the total amount of aid that will be granted under the scheme to any initial investment project does not exceed the amount resulting from the ‘maximum aid intensity’ (as defined in paragraph 19(19) of RAG), taking into account the increased aid intensity for SMEs (as determined in paragraph 186 of RAG) or the ‘adjusted aid amount’ (as defined in paragraph 19(3) of RAG), where applicable.
…
|
|
2.4.5.
|
Please provide the reference to the relevant provisions of the legal basis that stipulate that where individual aid is awarded under several regional aid schemes or cumulated with ad hoc aid, the maximum permissible aid intensity that may be granted to the project will be calculated in advance by the first granting authority (paragraph 99 of RAG).
…
|
|
2.4.6.
|
Where the aid scheme allows for aid to initial investment linked to European Territorial Cooperation (ETC) projects please provide the reference to the relevant provisions of the legal basis that stipulate (with reference to the provisions set out in paragraph 100 of RAG) how the maximum aid intensity applicable to the project and the different beneficiaries involved will be established.
…
|
|
3.
|
COMPATIBILITY ASSESSMENT OF THE AID SCHEME
|
|
3.1.
|
Contribution to regional development, positive effects and need for State intervention
|
|
3.1.1.
|
Please explain how the scheme is consistent with and contributes to the development strategy of the area concerned (paragraph 44 of RAG):
…
|
|
3.1.2.
|
Please provide the reference to the relevant provisions of the legal basis containing the requirement to carry out an Environmental Impact Assessment ("EIA") for the investments concerned before granting aid to individual projects, when so required by law (paragraph 49 of RAG).
…
|
|
3.1.3.
|
Please explain how the granting authorities will prioritise and select the investment projects according to the objectives of the scheme (for example, on the basis of a formal scoring approach) (paragraph 44 of RAG). Please also provide the reference to the relevant provisions of the legal basis or other related administrative acts.
…
|
|
3.1.4.
|
Please explain how, when awarding aid to individual investment projects under the notified scheme, the aid granting authority will establish that the selected project(s) contribute towards the objective of the scheme and thus towards the development strategy of the area concerned. (paragraph 46 of RAG)
…
|
|
3.1.5.
|
Please explain how the provision requiring that any investment supported under the notified scheme will be maintained in the area concerned for at least five years (three years for SMEs) after its completion is implemented (paragraph 47 of RAG). Please provide the reference to the relevant provisions in the legal basis.
…
|
|
3.1.6.
|
In cases where the aid granted under the notified scheme is calculated on the basis of wage costs, please explain how the provision requiring that jobs are created within three years of the investment completion and that each job created by the investment concerned is maintained within the area for a period of five years (three years for SMEs) from the date the post is first filled is implemented (paragraph 36 of RAG). Please provide the reference to the relevant provision in the legal basis.
…
|
|
3.1.7.
|
Please provide a reference to the relevant provisions of the legal basis where it is stipulated that recipients have to make a contribution of at least 25% of the eligible costs, through their own resources or by external financing, in a form that is exempted of any public financial support. (73) (paragraph 48 of RAG)
…
|
|
3.1.8.
|
Please provide a reference to the relevant provisions of the legal basis showing that the scheme should respect the ceilings of the regional aid map applicable at the time of awarding the aid (paragraph 88 of RAG). Please also provide the reference to the Commission decision approving the regional aid map concerned.
…
|
|
3.2.
|
Incentive effect of the scheme
|
|
3.2.1.
|
Please provide the reference to the relevant provisions of the legal basis stipulating that any application for aid must be submitted before work is started on the investment project concerned (paragraph 62 of RAG).
…
|
|
3.2.2.
|
Please provide the reference to the relevant provisions of the legal basis stipulating that those applying for aid under the notified scheme will be obliged to submit a standard application form provided by the aid granting authority in which they must explain counterfactually what would happen if they do not receive the aid and indicating which of the scenarios (scenario 1 – investment decision or scenario 2 – location decision) applies (paragraphs 64 and 59 of RAG). If this application form differs from the example provided in Annex VII to the RAG, please provide a copy of this form.
…
|
|
3.2.3.
|
Please provide the reference to the relevant provisions of the legal basis stipulating that large enterprises who apply for aid under the notified scheme are required to provide documentary evidence in support of the counterfactual described. (paragraph 65 of RAG). Please also explain what type of documents will be required.
…
|
|
3.2.4.
|
Please provide the reference to the relevant provisions of the legal basis stipulating that when assessing individual aid applications the aid granting authority is obliged to carry out a credibility check of the counterfactual provided and to verify that regional aid has the required incentive effect corresponding to scenario 1 or scenario 2 (74) (paragraph 66 of RAG).
…
|
|
3.3.
|
Appropriateness of the scheme
|
|
3.3.1.
|
Please explain why regional aid is an appropriate instrument to help develop the area (75) (paragraph 80 of RAG):
…
|
|
3.3.2.
|
Where the scheme is sector-specific, please demonstrate the advantages of such an instrument compared to a multi-sectoral scheme or other policy options (paragraph 81 of RAG):
…
|
|
3.3.3.
|
Please specify whether individual aid under the notified scheme will be granted:
|
☐
|
Automatically, should the conditions of the scheme be fulfilled or
|
|
☐
|
On a discretionary basis, following a decision of the authorities
Please provide the reference to the relevant provision of the legal basis:
…
If aid is to be granted on a discretionary basis, please provide a short description of the criteria used and attach a copy of the internal administrative provisions of the granting authority applicable for the awarding of aid:
…
|
|
|
3.3.4.
|
If the aid under the scheme is granted in forms that provide a direct pecuniary advantage (76), please demonstrate why other potentially less distortive forms of aid such as repayable advances or forms of aid that are based on debt or equity instruments (77) are not appropriate (paragraph 85 of RAG):
…
|
|
3.4.
|
Incentive effect and proportionality of the scheme
|
|
3.4.1.
|
Please provide the reference to the relevant provisions of the legal basis stipulating that individual aid granted to large enterprises under the notified scheme will be limited to the net extra costs of implementing the investment in the area concerned compared to the counterfactual in the absence of aid, using the method explained in paragraphs 96 and 97 of RAG (paragraph 95 of RAG).
…
|
|
3.5.
|
Avoidance of undue negative effects on competition and trade
|
|
3.5.1.
|
Please explain how the distortions of competition and trade caused by the notified aid scheme will be limited to the minimum (paragraph 120 of RAG) (78):
…
|
|
3.5.2.
|
Please provide references to the relevant provisions in the legal basis stipulating that when awarding aid under the scheme to individual projects, the granting authority shall verify and confirm that the aid does not result in manifest negative effects such as creating overcapacity in a market in absolute decline (paragraphs 112 to 115 of RAG), counter-cohesion effects (paragraphs 116 and 117 of RAG) or relocation (paragraphs 118 and 121 of RAG).
…
|
|
4.1.
|
Please confirm that the full text of the individual aid granting decision or the approved aid scheme and its implementing provisions, or a link to it and information on each individual aid award exceeding EUR 100 000, will be published using the structure in Annex VIII in the European Commission’s Transparency Award Module (TAM) or on a comprehensive State aid website, at national or regional level (79) within six months from the date of award of the aid, or, for aid in the form of tax advantages, within one year from the date the tax declaration is due.
|
|
4.2.
|
Please provide references to the relevant provisions in the legal basis stipulating that the granting authority should publish on the Transparency Award Module (TAM) or on a comprehensive State aid website, at national or regional level (80), at least the following information on the notified State aid schemes: the text of the notified aid scheme and its implementing provisions, granting authority, individual beneficiaries, aid amount per beneficiary, and aid intensity. (paragraph 136 of RAG)
If such provisions are not in place, please explain why not. Similarly, if such provisions are not contained in the legal basis for the notified scheme, but are contained in other legislative documents, please indicate this.
…
Please provide references to the relevant provisions in the legal basis stipulating that the above-mentioned information will be made available for the general public without restrictions for at least 10 years from the date of award of the aid. (paragraph 140 of RAG)
…
|
|
5.
|
EVALUATION, REPORTING AND MONITORING
|
|
5.1.1.
|
Please indicate the SA number of all previous and ongoing State aid schemes with similar objective and geographical area. (paragraph 144 of RAG)
…
Has any of the above listed State aid schemes been ex post evaluated? (paragraph 144 of RAG)
If yes, please provide a brief summary of the main results of the ex post evaluation(s) (where relevant, with a reference and a link).
…
Please describe how the results of these evaluations have been taken into account in the design of the new scheme.
…
|
|
5.1.2.
|
Please indicate whether the State aid budget of the scheme exceeds EUR 150 million in any given year (paragraph 143 of RAG):
Please indicate whether the State aid budget of the scheme exceeds EUR 750 million over the total duration of the scheme (i.e. the combined duration of the scheme and any predecessor scheme covering a similar objective and geographical area, starting from 1 January 2022):
|
|
5.1.3.
|
Please indicate whether the scheme is (paragraph 143 of RAG):
A scheme containing novel characteristics?
A scheme where significant market, technology or regulatory changes can be foreseen?
A scheme that you plan for evaluation even if the above criteria in 5.1.2. and 5.1.3. do not apply?
If the answer is “No” to question 5.1.1. and “Yes” to any of the questions in 5.1.2 or 5.1.3, the scheme shall be considered for ex post evaluation (paragraph 143 of RAG). If that is the case, please answer “Yes” to the relevant question in the general notification form, indicate the period of evaluation, and notify the draft evaluation plan in Annex I - Part III.8 (81).
|
|
5.2.
|
Reporting and Monitoring
|
|
5.2.1.
|
Please confirm that you will:
|
—
|
submit annual reports to the Commission in accordance with Regulation (EU) 2015/1589 and Regulation (EC) No 794/2004; and
|
|
—
|
maintain for at least 10 years from the date of award of any aid under the scheme detailed records containing the information and supporting documentation necessary to establish that all compatibility conditions are met, and that these records will be provided to the Commission upon request.
|
|
PART III.1.C
SUPPLEMENTARY INFORMATION SHEET ON REGIONAL OPERATING AID SCHEMES
This supplementary information sheet is not mandatory. It is, however, recommended that it is completed, in addition to the 'General information' form, for the notification of any operating aid schemes covered by the Guidelines on regional State aid applicable as from 1 January 2022 (‘RAG’)
(82)
.
|
1.1.
|
Please specify what kind of operating aid your authorities wish to grant:
|
☐
|
Operating aid to reduce certain specific difficulties faced by SMEs in ‘a’ areas
|
|
☐
|
Operating aid to compensate specific additional costs in the outermost regions
|
|
☐
|
Operating aid to prevent or reduce depopulation in sparsely or very sparsely populated areas
|
|
☐
|
Other. Please specify:
…
|
|
|
1.2.
|
Please confirm that the notified aid scheme provides that no operating aid will be granted to categories of companies and sectors listed below. In each case, please list the relevant provision in the legal basis of the scheme.
|
Excluded categories of companies and sectors
|
|
Relevant provision in the legal basis of the scheme
|
|
Firms in difficulty (83)
|
|
|
|
The steel sector (84)
|
|
|
|
The lignite sector (85)
|
|
|
|
The coal sector (86)
|
|
|
|
Fisheries and aquaculture (87)
|
|
|
|
Agriculture (88)
|
|
|
|
Processing and/or marketing of agricultural products listed in Annex I to the Treaty (89) into products listed in Annex I
|
|
|
|
Transport (90)
|
|
|
|
Broadband (91)
|
|
|
|
Energy (92)
|
|
|
|
Section K "Financial and insurance activities" of the NACE Rev.2 statistical classification of economic activities
|
|
|
|
70.10 ‘Activities of head offices’ and 70.22 ‘Business and other management consultancy activities’
|
|
|
|
|
2.
|
BASIC ELEMENTS OF THE SCHEME
|
|
2.1.
|
Please provide a description of the main elements of the scheme and its objectives:
…
|
|
2.2.
|
Please indicate which forms of aid are allowed under the scheme:
|
☐
|
Grants. Please provide the reference to the relevant provisions of the legal basis:
…
|
|
☐
|
Loans. Please indicate how the grant equivalent will be calculated and provide the reference to the relevant provisions of the legal basis:
…
|
|
☐
|
Guarantees. Please indicate how the grant equivalent will be calculated and provide the reference to the relevant provisions of the legal basis:
…
|
|
☐
|
Tax advantages. Please specify which type of measures and indicate how the grant equivalent will be calculated. Please also provide the reference to the relevant provisions of the legal basis:
…
|
|
☐
|
Other. Please specify and indicate how the grant equivalent will be calculated. Please also provide the reference to the relevant provisions of the legal basis:
…
|
|
|
2.3.
|
Please specify whether individual aid under the notified scheme will be granted:
|
☐
|
Automatically, should the conditions of the scheme be fulfilled.
|
|
☐
|
On a discretionary basis, following a decision of the authorities.
|
Should the aid be granted on a case by case basis, please provide a short description of the criteria followed and attach a copy of the administrative provisions applicable for the awarding of aid:
…
|
|
2.4.
|
Please specify whether the aid scheme will be co-financed by any of the Union Funds implemented under shared management (the “Funds”). If so, please explain under which programme such funding will be obtained. Please also indicate the amount of funding from the Funds that will be involved.
…
|
|
3.
|
COMPATIBILITY OF THE AID
|
|
3.1.
|
Contribution to regional development and incentive effect:
For aid to reduce certain specific difficulties faced by SMEs
(93)
in ‘a’ areas:
|
|
3.1.1.
|
Please define the specific difficulties faced by SMEs in the region concerned to be addressed by the scheme (paragraph 54 of RAG) and demonstrate the existence and scale of these difficulties (paragraph 55 of RAG).
…
|
|
3.1.2.
|
Please explain why these difficulties cannot be overcome by investment aid and thus the notified operating aid scheme is needed (paragraph 55 of RAG):
…
For aid to compensate certain additional costs in the outermost regions:
|
|
3.1.3.
|
Please identify the specific additional costs (94) that will be compensated under the scheme and demonstrate how these costs are related to the permanent handicaps set out in Article 349 of the Treaty (paragraph 56 of RAG):
…
For aid to reduce depopulation in sparsely or very sparsely populated areas:
|
|
3.1.4.
|
Please demonstrate the risk of depopulation of the relevant area in the absence of operating aid (paragraph 57 of RAG):
…
|
|
3.2.
|
Appropriateness of the scheme
|
|
3.2.1.
|
Please indicate why you consider that the aid that you propose is appropriate to achieve the objective of the scheme. Please explain in particular why other less distortive policy instruments and other less distortive types of aid are not appropriate to achieve the same positive contribution to regional development (paragraphs 78, 84 and 85 of RAG):
…
|
|
3.3.
|
Proportionality of the scheme
For all types of operating aid:
|
|
3.3.1.
|
Please determine the eligible costs that are fully attributable to the problems the aid is intended to address (paragraph 102 of RAG):
…
|
|
3.3.2.
|
Please confirm that depreciation charges and the costs of financing included in the eligible costs relevant to regional investment aid, will not be included in the eligible costs for operating aid (paragraph 19(22) of RAG), and provide the reference to the relevant provision of the legal basis:
…
|
|
3.3.3.
|
Please describe the compensation model (paragraph 84 of RAG) that will be adopted and how this model will allow an appropriate calculation of the aid amount, ensuring that there is no overcompensation, as defined in paragraph 102 of the RAG:
…
|
|
3.3.4.
|
Please indicate whether operating aid is also granted through other operating aid schemes in the region, by mentioning the relevant State aid reference of these schemes:
…
In case other operating aid schemes are applicable in the same region, please explain how it is ensured that operating aid granted under different operating aid schemes does not lead to overcompensation:
…
For operating aid in outermost regions only:
|
|
3.3.5.
|
Please demonstrate that the additional costs to be compensated under the notified scheme will be quantified in relation to the level of costs incurred by similar undertakings established in other regions of the Member State concerned (paragraph 38 of RAG):
…
For operating aid to reduce certain specific difficulties faced by SMEs in ‘a’ areas only:
|
|
3.3.6.
|
Please explain how the level of aid will be progressively reduced over the duration of the scheme (paragraph 103 of RAG) and provide the reference to the relevant provision of the legal basis:
…
|
|
3.4.
|
Avoidance of undue negative effects on competition and trade
Please explain why it is unlikely that the aid granted under the scheme will create very significant distortions of competition in the market (paragraph 135 of RAG):
…
|
|
4.1.
|
Please confirm that the full text of the individual aid granting decision or the approved aid scheme and its implementing provisions, or a link to it and information on each individual aid award exceeding EUR 100 000, will be published using the structure in Annex VIII in the European Commission’s Transparency Award Module (TAM) or on a comprehensive State aid website, at national or regional level (95) within six months from the date of award of the aid, or, for aid in the form of tax advantages, within one year from the date the tax declaration is due.
|
|
4.2.
|
Please provide references to the relevant provisions in the legal basis stipulating that the granting authority should publish on the Transparency Award Module (TAM) or on a comprehensive State aid website, at national or regional level (96), at least the following information on the notified State aid schemes: the text of the notified aid scheme and its implementing provisions, granting authority, individual beneficiaries, aid amount per beneficiary, and aid intensity. (paragraph 136 of RAG)
If such provisions are not in place, please explain why not. Similarly, if such provisions are not contained in the legal basis for the notified scheme, but are contained in other legislative documents, please indicate this.
…
Please provide references to the relevant provisions in the legal basis stipulating that the above-mentioned information will be made available for the general public without restrictions for at least 10 years from the date of award of the aid. (paragraph 140 of RAG)
…
|
|
5.
|
EVALUATION, REPORTING AND MONITORING
|
|
5.1.1.
|
Please indicate the SA number of all previous and ongoing State aid schemes with similar objective and geographical area. (paragraph 144 of RAG)
…
Has any of the above listed State aid schemes been ex post evaluated? (paragraph 144 of RAG)
If yes, please provide a brief summary of the main results of the ex post evaluation(s) (where relevant, with a reference and a link).
…
Please describe how the results of these evaluations have been taken into account in the design of the new scheme.
…
|
|
5.1.2.
|
Please indicate whether the State aid budget of the scheme exceeds EUR 150 million in any given year (paragraph 143 of RAG):
Please indicate whether the State aid budget of the scheme exceeds EUR 750 million over the total duration of the scheme (i.e. the combined duration of the scheme and any predecessor scheme covering a similar objective and geographical area, starting from 1 January 2022):
|
|
5.1.3.
|
Please indicate whether the scheme is (paragraph 143 of RAG):
A scheme containing novel characteristics?
A scheme where significant market, technology or regulatory changes can be foreseen?
A scheme that you plan for evaluation even if the above criteria in 5.1.2. and 5.1.3. do not apply?
If the answer is “No” to question 5.1.1. and “Yes” to any of the questions in 5.1.2 or 5.1.3, the scheme shall be considered for ex post evaluation (paragraph 143 of RAG). If that is the case, please answer “Yes” to the relevant question in the general notification form, indicate the period of evaluation, and notify the draft evaluation plan in Annex I – Part III.8 (97).
|
|
5.2.
|
Reporting and Monitoring
Please confirm:
that in accordance with Regulation (EU) No 2015/1589 and Regulation (EC) No 794/2004, the annual reports will be submitted to the Commission.
that you will maintain for at least 10 years from the date of award of the aid detailed records containing the information and supporting documentation necessary to establish that all compatibility conditions are met, and that these records will be provided to the Commission upon request.
|
|
|
(b)
|
Part III.2 is replaced by the following:
‘PART III.2
SUPPLEMENTARY INFORMATION SHEET FOR RESEARCH AND DEVELOPMENT AND INNOVATION AID
This supplementary information sheet shall be used for the notification of any aid measures (aid schemes and individual aid) covered by the Framework for state aid for research and development and innovation (“the R&D&I Framework”)
(98)
.
In case there are several beneficiaries involved in an individual aid measure, the relevant information shall be provided for each of them.
All documents provided by Member States as annexes to this supplementary information sheet shall be numbered and document numbers shall be indicated in the relevant sections of this supplementary information sheet. Please indicate clearly (paragraphs, pages, in a visual manner) where the relevant information can be found in these annexes.
|
1.
|
CHARACTERISTICS OF THE NOTIFIED AID MEASURE
|
|
1.1.
|
Aid schemes
|
1.
|
Reasons for notifying the scheme:
|
☐
|
the scheme includes aid that is not transparent within the meaning of Article 5 of Commission Regulation (EU) No 651/2014 (99);
|
Please specify:
…
|
|
2.
|
Please clarify the sectoral scope of the notified scheme.
…
|
|
3.
|
Please confirm that any aid awarded under the notified scheme will be notified individually if it exceeds the applicable thresholds laid down in Article 4 of Regulation (EU) No 651/2014.
☐yes ☐no
|
|
|
1.2.
|
Individual aid
|
1.
|
Please identify the aid beneficiary: its full legal name, seat and legal identification number, location, scope of activity, size of the undertaking (small, medium, large). Please provide supporting evidence for this.
…
|
|
2.
|
Where the aid is based on a scheme approved by the Commission or a scheme implemented under Regulation (EU) No 651/2014, please provide information concerning that scheme, including its publication reference (web link) and state aid registration number.
…
|
|
3.
|
If applicable, please provide the exchange rate, indicate source and date, which has been used for the purposes of the notification.
…
|
|
|
1.3.
|
General information
|
1.
|
Please identify the type of aid measure and in order to demonstrate compliance with point 13 of the R&D&I Framework, please specify how it fulfils the applicable conditions:
|
☐
|
aid for R&D projects (point 13(a))
…
|
|
☐
|
aid for feasibility studies (point 13(b))
…
|
|
☐
|
aid for the construction and upgrade of research infrastructures (point 13(c))
…
|
|
☐
|
aid for the construction and upgrade of testing and experimentation infrastructures (point 13(d))
…
|
|
☐
|
aid for innovation activities for SMEs (point 13(e))
…
|
|
☐
|
aid for process and organisational innovation (point 13(f))
…
|
|
☐
|
aid for innovation clusters (point 13(g))
…
|
|
|
2.
|
Does the notified measure involve Union funding centrally managed by the institutions, agencies, joint undertakings or other bodies of the Union that is not directly or indirectly under the control of Member States (that does not constitute State aid)?
☐yes ☐no
If so, please specify the funding source and the amount:
…
|
|
3.
|
Does the notified measure involve undertakings in difficulty, as defined by the Guidelines on State aid for rescuing and restructuring non-financial undertakings in difficulty (100) (please see point 11 of the R&D&I Framework)?
☐yes ☐no
If so, please specify:
…
|
|
4.
|
Does the notified measure involve undertakings that are subject to an outstanding recovery order following a previous decision declaring aid illegal and incompatible with the internal market (please see point 12 of the R&D&I Framework)?
☐yes ☐no
If so, please specify and indicate the amounts still to be recovered:
…
|
|
5.
|
Does the notified measure involve research and knowledge dissemination organisations ("research organisations") or research infrastructures, as defined in points 16(ff) and (gg) of the R&D&I Framework?
☐yes ☐no
If so, please specify:
…
|
|
6.
|
Does the notified measure involve testing and experimentation infrastructures, as defined in point 16(ll) of the R&D&I Framework?
☐yes ☐no
If so, please specify:
…
|
|
7.
|
Does the notified measure involve innovation clusters, as defined in point 16(t) of the R&D&I Framework?
☐yes ☐no
If so, please specify:
…
|
|
8.
|
Does the notified measure involve public procurement of research and development services?
☐yes ☐no
If so, please specify:
…
|
|
9.
|
Can the State aid awarded under the notified measure be cumulated with other State aid?
☐yes ☐no
If so, please specify:
…
|
|
10.
|
If applicable for the measure concerned, please tick the relevant box below to confirm that the beneficiaries comply with the definition of micro, small and medium-sized enterprises (SMEs) as provided for in the Commission Recommendation of 6 May 2003 concerning the definition of micro, small and medium-sized enterprises (101) and, for individual aid, please attach to the notification the relevant evidence.
☐yes ☐no
…
|
|
|
2.
|
RESEARCH AND KNOWLEDGE DISSEMINATION ORGANISATIONS AND RESEARCH INFRASTRUCTURES AS RECIPIENTS OF STATE AID
|
1.
|
Do research organisations or research infrastructures, concerned by the notified aid measure, carry out any economic activity consisting of offering goods or services on a given market?
☐yes ☐no
Please provide details on the economic activity in question.
…
Furthermore, please include information on the annual capacity of the relevant entity (i.e. an entity such as a laboratory or a department with the organisational structure, capital, material and workforce that it effectively has at its disposal to perform alone the activity concerned, at the level of which the assessment needs to be carried out in line with point 21 of the R&D&I Framework), engaged in such economic activity(ies) and the share of this annual capacity engaged in economic activities for the past 5 years.
…
|
|
2.
|
If the same entity carries out activities of both economic and non-economic (102) nature, can these two kinds of activities and their costs, funding and revenues be clearly separated?
☐yes ☐no
If so, please specify:
…
|
|
3.
|
If the same entity carries out activities of both economic and non-economic nature, is the amount of public funding allocated to it, during a specific accounting period, limited to the costs of non-economic activities incurred in the same period (103)?
☐yes ☐no
If so, please specify:
…
|
|
4.
|
If the same entity carries out activities of both economic and non-economic nature, does the economic use remain purely ancillary, that is to say does it correspond to an activity which is directly related to and necessary for the operation of the research organisation or research infrastructure or intrinsically linked to its main non-economic use, and which is limited in scope?
☐yes ☐no
If so, please specify and indicate the proportion of the overall capacity that is used or estimated to be used for such economic activities each year:
…
|
|
5.
|
If public funding is provided for economic activities of research organisations or research infrastructures, can it be shown that both the public funding and any advantages acquired through it are fully passed on to the final recipients, for example, through reduced prices, and that no further advantage is awarded to the research organisation or research infrastructure that is acting only as intermediary?
☐yes ☐no
If so, please specify:
…
|
|
|
3.
|
INDIRECT STATE AID TO UNDERTAKINGS THROUGH RESEARCH ORGANISATIONS AND RESEARCH INFRASTRUCTURES
|
|
3.1.
|
Research on behalf of undertakings
|
1.
|
Do research organisations or research infrastructures, concerned by the notified aid measure, perform contract research or provide research services to undertakings?
☐yes ☐no
Please provide more details:
…
|
|
2.
|
If research organisations or research infrastructures perform contract research or provide research services to undertakings, do they provide such services at market price?
☐yes ☐no
Please provide more details:
…
|
|
3.
|
If research organisations or research infrastructures perform contract research or provide research services to undertakings and there is no market price, do they provide such services:
|
(a)
|
at a price which reflects the full costs of the services and generally includes a margin established by reference to those commonly applied by undertakings active in the sector concerned, or
☐yes ☐no
|
|
(b)
|
is the result of arm’s length (104) negotiations where research organisations or research infrastructures negotiate in order to obtain the maximum economic benefit at the moment when the contract is concluded and cover at least their marginal costs?
☐yes ☐no
Please provide more details:
…
|
|
|
4.
|
If applicable, will the ownership of, or access rights to intellectual property rights ('IPR') remain with the research organisation or research infrastructure?
☐yes ☐no
In the affirmative, will their market value be deducted from the price payable for the services concerned?
☐yes ☐no
Please provide more details:
…
|
|
|
3.2.
|
Collaboration with undertakings
|
1.
|
Do research organisations or research infrastructures, concerned by the notified aid measure, effectively collaborate with undertakings (105) with a view to jointly carrying out specific projects?
☐yes ☐no
If so, please specify:
…
|
|
2.
|
Please confirm whether the terms and conditions of a collaboration project, in particular as regards contributions to its costs, the sharing of risks and results, the dissemination of results, access to and rules for allocation of IPR, are concluded prior to the start of the project (this does not include definite agreements on the market value of resulting IPR and the value of contributions to the project).
☐yes ☐no
Please provide further details and submit relevant evidence:
…
|
|
3.
|
If research organisations or research infrastructures effectively collaborate with undertakings, please indicate whether any of the following conditions are fulfilled:
|
(a)
|
the participating undertakings bear the full cost of the project(s)
☐yes ☐no
|
|
(b)
|
the results of the collaboration, which do not give rise to intellectual property rights (IPR), may be widely disseminated and any IPR resulting from the activities of research organisations or research infrastructures are fully allocated to them
☐yes ☐no
|
|
(c)
|
any IPR resulting from the project, as well as related access rights, are allocated to the different collaboration partners in a manner which adequately reflects their work packages, contributions and respective interests
☐yes ☐no
|
If the answer to any of the above questions is yes, please provide details (and submit relevant evidence).
…
|
|
4.
|
If research organisations or research infrastructures effectively collaborate with undertakings and none of the answers to question (3) are yes, please indicate whether any of the following conditions are fulfilled:
|
(a)
|
The research organisations or research infrastructures receive compensation for the IPR which result from their activities and are assigned to the participating undertakings, or to which participating undertakings are allocated access rights. The amount of the compensation has been established by means of an open, transparent and non-discriminatory competitive sale procedure.
☐yes ☐no
|
|
(b)
|
The research organisations or research infrastructures receive compensation, for the IPR which result from their activities and are assigned to the participating undertakings, or to which participating undertakings are allocated access rights. The amount of the compensation is confirmed to be at least equal to the market price by an independent expert valuation.
☐yes ☐no
|
|
(c)
|
the research organisations or research infrastructures can demonstrate that they effectively negotiated the compensation (for the IPR which result from their activities and are assigned to the participating undertakings, or to which participating undertakings are allocated access rights), at arm's length (106), in order to obtain the maximum economic benefit at the moment when the contract is concluded.
☐yes ☐no
|
|
(d)
|
where the collaboration agreement provides the collaborating undertakings with a right of first refusal, as regards IPR generated by research organisations or research infrastructures, the latter exercise a reciprocal right to solicit more economically advantageous offers from third parties so that the collaborating undertakings will have to match their offer accordingly.
☐yes ☐no
|
Please provide details and submit relevant evidence:
…
|
|
|
4.
|
PUBLIC PROCUREMENT OF RESEARCH AND DEVELOPMENT SERVICES
|
1.
|
If the notified measure involves public procurement of research and development services from undertakings, are the providers selected by means of an open tender procedure carried out in accordance with the applicable directives (107)?
☐yes ☐no
If yes, please specify:
…
|
|
2.
|
For cases where an open tender procedure for public procurement in accordance with the applicable directives has not been carried out, and where the notified measure involves public purchase of research and development services from undertakings, including pre-commercial procurement, please indicate whether the following conditions are fulfilled:
|
(a)
|
the selection procedure is open, transparent and non-discriminatory, and based on objective selection and award criteria specified in advance of the bidding procedure.
☐yes ☐no
If no, please provide details indicating whether a competitive, transparent and non-discriminatory procedure in line with the applicable directives was followed (for instance, competitive procedure with negotiations, innovation partnership, or competitive dialogue).
…
|
|
(b)
|
the envisaged contractual arrangements describing all rights and obligations of the parties, including with regard to IPR, are made available to all interested bidders prior to the bidding procedure.
☐yes ☐no
Please provide details:
…
|
|
(c)
|
the procurement does not give any of the participant providers any preferential treatment in the supply of commercial volumes of the final products or services to a public purchaser in the Member State concerned (108), and one of the following conditions is met (please indicate by ticking the relevant box below).
|
—
|
all results which do not give rise to IPR may be widely disseminated in a way that allows other undertakings to reproduce them, and any IPR are fully allocated to the public purchaser, or
☐yes ☐no
|
|
—
|
any service provider to which results giving rise to IPR are allocated is required to grant the public purchaser unlimited access to those results free of charge, and to grant access to third parties under market conditions.
☐yes ☐no
|
Please provide details:
…
|
|
|
|
5.
|
DESCRIPTION OF THE NOTIFIED AID MEASURE
|
|
5.1.
|
Aid for R&D projects
|
1.
|
Please indicate which R&D stages are supported under the notified measure:
|
☐
|
fundamental research as defined in point 16(n) of the R&D&I Framework
|
|
☐
|
industrial research, as defined in point 16(r) of the R&D&I Framework
|
|
☐
|
experimental development, as defined in point 16(k) of the R&D&I Framework
|
|
|
2.
|
For individual aid, please provide detailed information about the contents of the R&D project, including about:
|
(a)
|
the state of the art, as applicable to the sector concerned, relevant for the assessment of the project, and explain how/in what aspects the project will go beyond it
…
|
|
(b)
|
the concrete research activities (in sufficient scientific and technical detail)
…
|
|
(c)
|
the intended outcomes / deliverables /results of the project
…
|
|
(d)
|
clear structure of the project in work packages
…
|
|
(f)
|
the duration of the project (start date – end date of the project), including GANTT chart of how the project’s work packages will develop and end
…
|
|
(g)
|
if the project encompasses different research categories, please list and qualify the different tasks as falling under the categories of fundamental research, industrial research or experimental development
…
|
|
(h)
|
any other information you deem essential for demonstrating the research content and the type of research to be performed
…
|
|
|
3.
|
Please specify the total costs, the total eligible costs and, for individual aid, indicate their amount per type of eligible cost. In case of health related research, please clarify the nature of eligible costs by providing a more detailed breakdown of the eligible costs (109).
…
Please support your calculations of the R&D eligible costs by the most recently available documentary evidence which shall be clear and specific and annexed to the notification form.
|
Eligible costs for R&D project
|
Eligible cost amount:
Fundamental research
|
Eligible cost amount:
Industrial research
|
Eligible cost amount:
Experimental development
|
|
Personnel costs: researchers, technicians and other supporting staff to the extent employed for the project
|
|
|
|
|
Costs of instruments and equipment (depreciation for the time and to the extent used for the project)
|
|
|
|
|
Costs of buildings and land (depreciation for the time and to the extent used for the project)
|
|
|
|
|
Cost of contractual research, knowledge and patents bought or licensed from outside sources at arm's length conditions, as well as costs of consultancy and equivalent services used exclusively for the project
|
|
|
|
|
Additional overheads incurred directly as a result of the project (110)
|
|
|
|
|
Other operating expenses
|
|
|
|
|
Specifically for health relevant/related R&D project, all costs, including for pre-clinical and clinical trials, phase IV trials furthering scientific and technological advance
|
|
|
|
|
Total eligible costs
|
|
|
|
…
|
|
4.
|
Please specify the applicable aid intensities and provide further justification if any increase of the basic aid intensity is applicable.
|
Aid intensity applied:
|
Small enterprise
%
|
Medium-sized enterprise
%
|
Large enterprise
%
|
|
Fundamental research
|
|
|
|
|
Basic aid intensity for industrial research
|
|
|
|
|
Increase of the basic aid intensity for industrial research:
|
—
|
subject to effective collaboration between undertakings (for large enterprises cross-border or with at least one SME) or between an undertaking and a research organisation; or
|
|
—
|
subject to wide dissemination of results, or
|
|
|
|
|
|
—
|
subject to the R&D project being carried out in assisted regions fulfilling the conditions of Article 107(3), point (c), of the Treaty or
|
|
—
|
subject to the R&D project being carried out in assisted regions fulfilling the conditions of Article 107(3), point (a), of the Treaty
|
|
|
|
|
|
Aid intensity applicable to industrial research activities:
|
|
|
|
|
Basic aid intensity for experimental development
|
|
|
|
|
Increase of the basic aid intensity for experimental development:
|
—
|
subject to effective collaboration between undertakings (for large enterprises cross-border or with at least one SME) or between an undertaking and a research organisation; or
|
|
—
|
subject to wide dissemination of results, or
|
|
|
|
|
|
—
|
subject to the R&D project being carried out in assisted regions fulfilling the conditions of Article 107(3), point (c), of the Treaty, or
|
|
—
|
subject to the R&D project being carried out in assisted regions fulfilling the conditions of Article 107(3), point (a), of the Treaty
|
|
|
|
|
|
Aid intensity applicable to experimental development activities:
|
|
|
|
|
|
5.
|
Please provide information about the State aid that you intend to grant, including:
|
(a)
|
The overall nominal State aid amount
…
|
|
(b)
|
What is the State aid instrument (form of aid)
…
|
|
(c)
|
Whether the State aid will be disbursed in one or several instalments
…
|
|
(d)
|
The provisional dates (at least the years) of the disbursement and the amounts of each of these instalments
…
|
|
(e)
|
Your explanation on how you established the State aid amount you intend to award for the project and the instalments’ amounts and schedule
…
|
|
|
6.
|
Where the notification concerns fiscal measure constituting State aid, please describe:
|
(a)
|
whether the fiscal measure applies without distinction to all eligible activities, and does not exceed the applicable aid intensity for experimental development
…
|
|
(b)
|
whether the relevant aid intensities will not be exceeded, where a fiscal aid measure distinguishes between different R&D categories
…
|
|
|
|
5.2.
|
Aid for feasibility studies
|
1.
|
Please describe the contents and activities concerned by the feasibility studies (see the definition in point 16 (l) of the R&D&I Framework). Please provide also information on the duration of the feasibility studies (start date and end date), including where applicable a GANTT chart to illustrate how the work packages and the activities (if any) will develop and end.
…
|
|
2.
|
Please specify the eligible costs and, for individual aid, indicate their amount and provide further details on the underlying assumptions for their calculation. Please support your calculations of the R&D eligible costs by the most recently available documentary evidence which shall be clear and specific and annexed to the notification form.
|
Eligible costs for feasibility study
|
Eligible costs amount
|
|
[please insert a row for each cost item that is included in the eligible costs of the feasibility study]
|
|
…
|
|
3.
|
To demonstrate compliance with Annex II and point 81 of the R&D&I Framework, please specify the applicable aid intensities. Please provide justification, if relevant, why any increase of the basic aid intensity is applicable.
|
Applicable aid intensity
|
Small enterprise
%
|
Medium-sized enterprise
%
|
Large enterprise
%
|
|
Basic aid intensity for feasibility studies
|
|
|
|
|
Increase of the basic aid intensity:
|
—
|
in assisted regions fulfilling the conditions of Article 107(3), point (c), of the Treaty, or
|
|
—
|
in assisted regions fulfilling the conditions of Article 107(3), point (a), of the Treaty
|
|
|
|
|
|
Applicable aid intensity
|
|
|
|
|
|
4.
|
Please provide information about the State aid that you intend to grant, including:
|
(a)
|
the overall nominal State aid amount
…
|
|
(b)
|
what is the State aid instrument (form of aid)
…
|
|
(c)
|
whether the State aid will be disbursed in one or several instalments
|
|
(d)
|
the provisional dates (at least the years) of the disbursement and the amounts of each of these instalments
|
|
(e)
|
your explanation on how you established the State aid amount you intend to award for the feasibility study and the instalment schedule
…
|
|
|
|
5.3.
|
Aid for the construction and upgrade of research infrastructures
|
1.
|
Please specify whether the measure targets the construction of a new research infrastructure or upgrade of an existing research infrastructure.
…
|
|
2.
|
Please provide a full description of the research infrastructure (see the definition in point 16 (gg) of the R&D&I Framework), including its location, its functionalities, facilities and equipment, areas of research and services, intended users, etc. Please also provide the duration of the project (start and end date of the construction or upgrade activities), including a GANTT chart to illustrate how and when the aided investment related activities will develop and end, as well as the date when the infrastructure will be put in operation and its envisaged lifetime.
…
|
|
3.
|
Please specify if the research infrastructure will carry out any economic activity consisting of offering goods or services on a given market? Please provide details of these activities, including on the relevant entity (i.e. an entity such as a laboratory or a department with the organisational structure, capital, material and workforce that it effectively has at its disposal to perform alone the activity concerned, at the level of which the assessment needs to be carried out), the annual capacity of the relevant entity and the annual share of this capacity to be engaged in such economic activity(ies) for the envisaged lifetime of the research infrastructure.
…
|
|
4.
|
Please specify the eligible costs and, for individual aid, indicate their amount and provide further details on the underlying assumptions for their calculation. Please support your calculations by the most recently available documentary evidence which shall be clear and specific and annexed to the notification form.
|
Eligible costs
|
Eligible costs amount
|
|
investment costs for construction and upgrade of research infrastructures
|
|
|
[please include a row for each cost that you deem to fall into the overall category of investment costs in tangible and intangible assets]
|
|
|
Total eligible costs
|
|
…
|
|
5.
|
Please specify the applicable aid intensity and provide further justification if relevant why an increase of the basic aid intensity is applicable.
|
Applicable aid intensity
|
%
|
|
Basic aid intensity for investment aid for the construction and upgrade of research infrastructures
|
|
|
Increase of the aid intensity:
|
—
|
subject to at least two Member States providing the public funding, or
|
|
—
|
for research infrastructures evaluated and selected at Union level
|
|
|
|
Applicable aid intensity
|
|
…
|
|
6.
|
Please provide information about the State aid that you intend to grant, including:
|
(a)
|
The overall nominal State aid amount
…
|
|
(b)
|
What is the State aid instrument (form of aid)
…
|
|
(c)
|
Whether the State aid will be disbursed in one or several instalments
…
|
|
(d)
|
The provisional dates (at least the years) of the disbursement and the amounts of each of these instalments
…
|
|
(e)
|
Your explanation on how you established the State aid amount you intend to award for the research infrastructure and the instalment schedule
…
|
|
|
7.
|
If the research infrastructures pursue both economic and non-economic activities, please tick the box below to confirm that the financing, costs and revenues of each type of activity are accounted for separately on the basis of consistently applied and objectively justifiable cost accounting principles.
☐yes ☐no
For individual aid, please provide the relevant information and evidence:
…
|
|
8.
|
If the research infrastructures receive public funding for both economic and non-economic activities, please tick the box below to confirm that a monitoring and claw-back mechanism is in place in order to ensure that the applicable maximum aid intensity is not exceeded.
☐yes ☐no
Please provide relevant information and evidence:
…
|
|
9.
|
Does the price charged for the operation or use of the research infrastructures correspond to a market price?
☐yes ☐no
Please specify:
…
|
|
10.
|
Is access to the research infrastructures open to several users on a transparent and non-discriminatory basis?
☐yes ☐no
In case preferential access is granted to some undertakings, please provide details and indicate the share of the investment costs borne by those undertakings:
…
|
|
|
5.4.
|
Aid for the construction and upgrade of testing and experimentation infrastructures (may also be referred to as “technology infrastructures”)
|
1.
|
Please provide a full description of the testing and experimentation infrastructure (see the definition in point 16(ll) of the R&D&I Framework), including its location, its functionalities, facilities and equipment, services, intended users and profile of the users (including their size, sector and other relevant information) etc.
…
|
|
2.
|
Please also provide the duration of the project (start and end date of the construction or upgrade activities), including a GANTT chart to illustrate how and when the aided investment activities will be carried out and end, as well as the date when the infrastructure will be put in operation and its envisaged lifetime.
…
|
|
3.
|
Please specify the eligible costs and for individual aid, indicate their amount and provide further details on the underlying cost elements and assumptions for their calculation. Please support your calculations with appropriate evidence to be annexed to the notification form.
|
Eligible costs
|
Eligible costs amount
|
|
investment costs for construction and upgrade of testing and experimentation infrastructure
including
|
|
|
[please include a row for each cost that you deem to fall into the overall category of investment costs in tangible and intangible assets]
|
|
|
Total eligible costs
|
|
…
|
|
4.
|
Please specify the applicable aid intensity and provide further justification if any increase of the basic aid intensity is applicable:
|
Applicable aid intensity
|
Small enterprise
%
|
Medium-sized enterprise
%
|
Large enterprise
%
|
|
Basic aid intensity for investment aid for the construction and upgrade of testing and experimentation infrastructures
|
|
|
|
|
Increase of the basic aid intensity:
|
—
|
subject to at least two Member States providing the public funding, or
|
|
—
|
for testing and experimentation infrastructure (TEIs) evaluated and selected at Union level , and/or
|
|
|
|
|
|
—
|
subject to the testing and experimentation infrastructure providing services predominantly to SMEs (at least allocating 80 % of its capacity for that purpose)
|
|
|
|
|
|
Applicable aid intensity
|
|
|
|
|
|
5.
|
Please provide information about the State aid that you intend to grant, including:
|
(a)
|
The overall nominal State aid amount
…
|
|
(b)
|
What is the State aid instrument (form of aid)
…
|
|
(c)
|
Whether the State aid will be disbursed in one or several instalments
…
|
|
(d)
|
The provisional dates (at least the years) of the disbursement and the amounts of each of these instalments
…
|
|
(e)
|
Your explanation on how you established the State aid amount you intend to award for testing and experimentation infrastructure and the instalment schedule.
…
|
|
|
6.
|
Please provide detailed and precise information on the planned or expected specialisation of the infrastructure, its state of the art character and the role the infrastructure could play in facilitating at regional, national or Union level the digital and green transition of the Union economy.
…
|
|
7.
|
Please provide information on whether there are similar testing and experimentation infrastructures, whether publicly funded or not, in the Union.
…
|
|
8.
|
Does the price charged for the operation or use of the testing and experimentation infrastructure(s) correspond to a market price?
☐yes ☐no
Please specify and provide further details on the market prices and the prices charged, as well as due evidence for determining the market prices:
…
|
|
9.
|
Is access to the testing and experimentation infrastructure open to several users on a transparent and non-discriminatory basis and on market terms?
☐yes ☐no
Please provide further details on the terms and conditions for the open, transparent and non-discriminatory access:
…
In case preferential access is granted to some undertakings, please provide details and justification for such an approach:
…
|
|
10.
|
Please provide information about the extent to which the capacity of the testing and experimentation infrastructure would be allocated to services provided to SMEs. Please provide further details and submit relevant evidence.
…
|
|
11.
|
Please demonstrate that the public support will not lead to duplication in services already offered by existing testing and experimentation infrastructures operating within the Union.
…
|
|
|
5.5.
|
Innovation aid for SMEs
|
1.
|
Please indicate and describe the activities which are supported under the notified measure:
|
☐
|
obtaining, validating and defending patents and other intangible assets
|
|
☐
|
secondment of highly qualified personnel
|
|
☐
|
acquiring innovation advisory and support services (111)
|
|
|
2.
|
Please specify the period in which the supported innovation activities will be performed (start – end date):
…
|
|
3.
|
Please specify the eligible costs and, for individual aid, indicate their amount.
|
Eligible costs
|
Eligible costs amount
|
|
Costs of obtaining, validating and defending patents and other intangible assets
|
|
|
Costs of secondment of highly qualified personnel
|
|
|
Costs of acquiring innovation advisory and support services
|
|
|
Total eligible costs
|
|
…
|
|
4.
|
Please specify the applicable aid intensities and provide further justification if any increase of the basic aid intensity is applicable.
|
Applicable aid intensity
|
Small enterprise
%
|
Medium –sized enterprise
%
|
|
Innovation aid for SMEs
|
|
|
|
|
5.
|
Please provide information about the State aid that you intend to grant, including:
|
(a)
|
The overall nominal State aid amount
…
|
|
(b)
|
What is the State aid instrument (form of aid)
…
|
|
(c)
|
Whether the State aid will be disbursed in one or several instalments
…
|
|
(d)
|
The provisional dates (at least the years) of the disbursement and the amounts of each of these instalments
…
|
|
(e)
|
Your explanation on how you established the State aid amount you intend to award for the supported innovation activity and the instalment schedule
…
|
|
|
|
5.6.
|
Aid for process and organisational innovation
|
1.
|
Please indicate and describe the activities supported under the notified measure:
|
☐
|
organisational innovation
Please describe the supported activity:
…
|
|
|
2.
|
Please provide a concrete description of the activities that the process or organisational innovation will consist of and justify why, in your view, these activities represent such innovation (see definitions in point 16(z) and (cc) of the R&D&I Framework). Please also provide the duration of the aided activities (start and end date), as well as a GANTT chart.
…
|
|
3.
|
Please specify the eligible costs and, for individual aid, indicate their amount.
|
Eligible costs
|
Eligible costs amount
|
|
Personnel costs to the extent employed for the project
|
|
|
Costs of instruments and equipment (depreciation to the extent and for the period used for the project)
|
|
|
Costs of buildings and land (depreciation to the extent and for the period used for the project)
|
|
|
Cost of contractual research, knowledge and patents bought or licensed from outside sources at arm's length conditions, as well as costs of consultancy and equivalent services used exclusively for the project
|
|
|
Additional overheads incurred directly as a result of the project
|
|
|
Other operating costs, including costs of materials, supplies and similar products, incurred directly as a result of the project.
|
|
|
Total eligible costs
|
|
…
|
|
4.
|
Please specify the applicable aid intensities and provide further justification if any increase of the basic aid intensity is applicable.
|
Applicable aid intensity
|
Small enterprise
%
|
Medium-sized enterprise
%
|
Large enterprise
%
|
|
Aid for process and organisational innovation
|
—
|
aid for large undertakings is subject to effective collaboration with at least one SME
|
|
|
|
|
…
|
|
5.
|
Please provide information about the State aid that you intend to grant, including:
|
(a)
|
The overall nominal State aid amount
…
|
|
(b)
|
What is the State aid instrument (form of aid)
…
|
|
(c)
|
Whether the State aid will be disbursed in one or several instalments
…
|
|
(d)
|
The provisional dates (at least the years) of the disbursement and the amounts of each of these instalments
…
|
|
(e)
|
Your explanation on how you established the State aid amount you intend to award for the aided activities and the instalment schedule
…
|
|
|
6.
|
Where aid is awarded to large enterprises, please tick the box below to confirm that they effectively collaborate with SMEs in the aided activity and the collaborating SMEs incur at least 30% of the total eligible costs.
☐
For individual aid, please provide relevant information and evidence:
…
|
|
|
5.7.
|
Aid for innovation clusters
|
1.
|
Please clarify whether the measure targets the investment into a new innovation cluster or an upgrade of an existing innovation cluster.
…
|
|
2.
|
Please provide a meaningful description of the innovation cluster, including its location, specialisation, functions, intended users, facilities, and if applicable, when the innovation cluster started its activities etc.
…
|
|
3.
|
Please specify if the aid beneficiary is the owner and/or the operator of the innovation cluster. For the operator, if different from the owner, please specify if it has a separate legal personality or is it a consortium of undertakings without a legal personality (in the latter case please provide, besides the names of the consortium members, also the consortium agreement and confirm that each of these members will keep separate accounting for the costs and revenues from each activity)
…
For individual aid, please provide details:
…
|
|
4.
|
Do the fees charged for using the clusters' facilities and participating in the clusters' activities correspond to the market price or reflect their costs?
☐yes ☐no
Please specify:
…
|
|
5.
|
Is access to the clusters' premises, facilities and activities open to several users on a transparent and non-discriminatory basis?
☐yes ☐no
Please specify:
…
|
|
6.
|
In case preferential access is granted to some undertakings, please provide details and indicate the share of the investment costs borne by those undertakings.
…
|
|
7.
|
For individual aid (concerning both investment aid and/or operating aid), please provide information on:
|
(a)
|
the planned or expected specialisation of the innovation cluster, existing regional potential and presence of clusters in the Union with similar purposes
…
|
|
(b)
|
how the innovation cluster can have a positive effect on the technological advancement and digital transformation of the Union economy
…
|
|
(c)
|
whether the supported innovation cluster is a Digital Innovation Hub
…
|
|
(d)
|
whether the collaborations which would be stimulated or incentivised by the innovation cluster’s activities might aim, amongst others, to shorten the time needed from the creation of new knowledge to transposing it into innovative applications
…
|
|
(e)
|
Any other information you consider relevant
…
|
|
|
|
5.7.1.
|
Investment aid
|
1.
|
Please specify the eligible costs and, for individual aid, indicate their amount.
|
Eligible costs
|
Eligible costs amount
|
|
Investment costs for the construction and upgrade of the innovation cluster including
|
|
|
[please include a row for each cost that you deem to fall into the overall category of investment costs in tangible and intangible assets]
|
|
|
Total eligible costs
|
|
|
|
2.
|
Please specify the applicable aid intensities, including any increases for clusters located in assisted regions fulfilling the conditions of Article 107(3), points (a) or (c), of the Treaty.
|
Investment aid for innovation clusters
|
Small enterprise
%
|
Medium-sized enterprise
%
|
Large enterprise
%
|
|
Basic aid intenstiy for investment aid
|
|
|
|
|
Increase of the basic aid intensity:
|
—
|
in assisted regions fulfilling the conditions of Article 107(3), point (c), of the Treaty, or
|
|
—
|
in assisted regions fulfilling the conditions of Article 107(3), point (a), of the Treaty
|
|
|
|
|
|
Applicable aid intensity:
|
|
|
|
|
|
3.
|
Please provide information about the State aid that you intend to grant, including:
|
(a)
|
The overall nominal State aid amount
…
|
|
(b)
|
What is the State aid instrument (form of aid)
…
|
|
(c)
|
Whether the State aid will be disbursed in one or several instalments
…
|
|
(d)
|
The provisional dates (at least the years) of the disbursement and the amounts of each of these instalments
…
|
|
(e)
|
Your explanation on how you established the State aid amount you intend to award for the aided activities and the instalment schedule
…
|
|
|
|
5.7.2.
|
Operating aid
|
1.
|
Please indicate which activities are supported under the notified measure and provide further information on the substance and timing of the supported activities:
|
☐
|
animation of the cluster
|
|
☐
|
marketing of the cluster
|
|
☐
|
management of the cluster's facilities
|
|
☐
|
organisation of training programmes, workshops and conferences
…
|
|
|
2.
|
Please specify the eligible costs and, for individual aid, indicate their amount and provide further details on the underlying assumptions for their calculation. Please support your calculations with appropriate evidence to be annexed to the notification form.
|
Operating aid for innovation clusters
|
Eligible costs amount
|
|
Personal and administrative costs (including overheads) related to the animation of the cluster
|
|
|
Personal and administrative costs (including overheads) related to the marketing of the cluster
|
|
|
Personal and administrative costs (including overheads) related to the management of the cluster's facilities
|
|
|
Personal and administrative costs (including overheads) related to the organisation of training programmes, workshops and conference
|
|
|
Total eligible costs
|
|
…
|
|
3.
|
Please specify the applicable aid intensity:
|
Aid intensity for operating aid to the innovation cluster
|
%
|
|
|
|
|
|
4.
|
Please provide information about the State aid that you intend to grant, including:
|
(a)
|
The overall nominal State aid amount
…
|
|
(b)
|
What is the State aid instrument (form of aid)
…
|
|
(c)
|
Whether the State aid will be disbursed in one or several instalments
|
…
|
(d)
|
The provisional dates (at least the years) of the disbursement and the amounts of each of these instalments
…
|
|
(e)
|
Your explanation on how you established the State aid amount you intend to award for the supported activities and the instalment schedule
…
|
|
|
|
6.
|
COMPATIBILITY ASSESSMENT OF THE NOTIFIED AID MEASURE
|
|
6.1.
|
First condition: R&D&I aid facilitates the development of an economic activity
|
|
6.1.1.
|
Identifying the supported economic activity
|
1.
|
For individual aid, please provide a comprehensive description of the aided project or activity (or refer back to the previous sections if such detailed description has been provided there).
…
|
|
2.
|
Please identify and describe the economic activity that will be supported by the notified measure.
…
|
|
|
6.1.2.1.
|
General conditions
|
1.
|
Please confirm whether the aid will not subsidise the costs of an activity that the undertaking would anyhow incur:
☐yes ☐no
|
|
2.
|
Please confirm whether the aid will not compensate for the normal business risk of an economic activity:
☐yes ☐no
|
|
3.
|
Please provide further explanations or refer to a section where such information can be found:
…
|
|
4.
|
Please confirm that, when awarding the aid under the notified measure, it will be ensured that work on the relevant R&D&I activities has not started prior to the aid application by the beneficiary to the national authorities (112) and, for individual aid, specify the relevant dates:
☐yes ☐no
…
|
|
5.
|
Please tick one of the boxes below to confirm that the aid applications of the aid beneficiary to the national authorities include at least the applicant's name and size of the undertaking, a description of the project, including its location and start and end dates, the amount of public support needed to carry it out, and a list of eligible costs:
☐yes ☐no
…
|
|
6.
|
If the aid is awarded in the form of a fiscal measure, please provide details and, for non-incremental measures, any evaluation studies for establishing its incentive effect:
…
|
|
|
6.1.2.2.
|
Additional considerations for individual aid
|
1.
|
Please confirm whether the project size will be increased due to the notified measure?
☐yes ☐no
If so, please specify the type of increase and submit relevant evidence:
|
☐
|
increase in the total project costs (without a decrease in spending by the aid beneficiary when compared to the situation without aid)
|
|
☐
|
increase in the number of people assigned to R&D&I activities
|
Please justify your answers and provide further details and submit relevant evidence:
…
|
|
2.
|
Please specify whether the project scope will be increased due to the notified measure?
☐yes ☐no
If so, please specify the type of increase and submit relevant evidence:
|
☐
|
increase in the number of the expected deliverables of the project;
|
|
☐
|
increase in the level of ambition of the project evidenced by a higher number of partners involved, a higher probability of a scientific or technological break-through or a higher risk of failure (notably linked to the long-term nature of the project and uncertainty about its results);
|
|
☐
|
other type of increase.
|
Please justify your answers by providing further details and evidence:
…
|
|
3.
|
Please confirm whether the project speed will be increased due to the notified measure?
☐yes ☐no
If so, please provide further justification, details and relevant evidence:
…
|
|
4.
|
Please confirm whether the total amount spent will be increased due to the notified measure?
☐yes ☐no
If so, please specify the type of increase and submit further justification, details and relevant evidence:
|
☐
|
increase in total R&D&I spending by the aid beneficiary, in absolute terms or as a proportion of turnover
|
|
☐
|
changes in the committed budget for the project (without a corresponding decrease in the budget allocated to other projects)
|
…
|
|
5.
|
Please confirm whether the notified measure will be subject to a publicly available ex post evaluation of its contribution to the common interest?
☐yes ☐no
If so, please specify:
…
|
|
6.
|
Please provide a comprehensive description, by means of analysis of the counterfactual scenario, of the behaviour of the beneficiary in the absence of aid (i.e. of what would have happened or could reasonably have been expected to happen without aid). Please demonstrate by contemporary internal evidence if the counterfactual has been considered by the beneficiary in its internal decision making and attach such evidence to this form.
…
|
|
7.
|
Please specify and elaborate further the elements that are relevant for the demonstration of the incentive effect of the notified measure and provide supporting evidence, such as board documents, risk assessments, financial reports, internal business plans, expert opinions and other studies related to the project under assessment:
|
☐
|
level of profitability (i.e. where a project or investment would not, in itself, be profitable to carry out for an undertaking, but would generate important benefits for society)
…
|
|
☐
|
amount of investment and the timeframe of cash flows (e.g. whether the measure concern a high start-up investment, a low level of appropriable cash flows, a significant fraction of the cash flow arising in the very far future or in a very uncertain manner, etc.)
…
|
|
☐
|
level of risk involved (please provide an assessment of risk, which will in particular take into account, as applicable, the irreversibility of the investment, the probability of commercial failure, the risk that the project will be less productive than expected, the risk that the project undermines other activities of the aid beneficiary and the risk that the project costs undermine its financial viability)
…
|
|
|
8.
|
If available, please provide industry-specific data demonstrating that the beneficiary's counterfactual scenario, its required level of profitability and its expected cash-flows are reasonable.
…
|
|
9.
|
Please specify whether the aided measure involves cross-border cooperation or is financed by more than one Member State (i.e. it concerns cross-border R&D activities, research infrastructures, testing and experimentation infrastructures or innovation clusters).
…
|
|
|
6.1.3.
|
No breach of relevant Union law
|
1.
|
Please tick one of the boxes below to confirm that the State aid measure, the conditions attached to it, including its financing method when the financing method forms an integral part of the State aid measure, or the activity it finances does not entail a violation of relevant Union law.
☐yes ☐no
|
|
2.
|
For individual aid: please specify also whether there are any infringement proceedings relative to Articles 101 or 102 of the Treaty which may concern the beneficiary of the aid and which may be relevant for its assessment under Article 107(3) of the Treaty.
☐yes ☐no
Please provide also further information and clarifications on all these points:
…
|
|
|
6.2.
|
Second condition: R&D&I aid does not unduly affect trading conditions to an extent contrary to the common interest
|
|
6.2.1.
|
Need for State intervention
|
1.
|
Please identify by ticking the relevant box below the market failures hampering R&D&I activities in the present case and justify the need for State aid. Please submit further explanations, clarifications and relevant evidence.
|
☐
|
positive externalities/knowledge spill-overs
|
|
☐
|
imperfect and asymmetric information
|
|
☐
|
coordination and network failures
…
|
|
|
2.
|
Please explain how the notified measure can effectively mitigate the market failures affecting the R&D&I activities (i.e. how the State aid can bring about a material improvement that the market alone cannot deliver).
…
|
|
|
6.2.1.1.
|
Additional conditions for individual aid
|
1.
|
Please explain further whether the aid addresses a general market failure regarding R&D&I activities in the Union, or a specific market failure regarding, for example, a particular sector or line of business.
…
|
|
2.
|
If available, please provide any sectoral comparisons and other studies that can substantiate the analysis of the alleged market failures.
…
|
|
3.
|
If available, please provide any information regarding (other) R&D&I projects or activities undertaken within the Union which, with respect to their technological content, level of risk and size, are similar to those concerned by the notified measure and explain why the aid is needed in the case concerned.
…
|
|
|
6.2.2.
|
Appropriateness of the aid measure
|
1.
|
Appropriate policy instrument
|
|
1.1.
|
Please explain why in your view the State aid is the appropriate policy instrument to enable the R&D&I in question and there is no better placed and less distortive policy instrument capable of achieving the same results. Furthermore, please explain how the advantages of using a selective policy instrument such as State aid in order to increase R&D&I activities have been established, and provide any related impact assessment and supporting documents.
…
|
|
2.
|
Where the project or R&D&I activities are also financed by the Union please demonstrate that State aid for the assessed project or R&D&I activity would create synergies with funding or co-financing from Union programmes.
…
|
|
3.
|
Appropriateness among different aid instruments:
|
(a)
|
Please explain your views why the chosen form of the State aid is likely to generate the least distortions of competition and trade. If aid is awarded in forms that provide a direct pecuniary advantage (such as direct grants, exemptions or reductions in taxes or other compulsory charges, or the supply of land, products or services at favourable prices), please provide an analysis of other options and explain why or how other forms of aid (such as repayable advances or forms of aid that are based on debt or equity instruments, such as State guarantees, the purchase of a share-holding or an alternative provision of debt or capital on favourable terms) are less appropriate to address the identified market failures.
…
|
|
(b)
|
For aid schemes: please specify also whether the notified scheme implements the objectives and priorities of Operational Programmes and identify the financing instrument chosen in those programmes.
…
|
|
|
|
6.2.3.
|
Proportionality of the aid
|
1.
|
Please confirm whether the aid is determined in relation to a predefined set of eligible costs and limited to a certain proportion of those eligible costs ('aid intensity'). Please also confirm whether the aid intensity is established for each beneficiary of the aid, including in the case of a collaboration project.
☐yes ☐no
|
|
2.
|
In the case of State aid for a project being carried out in collaboration between research organisations and undertakings, please confirm whether the contribution of direct public support and, where they constitute State aid, the contributions from research organisations to the same project will not exceed the applicable aid intensities for each beneficiary undertaking.
☐yes ☐no
Please specify further:
…
|
|
3.
|
Repayable advances:
|
(a)
|
If the aid is awarded in the form of a repayable advance expressed as gross grant equivalent, please provide details on the methodology applied in order to calculate such gross grant equivalent, including underlying verifiable data or, for individual aid, specify on the basis of which approved aid scheme the aid is awarded.
…
|
|
(b)
|
If the aid is awarded in the form of a repayable advance expressed as a percentage of the eligible costs and exceeds, by up to 10 percentage points, the maximum aid intensities laid down in the R&D&I Framework, please confirm, by ticking the box, that:
|
☐
|
in the case of a successful outcome, the notified measure provides that the advance is to be repaid with an interest rate not less than the discount rate resulting from the application of the Communication from the Commission on the revision of the method for setting the reference and discount rates (113)
|
|
☐
|
in the case of a success exceeding the outcome defined as successful, the Member State concerned requests payments beyond repayment of the advance amount including interest according to the applicable discount rate
|
|
☐
|
in the case of failure or partial success, the repayment is proportional to the degree of success achieved
|
|
|
(c)
|
Please provide details on the repayment of the advance and clearly define what is considered as a successful outcome of the aided activities, on the basis of a reasonable and prudent hypothesis.
…
|
|
|
4.
|
Fiscal measures constituting State aid: if the aid is awarded in the form of a fiscal measure, please specify how the aid intensities are calculated and provide any relevant details:
|
☐
|
on the basis of individual projects, or
|
|
☐
|
at the level of the undertaking, as the ratio between the overall tax relief and the sum of all eligible R&D&I costs incurred in a period not exceeding three consecutive fiscal years
…
|
|
|
|
6.2.3.1.
|
Additional conditions for individual aid
|
1.
|
Please provide a comprehensive business plan for the aided project (with and without aid), including all relevant expected costs and revenues for the lifetime of the project. Please submit detailed explanations, justifications and relevant evidence for all underlying assumptions.
…
|
|
2.
|
If the aid beneficiary faces a clear choice between carrying out either the aided project or an alternative one without aid, please provide also a comprehensive business plan for the lifetime of the counterfactual project. Please provide detailed explanations, justifications and relevant evidence for all underlying assumptions.
…
|
|
3.
|
In the absence of an alternative project, please explain how the aid is limited to the minimum necessary for the aided project to be sufficiently profitable, for example by making it possible to achieve an internal rate of return ('IRR') corresponding to the sector or firm specific benchmark or hurdle rate.
…
|
|
4.
|
If the aid beneficiary faces a clear choice between carrying out either the aided project or an alternative one without aid, please explain how the aid is limited to the minimum necessary to cover the net extra costs of the aided project compared to the counterfactual project, by taking account of the probabilities of different business scenarios occurring.
…
|
|
5.
|
Please submit any supporting documents, such as internal company documents, showing that the counterfactual project is a clearly defined and sufficiently predictable alternative project that has been considered by the beneficiary in its internal decision making.
…
|
|
6.
|
Please explain how the aid amount has been established and provide any supporting documents.
…
|
|
7.
|
If there were multiple potential candidates for carrying out the aided activity, is the aid awarded on the basis of transparent, objective and non-discriminatory criteria?
☐yes ☐no
Please provide details:
…
|
|
8.
|
If the aid is meant to address actual or potential direct or indirect distortions of international trade, i.e. where, directly or indirectly, competitors located outside the Union have received in the last three years or are going to receive aid of an equivalent intensity for similar projects, please provide sufficient information and any available evidence to enable the Commission to assess the situation, in particular the need to take account of the competitive advantage enjoyed by a third country competitor. Where distortions of international trade are likely to occur after more than three years, given the particular nature of the sector in question, the reference period may be extended accordingly.
…
|
|
|
6.2.4.
|
Cumulation of aid
|
1.
|
Please confirm, by ticking the appropriate box, that:
|
(a)
|
Where Union funding centrally managed by the institutions, agencies, joint undertakings or other bodies of the Union that is not directly or indirectly under the control of Member States, is combined with State aid, the total amount of public funding awarded in relation to the same eligible costs must not exceed the most favourable funding rate laid down in the applicable rules of Union law.
☐yes ☐no
|
|
(b)
|
Where the expenditure eligible for R&D&I aid is also potentially eligible in whole or in part for aid for other purposes, the overlapping portion will be subject to the most favourable ceiling under any of the relevant rules.
☐yes ☐no
|
|
(c)
|
Aid for R&D&I will not be cumulated with de minimis support in respect of the same eligible costs if that would result in an aid intensity exceeding those laid down in this framework.
☐yes ☐no
|
|
(d)
|
For aid measures for testing and experimentation infrastructures co-funded by Union funding: please demonstrate the necessary amount of total public funding (i.e. State aid and other sources of public funding) on the basis of a credible funding gap assessment ensuring that the total amount of public funding does not lead to overcompensation.
Please provide sufficient information to assess the necessary amount of total public funding for the testing and experimentation infrastructure and submit the relevant evidence:
…
|
|
|
2.
|
With regards to confirmations requested in point (1) above, please provide further details, indicating the letter from the above questions to which these explanations are relevant.
…
|
|
|
6.2.5.
|
Transparency
|
1.
|
Please tick the relevant box to confirm that the Member State will publish in the European Commission’s transparency award module or on a comprehensive State aid website, at national or regional level:
|
(a)
|
the full text of the individual aid granting decision or the approved aid scheme and its implementing provisions, or a link to it;
☐yes ☐no
|
|
(b)
|
the following information on each individual aid award granted ad-hoc or under an aid scheme approved on the basis of this framework and exceeding EUR 100 000:
|
—
|
Identity of the individual beneficiary
|
—
|
Beneficiary’s identifier
☐yes ☐no
|
|
|
—
|
Type of beneficiary undertaking at the time of granting:
|
—
|
Large undertaking
☐yes ☐no
|
|
|
—
|
Region in which the beneficiary is located, at NUTS level II or below
☐yes ☐no
|
|
—
|
The principal economic sector in which the beneficiary has its activities, at NACE group level
☐yes ☐no
|
|
—
|
Aid element, and, where different, the nominal amount of aid, expressed as full amount in national currency
☐yes ☐no
|
|
—
|
Aid instrument:
|
—
|
Grant/Interest rate subsidy/Debt write-off
|
|
—
|
Loan/Repayable advances/Reimbursable grant
|
|
—
|
Tax advantage or tax exemption
|
|
—
|
Other (please specify)
☐yes ☐no
|
|
|
—
|
Date of award and the date of publication
☐yes ☐no
|
|
—
|
Objective of the aid
☐yes ☐no
|
|
—
|
Identity of the granting authority or authorities
☐yes ☐no
|
|
—
|
Where applicable, name of the entrusted entity, and the names of the selected financial intermediaries
☐yes ☐no
|
|
—
|
Reference of the aid measure
☐yes ☐no
|
|
|
(c)
|
Please provide the web address of the State aid website:
…
|
|
(d)
|
For schemes in the form of tax advantages, please confirm that the required information on individual aid amounts in the ranges described in point 102 of the R&D&I Framework, will be published:
☐yes ☐no
|
|
|
2.
|
Please tick the relevant box below in order to confirm that the Member State will organise its comprehensive State aid website (as declared in the previous point) in such a way as to allow easy access to the information, that the information will be published in a non-proprietary spreadsheet data format, which allows data to be effectively searched, extracted, downloaded and easily published on the internet, for instance in CSV or XML format, and that the general public will be allowed to access the website without any restrictions, including prior user registration.
☐yes ☐no
|
|
3.
|
Please tick the relevant box below to confirm that the information as per the above will be published within six months from the date of award of the aid, or, for aid in the form of tax advantages, within one year from the date the tax declaration is due.
☐yes ☐no
Please specify the time period applicable for your aid measure:
…
|
|
4.
|
Where applicable, please tick the relevant box below to confirm for aid that was unlawful but subsequently found to be compatible, the Member State will publish this information within six months from the date of the Commission’s decision declaring the aid compatible.
☐yes ☐no
…
|
|
5.
|
To enable the enforcement of State aid rules under the Treaty, the information must be available for at least 10 years from the date on which the aid was granted.
☐yes ☐no
|
|
|
6.2.6.
|
Verifying that specific negative effects of R&D&I aid on competition and trading conditions are minimised or avoided
Please indicate:
|
1.
|
whether the award of aid allows the aid beneficiary to gain competitive advantage through:
|
☐
|
reduced production costs
|
|
☐
|
increased production capacity
|
|
☐
|
new product development
|
|
☐
|
other effects, please specify:
…
|
|
|
2.
|
the award of aid is subject to the obligation for the beneficiary to have its central seat, or be predominantly established in the relevant Member State (point 117 of the R&D&I Framework):
☐yes ☐no
|
|
3.
|
the award of aid is subject to the obligation for the beneficiary to use national products or services (point 117 of the R&D&I Framework):
☐yes ☐no
|
|
4.
|
the aid measure restricts the possibility for the beneficiary to exploit the R&D&I results in other Member States (point 117 of the R&D&I Framework):
☐yes ☐no
|
|
5.
|
the aid measure imposes any other obligation on the beneficiary:
☐yes ☐no
|
|
6.
|
Please provide justification for the answers you have selected and submit evidence where necessary. If the answer to any of the questions in this section is yes, please provide details:
…
|
|
|
6.2.6.1.
|
Aid scheme
|
1.
|
For aid schemes, please explain how it will be ensured that any negative effects will be limited to the minimum (taking account, for example, of the size of the projects concerned, the individual and cumulative aid amounts, the number of expected beneficiaries and the characteristics of the targeted sectors) and provide any impact assessment or ex-post evaluations carried out for similar predecessor schemes.
…
|
|
|
6.2.6.2.
|
Additional conditions for individual aid
|
1.
|
If applicable, please describe the likely impact of the aid on competition in the innovation process (see point 109 of the R&D&I Framework).
…
|
|
2.
|
Please identify the product markets on which the aid is likely to have an impact and provide the current market share and your assessment of the market position and the market power of the beneficiary in each of the markets concerned, as well as any changes in those market shares, market position and market power that would result from the aided activities.
…
|
|
3.
|
For each of the product markets concerned, please identify the main competitors of the aid beneficiary and provide their market shares.
…
If available, please provide the associated Herfindahl-Hirschman Index ('HHI').
…
|
|
4.
|
For each of the product markets concerned, please provide information on the customers or consumers affected by the aided activities.
…
|
|
5.
|
Please describe the structure and dynamics of the markets concerned with regard to the following aspects (points 124 and 126 of the R&D&I Framework):
|
(a)
|
recent developments and future growth prospects
…
|
|
(b)
|
amount spent by the main players on projects of a similar kind
…
|
|
(c)
|
levels of entry and exit barriers
…
|
|
(d)
|
existence of countervailing buyer power
…
|
|
(e)
|
incentives to compete for future markets
…
|
|
(f)
|
product differentiation and intensity of competition
…
|
|
(g)
|
other features likely to affect competitors, customers or consumers
…
|
|
|
6.
|
Has the aid beneficiary any influence in the selection process, for example by having the right to recommend undertakings or influencing the research path?
☐yes ☐no
If so, please provide details:
…
|
|
7.
|
Please tick the relevant box to declare if the aid is awarded in markets featuring overcapacity or in declining industries.
☐yes ☐no
If so, please provide details on these markets and industries and your justification why in your view the aid would not raise concerns:
…
|
|
8.
|
Please indicate whether the beneficiary has considered any alternative locations for the aided activities.
☐yes ☐no
Please provide details and credible contemporaneous internal evidence of the aid beneficiary to support the claim.
…
|
|
9.
|
Please provide your general view why you believe the aid will not give rise to potential distortions of competition and trade between Member States.
…
|
|
|
6.2.7.
|
Weighing up the positive and the negative effects of the aid
|
1.
|
Please identify, according to your view, which are the positive effects of the aid on the aided economic activity and the wider R&D&I-related positive effects of the aid that need to be taken into account in the analysis. For further details and justification, you may provide reference to your detailed answers to the next questions.
…
|
|
2.
|
Please define precisely the objective pursued and explain how the notified measure intends to promote R&D&I activities.
…
|
|
3.
|
Please elaborate whether the aid brings about wider R&D&I-related positive effects.
…
Please elaborate whether these positive effects are embodied in Union policies (such as the new ERA for Research and Innovation, the European Green Deal, the European Digital Strategy and the New Industrial Strategy for Europe Communications)?
…
|
|
4.
|
Please indicate whether the state aid measure contributes to the digital transformation of the Union industry and Union’s transition to a zero/low-carbon economy, and if so, please explain how.
…
|
|
5.
|
In case of an aid scheme, is it part of a comprehensive programme or action plan to stimulate R&D&I activities or smart specialisation strategies?
☐yes ☐no
Please provide, where relevant, the reference to evaluations of similar past aid measures:
…
|
|
6.
|
If relevant, please clarify whether the supported R&D&I activities are in accordance with the Regulation (EU) 2020/852 of the European Parliament and of the Council (114).
…
If not please explain whether an alternative methodology was applied to identify R&D&I activities for technologies, products or other solutions for environmentally sustainable economic activities.
…
|
|
|
6.2.7.1.
|
Balancing of the positive effects against the negative effects of the aid
|
1.
|
Please provide your view (for both aid schemes and individual aid) why you believe the positive effects of the aid, as identified and justified by you above in this section outweigh the negative effects on competition and trading conditions of the aid.
…
|
|
|
7.
|
OTHER INFORMATION
|
1.
|
Please provide any other information that would be of relevance to assess the notified aid measure under the R&D&I Framework.
…
|
|
2.
|
Please list below all annexes attached to the form (which should include relevant evidence, business plans, studies, etc.). Please indicate clearly (paragraphs, pages, in a visual manner) where the information supporting the replies provided in the form can be found in these annexes.
…’
|
|
|
|
(c)
|
Part III.5 is replaced by the following:
‘PART III.5.A
SUPPLEMENTARY INFORMATION SHEET ON STATE AID FOR TAKE-UP MEASURES
This supplementary information sheet should be used for notifications of aid for take-up measures deployment covered by the Commission Guidelines on State aid for broadband networks
(115)
(“Broadband Guidelines”).
|
1.1.
|
Please provide a detailed description of the aid measure and of its objectives.
…
|
|
1.2.
|
Please explain why, in your view, the aid measure amounts to State aid (116).
…
|
|
1.3.
|
Please indicate whether the aid measure consists of:
|
☐
|
Connectivity vouchers (118)
|
|
|
1.4.
|
Please explain how the aid measure fits with the national broadband strategy and the Union digital policy and environmental objectives (119).
…
|
|
1.5.
|
Please explain whether the reason justifying the aid measure is (120):
|
☐
|
Economic impact of the cost of subscribing to broadband services. If so, please provide details.
…
|
|
☐
|
Lack of awareness of the benefits brought by the subscription to broadband services. If so, please provide details.
…
|
|
☐
|
Other reasons. If so, please provide details.
…
|
|
|
1.6.
|
Please explain the context of the aid measure (for example, current level of coverage of broadband networks in the Member State, current level of take-up of broadband services), indicating the sources of information provided.
…
|
|
1.7.
|
Please confirm that all speeds mentioned in this notification are deemed to mean speeds under peak-time conditions (121).
☐Yes ☐No
|
|
1.8.
|
If available, please submit the following documents and provide a description of their content.
|
☐
|
Impact assessment of the aid measure …
|
|
☐
|
Ex post evaluation plans of similar predecessor schemes …
|
|
☐
|
Counterfactual analysis demonstrating that the measure has positive effects compared to what would have happened without the aid …
|
|
|
2.1.
|
Please identify the particular categories of individual consumers targeted by the aid measure, specifying the financial circumstances that justify the granting of aid for social reasons (for example, low-income families, students, pupils, etc.) and the objective criteria used to identify eligible consumers (122).
…
|
|
2.2.
|
Please provide an estimate of the number of consumers that could benefit from the aid measure.
…
|
|
2.3.
|
Please identify the eligible service providers.
…
|
|
2.4.
|
Please indicate the eligible services covered by the aid measure (for example, in terms of download speed, upload speed, etc.) and explain how your authorities identified such services.
…
|
|
2.5.
|
Please specify how the vouchers will be used and provide specific details (123):
|
☐
|
Subscribe to new broadband services. Details:
…
|
|
☐
|
Retain existing subscriptions. Details:
…
|
|
|
2.6.
|
Please list the eligible costs covered by the aid measure (124).
…
|
|
2.7.
|
Please indicate the maximum duration of the voucher (if any).
…
|
|
2.8.
|
Please indicate form and amount of the vouchers, specifying how such amount has been set and the percentage of the cost of subscription covered by the voucher.
…
|
|
2.9.
|
Please explain if and how the aid measure complies with the principle of technological neutrality (125).
…
|
|
2.10.
|
To demonstrate that the aid measure ensures equal treatment of all possible service providers and offer consumers the widest possible choice of suppliers (126), please confirm (providing relevant details) that (127):
|
(a)
|
An online registry of all eligible service providers (or an equivalent alternative platform) will be implemented.
…
|
|
(b)
|
Consumers are free to consult the registry.
…
|
|
(c)
|
All undertakings capable of providing the eligible broadband services may request to be included in the registry (or in the alternative platform chosen).
…
|
|
(d)
|
The registry (or the alternative platform chosen) provides additional information to assist consumers (for example, type of services provided by different undertakings, etc.). If so, please indicate the additional information provided.
…
|
|
|
2.11.
|
Please explain in detail the implementing procedure of the aid measure.
…
|
|
2.12.
|
Public consultation (128). Please provide the following information:
|
(a)
|
Start and end date of each public consultation carried-out.
…
|
|
(b)
|
Content of each public consultation.
…
|
|
(c)
|
Publicly accessible Internet site (at regional and/or national level) where the consultation was published.
…
|
|
(d)
|
A recap of the main observations submitted by contributors in each public consultation, specifying how they were addressed.
…
|
|
|
2.13.
|
Please indicate whether additional safeguards to avoid possible misuse of social vouchers will be implemented. If so, please provide details (129).
…
|
|
2.14.
|
Please indicate whether the aid measure provides for specific rules concerning the management of the subscription, with regard, inter alia, to early termination of the subscription, possibility to migrate the subscription to another provider during the period covered by the voucher (if so, under which conditions), continuation of the subscription after the expiry of the voucher. If so, please provide details.
…
|
|
3.1.
|
Please indicate the type of end-users targeted by the measure.
|
|
3.2.
|
Please explain the eligibility conditions for end-users to get connectivity vouchers.
…
|
|
3.3.
|
Please provide an estimate of the number of end-users that could benefit from the aid measure.
…
|
|
3.4.
|
Please identify the eligible service providers.
…
|
|
3.5.
|
Please indicate the eligible services covered by the aid measure (for example, in terms of download speed, upload speed, etc.) and explain how your authorities identified such services. In this regard, please indicate end-users’ needs capable of being addressed by connections providing the eligible services, submitting verifiable supporting evidence thereof (for example, consumer surveys, independent studies) (130).
…
|
|
3.6.
|
Please specify how the vouchers will be used and provide specific details Moreover, please confirm that the vouchers cannot be used for retaining existing subscriptions (131).
|
☐
|
Subscribe to new broadband services. Details:
…
|
|
☐
|
Upgrade existing subscriptions. Details:
…
|
|
☐
|
Confirmation that the vouchers cannot be used for retaining existing subscriptions. Details:
…
|
|
|
3.7.
|
Please list the eligible costs covered by the aid measure (132).
…
|
|
3.8.
|
Please indicate form and amount of vouchers, specifying how such amount has been set and the percentage of the costs of subscription covered by the voucher) (133).
…
|
|
3.9.
|
Please explain if and how the aid measure complies with the principle of technological neutrality (134).
…
|
|
3.10.
|
To demonstrate that the aid measure ensures equal treatment of all possible service providers and offer consumers the widest possible choice of suppliers, please confirm (providing relevant details) that (135):
|
(a)
|
An online registry of all eligible service providers (or an equivalent alternative platform) will be implemented.
…
|
|
(b)
|
Consumers are free to consult the registry.
…
|
|
(c)
|
All undertakings capable of providing the eligible broadband services may request to be included in the registry (or in the alternative platform chosen).
…
|
|
(d)
|
The registry (or the alternative platform chosen) provides additional information to assist consumers (for example, type of services provided by different undertakings, etc.). If so, please indicate the additional information provided.
…
|
|
|
3.11.
|
Please explain in detail the implementing procedure of the aid measure.
…
|
|
3.12.
|
Public consultation. Please provide the following information (136):
|
(a)
|
Start and end date of each public consultation carried-out.
…
|
|
(b)
|
Content of each public consultation.
…
|
|
(c)
|
Publicly accessible Internet site (at regional and/or national level) where the consultation was published.
…
|
|
(d)
|
A recap of the main observations submitted by contributors in each public consultation, specifying how they were addressed.
…
|
|
|
3.13.
|
Please indicate whether additional safeguards to avoid possible misuse of connectivity vouchers will be implemented. If so, please provide details (137).
…
|
|
3.14.
|
Please indicate whether the aid measure provides for specific rules concerning the management of the subscription, with regard, inter alia, to early termination of the subscription, possibility to migrate the subscription to another provider during the period covered by the voucher (if so, under which conditions), continuation of the subscription after the expiry of the voucher. If so, please provide details.
…
|
|
3.15.
|
Please identify the economic activities that will be facilitated by the aid measure through the increase of connectivity and the access to performant broadband services, and explain how the development of those activities is supported (138).
…
|
|
3.16.
|
Please provide evidence for the incentive effect of the aid measure (139).
…
|
|
3.17.
|
Please confirm that the aid measure, the conditions attached to it (including its financing method where that method forms an integral part of the aid) or the activity it finances do not entail any violation of provisions or general principles of Union law.
☐Yes ☐No. In this case, please provide explanations.
…
|
|
3.18.
|
Please explain why alternative measures to State aid (for example, administrative and regulatory measures, market-based instruments, loans, tax measures) are not capable of addressing the objective(s) of the aid measure (140).
…
|
|
3.19.
|
Please submit a market assessment containing: (i) an assessment of the risk that the aid measure gives a disproportionate advantage – at the retail and/or at the wholesale level – to some providers to the detriment of others, possibly reinforcing (local) market dominance; (ii) an assessment of the actual need to implement a connectivity voucher by comparing the situation in the intervention area(s) with the situation in other areas of the Member State or the Union; (iii) an analysis of the trends in take-up of eligible services by end-users (141).
…
|
|
3.20.
|
Please indicate if any of the eligible provider of broadband services is vertically integrated and has a retail market share above 25 %.
☐Yes ☐No.
|
|
3.21.
|
In case the answer to the previous question is positive, please confirm that any vertically integrated provider of broadband services which has a retail market share above 25 %, will offer, on the corresponding wholesale access market, wholesale access products on the basis of which any access seeker will be able to provide the eligible services under open, transparent and non-discriminatory conditions.
☐Yes ☐No
|
|
3.22.
|
Please indicate the duration of the aid measure and the period of validity of the vouchers for individual end-user (142).
…
|
|
3.23.
|
Please explain what potential negative effects on competition and trade the aid measure may have and what elements in the design of the measure could minimize those risks.
…
|
|
4.
|
OTHER INFORMATION (APPLICABLE TO BOTH SOCIAL AND CONNECTIVITY VOUCHERS)
|
|
4.1.
|
Please explain the role played by the NRA in the design, implementation and monitoring of the aid measure.
…
|
|
4.2.
|
Please report the opinion of the NRA on the aid measure (if available).
…
|
|
4.3.
|
Please report the opinion of the National Competition Authority on the aid measure (if available).
…
|
|
4.4.
|
Transparency.
|
(a)
|
Please confirm that the Member State will publish (i) the full text of the decision approving the aid measure and its implementing provisions (or a link to them), and (ii) information on each individual aid award exceeding EUR 100 000, in accordance with Annex II (143) (within 6 months from the date of award of the aid or, for aid in the form of tax advantages, within 1 year from the date that the tax declaration is due) (144),
|
☐
|
In the Commission’s transparency award module (145).
|
|
☐
|
On a comprehensive State aid website (providing the relevant web address). In this case, please specify whether it is national or regional website (146) and easy access to the information registered in the aid website is allowed (i.e., the general public must be allowed to access the website without restrictions) (147).
|
…
|
|
(b)
|
Please confirm that the information under point 4.4 will be available for at least 10 years from the date on which the aid was granted, will be published in a non-proprietary spreadsheet data format, which allows data to be effectively searched, extracted, downloaded and easily published on the internet (for instance, in CSV or XML format).
☐Yes ☐No
|
|
(c)
|
Please confirm that, for aid that is unlawful but subsequently found to be compatible, the relevant information is published on a State aid website (specifying the relevant web address) within 6 months from the date of the Commission’s decision declaring the aid compatible (148).
☐Yes ☐No
|
|
|
4.5.
|
Reporting. Please confirm that your authorities will submit to the Commission (i) annual reports in respect of each measure approved under the Broadband Guidelines, and (ii) a report every two years containing key information on the aid measure approved under the Broadband Guidelines, in accordance with Annex III to the same Broadband Guidelines (149).
…
|
|
4.6.
|
Monitoring. Please confirm that your authorities will maintain – for 10 years from the date of award of the aid – detailed records regarding all aid measures, which contain all information necessary to establish that all the compatibility conditions set out in the Broadband Guidelines are fulfilled, and that it commits to provide them to the Commission upon request (150).
…
|
|
4.7.
|
Please indicate whether the aid measure is considered for ex post evaluation plan.
|
☐
|
No. Please explain why you consider the criteria for ex post evaluation plan not to be fulfilled.
…
|
|
☐
|
Yes. If so, please indicate according to which criteria the aid measure is considered for ex post evaluation and provide the relevant information on the ex post evaluation plan described in section 8 of the Broadband Guidelines.
…
|
|
|
4.8.
|
Please indicate any other information relevant for the assessment of the aid measure under the Broadband Guidelines or any other information that is relevant from the point of view of Union competition and internal market rules.
…
|
|
4.9.
|
Please indicate whether this supplementary information sheet contains confidential information which should not be disclosed to third parties (151).
|
☐
|
Yes. If so, please indicate the confidential information and provide reasons for confidentiality.
|
|
|
4.10.
|
Please confirm that the aid measure is not covered by Article 52c of Regulation (EU) No 651/2014 (152) or by Regulation (EU) 2023/2831 (153).
☐Yes ☐No
|
PART III.5.B
SUPPLEMENTARY INFORMATION SHEET ON STATE AID FOR THE DEPLOYMENT OF BROADBAND NETWORK
This supplementary information sheet should be used for notifications of aid for the deployment of broadband networks covered by the Commission Guidelines on State aid for broadband networks
(154)
(“Broadband Guidelines”).
|
1.1.
|
Please provide a detailed description of the aid measure and of its objectives.
…
|
|
1.2.
|
Please identify the type of broadband network (155) supported by the aid measure.
|
☐
|
deployment of fixed access networks (156). If so, please specify the type of areas targeted by the aid measure.
|
☐
|
Mixed (white and grey) (159)
|
|
|
☐
|
deployment of mobile access networks (161).
|
|
☐
|
deployment of backhaul networks (162).
|
☐
|
backhaul linked to the deployment of an access network (163)
|
|
|
|
1.3.
|
Please explain how the aid measure fits with the national broadband strategy and the Union digital policy and environmental objectives (164).
…
|
|
1.4.
|
Please confirm that all speeds mentioned in this notification are deemed to mean speeds under peak-time conditions (165).
☐Yes ☐No
|
|
1.5.
|
Please indicate the time horizon (166) of the aid measure and how it has been determined.
…
|
|
1.6.
|
Please indicate the investment model through which the aid measure is implemented.
|
☐
|
Direct investment (169)
|
|
☐
|
Other. If so, please provide details. …
|
|
|
2.
|
FACILITATION OF THE DEVELOPMENT OF AN ECONOMIC ACTIVITY
|
|
2.1.
|
Please identify the economic activities that will be facilitated by the aid measure and explain how the development of those activities is supported (171).
…
|
|
2.2.
|
Please confirm that the aid measure, the conditions attached to it (including its financing method where that method forms an integral part of the aid) or the activity it finances do not entail any violation of provisions or general principles of Union law (172).
☐Yes ☐No. In this case, please provide explanations …
|
|
3.
|
POSITIVE EFFECTS OF THE AID
|
|
3.1.
|
Please describe whether and, if so, how the aid measure will bring about positive effects (for example, in terms of reduction of digital divide (173), correction of social or regional inequalities, equity, sustainability goals (174), lower prices and better choice for end-users, higher quality and innovation, completion of the Digital Single Market (175)) (176).
…
|
|
4.
|
MARKET FAILURE AS REGARDS FIXED ACCESS NETWORKS
|
|
4.1.
|
Please indicate the performance in terms of download speed (and, if applicable, of upload speed and other parameters) that the subsidised networks will have to provide (177).
…
|
|
4.2.
|
Please indicate end-users’ current and future needs capable of being addressed by fixed networks providing the performance mentioned at point 4.1 (and not by the existing fixed networks), submitting verifiable supporting evidence thereof (for example, consumer surveys, independent studies) (178).
…
|
|
4.3.
|
Mapping exercise (179). Please provide the following information.
|
(a)
|
Performance of the existing and planned (in the relevant time horizon) networks that have been mapped (for example, download speed, upload speed, latency, packet loss, packet error, jitter, service availability) (180).
…
|
|
(b)
|
How future investment plans in the relevant time horizon of the aid measure have been assessed to establish their credibility (181). Inter alia, please indicate:
…
|
(i)
|
The evidence requested to, and submitted by, the relevant stakeholders to demonstrate the credibility of their investment plans (182).
…
|
|
(ii)
|
The assessment criteria applied to assess the credibility of future investment plans (183).
…
|
|
(iii)
|
Whether the stakeholders concerned were invited to sign commitment agreements regarding the implementation of the declared investment plans (184).
☐Yes ☐No
If yes, please clarify whether such commitment agreements include milestones and obligations to report progress (185).
…
|
|
(iv)
|
Whether the results of the assessment and the relative justified conclusions were communicated to all stakeholders who submitted information about their private investment plans (and how) (186)
.
…
|
|
|
(c)
|
Start and end date of each step of the mapping exercise.
…
|
|
(d)
|
Number and identity of contributors to each step of the mapping exercise.
…
|
|
(e)
|
Intermediate results and final results of the mapping exercise.
…
|
|
(f)
|
Confirmation that the mapping exercise has been carried out (187):
|
☐
|
for fixed wired networks, at address level on the basis of premises passed (188).
|
|
☐
|
for fixed wireless networks, at address level on the basis of premises passed or on the basis of a maximum 100 x 100 metre (or smaller) grids. Please specify which of the two criteria was applied: …
|
|
|
(g)
|
Confirmation that the mapping exercise also mapped existing networks that could be upgraded with marginal investments (such as an upgrade of the active components) to provide 1 Gbps download and 150 Mbps upload speeds and that such areas have been carved out from the intervention area (189).
☐Yes ☐No
|
|
(h)
|
Whether your authorities complied with the best practices for applying the mapping methodologies described in Annex I of the Broadband Guidelines (190).
|
☐
|
No. In this case, please specify in which respects your authorities deviated from Annex I of the Broadband Guidelines and for what reason.
…
|
|
|
(i)
|
Confirmation that the methodology and the underlying technical criteria for mapping have been made publicly available (and how) (191).
…
|
|
|
4.4.
|
If the aid measure targets areas in which at least two independent networks providing at least 100 Mbps download speed under peak time conditions are present or credibly planned (192), please clarify if:
|
(a)
|
None of the existing or credibly planned networks provide a download speed of at least 300 Mbps under peak-time conditions (193).
☐Yes ☐No
|
|
(b)
|
At least one of the existing or credibly planned networks provides a download speed of at least 300 Mbps under peak-time conditions but does not provide a download speed of at least 500 Mbps under peak-time conditions (194).
☐Yes ☐No
If yes, please clarify why your authorities are of the view that no networks will evolve towards providing the same download speed (and, if appropriate, the same additional features) of the networks subsidised under the aid measure and, therefore, State intervention is needed to address a market failure (195).
…
|
|
(c)
|
At least one of the existing or credibly planned networks provides a download speed of at least 500 Mbps (196).
☐Yes ☐No
|
|
|
4.5.
|
Public consultation. Please provide the following information:
|
(a)
|
Start and end date of each public consultation carried-out (197).
…
|
|
(b)
|
Content of each public consultation (198).
…
|
|
(c)
|
Publicly accessible Internet site (at regional and national level) where the consultation was published (199).
…
|
|
(d)
|
A recap of the main observations submitted by contributors in each public consultation, specifying how they were addressed.
…
|
|
|
4.6.
|
Please indicate the final scope of the aid measure in terms of the size of the intervention area and its population density.
…
|
|
5.
|
MARKET FAILURE AS REGARDS MOBILE ACCESS NETWORKS
|
|
5.1.
|
Please indicate the performance in terms of download speed (and, if applicable, of upload speed and other parameters) that the subsidised networks will have to provide (200).
…
|
|
5.2.
|
Please indicate end-users’ current and future needs capable of being addressed by mobile networks providing the performance mentioned at point 5.1 (and not by the existing mobile networks), submitting verifiable supporting evidence thereof (for example, consumer surveys, independent surveys) (201).
…
|
|
5.3.
|
Please confirm that the aid measure cannot be used for the fulfilment of any legal obligations (for example, obligations linked to the rights to use spectrum) (202).
…
|
|
5.4.
|
Please indicate whether the aid measure targets areas where there is already at least one existing or credibly planned mobile network (203) capable of addressing identified end-users’ needs.
☐Yes ☐No
If yes, please demonstrate (with the support of verifiable evidence): (a) why such network is considered insufficient to provide end-users with sufficient quality of services to satisfy their evolving needs; and (b) if and how the aid measure will provide such quality of services, thus bringing about a material improvement that the market cannot deliver (204).
…
|
|
5.5.
|
Mapping exercise (205). Please provide the following information:
|
(a)
|
The type (for example, 3G, 4G, 5G, 6G, others) of networks and their number available in the intervention area
|
|
(b)
|
Performance criteria of the existing and planned (in the relevant time horizon) networks that have been mapped (for example, download speed, upload speed, latency, packet loss, packet error, jitter, service availability) (206).
…
|
|
(c)
|
How future investment plans in the relevant time horizon of the aid measure have been assessed to establish their credibility. Inter alia, please indicate:
|
(i)
|
The evidence requested to, and submitted by, the relevant stakeholders to demonstrate the credibility of their investment plans (207).
…
|
|
(ii)
|
The assessment criteria applied to assess the credibility of future investment plans (208).
…
|
|
(iii)
|
Whether the stakeholders concerned were invited to sign commitment agreements regarding the implementation of the declared investment plans (209).
☐Yes ☐No
If yes, please clarify whether such commitment agreements include milestones and obligations to report progress (210).
…
|
|
(iv)
|
Whether the results of the assessment and the relative justified conclusions were communicated to all stakeholders who submitted information about their private investment plans, and how (211).
…
|
|
|
(d)
|
Start and end date of each step of the mapping exercise.
…
|
|
(e)
|
Number and identity of contributors to each step of the mapping exercise.
…
|
|
(f)
|
Intermediate results and final results of the mapping exercise.
…
|
|
(g)
|
Confirmation that the mapping exercise has been carried out at address level on the basis of premises passed or on the basis of a maximum 100 x 100 metre (or smaller) grids (212). Please specify which of the two criteria was applied.
…
|
|
(h)
|
Whether your authorities complied with the best practices for applying the mapping methodologies described in Annex I of the Broadband Guidelines (213).
|
☐
|
No. In this case, please specify in which respects the your authorities deviated from Annex I of the Broadband Guidelines and for what reason.
…
|
|
|
(i)
|
Confirmation that the methodology and the underlying technical criteria for mapping have been made publicly available (and how) (214).
…
|
|
|
5.6.
|
Public consultation. Please provide the following information:
|
(a)
|
Start and end date of each public consultation carried-out (215).
…
|
|
(b)
|
Content of each public consultation (216).
…
|
|
(c)
|
Publicly accessible Internet site (at regional and national level) where the consultation was published (217).
…
|
|
(d)
|
A recap of the main observations submitted by contributors in each public consultation, specifying how they were addressed.
…
|
|
|
6.
|
MARKET FAILURE AS REGARDS BACKHAUL NETWORKS
|
|
6.1.
|
Please clarify whether the subsidised backhaul networks support:
|
|
6.2.
|
Please indicate the technical characteristics of the subsidised backhaul networks, including their desired level of performance, reliability, capacity or dimensioning (218).
…
|
|
6.3.
|
Please explain the expected development of fixed or mobile access networks based on current and future end-users’ needs and why the existing or planned backhaul capacity cannot cope with such expected development, submitting verifiable supporting evidence thereof (for example, independent surveys) (219).
…
|
|
6.4.
|
Please clarify whether State intervention is considered necessary, because existing backhaul networks provide a suboptimal combination of service quality and prices (220).
…
|
|
6.5.
|
Mapping exercise (221). Please provide the following information:
|
(a)
|
Whether the existing or planned backhaul networks are based:
|
☐
|
other technology with the same performance of fibre
|
|
☐
|
other technologies without the same performance of fibre
|
|
|
(b)
|
Performance criteria of the existing or planned (in the relevant time horizon) backhaul networks that have been mapped.
…
|
|
(c)
|
How future investment plans in the relevant time horizon of the aid measure have been assessed to establish their credibility. Inter alia, please indicate:
|
(i)
|
The evidence requested to, and submitted by, the relevant stakeholders to demonstrate the credibility of their investment plans (222).
…
|
|
(ii)
|
The assessment criteria applied to assess the credibility of future investment plans (223).
…
|
|
(iii)
|
Whether the stakeholders concerned were invited to sign commitment agreements regarding the implementation of the declared investment plans (224).
☐Yes ☐No
If yes, please clarify whether such commitment agreements include milestones and obligations to report progress (225).
…
|
|
(iv)
|
Whether the results of the assessment and the relative justified conclusions were communicated to all stakeholders who submitted information about their private investment plans (and how) (226).
…
|
|
|
(d)
|
Start and the end date of each step of the mapping exercise.
…
|
|
(e)
|
Number and identity of contributors to each step of the mapping exercise.
…
|
|
(f)
|
Intermediate results and final results of the mapping exercise.
…
|
|
(g)
|
Confirmation that the methodology and the underlying technical criteria for mapping have been made publicly available (and how) (227).
…
|
|
|
6.6.
|
Public consultation. Please provide the following information:
|
(a)
|
Start and end date of each public consultation carried-out (228).
…
|
|
(b)
|
Content of each public consultation (229).
…
|
|
(c)
|
Publicly accessible Internet site (at regional and national level) where the consultation was published (230).
…
|
|
(d)
|
A recap of the main observations submitted by contributors in each public consultation, specifying how they were addressed.
…
|
|
|
7.
|
APPROPRIATENESS OF THE AID AS A POLICY INSTRUMENT
|
|
7.1.
|
Please explain why alternative, less distortive measures to State aid (for example, administrative measures, regulatory measures, market-based instruments, loans, tax measures, etc.) are not capable of addressing the objective(s) of the aid measure and the identified market failure (231).
…
|
|
7.2.
|
Step-change (232).
|
(a)
|
For an aid measure concerning fixed access networks, please provide the following information:
|
(i)
|
If the State intervention concerns white or grey areas, please indicate whether the subsidised networks at least triple the download speed provided by existing network(s), and represents a significant new infrastructure investment bringing significant new capabilities to the market (for example, in terms of availability, capacity, speeds and competition) (233).
…
|
|
(ii)
|
If the State intervention concerns mixed (i.e., white and grey) areas, please state reasons why the dissociation of white and grey areas is not justified (234).
…
Moreover, please confirm that the following cumulative conditions are fulfilled (235):
|
—
|
The overbuilding of the grey areas (236) does not create undue distortions of competition, based on the results of a public consultation.
|
|
—
|
The overbuilding is limited to maximum 10 % of all premises in the target area.
|
|
—
|
The subsidised networks at least triple the download speed provided by network(s) already existing in the white part of the mixed area, and provide substantially better services than the ones available in the grey part of the mixed area.
…
|
|
|
(iii)
|
If the State intervention concerns black areas, please confirm that the subsidised networks fulfil the following cumulative conditions (237):
|
—
|
They at least triple the download speed provided by the existing networks.
|
|
—
|
They provide a download speed of at least 1 Gbps and an upload speed of at least 150 Mbps.
|
|
—
|
They represent a significant new infrastructure investment bringing significant new capabilities to the market (for example, in terms of availability, capacity, speeds and competition).
…
|
|
|
|
(b)
|
For aid measure concerning mobile access networks, please explain if and how the aid measure will ensure an improvement of mobile services’ availability, capacity, speeds and competition capable of fostering the adoption of new innovative services (238).
…
|
|
(c)
|
For aid measure concerning backhaul networks, please explain if and how, as a result of the State intervention, the subsidised networks represent a significant investment in backhaul infrastructure and adequately support the increasing needs of fixed and/or mobile access networks (239).
…
|
|
|
8.
|
PROPORTIONALITY OF THE AID
|
|
8.1.
|
Competitive selection procedure.
|
(a)
|
Please indicate whether the aid is granted on the basis of an open, transparent and non-discriminatory competitive selection procedure, in line with the principles of public procurement (240).
☐Yes ☐No
|
|
(b)
|
If yes:
|
(i)
|
Please explain if and how the design of the competitive selection procedure is capable of fostering the widest possible participation (241).
…
|
|
(ii)
|
Please confirm that, if the number of participants to the competitive selection procedure or the number of eligible bids is not sufficient, an independent auditor will be entrusted with the assessment of the winning bid (including cost calculations) (242).
…
|
|
(iii)
|
Please confirm that the tender will be awarded on the basis of the most economically advantageous offer (243) and provide details in this regard.
…
|
|
(iv)
|
Please indicate the objective, transparent and non-discriminatory award criteria and specify the relative weighting of each criterion (244).
…
|
|
|
(c)
|
If no, please confirm that the State intervention is implemented through a direct investment model and provide adequate justification of the choice of network and of the technological solution adopted (245).
…
|
|
(d)
|
Please confirm that any concession or other entrustment by a public authority or in-house entity to a third party to design, build or operate the subsidised network is allocated through an open, transparent and non-discriminatory competitive selection procedure, in line with the principles of public procurement, based on the most economically advantageous offer (246). Please provide details in this regard.
…
|
|
|
8.2.
|
Technological neutrality. Please explain if and how the aid measure complies with the principle of technological neutrality (247).
…
|
|
8.3.
|
Use of existing infrastructure. Please provide the following information:
|
(a)
|
Whether and, if so, how undertakings willing to participate in a competitive selection procedure are encouraged to use available existing infrastructures to deploy the subsidised networks (248).
…
|
|
(b)
|
Whether and, if so, how undertakings willing to participate in a competitive selection procedure are encouraged to provide detailed information on the existing infrastructures that they own or control in the planned intervention area in due time to be taken into account when preparing the bids, specifying the type of information requested (249).
…
|
|
(c)
|
Whether the provision of that information is a condition for participation in the selection procedure (250).
☐Yes ☐No
|
|
(d)
|
Whether and, if so, how all available information on existing infrastructure that could be used for rolling out broadband networks in the intervention areas are made accessible, specifying whether a Single Information Point has been set up pursuant to Article 4(2) of Directive 2014/61/EU (251).
…
|
|
|
8.4.
|
Wholesale access for third parties to the subsidised networks.
|
(a)
|
General information.
|
(i)
|
Please confirm that wholesale access will be granted as early as possible before starting to provide the relevant services and, where the network operator also intends to provide retail services, at least 6 months before the launch of those retail services (252).
…
|
|
(ii)
|
Please confirm that the subsidised networks will offer access under fair and non-discriminatory conditions, specifying whether this implies the upgrade and/or increase of the capacity of existing infrastructure, where necessary, and the deployment of sufficient new infrastructure (253). Please provide details in this regard.
…
|
|
(iii)
|
Please confirm that the terms, conditions and prices for the wholesale access products will be indicated in the documents of the competitive selection procedure and on a comprehensive website, at national or regional level, accessible to the general public without any restrictions (specifying the relevant web address) (254).
…
|
|
(iv)
|
Please confirm that wholesale access will also be granted to parts of the network that have not been State funded or that may not have been deployed by the aid beneficiary if necessary to render the wholesale access effective and to enable access seekers to provide their services (255).
…
|
|
|
(b)
|
Wholesale access terms and conditions.
|
(i)
|
Please indicate for how many years effective wholesale access will be granted to:
|
☐
|
Active products (except VULA) (256) …
|
|
☐
|
New infrastructures (258) …
|
|
|
(ii)
|
Please confirm that, if State aid is granted for new infrastructure, the infrastructure will be large enough to meet access seekers’ current and evolving demand (259).
☐Yes ☐No
|
|
(iii)
|
Please explain how the new infrastructure will be able to meet access seekers’ current and evolving demand (for example, size of the ducts, number of fibres, etc.).
…
|
|
(iv)
|
Please confirm that the same access conditions apply to the entire subsidised network, including the parts of the network where existing infrastructure has been used (260).
☐Yes ☐No
|
|
(v)
|
Please confirm that the access obligations will be enforced irrespective of any change in ownership, management or operation of the subsidised network (261).
☐Yes ☐No
|
|
(vi)
|
Please explain whether the aid beneficiary and/or access seekers linked to the aid beneficiary are permitted to extend their networks into adjacent areas outside the target area using their own resources (262).
☐Yes ☐No
If yes, please confirm that:
|
—
|
In the public consultation it was indicated that private extensions were permitted at a later stage and useful information regarding the potential coverage of such extensions was provided (263).
☐Yes ☐No
|
|
—
|
The results of the public consultation do not show evidence of risks of significant distortions of competition (264).
☐Yes ☐No
|
|
—
|
Please confirm that extensions into adjacent areas may only be carried out 2 years after the subsidised network enters into operation, where one of the following situations occurs (265):
|
—
|
in the public consultation, stakeholders demonstrate that the planned extension would risk entering an adjacent area which is already served by at least two independent networks providing speeds comparable to those of the State-funded network; or
|
|
—
|
there is at least one network in the adjacent area providing speeds comparable to those of the subsidised network which entered into operation less than 5 years before the subsidised network enters into operation (266).
☐Yes ☐No
…
|
|
|
|
|
(c)
|
Wholesale access products.
|
(i)
|
Fixed access networks deployed in white areas. Please list the wholesale access products that the subsidised network must provide, taking into account that it must provide at least bitstream access, access to dark fibre and access to infrastructure (including street cabinets, poles, masts, towers, and ducts) (267) and, in addition, at least physical unbundling or VULA (268).
…
|
|
(ii)
|
Fixed access networks deployed in grey and black areas. Please list the wholesale access products that the subsidised network must provide, taking into account that it must provide at least bitstream access, access to dark fibre and access to infrastructure (including street cabinets, poles, masts, towers, and ducts) and, in addition, physical unbundling (269). If your authorities intend to grant a derogation from the obligation to provide physical unbundling, please provide relevant justifications, demonstrate that the derogation does not risk unduly distorting competition and indicate the comments received in this regard in the public consultation (and how they were addressed) (270).
…
|
|
(iii)
|
Mobile access networks. Please list the wholesale access products that the subsidised network must provide, taking into account that it must provide at least roaming (271) and access to poles, masts, towers and ducts. Moreover, please confirm that the subsidised network will have to provide the access products necessary to exploit the more advanced features (for example, MORAN, MOCN, network slicing (272)) of mobile networks, such as 5G and future generations of mobile networks, as soon as they become available (273).
…
|
|
(iv)
|
Backhaul networks. Please list the wholesale access products that the subsidised network must provide, taking into account that it must provide at least one active service and access to poles, masts, towers, ducts and dark fibre (274). Moreover, please confirm that the aid measure foresees the deployment of sufficient capacity for new infrastructure to ensure effective access under fair and non-discriminatory conditions (275).
…
|
|
(v)
|
Wholesale access on the basis of reasonable demand. Should your authorities intend to limit the provision of certain wholesale access products to cases of reasonable demand from an access seeker, please:
|
—
|
provide well-reasoned, objective and verifiable data and arguments (including cost calculations) proving that the provision of such products would disproportionately increase investment costs without delivering significant benefits in terms of increased competition (276).
|
|
—
|
confirm that the access seeker’s demand is considered reasonable if the access seeker provides a business plan that justifies the development of the product on the subsidised network and no comparable access product is already offered in the same geographic area by another undertaking at equivalent prices to those in more densely populated areas (277).
☐Yes ☐No
|
|
—
|
confirm that, if an access request is considered reasonable, the additional cost of meeting the access request must be borne by the aid beneficiary (278).
☐Yes ☐No
…
|
|
|
|
(d)
|
Wholesale access pricing. Please indicate on which of the following benchmarks and pricing principles the wholesale access price for each product is based:
|
☐
|
average published wholesale prices that prevail in other comparable and more competitive areas of the Member State (279).
|
|
☐
|
regulated prices already set or approved by the National Regulatory Authority (NRA) for the markets and services concerned (280).
|
|
☐
|
costs orientation or a methodology mandated in accordance with the sectoral regulatory framework (281).
|
|
|
|
8.5.
|
Clawback. Please indicate whether a claw-back mechanism will be applied to the aid measure:
☐Yes (282) ☐No
If not, please explain why: …
If yes, please provide the following information:
|
(a)
|
Please confirm that the clawback mechanism will be applied for the lifespan of the subsidised network (283).
☐Yes ☐No
|
|
(b)
|
Please confirm that the rules of the clawback mechanism are set out transparently and clearly in the competitive selection procedure’s documentation (284). Please provide details in this regard.
…
|
|
(c)
|
Please explain how the design of clawback mechanism will consider and balance two objectives, namely the recovery by the Member State of the amounts that exceed a reasonable profit and the safeguard of incentives for undertakings to participate in a competitive selection procedure and to strive for cost efficiencies (efficiency gains) when rolling out the network (285). In this regard, please specify the criteria adopted to incentivise efficiency gains.
…
|
|
(d)
|
Please indicate the maximum incentive amount (in percentage of the reasonable profit allowed (286)). Moreover, please specify the notion of reasonable profit applied for the purposes of the clawback mechanism (287).
…
|
|
(e)
|
Please confirm that any extra profit equal or below the threshold below (i.e., the reasonable profit increased by the incentive amount) will not be clawed-back by the Member State, whereas any profit in excess of the threshold will be shared between the aid beneficiary and the Member State, on the basis of the aid intensity resulting from the outcome of the competitive selection procedure (288). Please provide details in this regard.
…
|
|
(f)
|
Please confirm that the clawback mechanism takes into account also profits made from other transactions concerning the subsidised network (289).
☐Yes ☐No
|
|
|
8.6.
|
Accounting separation. Please confirm that the aid beneficiary must ensure accounting separation so that the costs for deployment and operation, as well as the revenues from the exploitation of the subsidised network are clearly identified (290).
☐Yes ☐No
|
|
9.
|
ROLE OF THE NATIONAL AUTHORITIES
|
|
9.1.
|
Please explain the role played by the NRA in the design, implementation and monitoring of the aid measure (291). Inter alia, please clarify whether it was involved on:
|
☐
|
Mapping exercise (292). If so, please provide details: …
|
|
☐
|
Assessment of private investment plans (293). If so, please provide details: …
|
|
☐
|
Public consultation (294). If so, please provide details: …
|
|
☐
|
Assessment of the fulfilment of the step change requirements (295). If so, please provide details: …
|
|
☐
|
Definition of wholesale access products, conditions and pricing (296). If so, please provide details: …
|
|
☐
|
Resolution of disputes related to wholesale access (297). If so, please provide details: …
|
|
☐
|
Existing infrastructures subject to ex ante regulation (298). If so, please provide details: …
|
|
☐
|
Definition of the clawback mechanism. If so, please provide details: …
|
|
|
9.2.
|
Please provide the opinion of the NRA on the aid measure (299) (if available).
…
|
|
9.3.
|
Please indicate whether the NRA issued guidelines on, among others, carrying out market analysis and definitions of wholesale access products and pricing. If so, please provide the content of the guidelines and clarify whether they take into account the relevant regulatory framework and recommendations issued by the Commission (300).
…
|
|
9.4.
|
Please provide the opinion of the National Competition Authority on the aid measure (301) (if available).
…
|
|
9.5.
|
Please indicate whether the Broadband Competence Office has been involved in the design of the aid measure (302).
…
|
|
10.
|
TRANSPARENCY, REPORTING AND MONITORING OF THE AID
|
|
10.1.
|
Transparency.
|
(a)
|
Please confirm that your authorities will publish (i) the full text of the decision approving the aid measure and its implementing provisions (or a link to them), and (ii) information on each individual aid award exceeding EUR 100 000, in accordance with Annex II (303) (within 6 months from the date of award of the aid or, for aid in the form of tax advantages, within 1 year from the date that the tax declaration is due) (304),
|
☐
|
In the Commission’s transparency award module (305).
|
|
☐
|
On a comprehensive State aid website (providing the relevant web address). In this case, please specify whether it is national or regional website (306) and easy access to the information registered in the aid website is allowed (i.e., the general public must be allowed to access the website without restrictions) (307).
…
|
|
|
(b)
|
Please confirm that the information under point 10.1. will be available for at least 10 years from the date on which the aid was granted, will be published in a non-proprietary spreadsheet data format, which allows data to be effectively searched, extracted, downloaded and easily published on the internet (for instance, in CSV or XML format).
☐Yes ☐No
|
|
(c)
|
Please confirm that, for aid that is unlawful but subsequently found to be compatible, the relevant information is published on a State aid website (specifying the relevant web address) within 6 months from the date of the Commission’s decision declaring the aid compatible (308).
☐Yes ☐No
|
|
|
10.2.
|
Reporting. Please confirm that your authorities will submit to the Commission (i) annual reports in respect of each measure approved under the Broadband Guidelines, and (ii) a report every two years containing key information on the aid measure approved under the Broadband Guidelines, in accordance with Annex III to the same Broadband Guidelines (309).
…
|
|
10.3.
|
Monitoring. Please confirm that your authorities will maintain – for 10 years from the date of award of the aid – detailed records regarding all aid measures, which contain all information necessary to establish that all the compatibility conditions set out in the Broadband Guidelines are fulfilled, and that it commits to provide them to the Commission upon request (310).
…
|
|
11.
|
NEGATIVE EFFECTS ON COMPETITION AND TRADE
|
|
11.1.
|
Please explain what potential negative effects on competition and trade the aid measure may have (for example, potential to cause crowding out of private investments (311) or reinforcement of a dominant position) and what elements in the design of the measure could minimize those risks (312).
…’
|
|
|
(d)
|
Part III.6 is replaced by the following:
‘PART III.6.A
Supplementary Information Sheet for State aid granted under the Guidelines on State aid for climate, environmental protection and energy 2022 (hereafter ‘CEEAG’) for measures covered in Section 4.1 of the CEEAG.
This supplementary information sheet concerns measures covered in section 4.1 of the CEEAG. If the notification includes measures that are covered by more than one section of the CEEAG, please once available also fill in the respective supplementary information sheet that concerns the respective section of the CEEAG.
All documents provided by Member States as annexes to this supplementary information sheet must be numbered and document numbers must be indicated in the relevant sections of this supplementary information sheet.
Section A: Summary of the main characteristics of the notified measure(s)
|
1.
|
Background and objective(s) of the notified measure(s).
|
|
1.1.
|
If not already discussed under section 5.2 of the General Information Form (Part. I), please provide the background and the main objective, including any Union targets for reduction and removal of greenhouse gas emissions that the measure is intended to support.
…
|
|
1.2.
|
Please indicate any other objectives pursued by the measure. For any objectives that are not purely environmental, please explain whether they may result in any distortions to the internal market.
…
|
|
2.
|
Entry into force and duration:
|
|
2.1.
|
To the extent not already provided under section 5.5 of the General Information Form (Part I), please indicate the date as of which the aid scheme is planned to enter into force;
…
|
|
2.2.
|
Please indicate the duration of the scheme. (313)
…
|
|
3.1.
|
If not already provided under section 3 of the General Information Form (Part I), please describe the (potential) beneficiary(ies) of the measure(s).
…
|
|
3.2.
|
Please indicate the location of the (potential) beneficiary(ies) (i.e. if only economic entities located in the respective Member States or also in other Member States are eligible to participate in the measure).
…
|
|
3.3.
|
In order to assess the compliance with point 15 of the CEEAG, please specify if aid is granted under the measure(s) in favour of an undertaking (individual or part of a scheme) that is subject to an outstanding recovery order following a previous Commission decision declaring an aid illegal and incompatible with the internal market.
In the affirmative, please provide information on the amount of aid still to be recovered so that the Commission takes account of it in the assessment of the aid measure(s).
…
|
|
4.
|
Please confirm that the measure(s) does not involve aid to activities falling outside the scope of application of the ceeag (see point 13 of the ceeag). otherwise, please provide details.
…
|
|
5.
|
Budget and financing of the measure(s).
|
|
5.1.
|
If not already mentioned in the table under section 7.1 of the General Information Form (Part I), please provide the yearly and/or total budget for the whole duration of the measure(s); if the total budget is not known (for instance because it depends on the results of tenders), please indicate an estimated budget, including the assumptions used to calculate the respective estimated budget. (314)
…
|
|
5.2.
|
If the measure is financed through a levy, please clarify if:
|
(a)
|
the levy is set by law or any other legislative act; in the affirmative, please provide the legal act, number and date when adopted and entered into force, the internet link to the legal act;
…
|
|
(b)
|
the levy is imposed equally on domestic and imported products;
…
|
|
(c)
|
the notified measure will benefit equally domestic and imported products;
…
|
|
(d)
|
the levy finances fully the measure or only partly. If the levy finances only partly the measure, indicate the other sources of financing of the measure and their respective proportion;
…
|
|
(e)
|
the levy financing the notified measure also finances other aid measures. If so, indicate the other aid measures financed by the concerned levy.
…
|
|
Section B: Compatibility assessment of the aid
|
1.
|
POSITIVE CONDITION: THE AID MUST FACILITATE THE DEVELOPMENT OF AN ECONOMIC ACTIVITY
|
|
1.1.
|
Contribution to the development of an economic activity
To provide the information in this section, please refer to section 3.1.1 (points 23-25) and sections 4.1.1. (point 77) and 4.1.2. (points 78 to-88) of the CEEAG.
|
|
6.
|
Article 107(3), point (c), of the Treaty on the Functioning of the European Union (’the Treaty’) provides that the Commission may declare compatible “aid to facilitate the development of certain economic activities or of certain economic areas, where such aid does not adversely affect trading conditions to an extent contrary to the common interest”. Therefore, compatible aid under that provision of the Treaty must contribute to the development of a certain economic activity.
In order to assess the compliance with point 23 of the CEEAG, please identify the economic activities that will be facilitated as a result of the aid and how the development of those activities is supported.
…
|
|
7.
|
In order to assess the compliance with point 25 of the CEEAG, please “describe if and how the aid will contribute to the achievement of objectives of Union climate policy, environmental policy and energy policy and more specifically, the expected benefits of the aid in terms of its material contribution to environmental protection, including climate change mitigation, or the efficient functioning of the internal energy market”.
…
|
|
8.
|
In addition, please highlight to what extent the aid relates to the policies described under point 77 of the CEEAG.
…
|
|
9.
|
Please describe the eligibility requirements applicable to the beneficiary(ies) (for instance by including any technical, environmental (i.e. permits), financial (i.e. collaterals) or other requirements that the beneficiary(ies) need to comply with).
…
|
|
10.
|
Please provide information on the precise scope and precise supported activities of the aid measure(s), as provided in section 4.1.2. (points 78-88) of the CEEAG.
|
(a)
|
For aid for renewable energy, please specify if all types of renewable energy are supported and describe the precise scope for each concerned renewable energy source and provide information showing that the scope corresponds to the types of renewable energy fulfilling the conditions provided in points 79-82 of the CEAAG.
…
|
|
(b)
|
For other aid for the reduction and removal of greenhouse gas emissions and energy efficiency, please provide the precise scope as well as the information showing that the scope fulfils the conditions provided in points 83-88 of the CEEAG.
|
|
|
1.2.
|
Incentive effect
To provide the information in this section, please refer to section 3.1.2 (points 26-32) of the CEEAG.
|
|
11.
|
Aid can be considered as facilitating an economic activity only if it has an incentive effect. In order to assess the compliance with point 26 of the CEEAG, please explain how the measure(s) “induces the beneficiary to change its behaviour, to engage in additional economic activity or in more environmentally-friendly economic activity, which it would not carry out without the aid or would carry out in a restricted or different manner”.
…
|
|
12.
|
Pursuant to point 28 of the CEEAG, please provide a comprehensive description of the factual scenario expected to result from the aid measure and the likely counterfactual scenario(s) absent the aid measure. (315) Where you expect that different categories of beneficiaries may be supported, please ensure that the counterfactual is credible for each of these categories.
…
|
|
13.
|
Please briefly explain the rationale for the choice of the likely counterfactual scenario(s), in view of the proposed different categories of beneficiaries if applicable.
|
(a)
|
Where aid is granted without a competitive bidding process, please justify the change of behaviour where relevant for each category of beneficiary, based on the respective reference project, the corresponding counterfactuals and resulting funding gap in line with the quantification to be provided under question 21 below.
…
OR
|
|
(b)
|
Where aid is granted based on a competitive bidding process, please justify the change of behaviour (where relevant for each category of beneficiary/ reference project) using the same evidence as required under (a) above, or alternatively provide relevant evidence based on other quantitative or qualitative evidence, including market studies, investor plans, financial reports, internal business plans, expert opinions, information about comparable projects in other regions, including bids made by similar projects in recent comparable competitive bidding processes. (316)
…
|
|
|
14.
|
In order to assess the compliance with point 27 of the CEEAG, please provide information to confirm that the aid does not support the costs of an activity that the aid beneficiary would anyhow carry out and does not compensate for the normal business risk of an economic activity.
…
|
|
15.
|
In order to demonstrate the compliance with points 29 and 31 of the CEEAG:
|
(a)
|
Please confirm that the start of works on the project or activity did not take place prior to a written aid application by the beneficiary to the national authorities;
…
OR
|
|
(b)
|
For projects that started before the aid application, please demonstrate that the project falls within one of the exceptional cases provided in point 31 of the CEEAG ((a), (b) or (c)).
…
|
|
|
16.
|
In order to demonstrate compliance with point 30 of the CEEAG, please confirm that the aid application includes at least the applicant’s name, a description of the project or activity, including its location, and the amount of aid needed to carry it out.
…
|
|
17.
|
In order to demonstrate compliance with point 32 of the CEEAG, please indicate if there are Union standards (317) applicable to the notified measure(s), mandatory national standards that are more stringent or ambitious than the corresponding Union standards, or mandatory national standards adopted in the absence of Union standards. In that context, please provide information to demonstrate the incentive effect.
…
|
|
18.
|
In cases where the relevant Union standard has already been adopted but is not yet in force, please demonstrate that the aid has an incentive effect because it incentivises the investment to be implemented and finalised at least 18 months before the standard enters into force.
|
|
1.3.
|
No breach of any relevant provision of Union law
To provide the information in this section, please refer to section 3.1.3 (point 33 of the CEEAG).
|
|
19.
|
Please provide information to confirm the compliance with the relevant provisions of EU law, in line with point 33 of the CEEAG.
…
|
|
20.
|
If a levy is used to finance the measure(s), please clarify if the assessment of compliance with Articles 30 and 110 of the Treaty needs to be carried out. In the affirmative, please demonstrate how the measure complies with the provisions of Articles 30 and 110 of the Treaty. In this context, the information submitted under question 5.2 above, where the notified measure(s) is financed through a levy can be referred to.
|
|
2.
|
NEGATIVE CONDITION: THE AID CANNOT UNDULY AFFECT TRADING CONDITIONS TO AN EXTENT CONTRARY TO THE COMMON INTEREST
|
|
2.1.
|
Minimisation of distortions of competition and trade
|
|
2.1.1.
|
Quantification requirements depending on the design of the measure
Member States are required to submit quantitative evidence that is relevant for several parts of the sections below, in particular on the necessity and proportionality of aid. In order to simplify the provision of information, the relevant data required is grouped under this section of the notification form and should be referred to in the relevant sections below (see notably questions 30, 32, 39, 42, 43, and 56 below). The level of detail required depends on the specific measure proposed. The following sub-sections 2.1.1.1 to 2.1.1.3 are accordingly alternative: please only provide replies to the relevant sub-section, depending on the design of the proposed measure.
|
|
2.1.1.1.
|
Schemes without competitive bidding or ad hoc aid notifications
Where aid will be granted without a competitive bidding procedure, quantitative evidence is required, taking into account the counterfactual situation as well as relevant costs and revenues including those linked to the ETS, demonstrating that the reference project, or each beneficiary’s project if the notified measure benefits only one or a particularly limited number of beneficiaries would not be carried out without the aid. In such situations, a full funding gap assessment will be required to quantify the required net extra costs. Therefore, please provide the following for such types of measures:
|
|
21.
|
Pursuant to point 51 of the CEEAG, the typical net extra costs can be estimated as the difference between the NPV for the factual scenario and the counterfactual scenario over the lifetime of the project or per reference project where applicable. For this assessment, please submit a quantification, for the factual scenario and a realistic counterfactual scenario (318) identified in reply to question 12 above, of all main costs and revenues, the estimated weighted average cost of capital (WACC) of the beneficiaries (or reference projects) to discount future cash flows, as well as the net present value (NPV) for the factual and counterfactual scenarios, over the lifetime of the project/reference project.
|
(a)
|
Please provide this in an Annex to this notification form (using an Excel file where all formulas are visible).
|
|
(b)
|
Please include detailed information on the assumptions, methodologies, rationale and underlying sources thereof, used for each aspect of the quantification of costs and revenues in the factual scenario and the likely counterfactual scenario (for instance please include the assumptions used to develop those scenarios and the source/rationale for these assumptions).
|
|
(c)
|
You may also attach to this notification form the documents mentioned in footnote 39 of the CEEAG. Board documents may be particularly useful for individual aid measures or schemes benefitting a particularly limited number of beneficiaries. If such documents are attached to the notification form, please provide below a list of those documents, specifying the author, the date when they were drafted and the context when they were used.
|
…
|
|
22.
|
If the notified measure(s) involves an aid scheme with a duration exceeding 3 years, please confirm that you will update, as required by point 92 of the CEEAG, the analysis of relevant costs and revenues of reference projects, to ensure that aid remains necessary for each category of beneficiary.
…
|
|
2.1.1.2.
|
Schemes with competitive bidding open to all eligible beneficiaries
While point 49 of the CEEAG clarifies that a detailed assessment of net extra costs will not be required if the aid amounts are determined through a competitive bidding process, it needs to be shown also including quantitative evidence that the bidding process is actually competitive. Pursuant to the first sentence of point 104 of the CEEAG, the bidding process should, in principle, be open to all eligible beneficiaries to enable a cost-effective allocation of aid and reduce competition distortions, where this is the case, please explain the following:
|
|
23.
|
Please explain the elements on which you based the assumption that the bidding process will be open and properly subscribed, i.e. that it can be expected that not all bidders will receive aid and that the number of expected bidders is sufficient to ensure effective competition for the duration of the scheme (point 49(c) of the CEEAG). In your explanation, please take into account the budget or volume of the scheme. Where relevant, please refer to the evidence provided in reply to questions 12 and 13 above.
…
|
|
24.
|
Please explain whether bid caps will be used. Where the analysis provided in response to questions 12 and 13 above or questions 31 and 43 below shows there may be a significant deviation between the expected bid levels of different categories of beneficiaries, please explain how overcompensation of cheaper technologies will be avoided (see point 106 of the CEEAG). If bid caps are proposed, please provide the relevant quantitative evidence to justify the foreseen levels for example by referring to the evidence already provided in reply to questions 12 and 13 above.
…
|
|
2.1.1.3.
|
Schemes with competitive bidding limited to one or more specific categories of beneficiaries
While in principle, pursuant to the first sentence of point 104 of the CEEAG, bidding processes should be open to all eligible beneficiaries. However, pursuant to the second sentence of point 104 of the CEEAG, the bidding process may also be limited to one or more specific categories of beneficiary. Where this is the case, please provide the following:
|
|
25.
|
Please provide in line with point 104(a) of the CEEAG a specific justification why a single bidding process open to all eligible beneficiaries would lead to a suboptimal result or not allow the achievement of the objectives of the measure. In your reply, you may refer to the specific criteria listed in point 96 of the CEEAG.
…
|
|
26.
|
According to point 104(b) and point 105 of the CEEAG, limitations in the bidding process can be justified, if the expected bids diverge by more than 10% between different categories of beneficiaries. Where this is expected to be the case, please describe for each category of beneficiary the expected bid level, using evidence for example as provided in reply to questions 12 and 13 above, justifying the difference between the categories chosen.
…
|
|
27.
|
Please explain the elements on which you based the assumption that the bidding process for each category will be open and properly subscribed, i.e. that it can be expected that not all bidders will receive aid and that the number of expected bidders is sufficient to ensure effective competition for the duration of the scheme (point 49(c) of the CEEAG). In your explanation, please take into account the budget or volume of the scheme. Where relevant, please refer to the evidence provided in reply to questions 12 and 13 above.
…
|
|
28.
|
If the notified measure(s) involves an aid scheme with a duration exceeding 3 years, please confirm that you will update, as required by point 92 of the CEEAG, the analysis of relevant costs and revenues for the different categories, to ensure that aid remains necessary for each category of beneficiary. In addition, please confirm that point 105 of the CEEAG will be respected.
…
|
|
29.
|
Please explain whether bid caps will be used. Where the analysis provided in response to questions 12 and 13 above or questions 31 and 43 below shows there may be a significant deviation between the expected bid levels of different categories of beneficiaries, please explain how overcompensation of cheaper technologies will be avoided (see point 106 of the CEEAG). If bid caps are proposed, please provide the relevant quantitative evidence to justify the foreseen levels for example by referring to the evidence already provided in reply to questions 12 and 13 above.
…
|
|
2.1.2.
|
Necessity of the aid
To provide the information in this section, please refer to section 4.1.3.1. (points 89-92) of the CEEAG.
|
|
30.
|
In line with point 89 of the CEEAG, please identify any policy measures already in place to reduce greenhouse gas emissions, in particular those that apply to the sectors concerned by the measure(s).
…
|
|
31.
|
In order to assess compliance with the first sentence of point 90 of the CEEAG, please demonstrate, using where relevant also the evidence provided already in reply to question 12 above, that the aid is needed for the proposed activities taking into account the counterfactual situation as well as relevant costs and revenues including those linked to the ETS and related policies and measures provided under question 30 above.
…
|
|
32.
|
In order to assess compliance with the second sentence of point 90 of the CEEAG, please explain whether there is significant uncertainty concerning future market developments related to a large part of the business case. If so, please a) describe the significant uncertainty concerning future market developments, b) describe the form of the support and in particular whether it takes the form of a certain guaranteed remuneration to limit exposure to negative scenarios is envisaged and c) explain whether limits to profitability and/or a claw-back (i.e. a mechanism for recovering potential excess aid as a result of a possible positive scenario e.g. with high future revenues or low future costs) is proposed as part of the measure(s) to ensure proportionality.
…
|
|
33.
|
If the notified measure(s) involves an aid scheme with a duration exceeding 3 years, please confirm that you will update, as required by point 92 of the CEEAG, the analysis of relevant costs and revenues for the different categories, to ensure that aid remains necessary for each category of beneficiary.
…
|
|
2.1.3.
|
Appropriateness
To provide the information in this section, please refer to section 4.1.3.2 (points 93-94) of the CEEAG.
|
|
34.
|
If the notified measure(s) involves energy performance contracting, please specify the form of this aspect of the aid (see point 94 of the CEEAG).
…
|
|
2.1.4.
|
Eligibility
To provide the information in this section, please refer to section 4.1.3.3. (points 95-97) of the CEEAG.
|
|
35.
|
In order to verify the compliance with points 95 and 96 of the CEEAG, for measures which do not include all technologies and projects that are in competition, please give detailed reasons for the limited eligibility.
…
|
|
36.
|
If the notified measure(s) involves a scheme, please confirm that the eligibility rules and any rules related thereto will be kept under review as required by point 97 of the CEEAG.
|
|
2.1.5.
|
Public consultation
To provide the information in this section, please refer to section 4.1.3.4 (points 98-102) of the CEEAG.
|
|
37.
|
Please explain whether or not the measure(s) requires a public consultation under Section 4.1.3.4, and if not, why not.
…
|
|
38.
|
If the measure requires a public consultation, please:
|
(a)
|
Specify the duration of the public consultation and provide a summary of the main issues covered:
…
|
|
(b)
|
In line with the requirements in point 101 of the CEEAG, please provide the address of the public website where consultation questionnaires and the government’s summary of the responses will be/are published:
…
|
|
|
2.1.6.
|
Proportionality
To provide the information in this section, please refer to section 3.2.1.3 (points 47-57) and section 4.1.3.5. (points 103-113) of the CEEAG. Please note that the following two sections 2.1.6.1. and 2.1.6.2. are alternative. Please provide replies only to the applicable section, depending on the design of the proposed measure.
|
|
2.1.6.1.
|
Proportionality of aid granted through a competitive bidding process
To provide the information in this section, please refer to points 49, 50, 103-106 and 111-112 of the CEEAG.
|
|
39.
|
In order to verify the compliance with points 49, 50 and 103 of the CEEAG, please provide the following:
|
(a)
|
Please explain how the authorities ensure that the bidding process is open, clear, transparent and non-discriminatory, based on objective criteria, defined ex ante in accordance with the objective of the measure and minimising the risk of strategic bidding (point 49(a) of the CEEAG). Where applicable please also refer to your replies provided already in response to questions 23 or 26 above.
…
|
|
(b)
|
The selection criteria used for ranking the bids, and ultimately identifying the level of aid in the competitive bidding process. Where relevant, please refer to the evidence provided in reply to questions 12 or 13 above. More specifically:
|
(i)
|
Please provide the list of the selection criteria and specify which of them are/are not directly or indirectly related to the main objectives of the measure(s). Please include their weighting.
…
|
|
(ii)
|
Please explain how the selection criteria put the contribution to the main objectives of the measure(s) in direct or indirect relation with the aid amount requested by the applicant. This may be expressed, for example, in terms of aid per unit of environmental protection or aid per unit of energy (point 50 and footnote 44 of the CEEAG).
…
|
|
|
(c)
|
In case there are other selection criteria that are not directly or indirectly related to the main objectives of the measure(s), please provide reasons for the proposed approach and explain how it is appropriate to the objectives pursued by the measure(s). Please also confirm that those criteria account for no more than 30 % of the weighting of all the selection criteria (point 50 of the CEEAG).
…
|
|
(d)
|
Please explain how far in advance of the deadline for submitting applications in each competitive bidding process the selection criteria will be published (point 49(b) and footnote 43 of the CEEAG).
…
|
|
(e)
|
Please confirm that the budget or the volume related to the bidding process is a binding constraint in that it can be expected that not all bidders will receive aid (point 49(c) of the CEEAG). Where relevant, please refer to your replies to questions 22 or 26 above as applicable.
…
|
|
(f)
|
Please provide information on the number of bidding rounds envisaged and expected number of bidders in the first round and over time.
…
|
|
(g)
|
In case of one or more undersubscribed bidding processes, please explain how the design of bidding processes will be corrected during the implementation of the scheme in case to restore effective competition, and when (point 49(c) of the CEEAG).
…
|
|
(h)
|
Please confirm that ex post adjustments to the bidding process outcome (such as subsequent negotiations on bid results or rationing) are avoided (point 49(d) of the CEEAG).
…
|
|
(i)
|
In case there is a possibility of ‘zero subsidy bids’, please explain how proportionality will be ensured. Please clarify if the authorities foresee the use of price floors or caps in the competitive bidding process. In the affirmative, please justify their use and explain how they do not constrain the competitive bidding process (point 49 and footnote 42 of the CEEAG).
…
|
|
|
40.
|
Please confirm that, when designing the notified measure(s), the information on support already received from the mass balance system documentation under Article 30 of Directive (EU) 2018/2001 was taken into account (point 111 of the CEEAG).
…
|
|
41.
|
Please explain whether the notified measure(s) involve the transfer of concession rights, grid connection rights or other benefits, and if so how these rights are allocated (point 112 of the CEEAG).
|
|
2.1.6.2.
|
Proportionality of aid not granted through a competitive bidding process
To provide the information in this section, please refer to points 51-55 and 107-113 of the CEEAG.
|
|
42.
|
Please explain why a competitive bidding process is not used (pursuant to point 107 of the CEEAG). Please refer to your replies provided in the response to question 21 above as appropriate.
…
|
|
43.
|
Please demonstrate that the aid does not exceed the minimum necessary, i.e. the difference between the NPV for the factual scenario and for the counterfactual scenario over the lifetime of the reference project, by referring to the quantification submitted in the response to question 21 above or in the case of 52 CEEAG that the aid does not exceed the NPV of the factual scenario. Where you expect that different categories of beneficiaries may receive aid under the notified measure, please provide the above-mentioned explanation for each category of beneficiaries.
…
|
|
44.
|
If point 55 of the CEEAG is applicable, please provide information on the compensation models that the Member State might intend to introduce (a mix of ex ante and ex post or ex post claw-back or cost monitoring mechanisms).
If point 55 of the CEEAG is not applicable to the measure(s), please provide a justification.
…
|
|
45.
|
Please confirm that, when designing the notified measure(s), the information on support already received from the mass balance system documentation under Article 30 of Directive (EU) 2018/2001 was taken into account (point 111 of the CEEAG).
…
|
|
46.
|
Please explain whether the notified measure(s) involve the transfer of concession rights, grid connection rights or other benefits, and if so how these rights are allocated (point 112 of the CEEAG).
…
|
|
47.
|
If the notified measure(s) takes the form of a competitive certificate or supplier obligation scheme (point 108 of the CEEAG), please:
|
(a)
|
confirm that demand in the scheme will be set below potential supply;
|
|
(b)
|
explain how the buyout or penalty price will be established; and
|
|
(c)
|
where the measure involves biomass, explain how information on support already received from the mass balance system will be taken into account.
|
…
|
|
48.
|
If the notified measure(s) takes the form of a reduction in taxes or parafiscal levies, please:
|
(a)
|
Provide a detailed description of the taxes and/or parafiscal levies that will be reduced (including their purpose, how they are charged across the base, the methodology to calculate the rate and the entities involved in setting and reviewing the rate as well as in collecting and managing the revenues raised). On this basis, demonstrate that the proposed measure does not involve reductions in taxes or levies reflecting the essential costs of providing energy or related services, such as network charges or charges financing capacity mechanisms.
…
|
|
(b)
|
Describe how aid is granted, notably to ensure:
|
(i)
|
In line with point 109 of the CEEAG, that aid will be granted in the same way for all eligible undertakings operating in the same sector of economic activity that are in the same or similar factual situation in respect of the aims or objectives of the aid measure;
…
|
|
(ii)
|
In line with point 110 of the CEEAG, that the aid amount will not exceed the difference between the costs of the environmentally-friendly project or activity and of the less environmentally-friendly counterfactual scenario. Please also detail how potential cost savings and/or additional revenues of the more environmentally friendly project will be taken into account.
…
|
|
|
(c)
|
Describe the annual monitoring that will be undertaken to ensure that aid remains necessary.
…
|
|
|
49.
|
Where aid takes the form of a senior loan to the provider of the energy performance improvement measures under an energy performance contract (point 113 of the CEEAG),
|
(a)
|
Please indicate:
|
(i)
|
the level of the co-investment rate by commercial providers of debt funding;
|
|
(ii)
|
the value of the underlying energy performance contracts’ portfolio of the provider; and
|
|
(iii)
|
whether the repayment by the provider of the energy performance improvement measures must be at least equal to the nominal value of the loan.
|
…
|
|
(b)
|
please confirm that the public loan is limited to maximum 10 years and indicate its exact duration.
…
|
|
|
50.
|
Where the aid is granted in form of a guarantee to the provider of the energy performance improvement measures under an energy performance contract (point 113 of the CEEAG), please:
|
(a)
|
Indicate the share of the underlying loan’s principal that the public guarantee will cover;
…
|
|
(b)
|
Indicate how the losses would be sustained by comparison to how losses would be sustained by the credit institution (proportion and conditions);
…
|
|
(c)
|
Confirm that the guaranteed amount decreases proportionally, in such a way that the guarantee never covers more than 80 % of the outstanding loan; and
…
|
|
(d)
|
Confirm that the guarantee is limited to maximum 10 years and indicate its exact duration.
…
|
|
|
2.1.7.
|
Cumulation
To provide the information in this section, please refer to points 56-57 of the CEEAG.
|
|
51.
|
In as far as not already provided under Part I of the general notification form and in order to verify compliance with point 56 of the CEEAG, please clarify if the aid under the notified measure(s) may be awarded concurrently under several aid schemes or cumulated with ad hoc or de minimis aid in relation to the same eligible costs. If that is the case, please provide details on those aid schemes, ad hoc aid or de minimis aid and how the aid will be cumulated. Please note you may wish to refer to the quantification provided above.
…
|
|
52.
|
If point 56 of the CEEAG is applicable, please justify how the total amount of aid granted under the notified measure(s) for a project or an activity does not lead to overcompensation or exceed the maximum aid amount allowed under point 51 of the CEEAG. For each measure that the aid granted under the notified aid measure(s) can be cumulated with, please specify the method used for ensuring compliance with the conditions set out in point 56 of the CEEAG.
…
|
|
53.
|
In case point 57 of the CEEAG is applicable, i.e. the aid granted under the notified measure(s) is combined with centrally managed Union funding (319) (that does not constitute State aid), please justify how the total amount of public funding granted in relation to the same eligible costs does not lead to overcompensation
…
|
|
2.1.8.
|
Transparency
To provide the information in this section, please refer to section 3.2.1.4 (points 58-61) of the CEEAG.
|
|
54.
|
Please confirm that the Member State will comply with the requirements on transparency provided in points 58-61 of the CEEAG.
…
|
|
55.
|
Please provide the internet link where the full text of the approved aid scheme or the individual aid granting decision and its implementing provisions, and information on each individual aid award granted ad hoc or under an aid scheme approved on the basis of the CEEAG and exceeding EUR 100 000 will be published.
…
|
|
2.2.
|
Avoidance of undue negative effects on competition and trade and balancing
To provide the information in this section, please refer to section 4.1.4 (points 114-133) of the CEEAG.
|
|
56.
|
In order to verify compliance with point 115 of the CEEAG,
|
(a)
|
please provide an estimation of the subsidy per tonne of CO2 equivalent emissions avoided for each project or reference project; and
|
|
(b)
|
the assumptions and methodology for the calculation provided.
|
When aid is granted through a competitive bidding process, the estimation above should be based on the evidence provided, in particular in response to questions 12, 13, 25, 26, 31 and 39 above.
Where aid is granted without a competitive bidding process, the calculations should take into account the quantification provided in the response to point 21 above.
…
|
|
57.
|
In order to verify compliance with points 116, 127, 128 and 129 of the CEEAG, please:
|
(a)
|
demonstrate that the aid does not merely displace greenhouse gas emissions from one sector to another (through an increase of indirect emissions), and delivers overall greenhouse gas emissions reductions. This should be demonstrated for each project or reference project. The assumptions and methodology for this should be provided.
…
|
|
(b)
|
explain whether aided investments or activities may displace cleaner alternatives that are already available on the market, or lock in certain technologies (hampering the wider development of a market for and the use of cleaner solutions).
…
|
|
(c)
|
if the notified measure(s) may incentivise new investments in energy or industrial production based on natural gas, explain how the measure will ensure that it contributes to achieving the Union’s 2030 climate target and 2050 climate neutrality target. In particular, explain how a lock in of this gas-fired energy generation or gas-fired production equipment will be avoided.
…
|
|
|
58.
|
If the notified measure(s) may support projects involving energy generation, please confirm the absence of incentives for the generation of energy that would displace less polluting forms of energy (see point 126 of the CEEAG).
…
|
|
59.
|
In order to verify compliance with points 117, 118 and 119 of the CEEAG, please:
|
(a)
|
For aid for the decarbonisation of industrial activities, confirm that the measure reduces the emissions directly resulting from that industrial activity.
…
|
|
(b)
|
For aid for improvements of the energy efficiency of industrial activities, confirm that the measure improves energy efficiency of the beneficiaries’ activities or that support is granted for the facilitation of energy performance contracting.
…
|
|
(c)
|
Where aid for the facilitation of energy performance contracting is not granted as a result of a competitive bidding process, confirm that the aid is granted in the same way for all eligible undertakings operating in the same sector of economic activity that are in the same or similar factual situation in respect of the aims or objectives of the aid measure.
…
|
|
|
60.
|
In order to verify compliance with point 120 of the CEEAG, please provide information on:
|
(a)
|
The measures taken to ensure that projects granted aid will actually be developed.
…
|
|
(b)
|
If the aid measure(s) grant more flexibility regarding pre-qualification requirements for projects developed and 100 % owned by SMEs or by renewable energy communities as a means to reduce barriers to their participation, please describe these flexibilities/facilitations in detail.
…
|
|
(c)
|
In the affirmative, please also justify how the positive effects of ensuring participation and acceptance of SMEs or of renewable energy communities in the notified measure(s) outweigh the possible distortive effects.
…
|
|
|
61.
|
In order to verify compliance with points 121 and 122 of the CEEAG, please provide information on:
|
(a)
|
The precise form of the aid in the measure.
…
|
|
(b)
|
If the aid measure covers costs mostly linked to operation rather than investment, please demonstrate that this results in more environmentally-friendly operating decisions.
…
|
|
(c)
|
If the aid measure is primarily required to cover short-term costs that may be variable (such as biomass fuel costs or electricity input costs), and paid over periods exceeding one year, please confirm that the production costs on which the aid amount is based will be monitored and the aid amount updated at least once per year.
…
|
|
|
62.
|
In order to verify compliance with point 123 of the CEEAG, please:
|
(a)
|
Indicate which market(s) could potentially be affected by the aid measure directly (e.g. electricity market, gas market or other fuel markets, product markets).
…
|
|
(b)
|
Please explain in detail how the measure preserves efficient operating incentives and price signals (exposure to price variation and market risk, absence of incentive to offer output below marginal costs, absence of aid for production in any periods in which the market value of that production is negative).
…
|
|
|
63.
|
If the notified measure(s) may support projects involving dedicated infrastructure, in order to verify compliance with points 124 and 125 of the CEEAG, please:
|
(a)
|
Describe the size and scope of the dedicated infrastructure in relation to the affected market(s), and the impact on the likelihood of additional market-based investments.
…
|
|
(b)
|
Explain how many users or groups of users will initially benefit from the dedicated infrastructure and whether a credible plan or firm commitment for connecting to a wider network exists.
…
|
|
(c)
|
If applicable, provide the duration of any derogations or exemptions from internal market legislation, the structure of the market and the position of the beneficiaries in that market.
…
|
|
|
64.
|
If the notified measure(s) may support projects involving production of biofuels from food and feed crops, in order to verify compliance with points 130 of the CEEAG:
|
(a)
|
Confirm that State aid for biofuels, bioliquids, biogas and biomass fuels will not exceed the caps determining their eligibility for the calculation of the gross final consumption of energy from renewable sources in the Member State concerned in accordance with Article 26 of Directive (EU) 2018/2001.
…
|
|
(b)
|
If the caps are or may be exceeded, explain in detail the positive effects of the measure which could outweigh the negative effects.
…
|
|
|
65.
|
If the notified measure(s) will only benefit one or a particularly limited number of beneficiaries, in order to verify compliance with points 131 and 132 of the CEEAG, please provide in particular:
|
(a)
|
the list of the five largest market players in the sectors concerned and their turnover (in volume or value) compared to the total turnover of the sectors. (320)
…
|
|
(b)
|
the reasons why the Member States considers that the notified measure(s) would not strengthen or maintain the market power of the beneficiary(ies) or discourage the expansion of existing competitors or induce their exit or discourage the entry of new competitors.
Explain in this regard also whether the aid measure will lead to an increase in the production capacity of the beneficiary(ies).
…
|
|
(c)
|
the measures put in place to limit the potential distortion of competition caused by granting the aid to the beneficiary(ies).
…
|
|
Section C: Evaluation
To provide the information in this section, please refer to point 76(a), 131 and Section 5 (points 455-463) of the CEEAG.
|
66.
|
If the notified measure(s) exceed the budget/expenditure thresholds in point 456 of the CEEAG, please either explain why in your view the exception in point 457 of the CEEAG should apply, or attach to this notification form an Annex that includes a draft evaluation plan covering the scope mentioned in point 458 of the CEEAG. (321)
…
|
|
67.
|
If a draft evaluation plan is provided, please:
|
(a)
|
provide below a summary of that draft evaluation plan included in the Annex.
…
|
|
(b)
|
confirm that point 460 of the CEEAG will be respected.
…
|
|
(c)
|
provide the date and internet link where the evaluation plan will be publicly available.
…
|
|
|
68.
|
In order to verify the compliance with point 459(b) of the CEEAG, in case the aid scheme is not currently subject to an ex post evaluation, and its duration exceeds three years, please confirm that you will notify a draft evaluation plan within 30 working days following a significant modification increasing the budget of the scheme to over EUR 150 million in any given year or EUR 750 million over the total duration of the scheme.
…
|
|
69.
|
In order to verify the compliance with point 459(c) of the CEEAG, in case the aid scheme is not currently subject to an ex post evaluation, please provide below a commitment that the Member State will notify a draft evaluation plan within 30 working days after recording in official accounts expenditures in excess of EUR 150 million in the previous year.
…
|
|
70.
|
In order to verify the compliance with point 461 of the CEEAG:
|
(a)
|
Please clarify if the independent expert has already been selected or it will be selected in the future.
|
…
|
(b)
|
Please provide information on the selection procedure of the expert.
|
…
|
(c)
|
Please justify how the expert is independent from the granting authority.
|
…
|
|
71.
|
In order to verify the compliance with point 461 of the CEEAG:
|
(a)
|
Please provide your proposed deadlines for the submission of the interim and final evaluation report. Please note that final evaluation report must be submitted to the Commission in due time to allow for the assessment of the possible prolongation of the aid scheme and at the latest 9 months before its expiry, in line with point 463 of the CEEAG. Please note that that deadline could be reduced for schemes triggering the evaluation requirement in their last 2 years of implementation.
|
…
|
(b)
|
Please confirm that the interim and final evaluation report will be made public. Please provide the date and internet link where those reports will be publicly available.
|
…
|
Section D: Reporting and monitoring
To provide the information in this section, please refer to Section 6 (points 464-465) of the CEEAG.
|
72.
|
Please confirm that the Member State will comply with the requirements for reporting and monitoring provided in Section 6, points 464 and 465, of the CEEAG.
…
|
PART III.6.B
Supplementary information sheet for State aid granted under the Guidelines on State aid for climate, environmental protection and energy 2022 (hereafter ‘CEEAG’) - Section 4.2 – Aid for the improvement of the energy and environmental performance of buildings)
This supplementary information sheet concerns measures covered in section 4.2 of the CEEAG. If the notification includes measures that are covered by more than one section of the CEEAG, please once available also fill in the respective supplementary information sheet that concerns the respective section of the CEEAG.
All documents provided by Member States as annexes to this supplementary information sheet must be numbered and document numbers must be indicated in the relevant sections of this supplementary information sheet.
Section A: Summary of the main characteristics of the notified measure(s)
|
1.
|
Background and objective(s) of the notified measure(s):
|
|
1.1.
|
If not already discussed under section 5.2 of the General Information Form (Part I), please provide the background and the main objective, including any Union targets for energy and environmental performance of buildings that the measure is intended to support.
…
|
|
1.2.
|
Please indicate any other objectives pursued by the measure. For any objectives that are not purely environmental, please explain whether they may result in any distortions of competition in the internal market.
…
|
|
2.
|
Entry into force and duration:
|
|
2.1.
|
To the extent not already provided under section 5.5 of the General Information Form (Part I), please indicate the date as of which the aid scheme is planned to enter into force;
…
|
|
2.2.
|
Please indicate the duration of the scheme (322).
…
|
|
3.1.
|
If not already provided under section 3 of the General Information Form (Part I), please describe the (potential) beneficiary(ies) of the measure(s);
…
|
|
3.2.
|
Please indicate the location of the beneficiary(ies) (i.e. if only economic entities located in the respective Member State or also in other Member States are eligible to participate in the measure).
…
|
|
3.3.
|
In order to assess the compliance with point 15 of the CEEAG, please specify if aid is granted under the measure(s) in favour of an undertaking (individual or part of a scheme) that is subject to an outstanding recovery order following a previous Commission decision declaring an aid illegal and incompatible with the internal market.
In the affirmative, please provide information on the amount of aid still to be recovered so that the Commission takes account of it in the assessment of the aid measure(s).
…
|
|
4.
|
Please confirm that the measure(s) does not involve aid for activities falling outside the scope of application of the CEEAG (see point 13 of the CEEAG). Otherwise, please provide details.
…
|
|
5.
|
Budget and financing of the measure(s).
|
|
5.1.
|
If not already mentioned in the table under section 7.1 of the General Information Form (Part I), please provide the yearly and/or total budget for the whole duration of the measure(s); if the total budget is not known (for instance because it depends on the results of tenders), please indicate an estimated budget, including the assumptions used to calculate the respective estimated budget (323).
…
|
|
5.2.
|
If the measure(s) is financed through a levy, please clarify if:
|
(a)
|
the levy is set by law or any other legislative act; in the affirmative, please provide the legal act, number and date when adopted and entered into force, the internet link to the legal act;
…
|
|
(b)
|
the levy is imposed equally on domestic and imported products;
…
|
|
(c)
|
the notified measure(s) will benefit equally domestic and imported products;
…
|
|
(d)
|
the levy finances fully the measure(s) or only partly. If the levy finances only partly the measure, indicate the other sources of financing of the measure and their respective proportion;
…
|
|
(e)
|
the levy financing the notified measure(s) also finances other aid measures. If so, indicate the other aid measures financed by the concerned levy.
…
|
|
Section B: Compatibility assessment of the aid
|
1.
|
POSITIVE CONDITION: THE AID MUST FACILITATE THE DEVELOPMENT OF AN ECONOMIC ACTIVITY
|
|
1.1.
|
Contribution to the development of an economic activity
To provide the information in this section, please refer to section 3.1.1 (points 23-25) and sections 4.2.1 and 4.2.2 (points 136 to 140) of the CEEAG.
|
|
6.
|
Article 107(3), point (c), of the Treaty on the Functioning of the European Union (’the Treaty’) provides that the Commission may declare compatible ‘aid to facilitate the development of certain economic activities or of certain economic areas, where such aid does not adversely affect trading conditions to an extent contrary to the common interest’. Therefore, compatible aid under that provision of the Treaty must contribute to the development of a certain economic activity.
In order to assess the compliance with point 23 of the CEEAG, please identify the economic activities that will be facilitated as a result of the aid and how the development of those activities is supported.
…
|
|
7.
|
In order to assess the compliance with point 25 of the CEEAG, please describe if and how the aid will contribute to the achievement of objectives of Union climate policy, environmental policy and energy policy and more specifically, the expected benefits of the aid in terms of its material contribution to environmental protection, including climate change mitigation, or the efficient functioning of the internal energy market.
In addition, please highlight to what extent the aid relates to the policies described under point 135 of the CEEAG.
…
|
|
8.
|
Please describe the eligibility requirements applicable to the beneficiary(ies) (for instance by including any technical, environmental (i.e. permits), financial (i.e. collaterals) or other requirements that the beneficiary(ies) need to comply with).
…
|
|
9.
|
Please provide information on the precise scope and supported activities of the aid measure(s), as provided in section 4.2.2 of the CEEAG. In particular:
|
(a)
|
Please explain whether the aid measure(s) provides only aid for the improvement of the energy efficiency of buildings or combines aid for the improvement of the energy efficiency of buildings with aid for any or all of the investments listed in point 137 of the CEEAG. In the latter case, please clarify which of the investments are eligible for aid under the measure(s).
…
|
|
(b)
|
Please explain whether the aid measure(s) also includes types of aid that are excluded from the scope of section 4.2 of the CEEAG, by virtue of point 138 thereof. In the affirmative, the appropriate notification form(s) must be submitted as regards the relevant part(s) of the measure(s).
…
|
|
|
10.
|
Please indicate whether the aid granted under the measure(s) concerns the renovation of existing buildings, the installation or replacement of just one type of building element (324), and/or energy efficiency investments in new buildings, as defined in point 139 (letters (a) to (c)) of the CEEAG.
…
|
|
11.
|
Please demonstrate that the aid granted under the aid measure(s) will induce the energy performance improvements required in point 139 (letters (a) to (c), as applicable) of the CEEAG.
…
|
|
12.
|
Please indicate whether the aid is granted under the aid measure(s) to SMEs and small mid-caps that are providers of energy performance improvement measures for the facilitation of energy performance contracting, as provided in point 140 of the CEEAG.
…
|
|
1.2.
|
Incentive effect
To provide the information in this section, please refer to section 3.1.2 (points 26-32) and section 4.2.3 (points 141-143) of the CEEAG.
|
|
13.
|
Aid can be considered to facilitate an economic activity only if it has an incentive effect. In order to assess compliance with point 26 of the CEEAG, please explain how the measure(s)
“induces the beneficiary to change its behaviour, to engage in additional economic activity or in more environmentally friendly economic activity, which it would not carry out without the aid or would carry out in a restricted or different manner”
. In addition, in order to assess compliance with point 27 of the CEEAG, please confirm that the measure does “not compensate for the normal business risk of an economic activity” and briefly explain why.
…
|
|
14.
|
Pursuant to point 28 of the CEEAG:
|
(a)
|
Provide a comprehensive description of the factual scenario expected to result from the aid measure and the likely counterfactual scenario(s) absent the aid measure. (325) Where you expect that different categories of beneficiaries may be supported, please ensure that the counterfactual is credible for each of these categories.
…
|
|
(b)
|
Please briefly explain the rationale for the choice of the likely counterfactual scenario(s), in view of the proposed different categories of beneficiaries, if applicable.
…
|
|
(c)
|
Please quantify the costs and revenues of factual and counterfactual scenarios and justify the change of behaviour where relevant for each category of beneficiary, based on:
|
(i)
|
the respective reference project(s) (326), the corresponding counterfactuals and resulting funding gap;
…
OR
|
|
(ii)
|
relevant quantitative evidence based on market studies (in particular studies on expected payback periods), investor plans, financial reports, or other quantitative evidence including, where applicable, bids made for similar projects in recent comparable competitive bidding processes. (327)
…
|
|
|
|
15.
|
In order to demonstrate compliance with points 29 and 31 of the CEEAG:
|
(a)
|
Please confirm that the start of works on the project or activity did not take place prior to a written aid application by the beneficiary to the national authorities;
…
OR
|
|
(b)
|
For projects that started before the aid application, please demonstrate that the project falls within one of the exceptional cases provided in point 31 of the CEEAG letters (a), (b) or (c).
…
|
|
|
16.
|
In order to demonstrate compliance with point 30 of the CEEAG, please confirm that the aid application includes at least the applicant’s name, a description of the project or activity, including its location, and the amount of aid needed to carry it out.
…
|
|
17.
|
In order to demonstrate compliance with points 32 and 142 of the CEEAG:
|
(a)
|
Please indicate if there are Union standards (328) applicable to the notified measure(s), mandatory national standards that are more stringent or ambitious than the corresponding Union standards, or mandatory national standards adopted in the absence of Union standards;
…
|
|
(b)
|
In cases where Union law imposes Union standards, please confirm and demonstrate that the aid has an incentive effect because it incentivises the investment to be implemented and finalised at least 18 months before the standard enters into force.
…
|
|
(c)
|
Please explain whether projects with a payback period (329) of less than five years are eligible for aid under the measure(s). In the affirmative, please provide evidence to demonstrate that aid is needed to trigger a change in behaviour, as required by point 142 of the CEEAG.
…
|
|
|
1.3.
|
No breach of any relevant provision of Union law
To provide the information in this section, please refer to section 3.1.3 (point 33) of the CEEAG.
|
|
18.
|
Please provide information to confirm the compliance with the relevant provisions of EU law, in line with point 33 of the CEEAG.
…
|
|
19.
|
If a levy is used to finance the measure(s), please clarify if the assessment of compliance with Articles 30 and 110 of the Treaty needs to be carried out. In the affirmative, please demonstrate how the measure complies with the provisions of Articles 30 and 110 of the Treaty. In this context, the information submitted under question 5.2 above, where the notified measure(s) is financed through a levy can be referred to.
…
|
|
2.
|
NEGATIVE CONDITION: THE AID CANNOT UNDULY AFFECT TRADING CONDITIONS TO AN EXTENT CONTRARY TO THE COMMON INTEREST
|
|
2.1.
|
Minimisation of distortions of competition and trade
|
|
2.1.1.
|
Necessity of the aid
To provide the information in this section, please refer to section 3.2.1.1 (points 34-38) of the CEEAG.
|
|
20.
|
Please explain which market failure(s) your authorities have identified that prevent the achievement of a sufficient level of environmental protection. Please specify in which category the market failures identified fall, by making reference to letters (a), (b), (c) or (d) of point 34 of the CEEAG.
…
|
|
21.
|
In accordance with point 35 of the CEEAG, please provide information on any existing policies and measures that your authorities identified, which already target the identified regulatory or market failures.
…
|
|
22.
|
In order to demonstrate compliance with point 36 of the CEEAG, please provide information that demonstrates that the aid effectively targets residual market failures, also taking into account any other policies and measures already in place to address some of the market failures identified.
…
|
|
23.
|
In order to demonstrate compliance with point 37 of the CEEAG, please explain if, to your authorities’ knowledge, projects or activities similar to those covered by the notified measure(s) with respect to their technological content, level of risk and size, are already delivered within the Union at market conditions. In the affirmative, please provide further evidence to demonstrate the need for State aid.
…
|
|
24.
|
In order to demonstrate compliance with point 38 of the CEEAG, please refer to the quantitative evidence already provided under question 14(c) above.
…
|
|
2.1.2.
|
Appropriateness
To provide the information in this section, please refer to section 3.2.1.2 (points 39-46), section 4.2.4.1 (points 144-145) and points 153 and 157 of the CEEAG.
|
|
25.
|
In order to verify compliance with point 40 of the CEEAG, please demonstrate that there are no less distortive instruments available that are more appropriate than State aid.
…
|
|
26.
|
In order to verify compliance with point 41 of the CEEAG, please demonstrate that the aid measure is designed in such a way as to not undermine the efficiency of other measures remedying the same market failure, such as market-based mechanism(s) (e.g., the EU ETS).
…
|
|
27.
|
In order to demonstrate compliance with point 42 of the CEEAG, please confirm that none of the beneficiaries of the aid measure(s) could be held liable for the pollution under existing Union or national law (
‘polluter pays’ principle).
…
|
|
28.
|
In order to verify compliance with points 43 to 46 of the CEEAG, to demonstrate the appropriateness of the aid among different aid instruments, please provide the following information:
|
(a)
|
Please explain why other potentially less distortive forms of aid are less appropriate, as required in point 44 of the CEEAG. Less distortive forms of aid may be repayable advances as compared to direct grants; tax credits as compared to tax reductions; or forms of aid that are based on financial instruments, such as debt, as compared to equity instruments, including, for example, low-interest loans or interest rebates, State guarantees, or an alternative provision of financing on favourable terms.
…
|
|
(b)
|
Please demonstrate that the choice of the aid instrument is appropriate to the market failure that the aid measure(s) aims to address, as required in point 45 of the CEEAG.
…
|
|
(c)
|
Please explain how the aid measure and its design are appropriate to achieve the objective of the measure at which the aid is targeted, as required in point 46 of the CEEAG.
…
|
|
|
29.
|
If aid is granted under the measure(s) to SMEs and small mid-caps that are providers of energy performance improvement measures under energy performance contracts, please confirm that, as required by point 145 of the CEEAG, the aid takes the form of a loan or guarantee to the provider or consists in a financial product aimed at financing the provider (for example, factoring or forfaiting).
…
|
|
30.
|
If aid is granted under the measure(s) in the form of financial instruments, please confirm that:
|
(a)
|
The aid to the building’s owner or tenant takes the form of a guarantee or a loan, in line with point 153 of the CEEAG; and
…
|
|
(b)
|
The aid to the financial intermediary (e.g. energy efficiency fund) takes the form of an endowment, equity, a guarantee or a loan, in line with point 157 of the CEEAG.
…
|
|
|
2.1.3.
|
Proportionality
To provide the information in this section, please refer to section 4.2.4.2 (points 146-153) of the CEEAG.
Please note that the following three sections 2.1.3.1., 2.1.3.2. and 2.1.3.3. are alternative. Please provide replies only to the applicable section, depending on the design of the proposed measure.
|
|
2.1.3.1.
|
Proportionality of the aid when aid is not granted through a competitive bidding process and is not granted in the form of financial instruments
To provide the information in this section, please refer to points 146-151 and 153 of the CEEAG.
|
|
31.
|
In order to verify compliance with point 146 of the CEEAG, please explain which are the eligible costs under the measure(s) and how they are limited to the investment costs directly linked to the achievement of a higher level of energy or environmental performance.
…
|
|
32.
|
Please indicate the maximum aid intensities applicable under the measure and indicate whether any bonuses (as described in points 147-150 of the CEEAG) apply.
…
|
|
33.
|
If applicable, please justify the application of the aid intensity bonus for improvements leading to a reduction in primary energy demand of at least 40 %, in line with point 148 of the CEEAG.
…
|
|
34.
|
If by way of derogation from points 147-150 of the CEEAG, it is considered that aid beyond the maximum aid intensities set in these points is required, please indicate the level of aid considered to be necessary and justify it on the basis of a funding gap analysis, in line with points 51-52 of the CEEAG.
For this funding gap analysis, please submit a quantification, for the factual scenario(s) and a realistic counterfactual scenario(s) (330) identified in reply to question 14(c) above, of all main costs and revenues, the estimated weighted average cost of capital (WACC) of the beneficiaries (or reference projects) to discount future cash flows, as well as the net present value (NPV) for the factual and counterfactual scenarios, over the lifetime of the project/reference project.
Please note that for cases of individual aid and schemes benefitting a particularly limited number of beneficiaries, the Member State needs to present the supporting evidence at the level of the detailed project business plan, while for cases of aid schemes, the Member State needs to present the supporting evidence on the basis of one or more reference projects.
|
(a)
|
Please provide this in an Annex to this notification form (using an Excel file where all formulas are visible).
…
|
|
(b)
|
Please include detailed information on the assumptions, methodologies, rationale and underlying sources thereof, used for each aspect of the quantification of costs and revenues in the factual scenario and the likely counterfactual scenario (for instance please include the assumptions used to develop those scenarios and the source/rationale for these assumptions).
…
|
|
(c)
|
You may also attach to this notification form the documents mentioned in footnote 39 of the CEEAG. Board documents may be particularly useful for individual aid measures or schemes benefitting a particularly limited number of beneficiaries. If such documents are attached to the notification form, please provide below a list of those documents, specifying the author, the date when they were drafted and the context when they were used.
…
|
|
|
35.
|
Please demonstrate that the application of a higher aid intensity determined as indicated in question 34 would not result in aid exceeding the funding gap.
…
|
|
36.
|
In case point 52 of the CEEAG is applicable, i.e. the most likely counterfactual scenario consists in the beneficiary not carrying out an activity or investment, or continuing its business without changes, please provide evidence to support this assumption (331).
…
|
|
2.1.3.2.
|
Proportionality of the aid when aid is granted in the form of financial instruments
To provide the information in this section, please refer to points 146 and 153 of the CEEAG.
|
|
37.
|
In order to verify compliance with point 146 of the CEEAG, please explain which are the eligible costs under the measure(s) and how they are limited to the investment costs directly linked to the achievement of a higher level of energy or environmental performance.
…
|
|
38.
|
Please provide the following information in order to verify to compliance with point 153 of the CEEAG:
|
(a)
|
If the aid is granted in the form of a guarantee, please confirm that the guarantee will not exceed 80 % of the underlying loan and explain how compliance with this requirement will be ensured.
…
|
|
(b)
|
If the aid is granted in the form of a loan, please confirm that the repayment by the owner(s) of the building to the energy efficiency fund or renewable energy fund or other financial intermediary will at least equal the nominal value of the loan and explain how compliance with this requirement will be ensured.
…
|
|
|
2.1.3.3.
|
Proportionality of aid granted through a competitive bidding process
To provide the information in this section, please refer to points 49 and 50 of the CEEAG.
|
|
39.
|
In order to verify the compliance with points 49 and 50 of the CEEAG, please provide the following:
|
(a)
|
Please explain how the authorities ensure that the bidding process is open, clear, transparent and non-discriminatory, based on objective criteria, defined ex ante in accordance with the objective of the measure and minimising the risk of strategic bidding (point 49(a) of the CEEAG).
…
|
|
(b)
|
The selection criteria used for ranking the bids, and ultimately identifying the level of aid in the competitive bidding process. More specifically:
|
(i)
|
Please provide the list of the selection criteria and specify which of them are/are not directly or indirectly related to the main objectives of the measure(s). Please include their weighting.
…
|
|
(ii)
|
Please explain how the selection criteria put the contribution to the main objectives of the measure(s) in direct or indirect relation with the aid amount requested by the applicant. This may be expressed, for example, in terms of aid per unit of environmental protection (332) (point 50 of the CEEAG and footnote 44 of the CEEAG).
…
|
|
(iii)
|
In case there are other selection criteria that are not directly or indirectly related to the main objectives of the measure(s), please provide reasons for the proposed approach and explain how it is appropriate to the objectives pursued by the measure(s). Please also confirm that those criteria account for no more than 30 % of the weighting of all the selection criteria (point 50 of the CEEAG).
…
|
|
(iv)
|
Please explain how far in advance of each competitive bidding process the selection criteria will be published (point 49(b) and footnote 43 of the CEEAG).
…
|
|
|
(c)
|
Please explain the elements on which you based the assumption that the bidding process will be open and properly subscribed, i.e. that it can be expected that not all bidders will receive aid and that the number of expected bidders is sufficient to ensure effective competition for the duration of the scheme (point 49(c) of the CEEAG). In your explanation, please take into account the budget or volume of the scheme. Where relevant, please refer to the evidence provided in the replies under question 14.
…
|
|
(d)
|
Please provide information on the number of bidding rounds envisaged and expected number of bidders in the first round and over time.
…
|
|
(e)
|
In case of one or more undersubscribed bidding processes, please explain how the design of bidding processes will be corrected during the implementation of the scheme in order to restore effective competition, and when (point 49(c) of the CEEAG).
…
|
|
(f)
|
Please confirm that ex post adjustments to the bidding process outcome (such as subsequent negotiations on bid results or rationing) are avoided (point 49(d) of the CEEAG).
…
|
|
(g)
|
In case there is a possibility of ‘zero subsidy bids’, please explain how proportionality will be ensured (please see point 49, footnote 42, of the CEEAG).
…
|
|
(h)
|
Please clarify if the authorities foresee the use of price floors or caps in the competitive bidding process. In the affirmative, please justify their use and explain how they do not constrain the competitive bidding process (point 49 and footnote 42 of the CEEAG).
…
|
|
|
2.1.4.
|
Cumulation
To provide the information in this section, please refer to points 56-57 of the CEEAG.
|
|
40.
|
In as far as not already provided under Part I of the general notification form and in order to verify compliance with point 56 of the CEEAG, please clarify if the aid under the notified measure(s) may be awarded concurrently under several aid schemes or cumulated with ad hoc or de minimis aid in relation to the same eligible costs. If that is the case, please provide details on those aid schemes, ad hoc aid or de minimis aid and how the aid will be cumulated.
…
|
|
41.
|
If point 56 of the CEEAG is applicable, please justify how the total amount of aid granted under the notified measure(s) for a project or an activity does not lead to overcompensation or exceed the maximum aid amount allowed under section 4.2.4.2. of the CEEAG. For each measure that the aid granted under the notified aid measure(s) can be cumulated with, please specify the method used for ensuring compliance with the conditions set out in point 56 of the CEEAG.
…
|
|
42.
|
In case point 57 of the CEEAG is applicable, i.e. the aid granted under the notified measure(s) is combined with centrally managed Union funding (333) (that does not constitute State aid), please justify how the total amount of public funding granted in relation to the same eligible costs does not lead to overcompensation.
…
|
|
2.1.5.
|
Transparency
To provide the information in this section, please refer to section 3.2.1.4 (points 58-62) of the CEEAG.
|
|
43.
|
Please confirm that the Member State will comply with the requirements on transparency provided in points 58-61 of the CEEAG.
…
|
|
44.
|
Please provide the internet link where the full text of the approved aid scheme or the individual aid granting decision and its implementing provisions and information on each individual aid award granted ad hoc or under an aid scheme approved on the basis of the CEEAG and exceeding EUR 100 000 will be published.
…
|
|
2.2.
|
Avoidance of undue negative effects of the aid on competition and trade and balancing
To provide the information in this section, please refer to section 3.2.2 (points 63-70) and section 4.2.4.3 (points 154-157) of the CEEAG.
|
|
45.
|
In order to verify compliance with point 67 of the CEEAG, please provide information on the possible short and long-term negative effects of the notified measure(s) on competition and trade.
…
|
|
46.
|
Please explain if the measure falls under any of the following situations:
|
(a)
|
It concerns a market (or markets) where incumbents gained market power prior to market liberalisation;
…
|
|
(b)
|
It involves competitive bidding processes in nascent market(s), when there is a player with a strong market position;
…
|
|
(c)
|
It will only benefit one or a particularly limited number of beneficiaries.
…
|
|
|
47.
|
Should the aid measure focus on a specific technological choice/path, please justify the reason for the technological choice and that it will not discourage the deployment of cleaner technologies.
…
|
|
48.
|
Should the notified measure(s) only benefit one or a particularly limited number of beneficiaries, in order to verify compliance with point 68 of the CEEAG:
|
(a)
|
Please explain whether the notified measure(s) strengthens or maintains the market power of the beneficiary(ies) or discourages the expansion of existing competitors or induces their exit or discourages the entry of new competitors. Explain in this regard also whether the aid measure will lead to an increase in the production capacity of the beneficiary.
…
|
|
(b)
|
Describe the measure(s) put in place to limit the potential distortion of competition caused by granting the aid to the beneficiary(ies).
…
|
|
|
49.
|
In order to verify compliance with point 69 of the CEEAG, please explain:
|
(a)
|
If the aid granted under the notified measure(s) aims at preserving economic activity in one region or attracting it away from other regions within the internal market.
…
|
|
(b)
|
In the affirmative, please specify which is the net environmental effect of the notified measure(s) and how the notified measure(s) improves the existing level of environmental protection in the Member States.
…
|
|
(c)
|
How the aid granted under the notified measure(s) does not result in any manifestly negative effects on competition and trade.
…
|
|
(d)
|
In case of individual aid, the main drivers of the choice of the location for the investments by the beneficiary.
…
|
|
|
50.
|
In order to verify compliance with point 70 of the CEEAG:
|
(a)
|
Please confirm that aid may be granted under the notified scheme for a maximum period of 10 years from the date of the notification of the Commission’s decision declaring the aid compatible.
…
|
|
(b)
|
Please confirm that, should your authorities wish to extend the duration of the scheme beyond that maximum period, they will renotify the measure.
…
|
|
|
51.
|
If the aid is granted in the form of an endowment, equity, a guarantee or a loan to an energy efficiency fund or renewable energy fund or other financial intermediary, in order to verify compliance with point 157 of the CEEAG:
|
(a)
|
Please demonstrate that financial intermediaries or fund managers will be selected through an open, transparent and non-discriminatory process which is made in accordance with applicable Union and national laws;
…
|
|
(b)
|
Please demonstrate that conditions are in place to ensure that financial intermediaries, including energy efficiency funds or renewable energy funds, are managed on a commercial basis and will ensure profit-driven financing decisions;
…
|
|
(c)
|
Please demonstrate that the managers of the energy efficiency fund or renewable energy fund or other financial intermediaries are required to pass the advantage on to the largest extent possible to the final beneficiaries (the owner(s) or tenant(s) of the building), in the form of higher volumes of financing, lower collateral requirements, lower guarantee premiums or lower interest rates.
…
|
|
|
3.
|
WEIGHING THE POSITIVE EFFECTS OF THE AID AGAINST THE NEGATIVE EFFECTS ON COMPETITION AND TRADE
To provide the information in this section, please refer to section 3.3 (points 71-76) of the CEEAG.
|
|
52.
|
In order to verify compliance with point 72 of the CEEAG, please explain whether activities supported under the notified measure(s) meet the criteria for environmentally sustainable economic activities provided in Article 3 of the Regulation (EU) 2020/852 of the European Parliament and of the Council (334), including the ‘do no significant harm’ principle, or other comparable methodologies.
…
|
|
53.
|
(In case of competitive bidding process) Please explain if the notified measure(s) includes features to facilitate the participation of SMEs in competitive bidding processes. In the affirmative, please provide information on those features and justify how the positive effects of ensuring participation of SMEs in the notified measure(s) outweigh the possible distortive effects.
…
|
|
54.
|
In order to verify compliance with points 74 and 155-156 of the CEEAG:
|
(a)
|
Please clarify if investments in equipment using natural gas are eligible for aid under the notified measure(s). In the affirmative, please demonstrate that the aid will not displace investments into cleaner alternatives that are already available on the market or lock in certain technologies. Please also explain if the equipment using natural gas replaces energy equipment using most polluting fossil fuels such as oil and coal.
…
|
|
(b)
|
Please confirm that investments in equipment using polluting fossil fuels such as oil and coal are not eligible for aid under the notified measure(s). Please note that aid for the installation of equipment using fossil fuels such as oil and coal is considered to have negative effects on competition due to the greater carbon emissions linked to the use of fossil fuels, the significant risk of locking in fossil fuel technologies and of displacing investments into cleaner and more innovative alternatives available on the market.
…
|
|
Section C: Evaluation
To provide the information in this section, please refer to Section 5 (points 455-463) of the CEEAG.
|
55.
|
If the notified measure(s) exceed the budget/expenditure thresholds in point 456 of the CEEAG, please either explain why in your view the exception in point 457 of the CEEAG should apply, or else attach to this notification form an Annex that includes a draft evaluation plan covering the scope mentioned in point 458 of the CEEAG (335).
…
|
|
56.
|
If a draft evaluation plan is provided:
|
(a)
|
Please provide below a summary of that draft evaluation plan included in the Annex.
…
|
|
(b)
|
Please confirm that point 460 of the CEEAG will be respected.
…
|
|
(c)
|
Please provide the date and internet link where the evaluation plan will be publicly available.
…
|
|
|
57.
|
In order to verify compliance with point 459(b) of the CEEAG, in case the aid scheme is not currently subject to an ex post evaluation, and its duration exceeds three years, please confirm that you will notify a draft evaluation plan within 30 working days following a significant modification increasing the budget of the scheme to over EUR 150 million in any given year or EUR 750 million over the total duration of the scheme.
…
|
|
58.
|
In order to verify compliance with point 459(c) of the CEEAG, in case the aid scheme is not currently subject to an ex post evaluation, please provide below a commitment that the Member State will notify a draft evaluation plan within 30 working days after recording in official accounts expenditures in excess of EUR 150 million in the previous year.
…
|
|
59.
|
In order to verify the compliance with point 461 of the CEEAG:
|
(a)
|
Please clarify if the independent expert has already been selected or if it will be selected in the future.
…
|
|
(b)
|
Please provide information on the selection procedure of the expert.
…
|
|
(c)
|
Please justify how the expert is independent from the granting authority.
…
|
|
(d)
|
Please provide your proposed deadlines for the submission of the interim and final evaluation report. Please note that the final evaluation report must be submitted to the Commission in due time to allow for the assessment of the possible prolongation of the aid scheme and at the latest 9 months before its expiry, in line with point 463 of the CEEAG. Please note that that deadline could be reduced for schemes triggering the evaluation requirement in their last 2 years of implementation.
…
|
|
(e)
|
Please confirm that the interim and final evaluation report will be made public. Please provide the date and internet link where those reports will be publicly available.
…
|
|
Section D: Reporting and monitoring
To provide the information in this section, please refer to section 6 (points 464 and 465) of the CEEAG.
|
60.
|
Please confirm that the Member State will comply with the requirements for reporting and monitoring set out in Section 6, points 464 and 465, of the CEEAG.
…
|
PART III.6.C
Supplementary information sheet for State aid granted under the Guidelines on State aid for climate, environmental protection and energy 2022 (hereafter ‘CEEAG’) - Section 4.3.1 - Aid for the acquisition and leasing of clean vehicles and clean mobile service equipment and for the retrofitting of vehicles and mobile service equipment
This supplementary information sheet concerns measures covered in section 4.3.1 of the the CEEAG. If the notification includes measures that are covered by more than one section of the CEEAG, please once available also fill in the respective supplementary information sheet that concerns the respective section of the CEEAG.
All documents provided by Member States as annexes to this supplementary information sheet must be numbered and document numbers must be indicated in the relevant sections of this supplementary information sheet.
Section A: Summary of the main characteristics of the notified measure(s)
|
1.
|
Background and objective(s) of the notified measure(s).
|
|
1.1.
|
If not already discussed under section 5.2 of the General Information Form (Part I), please provide the background and the main objective, including any Union targets for the reduction of transport emissions that the measure is intended to support.
…
|
|
1.2.
|
Please indicate any other objectives pursued by the measure. For any objectives that are not purely environmental, please explain whether they may result in any distortions of competition in the internal market.
…
|
|
2.
|
Entry into force and duration:
|
|
2.1.
|
To the extent not already provided under section 5.5 of the General Information Form (Part I), please indicate the date as of which the aid scheme is planned to enter into force;
…
|
|
2.2.
|
Please indicate the duration of the scheme. (336)
…
|
|
3.1.
|
If not already provided under section 3 of the General Information Form (Part I), please describe the (potential) beneficiary(ies) of the measure(s);
…
|
|
3.2.
|
Please indicate the location of the (potential) beneficiary(ies) (i.e. if only economic entities located in the respective Member State or also in other Member States are eligible to participate in the measure).
…
|
|
3.3.
|
In order to assess the compliance with point 15 of the CEEAG, please specify if aid is granted under the measure(s) in favour of an undertaking (individual or part of a scheme) that is subject to an outstanding recovery order following a previous Commission decision declaring an aid illegal and incompatible with the internal market.
In the affirmative, please provide information on the amount of aid still to be recovered so that the Commission takes account of it in the assessment of the aid measure(s).
…
|
|
4.
|
Please confirm that the measure(s) does not involve aid to activities falling outside the scope of application of the CEEAG (see point 13 of the CEEAG). Otherwise, please provide details.
…
|
|
5.
|
Budget and financing of the measure(s).
|
|
5.1.
|
If not already mentioned in the table under section 7.1 of the General Information Form (Part I), please provide the yearly and/or total budget for the whole duration of the measure(s); if the total budget is not known (for instance because it depends on the results of tenders), please indicate an estimated budget, including the assumptions used to calculate the respective estimated budget. (337)
…
|
|
5.2.
|
if the measure is financed through a levy, please clarify if:
|
(a)
|
the levy is set by law or any other legislative act; in the affirmative, please provide the legal act, number and date when adopted and entered into force, the internet link to the legal act;
…
|
|
(b)
|
the levy is imposed equally on domestic and imported products;
…
|
|
(c)
|
the notified measure will benefit equally domestic and imported products;
…
|
|
(d)
|
the levy finances fully the measure or only partly. If the levy finances only partly the measure, indicate the other sources of financing of the measure and their respective proportion;
…
|
|
(e)
|
the levy financing the notified measure also finances other aid measures. If so, indicate the other aid measures financed by the concerned levy.
…
|
|
Section B: Compatibility assessment of the aid
|
1.
|
POSITIVE CONDITION: THE AID MUST FACILITATE THE DEVELOPMENT OF AN ECONOMIC ACTIVITY
|
|
1.1.
|
Contribution to the development of an economic activity
To provide the information in this section, please refer to section 3.1.1 (points 23-25) and sections 4.3.1.1 (points 160 and 161) and 4.3.1.2 (points 162 and 163) of the CEEAG.
|
|
6.
|
Article 107(3), point (c), of the Treaty on the Functioning of the European Union (’the Treaty’) provides that the Commission may declare compatible “aid to facilitate the development of certain economic activities or of certain economic areas, where such aid does not adversely affect trading conditions to an extent contrary to the common interest”. Therefore, compatible aid under that provision of the Treatymust contribute to the development of a certain economic activity.
In order to assess compliance with point 23 of the CEEAG, please identify the economic activities that will be facilitated as a result of the aid and how the development of those activities is supported.
…
|
|
7.
|
In order to assess compliance with point 25 of the CEEAG, please “describe if and how the aid will contribute to the achievement of objectives of Union climate policy, environmental policy and energy policy and more specifically, the expected benefits of the aid in terms of its material contribution to environmental protection, including climate change mitigation, or the efficient functioning of the internal energy market”.
…
|
|
8.
|
In addition, please highlight to what extent the aid relates to the policies described under points 160 and 161 of the CEEAG.
…
|
|
9.
|
Please describe the eligibility requirements applicable to the beneficiary(ies) (for instance by including any technical, environmental (i.e. permits), financial (i.e. collaterals) or other requirements that the beneficiary(ies) need to comply with).
…
|
|
10.
|
Please provide information on the precise scope and precise supported activities of the aid measure(s), as provided in section 4.3.1.2 (points 162 and 163) of the CEEAG.
…
|
|
1.2.
|
Incentive effect
To provide the information in this section, please refer to section 3.1.2 (points 26-32) and section 4.3.1.3 (points 164-169) of the CEEAG.
|
|
11.
|
Aid can be considered as facilitating an economic activity only if it has an incentive effect. In order to assess the compliance with point 26 of the CEEAG, please explain how the measure(s) “induces the beneficiary to change its behaviour, to engage in additional economic activity or in more environmentally-friendly economic activity, which it would not carry out without the aid or would carry out in a restricted or different manner”.
…
|
|
12.
|
Pursuant to point 28 of the CEEAG:
|
(a)
|
Please provide a comprehensive description of the factual scenario expected to result from the aid measure and the likely counterfactual scenario(s) absent the aid measure. (338) Where you expect that different categories of beneficiaries may be supported, please ensure that the counterfactual is credible for each of these categories. Please note that point 165 CEEAG requires the counterfactual scenario to be an investment with the same capacity, lifetime and, where appropriate, other relevant technical characteristics as the environmentally-friendly investment. Please note that points 165 to 169 CEEAG impose additional alternative requirements for the counterfactual:
|
(i)
|
Where the counterfactual scenario consists in the acquisition or the leasing of less environmentally-friendly vehicles or mobile service equipment of the same category and the same capacity as the zero-emission or clean vehicle, please demonstrate that the less environmentally-friendly vehicle or equipment is at least compliant with Union standards, where applicable.
…
|
|
(ii)
|
Where the counterfactual scenario consists in maintaining the existing vehicle or mobile service equipment in operation for a period corresponding to the lifetime of the environmentally-friendly investment, please note that the discounted maintenance, repair and modernisation costs over that period should be taken into account.
…
|
|
(iii)
|
Where the counterfactual scenario consists in a later replacement of the vehicle or mobile service equipment, please provide the discounted value of the vehicle or mobile service equipment in order to take into account the difference in the respective economic lifetime of the equipment.
…
|
|
(iv)
|
In the case of vehicles or mobile service equipment subject to leasing arrangements, please provide a comparison of the discounted value of the leasing of the clean vehicles or clean mobile service equipment with the discounted value of the leasing of the less environmentally-friendly vehicle or mobile service equipment that would be used in the absence of the aid.
…
|
|
(v)
|
Where the investment consists in adding equipment to an existing vehicle or mobile service equipment to improve its environmental performance (for example, retrofitting of pollution control systems), please explain if the counterfactual scenario consists in continuing using the vehicle without the retrofitting investment. In that case, the eligible costs may consist of the total investment costs.
…
|
|
|
(b)
|
Please briefly explain the rationale for the choice of the likely counterfactual scenario(s), in view of the proposed different categories of beneficiaries, if applicable.
…
|
|
(c)
|
Please quantify the costs and revenues of factual and counterfactual scenarios as follows:
|
(i)
|
Where aid is granted without a competitive bidding process, please justify the change of behaviour where relevant for each category of beneficiary, based on the respective reference project (339), the corresponding counterfactuals and resulting funding gap.
…
|
|
(ii)
|
Where aid is granted based on a competitive bidding process, please justify the change of behaviour (where relevant for each category of beneficiary/ reference project) using the same evidence as required under (c)(i) above, or alternatively provide relevant quantitative evidence based on market studies, investor plans, financial reports, or other quantitative evidence including bids made for similar projects in recent comparable competitive bidding processes. (340)
…
|
|
|
|
13.
|
In order to assess compliance with point 27 of the CEEAG, please provide information to confirm that the aid does not support the costs of an activity that the aid beneficiary would anyhow carry out and does not compensate for the normal business risk of an economic activity.
…
|
|
14.
|
In order to demonstrate compliance with points 29 and 31 of the CEEAG:
|
(a)
|
Please confirm that the start of works on the project or activity did not take place prior to a written aid application by the beneficiary to the national authorities;
OR
|
|
(b)
|
For projects that started before the aid application, please demonstrate that the project falls within one of the exceptional cases provided in point 31 of the CEEAG ((a), (b) or (c)).
…
|
|
|
15.
|
In order to demonstrate compliance with point 30 of the CEEAG, please confirm that the aid application includes at least the applicant’s name, a description of the project or activity, including its location, and the amount of aid needed to carry it out.
…
|
|
16.
|
In order to demonstrate compliance with point 32 of the CEEAG, please indicate if there are Union standards (341) applicable to the notified measure(s), mandatory national standards that are more stringent or ambitious than the corresponding Union standards, or mandatory national standards adopted in the absence of Union standards. In that context, please provide information to demonstrate the incentive effect.
…
|
|
17.
|
In cases where the relevant Union standard has already been adopted but is not yet in force, please demonstrate that the aid has an incentive effect because it incentivises the investment to be implemented and finalised at least 18 months before the standard enters into force.
…
|
|
1.3.
|
No breach of any relevant provision of Union law
To provide the information in this section, please refer to section 3.1.3 (point 33) of the CEEAG.
|
|
18.
|
Please provide information to confirm the compliance with the relevant provisions of EU law, in line with point 33 of the CEEAG.
…
|
|
19.
|
If a levy is used to finance the measure(s), please clarify if the assessment of compliance with Articles 30 and 110 of the Treaty needs to be carried out. In the affirmative, please demonstrate how the measure complies with the provisions of Articles 30 and 110 of the Treaty. In this context, the information submitted under question 5.2 above, where the notified measure(s) is financed through a levy can be referred to.
…
|
|
2.
|
NEGATIVE CONDITION: THE AID CANNOT UNDULY AFFECT TRADING CONDITIONS TO AN EXTENT CONTRARY TO THE COMMON INTEREST
|
|
2.1.
|
Minimisation of distortions of competition and trade
|
|
2.1.1.
|
Necessity of the aid
To provide the information in this section, please refer to section 3.2.1.1 (points 34-38) of the CEEAG.
|
|
20.
|
Please explain which market failure(s) your authorities have identified that prevent the achievement of a sufficient level of environmental protection. Please specify in which category the market failures identified fall, by making reference to letters (a), (b), (c) or (d) of point 34 of the CEEAG.
…
|
|
21.
|
In accordance with point 35 of the CEEAG, please provide information on any existing policies and measures that your authorities identified, which already target the identified regulatory or market failures.
…
|
|
22.
|
In order to demonstrate compliance with point 36 of the CEEAG, please provide information that demonstrates that the aid effectively targets residual market failures, also taking into account any other policies and measures already in place to address some of the market failures identified.
…
|
|
23.
|
In order to demonstrate compliance with point 37 of the CEEAG, please explain if, to your authorities’ knowledge, projects or activities similar to those covered by the notified measure(s) with respect to their technological content, level of risk and size, are already delivered within the Union at market conditions. In the affirmative, please provide further evidence to demonstrate the need for State aid.
…
|
|
24.
|
In order to demonstrate compliance with point 38 of the CEEAG, please refer to the quantitative evidence already provided under question 12(c) above.
…
|
|
2.1.2.
|
Appropriateness
To provide the information in this section, please refer to section 3.2.1.2 (points 39-46) and section 4.3.1.4.1 (point 171) of the CEEAG.
|
|
25.
|
In order to verify compliance with point 41 of the CEEAG, please demonstrate that the aid measure is designed in such a way as to not undermine the efficiency of other measures remedying the same market failure, such as market-based mechanisms (e.g., the EU ETS).
…
|
|
26.
|
In order to verify compliance with point 42 of the CEEAG, please confirm that none of the beneficiaries of the aid measure(s) could be held liable for the pollution under existing Union or national law (
‘polluter pays’ principle).
…
|
|
27.
|
In order to verify compliance with points 43 to 46 of the CEEAG, to demonstrate the appropriateness of the aid among different aid instruments, please provide the following information:
|
(a)
|
Please explain why other potentially less distortive forms of aid are less appropriate, as required in point 44 of the CEEAG. Less distortive forms of aid may be repayable advances as compared to direct grants; tax credits as compared to tax reductions; or forms of aid that are based on financial instruments, such as debt as compared to equity instruments, including, for example, low-interest loans or interest rebates, State guarantees, or an alternative provision of financing on favourable terms.
…
|
|
(b)
|
Please demonstrate that the choice of the aid instrument is appropriate to the market failure that the aid measure(s) aims to address, as required in point 45 of the CEEAG.
…
|
|
(c)
|
Please explain how the aid measure and its design are appropriate to achieve the objective of the measure at which the aid is targeted (point 46 of the CEEAG).
…
|
|
|
28.
|
In order to verify compliance with points 40 and 171 of the CEEAG, please explain whether other types of interventions than State aid could not stimulate the development of the clean mobility market and describe their expected impact compared to that of the proposed measure. Such other types of interventions may include the introduction of general measures aimed at promoting the acquisition of clean vehicles such as ecological bonus schemes or scrappage schemes or the creation of low-emission zones in the Member State concerned
…
|
|
2.1.3.
|
Proportionality
To provide the information in this section, please refer to section 3.2.1.3 (points 47-55) and section 4.3.1.4.2 (points 172-181) of the CEEAG. Please note that the following two sections 2.1.3.1. and 2.1.3.2. are alternative. Please provide replies only to the applicable section, depending on the design of the proposed measure.
|
|
2.1.3.1.
|
Proportionality of aid granted through a competitive bidding process
To provide the information in this section, please refer to points 49, 50, 173, 174 and 175 of the CEEAG.
|
|
29.
|
In order to verify compliance with points 49, 50 and 173 of the CEEAG, please provide the following:
|
(a)
|
Please explain how the authorities ensure that the bidding process is open, clear, transparent and non-discriminatory, based on objective criteria, defined ex ante in accordance with the objective of the measure and minimising the risk of strategic bidding (point 49(a) of the CEEAG).
…
|
|
(b)
|
The selection criteria used for ranking the bids, and ultimately identifying the level of aid in the competitive bidding process. More specifically:
|
(i)
|
Please provide the list of the selection criteria and specify which of them are/are not directly or indirectly related to the main objectives of the measure(s). Please include their weighting.
…
|
|
(ii)
|
Please explain how the selection criteria put the contribution to the main objectives of the measure(s) in direct or indirect relation with the aid amount requested by the applicant. This may be expressed, for example, in terms of aid per unit of environmental protection or aid per clean or zero-emission vehicle (point 50 and footnote 44 of the CEEAG).
…
|
|
(iii)
|
In case there are other selection criteria that are not directly or indirectly related to the main objectives of the measure(s), please provide reasons for the proposed approach and explain how it is appropriate to the objectives pursued by the measure(s). Please also confirm that those criteria account for no more than 30 % of the weighting of all the selection criteria (point 50 and 174 of the CEEAG).
…
|
|
(iv)
|
Please explain how far in advance of the deadline for submitting applications in each competitive bidding process the selection criteria will be published (point 49(b) and footnote 43 of the CEEAG).
…
|
|
|
(c)
|
Please explain the elements on which you based the assumption that the bidding process will be open and properly subscribed, i.e. that it can be expected that not all bidders will receive aid and that the number of expected bidders is sufficient to ensure effective competition for the duration of the scheme (point 49(c) of the CEEAG). In your explanation, please take into account the budget or volume of the scheme. Where relevant, please refer to the evidence provided in the replies under question 12.
…
|
|
(d)
|
Please provide information on the number of bidding rounds envisaged and expected number of bidders in the first round and over time.
…
|
|
(e)
|
In case of one or more undersubscribed bidding processes, please explain how the design of bidding processes will be corrected during the implementation of the scheme in order to restore effective competition, and when (point 49(c) of the CEEAG).
…
|
|
(f)
|
Please confirm that ex post adjustments to the bidding process outcome (such as subsequent negotiations on bid results or rationing) are avoided (point 49(d) of the CEEAG).
…
|
|
(g)
|
In case there is a possibility of ‘zero subsidy bids’, please explain how proportionality will be ensured (please see point 49, footnote 42 of the CEEAG).
…
|
|
(h)
|
Please clarify if the authorities foresee the use of price floors or caps in the competitive bidding process. In the affirmative, please justify their use and explain how they do not constrain the competitive bidding process (point 49 and footnote 42 of the CEEAG).
…
|
|
|
30.
|
Please explain how the competitive bidding procedure’s design ensures that sufficient incentives remain for applicants to bid for projects concerning the acquisition of zero-emission vehicles, which are generally more expensive than less environmentally friendly alternatives, insofar as these are available for that transport mode. For instance, please explain if the competitive bidding design includes premiums allowing a higher score to be assigned to projects bringing environmental benefits beyond those deriving from the eligibility requirements or the primary objective of the measure (point 175 of the CEEAG).
…
|
|
2.1.3.2.
|
Proportionality of aid not granted through a competitive bidding process
To provide the information in this section, please refer to points 51-55 and 176-181 of the CEEAG.
|
|
31.
|
Please explain why a competitive bidding process is not used (by reference to the exceptions set out in point 176 of the CEEAG):
|
(a)
|
the expected number of participants is not sufficient to ensure effective competition or avoid strategic bidding; OR
|
|
(b)
|
a competitive bidding process, as described in points 49 and 50, is not appropriate to ensure the proportionality of the aid and that using the alternative methods in points 177 to 180 CEEAG to demonstrate proportionality would not increase the risk of undue distortions of competition, depending on the characteristics of the measure or of the sectors or transport modes concerned; OR
|
|
(c)
|
the aid is granted for the acquisition or leasing of vehicles intended for use by undertakings active in the sector of public passenger transport by land, rail or water.
…
|
|
|
32.
|
Please identify the net extra costs of the investment. These are calculated as the difference, on the one hand, between the total cost of ownership of the clean vehicle foreseen to be acquired or leased, and on the other hand the total cost of ownership in the counterfactual scenario, excluding costs that are not directly linked to the achievement of a higher level of environmental protection. As regards the retrofitting of vehicles or mobile service equipment, the eligible costs may be the total costs of the retrofitting provided that in the counterfactual scenario the vehicles or mobile service equipment retain the same economic life in the absence of the retrofitting (points 178-179 of the CEEAG).
…
|
|
33.
|
Please indicate the maximum aid intensities applicable under the measure and indicate whether any bonuses (as described in point 177 of the CEEAG) apply.
…
|
|
34.
|
If by way of derogation from points 177-179 of the CEEAG, it is considered that aid beyond the maximum aid intensities set under point 177 of the CEEAG is required, please indicate the level of aid considered to be necessary and justify it on the basis of a funding gap analysis for reference projects in the factual and counterfactual scenarios as identified in reply to question 12(c)(i) above, in line with points 51-52 of the CEEAG.
For this funding gap analysis, please submit a quantification, for the factual scenario and a realistic counterfactual scenario (342) identified in reply to question 12 above, of all main costs and revenues, the estimated weighted average cost of capital (WACC) of the beneficiaries (or reference projects) to discount future cash flows, as well as the net present value (NPV) for the factual and counterfactual scenarios, over the lifetime of the project/reference project.
|
(a)
|
Please provide this in an Annex to this notification form (using an Excel file where all formulas are visible).
…
|
|
(b)
|
Please include detailed information on the assumptions, methodologies, rationale and underlying sources thereof, used for each aspect of the quantification of costs and revenues in the factual scenario and the likely counterfactual scenario (for instance please include the assumptions used to develop those scenarios and the source/rationale for these assumptions).
…
|
|
(c)
|
For cases of individual aid and schemes benefitting a particularly limited number of beneficiaries, the Member State needs to present the supporting evidence at the level of the detailed project business plan.
For cases of aid schemes, the Member State needs to present the supporting evidence on the basis of one or more reference projects.
…
|
|
(d)
|
You may also attach to this notification form the documents mentioned in footnote 39 of the CEEAG. Board documents may be particularly useful for individual aid measures or schemes benefitting a particularly limited number of beneficiaries. If such documents are attached to the notification form, please provide below a list of those documents, specifying the author, the date when they were drafted and the context when they were used.
…
|
|
|
35.
|
Please also demonstrate that the application of a higher aid determined as indicated in question 34 would not result in aid exceeding the funding gap.
…
|
|
36.
|
In case point 52 of the CEEAG is applicable, i.e. the most likely counterfactual scenario consists in the beneficiary not carrying out an activity or investment, or continuing its business without changes, please provide evidence to support this assumption (343).
…
|
|
37.
|
In all case where the proportionality is justified by reference to a funding gap analysis, please also confirm that your authorities will conduct an ex post monitoring to verify the assumptions made about the level of aid required and put in place a claw-back mechanism. Please also describe the monitoring and claw-back mechanism that your authorities intend to apply (point 180 CEEAG).
…
|
|
2.1.4.
|
Cumulation
To provide the information in this section, please refer to points 56-57 of the CEEAG.
|
|
38.
|
In as far as not already provided under Part I of the general notification form and in order to verify compliance with point 56 of the CEEAG, please clarify if the aid under the notified measure(s) may be awarded concurrently under several aid schemes or cumulated with ad hoc or de minimis aid in relation to the same eligible costs. If that is the case, please provide details on those aid schemes, ad hoc aid or de minimis aid and how the aid will be cumulated.
…
|
|
39.
|
If point 56 of the CEEAG is applicable, please justify how the total amount of aid granted under the notified measure(s) for a project or an activity does not lead to overcompensation or exceed the maximum aid amount allowed under point 173, point 177 or point 180 of the CEEAG. For each measure that the aid granted under the notified aid measure(s) can be cumulated with, please specify the method used for ensuring compliance with the conditions set out in point 56 of the CEEAG.
…
|
|
40.
|
In case point 57 of the CEEAG is applicable, i.e. the aid granted under the notified measure(s) is combined with centrally managed Union funding (344) (that does not constitute State aid), please justify how the total amount of public funding granted in relation to the same eligible costs does not lead to overcompensation.
…
|
|
2.1.5.
|
Transparency
To provide the information in this section, please refer to section 3.2.1.4 (points 58-61) of the CEEAG.
|
|
41.
|
Please confirm that the Member State will comply with the requirements on transparency provided in points 58-61 of the CEEAG.
…
|
|
42.
|
Please provide the internet link where the full text of the approved aid scheme or the individual aid granting decision and its implementing provisions and information on each individual aid award granted ad hoc or under an aid scheme approved on the basis of the CEEAG and exceeding EUR 100 000 will be published.
…
|
|
2.2.
|
Avoidance of undue negative effects on competition and trade and balancing
To provide the information in this section, please refer to section 3.2.2 (points 63-70) and section 4.3.1.5. (points 183-189) of the CEEAG.
|
|
43.
|
In order to verify compliance with point 67 of the CEEAG, please provide information on the possible short and long-term negative effects of the notified measure(s) on competition and trade.
…
|
|
44.
|
Please explain if the measure falls under any of the following situations:
|
(a)
|
It concerns a market (or markets) where incumbents gained market power prior to market liberalisation;
…
|
|
(b)
|
It involves competitive bidding processes in nascent market(s), when there is a player with a strong market position;
…
|
|
(c)
|
It will only benefit one or a particularly limited number of beneficiaries.
…
|
|
|
45.
|
Should the aid measure focus on a specific technological choice/path, please justify the reason for the technological choice and that it will not discourage the deployment of cleaner technologies.
…
|
|
46.
|
If the notified measure(s) will only benefit one or a particularly limited number of beneficiaries, in order to verify compliance with point 68 of the CEEAG, please:
|
(a)
|
Explain whether the notified measure(s) strengthens or maintains the market power of the beneficiary/-ies or discourages the expansion of existing competitors or induces their exit or discourages the entry of new competitors. Explain in this regard also whether the aid measure will lead to an increase in the production capacity of the beneficiary.
…
|
|
(b)
|
Describe the measures put in place to limit the potential distortion of competition caused by granting the aid to the beneficiary/-ies.
…
|
|
|
47.
|
In order to verify compliance with point 69 of the CEEAG, please explain:
|
(a)
|
If the aid granted under the notified measure(s) aims at preserving economic activity in one region or attracting it away from other regions within the internal market.
…
|
|
(b)
|
In the affirmative, please specify which is the net environmental effect of the notified measure(s) and how the notified measure(s) improves the existing level of environmental protection in the Member States.
…
|
|
(c)
|
How the aid granted under the notified measure(s) does not result in any manifestly negative effects on competition and trade.
…
|
|
(d)
|
In case of individual aid, the main drivers of the choice of the location for the investments by the beneficiary.
…
|
|
|
48.
|
In order to verify compliance with point 70 of the CEEAG:
|
(a)
|
Please confirm that aid may be granted under the notified scheme for a maximum period of 10 years from the date of the notification of the Commission’s decision declaring the aid compatible.
…
|
|
(b)
|
Please confirm that, should your authorities wish to extend the duration of the scheme beyond that maximum period, they will renotify the measure.
…
|
|
|
49.
|
If the notified measure(s) may incentivise new investments in vehicles and mobile service equipment using natural gas, explain how the measure can be regarded as not having long term lock-in effects and not displacing investments into cleaner alternatives. Therefore, for aid for the acquisition or leasing of CNG and LNG vehicles for waterborne transport and mobile service equipment, please demonstrate that cleaner alternatives to decarbonise the relevant transport mode are not readily available on the market and are not expected to be available in the short term. To this end, please consider a period of between 2 to 5 years following the notification of the aid measure (or a different period, if duly justified) and submit supporting independent market studies or any other appropriate evidence.
…
|
|
50.
|
If the notified measure may incentivise investments in clean aircraft (other than zero-emission aircraft) using fossil fuels, please demonstrate that the aid contributes to the market introduction or accelerated uptake of new, more efficient and substantially more environmentally-friendly aircraft. Please also explain how such investments are in line with a pathway towards climate neutrality, and how the measure avoids the risk of lock in of conventional technologies and displacement of investments into cleaner alternatives.
…
|
|
51.
|
If the measure concerns the air transport service, explain whether your authorities intend to require that the beneficiary decommissions an equivalent number of less environmentally-friendly aircraft of a similar take-off mass as the aircraft acquired or leased with State aid, to mitigate potentially distortive effects of the aid having regard to the market positon of the beneficiary or to increase the positive effects of the aid measure.
…
|
|
52.
|
In relation to aid for the acquisition or leasing of vehicles or mobile service equipment, please explain whether bringing into service new vehicles would result in or aggravate existing market failures, such as overcapacity in the sector concerned.
…
|
|
53.
|
If the notified measure grants targeted support to an individual beneficiary or a limited number of specific beneficiaries in the absence of competitive bidding, please justify the measure’s design and the reasons why it is not open to all competitors willing to deliver the same service, product or benefit and demonstrate it duly addresses the higher risks of competition distortion.
…
|
|
3.
|
WEIGHING THE POSITIVE EFFECTS OF THE AID AGAINST THE NEGATIVE EFFECTS ON COMPETITION AND TRADE
To provide the information in this section, please refer to section 3.3 (points 71-76) of the CEEAG.
|
|
54.
|
In order to verify compliance with point 72 of the CEEAG, please explain whether activities supported under the notified measure meet the criteria for environmentally sustainable economic activities provided in Article 3 of the Regulation (EU) 2020/852 of the European Parliament and of the Council (345), including the ‘do no significant harm’ principle, or other comparable methodologies.
…
|
|
55.
|
(In case of competitive bidding process) Please explain if the notified measure(s) includes features to facilitate the participation of SMEs in competitive bidding processes. In the affirmative, please provide information on those features and justify how the positive effects of ensuring participation of SMEs in the notified measure(s) outweigh the possible distortive effects.
…
|
Section C: Evaluation
To provide the information in this section, please refer to Section 5 (points 455-463) of the CEEAG.
|
56.
|
If the notified measure(s) exceed the budget/expenditure thresholds in point 456 of the CEEAG, please either explain why in your view the exception in point 457 of the CEEAG should apply, or attach to this notification form an Annex that includes a draft evaluation plan covering the scope mentioned in point 458 of the CEEAG (346).
…
|
|
57.
|
If a draft evaluation plan is provided, please:
|
(a)
|
provide below a summary of that draft evaluation plan included in the Annex.
…
|
|
(b)
|
confirm that point 460 of the CEEAG will be respected.
…
|
|
(c)
|
provide the date and internet link where the evaluation plan will be publicly available.
…
|
|
|
58.
|
In order to verify compliance with point 459(b) of the CEEAG, in case the aid scheme is not currently subject to an ex post evaluation and its duration exceeds three years, please confirm that you will notify a draft evaluation plan within 30 working days following a significant modification increasing the budget of the scheme to over EUR 150 million in any given year or EUR 750 million over the total duration of the scheme.
…
|
|
59.
|
In order to verify compliance with point 459(c) of the CEEAG, in case the aid scheme is not currently subject to an ex post evaluation, please provide below a commitment that the Member State will notify a draft evaluation plan within 30 working days after recording in official accounts expenditures in excess of EUR 150 million in the previous year.
…
|
|
60.
|
In order to verify compliance with point 461 of the CEEAG:
|
(a)
|
Please clarify if the independent expert has already been selected or if it will be selected in the future.
…
|
|
(b)
|
Please provide information on the selection procedure of the expert.
…
|
|
(c)
|
Please justify how the expert is independent from the granting authority.
…
|
|
|
61.
|
In order to verify compliance with point 461 of the CEEAG:
|
(a)
|
Please provide your proposed deadlines for the submission of the interim and final evaluation report. Please note that the final evaluation report must be submitted to the Commission in due time to allow for the assessment of the possible prolongation of the aid scheme and at the latest 9 months before its expiry, in line with point 463 of the CEEAG. Please note that that deadline could be reduced for schemes triggering the evaluation requirement in their last 2 years of implementation.
…
|
|
(b)
|
Please confirm that the interim and final evaluation report will be made public. Please provide the date and internet link where those reports will be publicly available.
…
|
|
Section D: Reporting and monitoring
To provide the information in this section, please refer to Section 6 (points 464-465) of the CEEAG.
|
62.
|
Please confirm that the Member State will comply with the requirements for reporting and monitoring set out in Section 6, points 464 and 465, of the CEEAG.
…
|
PART III.6.D
Supplementary information sheet for State aid granted under the Guidelines on State aid for climate, environmental protection and energy 2022 (hereafter ‘CEEAG’) - Section 4.3.2 - Aid for the deployment of recharging or refuelling infrastructure
This supplementary information sheet concerns measures covered in Section 4.3.2 of the CEEAG. If the notification includes measures that are covered by more than one section of the CEEAG, please once available also fill in the respective supplementary information sheet that concerns the respective section of the CEEAG.
All documents provided by Member States as annexes to this supplementary information sheet must be numbered and document numbers must be indicated in the relevant sections of this supplementary information sheet.
Section A: Summary of the main characteristics of the notified measure(s)
|
1.
|
Background and objective(s) of the notified measure(s).
|
|
1.1.
|
If not already discussed under section 5.2 of the General Information Form (Part. I), please provide the background and the main objective, including any Union targets for reduction of transport emissions that the measure is intended to support.
…
|
|
1.2.
|
Please indicate any other objectives pursued by the measure. For any objectives that are not purely environmental, please explain whether they may result in any distortions of competition in the internal market.
…
|
|
2.
|
Entry into force and duration:
|
|
2.1.
|
To the extent not already provided under section 5.5 of the General Information Form (Part I), please indicate the date as of which the aid scheme is planned to enter into force.
…
|
|
2.2.
|
Please indicate the duration of the scheme. (347)
…
|
|
3.1.
|
If not already provided under section 3 of the General Information Form (Part I), please describe the (potential) beneficiary(ies) of the measure(s);
…
|
|
3.2.
|
Please indicate the location of the (potential) beneficiary(ies) (i.e. if only economic entities located in the respective Member States or also in other Member States are eligible to participate in the measure).
…
|
|
3.3.
|
In order to assess the compliance with point 15 of the CEEAG, please specify if aid is granted under the measure(s) in favour of an undertaking (individual or part of a scheme) that is subject to an outstanding recovery order following a previous Commission decision declaring an aid illegal and incompatible with the internal market.
In the affirmative, please provide information on the amount of aid still to be recovered so that the Commission takes account of it in the assessment of the aid measure(s).
…
|
|
4.
|
Please confirm that the measure(s) does not involve aid to activities falling outside the scope of application of the CEEAG (see point 13 of the CEEAG). Otherwise, please provide details.
…
|
|
5.
|
Budget and financing of the measure(s).
|
|
5.1.
|
If not already mentioned in the table under section 7.1 of the General Information Form (Part I), please provide the yearly and/or total budget for the whole duration of the measure(s); if the total budget is not known (for instance because it depends on the results of tenders), please indicate an estimated budget, including the assumptions used to calculate the respective estimated budget. (348)
…
|
|
5.2.
|
if the measure is financed through a levy, please clarify if:
|
(a)
|
the levy is set by law or any other legislative act; in the affirmative, please provide the legal act, number and date when adopted and entered into force, the internet link to the legal act;
…
|
|
(b)
|
the levy is imposed equally on domestic and imported products;
…
|
|
(c)
|
the notified measure will benefit equally domestic and imported products ;
…
|
|
(d)
|
the levy finances fully the measure or only partly. If the levy finances only partly the measure, indicate the other sources of financing of the measure and their respective proportion;
…
|
|
(e)
|
the levy financing the notified measure also finances other aid measures. If so, indicate the other aid measures financed by the concerned levy.
…
|
|
Section B: Compatibility assessment of the aid
|
1.
|
POSITIVE CONDITION: THE AID MUST FACILITATE THE DEVELOPMENT OF AN ECONOMIC ACTIVITY
|
|
1.1.
|
Contribution to the development of an economic activity
To provide the information in this section, please refer to section 3.1.1 (points 23-25) and sections 4.3.2.1 (points 190 and 191) and 4.3.2.2 (points 192 and 193) of the CEEAG.
|
|
6.
|
Article 107(3), point (c), of the Treaty provides that the Commission may declare compatible “aid to facilitate the development of certain economic activities or of certain economic areas, where such aid does not adversely affect trading conditions to an extent contrary to the common interest”. Therefore, compatible aid under that provision of the Treatymust contribute to the development of a certain economic activity.
In order to assess compliance with point 23 of the CEEAG, please identify the economic activities that will be facilitated as a result of the aid and how the development of those activities is supported.
…
|
|
7.
|
In order to assess compliance with point 25 of the CEEAG please “describe if and how the aid will contribute to the achievement of objectives of Union climate policy, environmental policy and energy policy and more specifically, the expected benefits of the aid in terms of its material contribution to environmental protection, including climate change mitigation, or the efficient functioning of the internal energy market”.
…
|
|
8.
|
In addition, please highlight to what extent the aid relates to the policies described under points 190 and 191 of the CEEAG.
…
|
|
9.
|
Please describe the eligibility requirements applicable to the beneficiary(ies) (for instance by pointing to any technical, environmental (i.e. permits), financial (i.e. collaterals) or other requirements that the beneficiary(ies) need to comply with).
…
|
|
10.
|
Please provide information on the precise scope and precise supported activities of the aid measure(s), as provided in section 4.3.2.2 (points 192 and 193) of the CEEAG.
…
|
|
1.2.
|
Incentive effect
To provide the information in this section, please refer to section 3.1.2 (points 26-32) of the CEEAG.
|
|
11.
|
Aid can be considered as facilitating an economic activity only if it has an incentive effect. In order to assess the compliance with point 26 of the CEEAG, please explain how the measure(s) “induces the beneficiary to change its behaviour, to engage in additional economic activity or in more environmentally-friendly economic activity, which it would not carry out without the aid or would carry out in a restricted or different manner”.
…
|
|
12.
|
Pursuant to point 28 of the CEEAG:
|
(a)
|
Please provide a comprehensive description of the factual scenario expected to result from the aid measure and the likely counterfactual scenario(s) absent the aid measure. (349) Where you expect that different categories of beneficiaries may be supported, please ensure that the counterfactual is credible for each of these categories.
…
|
|
(b)
|
Please briefly explain the rationale for the choice of the likely counterfactual scenario(s), in view of the proposed different categories of beneficiaries if applicable.
…
|
|
(c)
|
Please quantify the costs and revenues of factual and counterfactual scenarios as follows:
|
(i)
|
Where aid is granted without a competitive bidding process, please justify the change of behaviour where relevant for each category of beneficiary, based on the respective reference project (350), the corresponding counterfactuals and resulting funding gap.
…
|
|
(ii)
|
Where aid is granted based on a competitive bidding process, please justify the change of behaviour (where relevant for each category of beneficiary/ reference project) using the same evidence as required under (a) above, or alternatively provide relevant quantitative evidence based on market studies, investor plans, financial reports, or other quantitative evidence including bids made for similar projects in recent comparable competitive bidding processes. (351)
…
|
|
|
|
13.
|
In order to assess compliance with point 27 of the CEEAG, please provide information to confirm that the aid does not support the costs of an activity that the aid beneficiary would anyhow carry out and does not compensate for the normal business risk of an economic activity.
…
|
|
14.
|
In order to demonstrate compliance with points 29 and 31 of the CEEAG:
|
(a)
|
Please confirm that the start of works on the project or activity did not take place prior to a written aid application by the beneficiary to the national authorities;
…
OR
|
|
(b)
|
For projects that started before the aid application, please demonstrate that the project falls within one of the exceptional cases provided in point 31 of the CEEAG ((a), (b) or (c)).
…
|
|
|
15.
|
In order to demonstrate compliance with point 30 of the CEEAG, please confirm that the aid application includes at least the applicant’s name, a description of the project or activity, including its location, and the amount of aid needed to carry it out.
…
|
|
16.
|
In order to demonstrate compliance with point 32 of the CEEAG, please indicate if there are Union standards (352) applicable to the notified measure(s), mandatory national standards that are more stringent or ambitious than the corresponding Union standards, or mandatory national standards adopted in the absence of Union standards. In that context, please provide information to demonstrate the incentive effect.
…
|
|
17.
|
In cases where the relevant Union standard has already been adopted but is not yet in force, please demonstrate that the aid has an incentive effect because it incentivises the investment to be implemented and finalised at least 18 months before the standard enters into force.
…
|
|
1.3.
|
No breach of any relevant provision of Union law
To provide the information in this section, please refer to section 3.1.3 (point 33) of the CEEAG.
|
|
18.
|
Please provide information to confirm the compliance with the relevant provisions of EU law, in line with point 33 of the CEEAG.
…
|
|
19.
|
If a levy is used to finance the measure(s), please clarify if the assessment of compliance with Articles 30 and 110 of the Treaty needs to be carried out. In the affirmative, please demonstrate how the measure complies with the provisions of Articles 30 and 110 of the Treaty. In this context, the information submitted under question 5.2 above, where the notified measure(s) is financed through a levy can be referred to.
…
|
|
2.
|
NEGATIVE CONDITION: THE AID CANNOT UNDULY AFFECT TRADING CONDITIONS TO AN EXTENT CONTRARY TO THE COMMON INTEREST
|
|
2.1.
|
Minimisation of distortions of competition and trade
|
|
2.1.1.
|
Necessity of the aid
To provide the information in this section, please refer to section 4.3.2.3.1 (points 194 and 195) of the CEEAG.
|
|
20.
|
Please explain whether and how it has been verified that aid is necessary to incentivise the deployment of recharging or refuelling infrastructure of the same category as the infrastructure that would be deployed with State aid, in that similar infrastructure is not likely to be developed on commercial terms in the short term. This can be demonstrated by reference to an ex ante open public consultation, an independent market study or based on any other appropriate evidence as set out in Section 3.2.1.1 of the CEEAG. Where applicable, please provide information on the impact of an ETS. Please provide the supporting documents.
…
|
|
21.
|
If the supported recharging or refuelling infrastructure will be open for access by users other than the aid beneficiary or beneficiaries, please indicate (i) the level of market penetration of the clean vehicles that the infrastructure would serve as compared to the total fleet of registered vehicles in your Member State; and/or (ii) the traffic volumes in the region or regions concerned by the measure.
…
|
|
2.1.2.
|
Appropriateness
To provide the information in this section, please refer to section 3.2.1.2 (points 39-46) and section 4.3.2.3.2 (points 196 and 197) of the CEEAG.
|
|
22.
|
In order to verify compliance with point 41 of the CEEAG, please demonstrate that the aid measure is designed in such a way as to not undermine the efficiency of other measures remedying the same market failure, such as market-based mechanisms (e.g, the EU ETS).
…
|
|
23.
|
In order to verify compliance with point 42 of the CEEAG, please confirm that none of the beneficiaries of the aid measure(s) could be held liable for the pollution under existing Union or national law (
‘polluter pays’ principle).
…
|
|
24.
|
In order to verify compliance with points 43 to 46 of the CEEAG, to demonstrate the appropriateness of the aid among different aid instruments, please provide the following information:
|
(a)
|
Please explain why other potentially less distortive forms of aid are less appropriate, as required in point 44 of the CEEAG. Less distortive forms of aid may be repayable advances as compared to direct grants; tax credits as compared to tax reductions; or forms of aid that are based on financial instruments, such as debt as compared to equity instruments, including, for example, low-interest loans or interest rebates, State guarantees, or an alternative provision of financing on favourable terms.
…
|
|
(b)
|
Please demonstrate that the choice of the aid instrument is appropriate to the market failure that the aid measure(s) aims to address, as required in point 45 of the CEEAG.
…
|
|
(c)
|
Please explain how the aid measure and its design are appropriate to achieve the objective of the measure at which the aid is targeted (point 46 of the CEEAG).
…
|
|
|
25.
|
In order to verify compliance with point 197 of the CEEAG, please explain whether regulatory (including new) interventions could not stimulate the shift towards clean mobility and describe their expected impact compared to that of the proposed measure.
…
|
|
2.1.3.
|
Proportionality
To provide the information in this section, please refer to section 4.3.2.3.3 (points198-204) of the CEEAG. Please note that the following two sections 2.1.3.1. and 2.1.3.2. are alternative. Please provide replies only to the applicable section, depending on the design of the proposed measure.
|
|
2.1.3.1.
|
Proportionality of aid granted through a competitive bidding process
To provide the information in this section, please refer to points 49, 50 and 199 of the CEEAG.
|
|
26.
|
In order to verify compliance with points 49 and 50 and 199 of the CEEAG, please provide the following:
|
(a)
|
Please explain how the authorities ensure that the bidding process is open, clear, transparent and non-discriminatory based on objective criteria, defined ex ante in accordance with the objective of the measure and minimising the risk of strategic bidding (point 49(a) of the CEEAG).
…
|
|
(b)
|
The selection criteria used for ranking the bids, and ultimately identifying the level of aid in the competitive bidding process. More specifically:
|
(i)
|
Please provide the list of the selection criteria and specify which of them are/are not directly or indirectly related to the main objectives of the measure(s). Please include their weighting.
…
|
|
(ii)
|
Please explain how the selection criteria put the contribution to the main objectives of the measure(s) in direct or indirect relation with the aid amount requested by the applicant. This may be expressed, for example, in terms of aid per unit of environmental protection or aid per recharging or refuelling point (point 50 and footnote 44 of the CEEAG).
…
|
|
(iii)
|
In case there are other selection criteria that are not directly or indirectly related to the main objectives of the measure(s), please provide reasons for the proposed approach and explain how it is appropriate to the objectives pursued by the measure(s). Please also confirm that those criteria account for no more than 30 % of the weighting of all the selection criteria (point 50 and 199 of the CEEAG).
…
|
|
(iv)
|
Please explain how far in advance of the deadline for submitting applications in each competitive bidding process the selection criteria will be published (point 49(b) and footnote 43 of the CEEAG).
…
|
|
|
(c)
|
Please explain the elements on which you based the assumption that the bidding process will be open and properly subscribed, i.e. that it can be expected that not all bidders will receive aid and that the number of expected bidders is sufficient to ensure effective competition for the duration of the scheme (point 49(c) of the CEEAG). In your explanation, please take into account the budget or volume of the scheme. Where relevant, please refer to the evidence provided in the replies to question 12 (c)(ii) above.
…
|
|
(d)
|
Please provide information on the number of bidding rounds envisaged and expected number of bidders in the first round and over time.
…
|
|
(e)
|
In case of one or more undersubscribed bidding processes, please explain how the design of bidding processes will be corrected during the implementation of the scheme in order to restore effective competition and when (point 49(c) of the CEEAG).
…
|
|
(f)
|
Please confirm that ex post adjustments to the bidding process outcome (such as subsequent negotiations on bid results or rationing) are avoided (point 49(d) of the CEEAG).
…
|
|
(g)
|
In case there is a possibility of ‘zero subsidy bids’, please explain how proportionality will be ensured (please see point 49, footnote 42, of the CEEAG).
…
|
|
(h)
|
Please clarify if the authorities foresee the use of price floors or caps in the competitive bidding process. In the affirmative, please justify their use and explain how they do not constrain the competitive bidding process (point 49 and footnote 42 of the CEEAG). If bid caps are used, please justify their levels by reference to the quantification of costs and revenues of reference projects as per question 12 (c)(ii) above.
…
|
|
|
27.
|
Please explain how the competitive bidding procedure’s design ensures that sufficient incentives remain for applicants to bid for projects concerning recharging or refuelling infrastructure supplying only renewable electricity or renewable hydrogen. For instance, please explain if the competitive bidding design includes premiums allowing a higher score to be assigned to projects bringing environmental benefits beyond those deriving from the eligibility requirements or the primary objective of the measure (point 199 of the CEEAG).
…
|
|
2.1.3.2.
|
Proportionality of aid not granted through a competitive bidding process
To provide the information in this section, please refer to points 200-204 of the CEEAG.
|
|
28.
|
Please explain why a competitive bidding process is not used (by reference to the exemptions set out in point 200 CEEAG):
|
(a)
|
the expected number of participants is not sufficient to ensure effective competition or avoid strategic bidding;
…
OR
|
|
(b)
|
a competitive bidding process, as set out in points 49 and 50, is not appropriate to ensure the proportionality of the aid and that using the alternative methods in points 201 to 204 CEEAG to demonstrate proportionality would not increase the risk of undue distortions of competition, depending on the characteristics of the measure or of the sectors or transport modes concerned;
…
OR
|
|
(c)
|
the aid is granted for recharging or refuelling infrastructure intended exclusively or primarily for use by undertakings active in the sector of public passenger transport by land, rail or water;
…
OR
|
|
(d)
|
the aid is granted for recharging or refuelling infrastructure intended exclusively or primarily for use by the aid beneficiary and which is not accessible to the public. In this case, please provide reasons why a competitive bidding process is not envisaged;
…
OR
|
|
(e)
|
the aid is granted for recharging or refuelling infrastructure intended for use by certain types of vehicles for which the relevant market penetration rate (per relevant type of vehicle which would use the infrastructure) in the Member State concerned or the traffic volumes in the region or regions concerned are very limited, and provide supporting data.
…
|
|
|
2.1.3.2.1.
|
Proportionality of aid granted through a funding gap analysis
|
|
29.
|
If the aid is determined based on a funding gap analysis, in order to verify compliance with point 201 of the CEEAG, please justify the aid amount on the basis of a funding gap analysis in line with points 48, 51-52 of the CEEAG for reference projects in the factual and counterfactual scenarios as identified in reply to question 12 above.
…
|
|
30.
|
For this funding gap analysis, please submit a quantification, for the factual scenario and a realistic counterfactual scenario (353) identified in reply to question 12 above, of all main costs and revenues, the estimated weighted average cost of capital (WACC) of the beneficiaries (or reference projects) to discount future cash flows, as well as the net present value (NPV) for the factual and counterfactual scenarios, over the lifetime of the project/reference project.
|
(a)
|
Please provide this in an Annex to this notification form (using an Excel file where all formulas are visible).
…
|
|
(b)
|
Please include detailed information on the assumptions, methodologies, rationale and underlying sources thereof, used for each aspect of the quantification of costs and revenues in the factual scenario and the likely counterfactual scenario (for instance please include the assumptions used to develop those scenarios and the source/rationale for these assumptions).
…
|
|
(c)
|
For cases of individual aid and schemes benefitting a particularly limited number of beneficiaries, the Member State needs to present the supporting evidence at the level of the detailed project business plan.
For cases of aid schemes, the Member State needs to present the supporting evidence on the basis of one or more reference projects (point 53 of the CEEAG).
…
|
|
(d)
|
You may also attach to this notification form the documents mentioned in footnote 39 of the CEEAG. Board documents may be particularly useful for individual aid measures or schemes benefitting a particularly limited number of beneficiaries. If such documents are attached to the notification form, please provide below a list of those documents, specifying the author, the date when they were drafted and the context when they were used.
…
|
|
|
31.
|
In case point 52 of the CEEAG is applicable, i.e. the most likely counterfactual scenario consists in the beneficiary not carrying out an activity or investment, or continuing its business without changes, please provide evidence to support this assumption (354).
…
|
|
32.
|
In all case where the proportionality is justified by reference to a funding gap analysis, please also confirm that your authorities will conduct an ex post monitoring to verify the assumptions made about the level of aid required and put in place a claw-back mechanism. Please also describe the claw-back mechanism that your authorities intend to apply (point 201 of the CEEAG).
…
|
|
2.1.3.2.2.
|
Proportionality of aid granted on the basis of eligible costs and aid intensities
|
|
33.
|
If the amount of aid is determined on the basis of the eligible costs and aid intensities, please describe the eligible costs under the measure, noting that under point 202, 203 and 204 CEEAG, the eligible costs are all the investment costs for the construction, installation, upgrade or extension of recharging or refuelling infrastructure. For instance, these may include the costs of:
|
(a)
|
the recharging or refuelling infrastructure and related technical equipment;
|
|
(b)
|
the installation of or upgrades to electrical or other components, including electrical cables and power transformers, required for connecting the recharging or refuelling infrastructure to the grid or to a local electricity or hydrogen production or storage unit and for ensuring the smart readiness of recharging infrastructure;
|
|
(c)
|
civil engineering works, land or road adaptations, installation costs and costs for obtaining related permits;
|
|
(d)
|
investment costs of the on-site renewable electricity or renewable/low-carbon hydrogen production units or of the storage facilities.
…
|
|
|
34.
|
Please indicate the maximum aid intensities applicable under the measure and indicate whether any bonuses (as described in point 202 of the CEEAG) apply.
…
|
|
2.1.4.
|
Cumulation
To provide the information in this section, please refer to points 56-57 of the CEEAG.
|
|
35.
|
In as far as not already provided under Part I of the general notification form and in order to verify compliance with point 56 of the CEEAG, please clarify if the aid under the notified measure(s) may be awarded concurrently under several aid schemes or cumulated with ad hoc aid or de minimis aid in relation to the same eligible costs. If that is the case, please provide details on those aid schemes, ad hoc aid or de minimis aid and how the aid will be cumulated.
…
|
|
36.
|
If point 56 of the CEEAG is applicable, please justify how the total amount of aid granted under the notified measure(s) for a project or an activity does not lead to overcompensation or exceed the maximum aid amount allowed under point 199, point 201 or point 202 of the CEEAG. For each measure that the aid granted under the notified aid measure(s) can be cumulated with, please specify the method used for ensuring compliance with the conditions set out in point 56 of the CEEAG.
…
|
|
37.
|
In case point 57 of the CEEAG is applicable, i.e. the aid granted under the notified measure(s) is combined with centrally managed Union funding (355) (that does not constitute State aid), please justify how the total amount of public funding granted in relation to the same eligible costs does not lead to overcompensation.
…
|
|
2.1.5.
|
Transparency
To provide the information in this section, please refer to section 3.2.1.4 (points 58-61) of the CEEAG.
|
|
38.
|
Please confirm that the Member State will comply with the requirements on transparency provided in points 58-61 of the CEEAG.
…
|
|
39.
|
Please provide the internet link where the full text of the approved aid scheme or the individual aid granting decision and its implementing provision and information on each individual aid award granted ad hoc or under an aid scheme approved on the basis of the CEEAG and exceeding EUR 100 000 will be published.
…
|
|
2.2.
|
Avoidance of undue negative effects on competition and trade and balancing
To provide the information in this section, please refer to section 3.2.2 (points 63-70) and section 4.3.2.4. (points 205-216) of the CEEAG.
|
|
40.
|
In order to verify compliance with point 67 of the CEEAG, please provide information on the possible short and long-term negative effects of the notified measure(s) on competition and trade.
…
|
|
41.
|
Please explain if the measure falls under any of the following situations:
|
(a)
|
It concerns a market (or markets) where incumbents gained market power prior to market liberalisation;
…
|
|
(b)
|
It involves competitive bidding processes in nascent market(s), when there is a player with a strong market position;
…
|
|
(c)
|
It will only benefit one or a particularly limited number of beneficiaries.
…
|
|
|
42.
|
Should the aid measure focus on a specific technological choice/path, please justify the reason for the technological choice and that it will not discourage the deployment of cleaner technologies.
…
|
|
43.
|
If the notified measure(s) will only benefit one or a particularly limited number of beneficiaries, in order to verify compliance with point 68 of the CEEAG, please:
|
(a)
|
Explain whether the notified measure(s) strengthens or maintains the market power of the beneficiary or discourages the expansion of existing competitors or induces their exit or discourages the entry of new competitors. Explain in this regard also whether the aid measure will lead to an increase in the capacity of the beneficiary.
…
|
|
(b)
|
Describe the measures put in place to limit the potential distortion(s) of competition caused by granting the aid to the beneficiary/-ies.
…
|
|
|
44.
|
In order to verify compliance with point 69 of the CEEAG, please explain:
|
(a)
|
If the aid granted under the notified measure(s) aims at preserving economic activity in one region or attracting it away from other regions within the internal market.
…
|
|
(b)
|
In the affirmative, please specify which is the net environmental effect of the notified measure(s) and how the notified measure(s) improves the existing level of environmental protection in the Member States.
…
|
|
(c)
|
How the aid granted under the notified measure(s) does not result in any manifestly negative effects on competition and trade.
…
|
|
(d)
|
In case of individual aid, the main drivers of the choice of the location for the investments by the beneficiary.
|
|
|
45.
|
In order to verify compliance with point 70 of the CEEAG:
|
(a)
|
Please confirm that aid may be granted under the notified scheme for a maximum period of 10 years from the date of the notification of the Commission’s decision declaring the aid compatible.
…
|
|
(b)
|
Please confirm that, should your authorities wish to extend the duration of the scheme beyond that maximum period, they will renotify the measure(s).
…
|
|
|
46.
|
Please confirm that new recharging infrastructure that allow for a transfer of electricity with a power output of up to 22 kW is capable of supporting smart recharging functionalities (point 206 of the CEEAG).
…
|
|
47.
|
If aid is granted for refuelling infrastructure for waterborne and air transport and supplies synthetic fuels, including renewable liquid and gaseous transport fuels of non-biological origin, or biofuels, please justify the need for new infrastructure. In the case of drop-in synthetic fuels or biofuels, please consider the extent to which existing infrastructure can be used for the supply of drop-in synthetic fuels or biofuels (point 207 of the CEEAG).
…
|
|
48.
|
If the aid is for the construction, installation, upgrade or extension of CNG and LNG refuelling infrastructure for waterborne transport, please:
|
(a)
|
demonstrate that no cleaner alternatives are readily available on the market and that such are not expected to be available in the short term.
…
|
|
(b)
|
explain how that refuelling infrastructure would be used to trigger the transition towards low-carbon fuels (point 209 of the CEEAG), and
…
|
|
(c)
|
whether the investment forms part of a decarbonisation pathway and how the aid contributes to achieving targets set out in Union legislation on the deployment of alternative fuel infrastructure (point 209 of the CEEAG).
…
|
|
|
49.
|
If the aid is for the construction, installation, upgrade or extension of LNG refuelling infrastructure for heavy-duty vehicles, please confirm that it will not be granted after 2025. Please explain how the aid will contribute to achieving targets set out in Union legislation on the deployment of alternative fuel infrastructure (point 210 of the CEEAG).
…
|
|
50.
|
In case of hydrogen refuelling infrastructure, please indicate if aid under the measure is subject to the condition that the hydrogen supplied at the supported refuelling infrastructure is renewable or low-carbon for its entire lifetime. If not, please explain whether and how it will be ensured that beneficiaries have a credible pathway towards the phasing out of hydrogen that is not renewable or low-carbon to supply the refuelling infrastructure by 2035 at the latest (point 212 of the CEEAG).
…
|
|
51.
|
Please explain whether the notified measure contains safeguards against the creation or strengthening of market power positions which may prevent or impair effective competition in nascent or developing markets (for instance, the establishment of a maximum percentage of the budget for the measure that can be allocated to one single undertaking) (point 213 of the CEEAG).
…
|
|
52.
|
Please describe the safeguards that are in place as part of the notified measure to ensure that operators of recharging or refueling infrastructure that offer or allow contract-based payments on their infrastructure do not unduly discriminate between mobility service providers, for example by applying unjustified preferential access conditions, or through unjustified price differentiation (point 214 of the CEEAG).
…
|
|
53.
|
Please confirm that any concession or other entrustment to a third party (other than the beneficiary) to operate the refueling infrastructure would be awarded on a competitive, transparent and non-discriminatory basis, having due regard to the Union public procurement rules, where applicable (point of the 215 of the CEEAG).
…
|
|
54.
|
If the infrastructure will be open for access by users other than the aid beneficiary or beneficiaries please confirm that non-discriminatory access to users will be ensured, including, as appropriate, in relation to tariffs, authentication and payment methods and other terms and conditions of use (point 216 of the CEEAG).
…
|
|
55.
|
Please confirm that the fees charged to users for using the supported recharging or refuelling infrastructure correspond to market prices (point 216 of the CEEAG). Please indicate whether operators of the supported recharging or refuelling infrastructure will be subject to any price caps; if yes, please explain how such price caps were established.
…
|
|
3.
|
Weighing the positive effects of the aid against the negative effects on competition and trade
To provide the information in this section, please refer to section 3.3 (points 71-76) of the CEEAG.
|
|
56.
|
In order to verify compliance with point 72 of the CEEAG, please explain whether activities supported under the notified measure meet the criteria for environmentally sustainable economic activities provided in Article 3 of the Regulation (EU) 2020/852 of the European Parliament and of the Council (356), including the ‘do no significant harm’ principle, or other comparable methodologies.
…
|
|
57.
|
(In case of competitive bidding process) Please explain if the notified measure(s) includes features to facilitate the participation of SMEs in competitive bidding processes. In the affirmative, please provide information on those features and justify how the positive effects of ensuring participation of SMEs in the notified measure(s) outweigh the possible distortive effects.
…
|
Section C: Evaluation
To provide the information in this section, please refer to Section 5 (points 455-463) of the CEEAG.
|
58.
|
If the notified measure(s) exceed the budget/expenditure thresholds in point 456 of the CEEAG, please either explain why in your view the exception in point 457 of the CEEAG should apply or attach to this notification form an Annex that includes a draft evaluation plan covering the scope mentioned in point 458 of the CEEAG (357).
…
|
|
59.
|
If a draft evaluation plan is provided, please:
|
(a)
|
provide below a summary of that draft evaluation plan included in the Annex.
…
|
|
(b)
|
confirm point 460 of the CEEAG will be respected.
…
|
|
(c)
|
provide the date and internet link where the evaluation plan will be publicly available.
…
|
|
|
60.
|
In order to verify compliance with point 459(b) of the CEEAG, in case the aid scheme is not currently subject to an ex post evaluation, and its duration exceeds three years, please confirm that you will notify a draft evaluation plan within 30 working days following a significant modification increasing the budget of the scheme to over EUR 150 million in any given year or EUR 750 million over the total duration of the scheme.
…
|
|
61.
|
In order to verify compliance with point 459(c) of the CEEAG, in case the aid scheme is not currently subject to an ex post evaluation, please provide below a commitment that the Member State will notify a draft evaluation plan within 30 working days after recording in official accounts expenditures in excess of EUR 150 million in the previous year.
…
|
|
62.
|
In order to verify compliance with point 461 of the CEEAG:
|
(a)
|
Please clarify if the independent expert has already been selected or if it will be selected in the future.
…
|
|
(b)
|
Please provide information on the selection procedure of the expert.
…
|
|
(c)
|
Please justify how the expert is independent from the granting authority.
…
|
|
|
63.
|
In order to verify compliance with point 461 of the CEEAG:
|
(a)
|
Please provide your proposed deadlines for the submission of the interim and final evaluation report. Please note that the final evaluation report must be submitted to the Commission in due time to allow for the assessment of the possible prolongation of the aid scheme and at the latest 9 months before its expiry, in line with point 463 of the CEEAG. Please note that that deadline could be reduced for schemes triggering the evaluation requirement in their last 2 years of implementation.
…
|
|
(b)
|
Please confirm that the interim and final evaluation report will be made public. Please provide the date and internet link where those reports will be publicly available.
…
|
|
Section D: Reporting and monitoring
To provide the information in this section, please refer to Section 6 (points 464-465) of the CEEAG.
|
64.
|
Please confirm that the Member State will comply with the requirements for reporting and monitoring set out in Section 6, points 464 and 465 of the CEEAG.
…
|
PART III.6.E
Supplementary information sheet for State aid granted under the Guidelines on State aid for climate, environmental protection and energy 2022 (hereafter ‘CEEAG’) - Section 4.4 - Aid for resource efficiency and for supporting the transition towards a circular economy
This supplementary information sheet concerns measures covered in Section 4.4 of the CEEAG. If the notification includes measures that are covered by more than one section of the CEEAG, please once available also fill in the respective supplementary information sheet that concerns the respective section of the CEEAG.
All documents provided by Member States as annexes to this supplementary information sheet must be numbered and document numbers must be indicated in the relevant sections of this supplementary information sheet.
Section A: Summary of the main characteristics of the notified measure(s)
|
1.
|
Background and objective(s) of the notified measure(s).
|
|
1.1.
|
If not already discussed under section 5.2 of the General Information Form (Part I), please provide the background and the main objective, including any Union targets for the transition to a circular economy that the measure is intended to support.
…
|
|
1.2.
|
Please indicate any other objectives pursued by the measure. For any objectives that are not purely environmental, please explain whether they may result in any distortions of competition in the internal market.
…
|
|
2.
|
Entry into force and duration:
|
|
2.1.
|
To the extent not already provided under section 5.5 of the General Information Form (Part I), please indicate the date as of which the aid scheme is planned to enter into force;
…
|
|
2.2.
|
Please indicate the duration of the scheme (358).
…
|
|
3.1.
|
If not already provided under section 3 of the General Information Form (Part I), please describe the (potential) beneficiary(ies) of the measure(s);
…
|
|
3.2.
|
Please indicate the location of the beneficiary(ies) (i.e. if only economic entities located in the respective Member State or also in other Member States are eligible to participate in the measure).
…
|
|
3.3.
|
In order to assess the compliance with point 15 of the CEEAG, please specify if aid is granted under the measure(s) in favour of an undertaking (individual or part of a scheme) that is subject to an outstanding recovery order following a previous Commission decision declaring an aid illegal and incompatible with the internal market.
In the affirmative, please provide information on the amount of aid still to be recovered so that the Commission takes account of it in the assessment of the aid measure(s).
…
|
|
4.
|
Please confirm that the measure(s) does not involve aid to activities falling outside the scope of application of the CEEAG (see point 13 of the CEEAG). Otherwise, please provide details.
…
|
|
5.
|
Budget and financing of the measure(s).
|
|
5.1.
|
If not already mentioned in the table under section 7.1 of the General Information Form (Part I), please provide the yearly and/or total budget for the whole duration of the measure(s); if the total budget is not known (for instance because it depends on the results of tenders), please indicate an estimated budget, including the assumptions used to calculate the respective estimated budget (359).
…
|
|
5.2.
|
if the measure is financed through a levy, please clarify if:
|
(a)
|
the levy is set by law or any other legislative act; in the affirmative, please provide the legal act, number and date when adopted and entered into force, the internet link to the legal act;
…
|
|
(b)
|
the levy is imposed equally on domestic and imported products;
…
|
|
(c)
|
the notified measure will benefit equally domestic and imported products;
…
|
|
(d)
|
the levy finances fully the measure or only partly. If the levy finances only partly the measure, indicate the other sources of financing of the measure and their respective proportion;
…
|
|
(e)
|
the levy financing the notified measure also finances other aid measures. If so, indicate the other aid measures financed by the concerned levy.
…
|
|
Section B: Compatibility assessment of the aid
|
1.
|
POSITIVE CONDITION: THE AID MUST FACILITATE THE DEVELOPMENT OF AN ECONOMIC ACTIVITY
|
|
1.1.
|
Contribution to the development of an economic activity
To provide the information in this section, please refer to section 3.1.1 (points 23-25) and sections 4.4.1. (points 217 - 219) and 4.4.2. (points 220 - 224) of the CEEAG.
|
|
6.
|
Article 107(3), point (c), of the Treaty on the Functioning of the European Union (’the Treaty’) provides that the Commission may declare compatible “aid to facilitate the development of certain economic activities or of certain economic areas, where such aid does not adversely affect trading conditions to an extent contrary to the common interest”
. Therefore, compatible aid under that provision of the Treaty must contribute to the development of a certain economic activity.
In order to assess compliance with point 23 of the CEEAG, please identify the economic activities that will be facilitated as a result of the aid and how the development of those activities is supported.
…
|
|
7.
|
In order to assess compliance with point 25 of the CEEAG, please “describe if and how the aid will contribute to the achievement of objectives of Union climate policy, environmental policy and energy policy and more specifically, the expected benefits of the aid in terms of its material contribution to environmental protection, including climate change mitigation, or the efficient functioning of the internal energy market”.
…
|
|
8.
|
In addition, please highlight to what extent the aid relates to the policies described under points 217 to 219 of the CEEAG.
…
|
|
9.
|
Please describe the eligibility requirements applicable to the beneficiary(ies) (for instance by including any technical, environmental (i.e. permits), financial (i.e. collaterals) or other requirements that the beneficiary(ies) need to comply with).
…
|
|
10.
|
For individual aid and aid schemes benefitting a particularly limited number of beneficiaries or an incumbent beneficiary, please provide a quantification of the environmental benefits expected from the measure (resources saved/avoided consumption of resources) and explain the method followed to quantify them.
…
|
|
11.
|
Please provide information on the scope and supported activities of the aid measure(s) and indicate to which of the activities listed in points 220 and 221 of the CEEAG they correspond.
…
|
|
12.
|
Please note that the following investment aid measures are not assessed under Section 4.4:
|
(a)
|
Recovery of residual heat from production processes
|
|
(c)
|
Production of biofuels, bioliquids, biogas or biomass fuels from waste
|
|
(d)
|
Energy generation from waste
|
|
(e)
|
Production of energy or heat from waste related to investments in district heating and cooling systems or for their operation.
|
Please refer to the notification form for Section 4.1 for investments listed in points a to d as such measures will be assessed as set out in Section 4.1 of the CEEAG and to the notification form for Section 4.10 for the investment described in point e as that will be assessed as set out in Section 4.10 of the CEEAG
…
|
|
13.
|
Please indicate whether the aid measure also covers operating costs for separate collection and sorting of waste and if yes, for which waste streams or types of waste.
…
|
|
1.2.
|
Incentive effect
To provide the information in this section, please refer to section 3.1.2 (points 26-32) and section 4.4.3. (points 225-233) of the CEEAG.
|
|
14.
|
Aid can be considered as facilitating an economic activity only if it has an incentive effect. In order to assess compliance with point 26 of the CEEAG, please explain how the measure(s) “induces the beneficiary to change its behaviour, to engage in additional economic activity or in more environmentally-friendly economic activity, which it would not carry out without the aid or would carry out in a restricted or different manner”.
…
|
|
15.
|
Pursuant to point 28 of the CEEAG:
|
|
15.1.
|
Please provide a comprehensive description of the factual scenario expected to result from the aid measure and the likely counterfactual scenario(s) absent the aid measure. (360) Where you expect that different categories of beneficiaries may be supported, please ensure that the counterfactual is credible for each of these categories. Please take into account the requirements on the counterfactual included in points 226-230 and point 239 of the CEEAG, notably:
|
(a)
|
Generally, the counterfactual corresponds to an investment with the same capacity, lifetime and, where appropriate, other relevant technical characteristics, as the environmentally friendly investment, leading, however to a lower level of environmental protection, for example an installation treating the waste based on an operation that is situated lower in the priority order of the waste hierarchy or in a less resource-efficient way; where the reused or recycled (secondary) product is technically and economically substitutable with the primary raw material or product, the counterfactual can consist in the conventional installation relating to the production of primary raw material or product.
|
|
(b)
|
Alternatively, the counterfactual may also correspond to one of the following scenarios:
|
(i)
|
maintaining the existing installations or equipment in operation for a period corresponding to the lifetime of the environmentally friendly investment; in that case, the discounted maintenance, repair and modernisation costs over that period should be taken into account (point 227 of the CEEAG);
|
|
(ii)
|
a later replacement of the installations or equipment; in that case the discounted value of the installations and equipment needs to be taken into account and the difference in the respective economic lifetime of the installations or equipment needs to be equalised in line with point 228 of the CEEAG;
|
|
(iii)
|
the leasing of a the less environmentally-friendly equipment that would be used in the absence of the aid; in that case the discounted value of the leasing of the less environmentally-friendly equipment should be taken into account in line with point 229 of the CEEAG;
|
|
(iv)
|
the counterfactual scenario may also consist in the absence of an alternative investment project, in particular where the aided investment consists in adding installations or equipment to existing facilities, installations or equipment and for which there exist no equivalent conventional alternative.
|
|
When describing the factual scenario and the likely counterfactual scenario(s), please specify the capacity, lifetime and other technical characteristics of the investment for both the factual and the counterfactual scenario(s).
…
|
|
15.2.
|
Please briefly explain the rationale for the choice of the likely counterfactual scenario(s), in view of the proposed different categories of beneficiaries if applicable
…
|
|
15.3.
|
Please quantify the costs and revenues of factual and counterfactual scenarios and justify the change of behaviour where relevant for each category of beneficiary, based on:
|
(a)
|
the respective reference project (361), the corresponding counterfactuals and resulting funding gap
…
OR
|
|
(b)
|
relevant quantitative evidence based on market studies, investor plans, financial reports, or other quantitative evidence including bids made for similar projects in recent comparable competitive bidding processes. (362)
…
|
|
|
16.
|
In order to assess compliance with point 27 of the CEEAG, please provide information to confirm that the aid does not support the costs of an activity that the aid beneficiary would anyhow carry out and does not compensate for the normal business risk of an economic activity.
…
|
|
17.
|
In order to demonstrate compliance with points 29 and 31 of the CEEAG:
|
(a)
|
Please confirm that the start of works on the project or activity did not take place prior to a written aid application by the beneficiary to the national authorities;
…
OR
|
|
(b)
|
For projects that started before the aid application, please demonstrate that the project falls within one of the exceptional cases provided in point 31 of the CEEAG ((a), (b) or (c)).
|
…
|
|
18.
|
In order to demonstrate compliance with point 30 of the CEEAG, please confirm that the aid application includes at least the applicant’s name, a description of the project or activity, including its location, and the amount of aid needed to carry it out.
…
|
|
19.
|
In order to demonstrate compliance with points 32, 232 and 233 of the CEEAG:
|
(a)
|
Please indicate if there are Union standards (363) applicable to the notified measure(s), mandatory national standards that are more stringent or ambitious than the corresponding Union standards, or mandatory national standards adopted in the absence of Union standards;
In that context, please provide information to demonstrate the incentive effect.
…
|
|
(b)
|
In cases where the relevant Union standard has already been adopted but is not yet in force, please demonstrate that the aid has an incentive effect because it incentivises the investment to be implemented and finalised at least 18 months before the standard enters into force in line with point 233 of the CEEAG.
…
|
|
|
20.
|
In order to demonstrate compliance with Section 4.4.3 of the CEEAG, please indicate whether projects with payback period of less than 5 years are eligible for aid under the aid measure. If that is the case, please explain why that aid is needed to trigger a change in behaviour in line with point 231 of the CEEAG.
…
|
|
1.3.
|
No breach of any relevant provision of Union law
To provide the information in this section, please refer to section 3.1.3 (point 33) of the CEEAG.
|
|
21.
|
Please provide information to confirm the compliance with the relevant provisions of EU law, in line with point 33 of the CEEAG.
…
|
|
22.
|
If a levy is used to finance the measure(s), please clarify if the assessment of compliance with Articles 30 and 110 of the Treaty needs to be carried out. In the affirmative, please demonstrate how the measure complies with the provisions of Articles 30 and 110 of the Treaty. In this context, the information submitted under question 5.2 above, where the notified measure(s) is financed through a levy can be referred to.
…
|
|
2.
|
NEGATIVE CONDITION: THE AID CANNOT UNDULY AFFECT TRADING CONDITIONS TO AN EXTENT CONTRARY TO THE COMMON INTEREST
|
|
2.1.
|
Minimisation of distortions of competition and trade
|
|
2.1.1.
|
Necessity of the aid
To provide the information in this section, please refer to section 3.2.1.1 (points 34--38) and section 4.4.4.1 (points 234-236) of the CEEAG.
|
|
23.
|
Please explain which market failure(s) your authorities have identified that prevent the achievement of a sufficient level of environmental protection. Please specify in which category the market failures identified fall, by making reference to letters (a), (b), (c) or (d) of point 34 of the CEEAG.
…
|
|
24.
|
In accordance with point 35 of the CEEAG, please provide information on any existing policies and measures that your authorities identified, which already target the identified regulatory or market failures.
…
|
|
25.
|
In order to demonstrate compliance with point 36 of the CEEAG, please provide information that demonstrates that the aid effectively targets residual market failures, also taking into account any other policies and measures already in place to address some of the market failures identified.
…
|
|
26.
|
In order to demonstrate compliance with point 37 of the CEEAG, please explain if, to your authorities’ knowledge, projects or activities similar to those covered by the notified measure(s) with respect to their technological content, level of risk and size, are already delivered within the Union at market conditions. In the affirmative, please provide further evidence to demonstrate the need for State aid.
…
|
|
27.
|
In order to demonstrate compliance with point 38 of the CEEAG, please refer to the quantitative evidence already provided under question 15 above.
…
|
|
28.
|
In addition, please describe, in line with point 235 of the CEEAG what the established commercial practices in the concerned sector are and show that the project goes beyond these established commercial practices generally applied throughout the Union and across technologies.
…
|
|
29.
|
In order to demonstrate compliance with point 236 of the CEEAG:
|
(a)
|
In the case of aid for the separate collection and sorting of waste or other products, materials or substances, please demonstrate that such separate collection and sorting is underdeveloped in your Member State (364).
…
|
|
(b)
|
In the case of aid granted to cover operating costs, please demonstrate that such aid is required during a transitional period to facilitate the development of activities relating to the separate collection and sorting of waste. Please take into account and describe any obligations of undertakings under extended producer responsibility schemes, which you may have implemented pursuant to Article 8 of Directive 2008/98/EC.
…
|
|
|
2.1.2.
|
Appropriateness
To provide the information in this section, please refer to section 3.2.1.2 (points 39-46) and section 4.4.4.2 (point 238) of the CEEAG.
|
|
30.
|
In order to verify compliance with point 40 of the CEEAG, please demonstrate that there are no less distortive instruments available that are more appropriate.
|
|
31.
|
In order to verify compliance with point 41 of the CEEAG, please demonstrate that the aid measure is designed in such a way as to not undermine the efficiency of other measures remedying the same market failure, such as market-based mechanisms (e.g., the EU ETS).
…
|
|
32.
|
In order to verify compliance with point 42 of the CEEAG, please confirm that none of the beneficiaries of the aid measure(s) could be held liable for the pollution under existing Union or national law (
‘polluter pays’ principle).
…
|
|
33.
|
In order to verify compliance with point 238 of the CEEAG, please demonstrate that the aid does not relieve undertakings that generate waste from any costs or obligations relating to the treatment of waste for which they are liable under Union or national law, including under extended producer responsibility schemes; and that the aid does not relieve undertakings from costs that should be considered as normal costs for an undertaking.
…
|
|
34.
|
In order to verify compliance with points 43 to 46 of the CEEAG, to demonstrate the appropriateness of the aid among different aid instruments, please provide the following information:
|
(a)
|
Please explain why other potentially less distortive forms of aid are less appropriate, as required in point 44 of the CEEAG. Less distortive forms of aid may be repayable advances as compared to direct grants; tax credits as compared to tax reductions; or forms of aid that are based on financial instruments, such as debt, as compared to equity instruments, including, for example, low-interest loans or interest rebates, State guarantees, or an alternative provision of financing on favourable terms.
…
|
|
(b)
|
Please demonstrate that the choice of the aid instrument is appropriate to the market failure that the aid measure(s) aims to address, as required in point 45 of the CEEAG.
…
|
|
(c)
|
Please explain how the aid measure and its design are appropriate to achieve the objective of the measure that the aid is targeting, as required in point 46 of the CEEAG.
…
|
|
|
2.1.3.
|
Proportionality
To provide the information in this section, please refer to points 239-244 of the CEEAG. Please note that the following three sections 2.1.3.1., 2.1.3.2. and 2.1.3.3. are alternative. Please provide replies only to the applicable section, depending on the design of the proposed measure [for operating aid for collection, see section 2.1.3.3].
|
|
2.1.3.1.
|
Aid based on aid intensities set out in points 240-244 of the CEEAG
|
|
35.
|
In order to describe the eligible costs in line with point 239 of the CEEAG, please identify the extra investment costs directly linked to the achievement of a higher level of environmental protection.
…
|
|
36.
|
Please explain how the investment costs of the factual and the less environmentally friendly scenarios will be determined and verified.
…
|
|
37.
|
For products, substances or materials that would constitute waste unless reused and when there is no legal requirement for that products, substances or materials to be disposed of or otherwise be treated, please confirm that the eligible costs will correspond to the investment necessary to recover the products, substances or materials concerned.
…
|
|
38.
|
Please indicate the maximum aid intensities applicable under the measure and indicate whether any bonuses apply (points 241 – 244 of the CEEAG).
…
|
|
39.
|
For eco-innovation activities, please demonstrate that the following cumulative conditions are fulfilled (point 244 of the CEEAG):
|
(a)
|
The eco-innovation activity is new or substantially improved compared to the state of the art in its industry in the Union (365);
|
|
(b)
|
The expected environmental benefit is significantly higher than the improvement resulting from the general evolution of the state of the art in comparable activities (366);
|
|
(c)
|
The innovative character of the activity involves a clear degree of risk, in technological, market or financial terms, which is higher than the risk generally associated with comparable non-innovative activities (367).
…
|
|
|
40.
|
If by way of derogation from points 241-244 of the CEEAG, it is considered that aid beyond the maximum aid intensities is required, please indicate the level of aid considered to be necessary and justify it on the basis of a funding gap analysis for reference projects in the factual and counterfactual scenarios as identified in reply to question 15 above, in line with points 51-52 of the CEEAG.
For this funding gap analysis, please submit a quantification, for the factual scenario(s) and realistic counterfactual scenario(s) (368) identified in reply to question 15 above, of all main costs and revenues, the estimated weighted average cost of capital (WACC) of the benefic4iaries (or reference projects) to discount future cash flows, as well as the net present value (NPV) for the factual and counterfactual scenarios, over the lifetime of the project/reference project.
|
(a)
|
Please provide this in an Annex to this notification form (using an Excel file where all formulas are visible).
…
|
|
(b)
|
Please include detailed information on the assumptions, methodologies, rationale and underlying sources thereof, used for each aspect of the quantification of costs and revenues in the factual scenario and the likely counterfactual scenario (for instance please include the assumptions used to develop those scenarios and the source/rationale for these assumptions).
…
|
|
(c)
|
For cases of individual aid and schemes benefitting a particularly limited number of beneficiaries, the Member State needs to present the supporting evidence at the level of the detailed project business plan.
For cases of aid schemes, the Member State needs to present the supporting evidence on the basis of one or more reference projects.
…
|
|
(d)
|
You may also attach to this notification form the documents mentioned in footnote 39 of the CEEAG. Board documents may be particularly useful for individual aid measures or schemes benefitting a particularly limited number of beneficiaries. If such documents are attached to the notification form, please provide below a list of those documents, specifying the author, the date when they were drafted and the context when they were used.
…
|
|
|
41.
|
Please also demonstrate that the application of a higher aid determined as indicated in question 40 would not result in aid exceeding the funding gap.
…
|
|
42.
|
In case point 52 of the CEEAG is applicable, i.e. the most likely counterfactual scenario consists in the beneficiary not carrying out an activity or investment, or continuing its business without changes, please provide evidence to support this assumption.
…
|
|
43.
|
In line with point 245 of the CEEAG, please confirm that if a higher aid intensity is required based on question 40, your authorities will conduct an ex post monitoring to verify the assumptions made about the level of aid required and to put in place a claw-back mechanism and describe the monitoring and claw-back mechanisms that the Member State intends to introduce.
…
|
|
2.1.3.2.
|
Proportionality of the aid granted through a competitive bidding process
To provide the information in this section, please refer to points 49, 50 and 246 of the CEEAG.
|
|
44.
|
In order to verify the compliance with points 49, 50 and 246 of the CEEAG, please provide the following:
|
(a)
|
Please explain how the authorities ensure that the bidding process is open, clear, transparent and non-discriminatory, based on objective criteria, defined ex ante in accordance with the objective of the measure and minimising the risk of strategic bidding (point 49(a) of the CEEAG).
…
|
|
(b)
|
The selection criteria used for ranking the bids, and ultimately identifying the level of aid in the competitive bidding process. More specifically:
|
(i)
|
Please provide the list of the selection criteria and specify which of them are/are not directly or indirectly related to the main objectives of the measure(s). Please include their weighting.
…
|
|
(ii)
|
Please explain how the selection criteria put the contribution to the main objectives of the measure(s) in direct or indirect relation with the aid amount requested by the applicant. This may be expressed, for example, in terms of aid per unit of environmental protection or aid per unit of energy (point 50 and footnote 44 of the CEEAG).
…
|
|
(iii)
|
In case there are other selection criteria that are not directly or indirectly related to the main objectives of the measure(s), please provide reasons for the proposed approach and explain how it is appropriate to the objectives pursued by the measure(s). Please also confirm that those criteria account for no more than 30 % of the weighting of all the selection criteria (point 50 of the CEEAG).
…
|
|
(iv)
|
Please explain how far in advance of the deadline for submitting applications in each competitive bidding process the selection criteria will be published (point 49(b) and footnote 43 of the CEEAG).
…
|
|
|
(c)
|
Please explain the elements on which you based the assumption that the bidding process will be open and properly subscribed, i.e. that it can be expected that not all bidders will receive aid and that the number of expected bidders is sufficient to ensure effective competition for the duration of the scheme (point 49(c) of the CEEAG). In your explanation, please take into account the budget or volume of the scheme. Where relevant, please refer to the evidence provided in the replies under question 15.
…
|
|
(d)
|
Please provide information on the number of bidding rounds envisaged and expected number of bidders in the first round and over time.
…
|
|
(e)
|
In case of one or more undersubscribed bidding processes, please explain how the design of bidding processes will be corrected during the implementation of the scheme in order to restore effective competition, and when (point 49(c) of the CEEAG).
…
|
|
(f)
|
Please confirm that ex post adjustments to the bidding process outcome (such as subsequent negotiations on bid results or rationing) are avoided (point 49(d) of the CEEAG).
…
|
|
(g)
|
In case there is a possibility of ‘zero subsidy bids’, please explain how proportionality will be ensured (please see point 49, footnote 42 of the CEEAG).
…
|
|
(h)
|
Please clarify if the authorities foresee the use of price floors or caps in the competitive bidding process. In the affirmative, please justify their use and explain how they do not constrain the competitive bidding process (point 49 and footnote 42 of the CEEAG).
…
|
|
|
2.1.3.3.
|
The proportionality of aid covering operating costs of separate collection and sorting of waste
|
|
45.
|
According to point 247 of the CEEAG, the aid may cover operating costs where it relates to the separate collection and sorting of waste or other products, materials or substances in relation to specific waste streams or types of waste with a view to the preparing for re-use or recycling. Where you plan such aid, please:
|
(a)
|
Provide evidence that the aid will be granted following a competitive bidding process conducted in accordance with the criteria set out in points 49 and 50 of the CEEAG which must be organised on an open and non-discriminatory basis for all operators providing separate collection and sorting services. To this end, the information and evidence listed under point 42 above needs to be provided.
|
|
(b)
|
Indicate whether the bidding process includes rules that limit aid in certain well-identified circumstances established ex ante. If that is the case, please:
|
(i)
|
Demonstrate that these limitations are justified by a high level of uncertainty about future evolution of the operating costs for the duration of the measure.
…
|
|
(ii)
|
Describe these rules and related well-established circumstances.
…
|
|
|
(c)
|
Provide information on any investment aid granted for an installation used for the separate collection and sorting of waste which benefits also from operating aid. When both forms of aid cover the same eligible costs, please demonstrate that the investment aid will be deducted from the operating aid granted to the same installation and how this will be ensured.
…
|
|
(d)
|
Confirm that the duration of granting of the aid does not exceed 5 years.
…
|
|
|
2.1.4.
|
Cumulation
To provide the information in this section, please refer to points 56-57 of the CEEAG.
|
|
46.
|
In as far as not already provided under Part I of the general notification form and in order to verify compliance with point 56 of the CEEAG, please clarify if the aid under the notified measure(s) may be awarded concurrently under several aid schemes or cumulated with ad hoc or de minimis aid in relation to the same eligible costs. If that is the case, please provide details on those aid schemes, ad hoc aid or de minimis aid and how the aid will be cumulated.
…
|
|
47.
|
If point 56 of the CEEAG is applicable, please justify how the total amount of aid granted under the notified measure(s) for a project or an activity does not lead to overcompensation or exceed the maximum aid amount allowed under points 241-245 of the CEEAG. For each measure that the aid granted under the notified aid measure(s) can be cumulated with, please specify the method used for ensuring compliance with the conditions set out in point 56 of the CEEAG.
…
|
|
48.
|
In case point 57 of the CEEAG is applicable, i.e. the aid granted under the notified measure(s) is combined with centrally managed Union funding (369) (that does not constitute State aid), please justify how the total amount of public funding granted in relation to the same eligible costs does not lead to overcompensation.
…
|
|
2.1.5.
|
Transparency
To provide the information in this section, please refer to section 3.2.1.4 (points 58-61) of the CEEAG.
|
|
49.
|
Please confirm that the Member State will comply with the requirements on transparency provided in points 58-61 of the CEEAG.
…
|
|
50.
|
Please provide the internet link where the full text of the approved aid scheme or the individual aid granting decision and its implementing provisions and information on each individual aid award granted ad hoc or under an aid scheme approved on the basis of the CEEAG and exceeding EUR 100 000 will be published.
…
|
|
2.2.
|
Avoidance of undue negative effects of the aid on competition and trade
To provide the information in this section, please refer to section 3.2.2 (points 63-70) and section 4.4.5. (points 248-252) of the CEEAG.
|
|
51.
|
In order to verify compliance with point 67 of the CEEAG, please provide information on the possible short and long-term negative effects of the notified measure(s) on competition and trade.
…
|
|
52.
|
Please explain if the measure falls under any of the following situations:
|
(a)
|
It concerns a market (or markets) where incumbents gained market power prior to market liberalisation;
…
|
|
(b)
|
It involves competitive bidding processes in nascent market(s), when there is a player with a strong market position;
…
|
|
(c)
|
It will only benefit one or a particularly limited number of beneficiaries.
…
|
|
|
53.
|
Should the aid measure focus on a specific technological choice/path, please justify the reason for the technological choice and that it will not discourage the deployment of cleaner technologies.
…
|
|
54.
|
If the notified measure(s) will only benefit one or a particularly limited number of beneficiaries, in order to verify compliance with point 68 of the CEEAG, please:
|
(a)
|
Explain whether the notified measure(s) strengthens or maintains the market power of the beneficiary(ies) or discourages the expansion of existing competitors or induces their exit or discourages the entry of new competitors. Explain in this regard also whether the aid measure will lead to an increase in the production capacity of the beneficiary.
…
|
|
(b)
|
Describe the measure(s) put in place to limit the potential distortion of competition caused by granting the aid to the beneficiary(ies).
…
|
|
|
55.
|
In order to verify compliance with point 69 of the CEEAG, please explain:
|
(a)
|
If the aid granted under the notified measure(s) aims at preserving economic activity in one region or attracting it away from other regions within the internal market.
…
|
|
(b)
|
In the affirmative, please specify which is the net environmental effect of the notified measure(s), how the notified measure(s) improves the existing level of environmental protection in the Member States
…
|
|
(c)
|
How the aid granted under the notified measure(s) does not result in any manifestly negative effects on competition and trade.
…
|
|
(d)
|
In case of individual aid, the main drivers of the choice of the location for the investments by the beneficiary.
…
|
|
|
56.
|
In order to verify compliance with point 70 of the CEEAG:
|
(a)
|
Please confirm that aid may be granted under the notified scheme for a maximum period of 10 years from the date of the notification of the Commission’s decision declaring the aid compatible.
…
|
|
(b)
|
Please confirm that if your authorities wish to extend the duration of the measure beyond that maximum period, they will renotify the measure.
…
|
|
|
57.
|
In order to verify compliance with point 249 of the CEEAG, please provide justification that the aid will not incentivise the generation of waste or increase the use of resources.
…
|
|
58.
|
In order to verify compliance with point 250 of the CEEAG, please demonstrate that where the aid increases demand for the waste or other materials and resources intended to be re-used, recycled or recovered, the collection capacity of such waste, other materials and resources will be increased accordingly to meet the increased demand.
…
|
|
59.
|
In order to verify compliance with point 251 of the CEEAG, please indicate if the aid will have any potential effects on the functioning of the markets for primary and secondary materials relating to the products concerned, and what these potential effects could result in.
…
|
|
60.
|
In order to verify compliance with point 252 of the CEEAG, where the aid covers operating costs relating to separate collection and sorting of waste or other products, materials or substances in relation to specific waste streams or types of waste in view of preparing for re-use or recycling, please indicate if the aid may potentially interact with any extended producer responsibility schemes in your Member State, please describe any such schemes and specify how it may interact.
…
|
|
3.
|
WEIGHING THE POSITIVE EFFECTS OF THE AID AGAINST THE NEGATIVE EFFECTS ON COMPETITION AND TRADE
To provide the information in this section, please refer to section 3.3 (points 71-76) of the CEEAG.
|
|
61.
|
In order to verify compliance with point 72 of the CEEAG, please explain whether activities supported under the notified measure meet the criteria for environmentally sustainable economic activities provided in Article 3 of the Regulation (EU) 2020/852 of the European Parliament and of the Council (370), including the ‘do no significant harm’ principle, or other comparable methodologies.
…
|
|
62.
|
(In case of competitive bidding process) Please explain if the notified measure(s) includes features to facilitate the participation of SMEs in competitive bidding processes. In the affirmative, please provide information on those features and justify how the positive effects of ensuring participation of SMEs in the notified measure(s) outweigh the possible distortive effects.
|
Section C: Evaluation
To provide the information in this section, please refer to Section 5 (points 455-463) of the CEEAG.
|
63.
|
If the notified measure(s) exceed the budget/expenditure thresholds in point 456 of the CEEAG please either explain why in your view the exception in point 457 of the CEEAG should apply, or attach to this notification form an Annex that includes a draft evaluation plan covering the scope mentioned in point 458 of the CEEAG) (371).
…
|
|
64.
|
If a draft evaluation plan is provided, please:
|
(a)
|
provide below a summary of that draft evaluation plan included in the Annex.
…
|
|
(b)
|
confirm that the provisions of point 460 of the CEEAG will be respected.
…
|
|
(c)
|
provide the date and internet link where the evaluation plan will be publicly available.
…
|
|
|
65.
|
In order to verify compliance with point 459(b) of the CEEAG, in case the aid scheme is not currently subject to an ex post evaluation, and its duration exceeds three years, please confirm that you will notify a draft evaluation plan within 30 working days following a significant modification increasing the budget of the scheme to over EUR 150 million in any given year or EUR 750 million over the total duration of the scheme.
…
|
|
66.
|
In order to verify compliance with point 459(c) of the CEEAG, in case the aid scheme is not currently subject to an ex post evaluation, please provide below a commitment that the Member State will notify a draft evaluation plan within 30 working days after recording in official accounts expenditures in excess of EUR 150 million in the previous year.
…
|
|
67.
|
In order to verify compliance with point 461 of the CEEAG,
|
(a)
|
Please clarify if the independent expert has already been selected or it will be selected in the future.
…
|
|
(b)
|
Please provide information on the selection procedure of the expert.
…
|
|
(c)
|
Please justify how the expert is independent from the granting authority.
…
|
|
|
68.
|
In order to verify compliance with point 461 of the CEEAG:
|
(a)
|
Please provide your proposed deadlines for the submission of the interim and final evaluation report. Please note that the final evaluation report must be submitted to the Commission in due time to allow for the assessment of the possible prolongation of the aid scheme and at the latest 9 months before its expiry, in line with point 463 of the CEEAG. Please note that that deadline could be reduced for schemes triggering the evaluation requirement in their last 2 years of implementation.
…
|
|
(b)
|
Please confirm that the interim and final evaluation report will be made public. Please provide the date and internet link where those reports will be publicly available.
…
|
|
Section D: Reporting and monitoring
To provide the information in this section, please refer to Section 6 (points 464 and 465) of the CEEAG.
|
69.
|
Please confirm that the Member State will comply with the requirements for reporting and monitoring set out in Section 6, points 464 and 465, of the CEEAG.
…
|
PART III.6.F
Supplementary information sheet for State aid granted under the Guidelines on State aid for climate, environmental protection and energy 2022 (hereafter ‘CEEAG’) - Section 4.5 – Aid for the prevention or reduction of pollution other than from greenhouse gases
This supplementary information sheet concerns measures covered in Section 4.5 of the CEEAG. If the notification includes measures that are covered by more than one section of the CEEAG, please once available also fill in the respective supplementary information sheet that concerns the respective section of the CEEAG.
All documents provided by Member States as annexes to this supplementary information sheet must be numbered and document numbers must be indicated in the relevant sections of this supplementary information sheet.
Section A: Summary of the main characteristics of the notified measure(s)
|
1.
|
Background and objective(s) of the notified measure(s).
|
|
1.1.
|
If not already discussed under section 5.2 of the General Information Form (Part I), please provide the background and the main objective, including any Union targets for the environmental objective(s) the measure is intended to support.
…
|
|
1.2.
|
Please indicate any other objectives pursued by the measure. For any objectives that are not purely environmental, please explain whether they may result in any distortions of competition in the internal market.
…
|
|
2.
|
Entry into force and duration:
|
|
2.1.
|
To the extent not already provided under section 5.5 of the General Information Form (Part I), please indicate the date as of which the aid scheme is planned to enter into force;
…
|
|
2.2.
|
Please indicate the duration of the scheme (372).
…
|
|
3.1.
|
If not already provided under section 3 of the General Information Form (Part I), please describe the (potential) beneficiary(ies) of the measure(s);
…
|
|
3.2.
|
Please indicate the location of the beneficiary(ies) (i.e. if only economic entities located in the respective Member State or also in other Member States are eligible to participate in the measure).
…
|
|
3.3.
|
In order to assess the compliance with point 15 of the CEEAG, please specify if aid is granted under the measure(s) in favour of an undertaking (individual or part of a scheme) that is subject to an outstanding recovery order following a previous Commission decision declaring an aid illegal and incompatible with the internal market.
In the affirmative, please provide information on the amount of aid still to be recovered so that the Commission takes account of it in the assessment of the aid measure(s).
…
|
|
4.
|
Please confirm that the measure(s) does not involve aid to activities falling outside the scope of application of the CEEAG (see point 13 of the CEEAG). Otherwise, please provide details.
…
|
|
5.
|
Budget and financing of the measure(s).
|
|
5.1.
|
If not already mentioned in the table under section 7.1 of the General Information Form (Part I), please provide the yearly and/or total budget for the whole duration of the measure(s); if the total budget is not known (for instance because it depends on the results of tenders), please indicate an estimated budget, including the assumptions used to calculate the respective estimated budget (373).
…
|
|
5.2.
|
if the measure is financed through a levy, please clarify if:
|
(a)
|
the levy is set by law or any other legislative act; in the affirmative, please provide the legal act, number and date when adopted and entered into force, the internet link to the legal act;
…
|
|
(b)
|
the levy reduction is financed by raising the levy for other consumers;
…
|
|
(c)
|
the levy is imposed equally on domestic and imported products;
…
|
|
(d)
|
the notified measure will benefit equally domestic and imported products;
…
|
|
(e)
|
the levy finances fully the measure or only partly. If the levy finances only partly the measure, indicate the other sources of financing of the measure and their respective proportion;
…
|
|
(f)
|
the levy financing the notified measure also finances other aid measures. If so, indicate the other aid measures financed by the concerned levy.
…
|
|
Section B: Compatibility assessment of the aid
|
1.
|
POSITIVE CONDITION: THE AID MUST FACILITATE THE DEVELOPMENT OF AN ECONOMIC ACTIVITY
|
|
1.1.
|
Contribution to the development of an economic activity
To provide the information in this section, please refer to section 3.1.1 (points 23-25) and sections 4.5.1 (points 253-254), and 4.5.2 (points 255-259) of the CEEAG.
|
|
6.
|
Article 107(3), point (c), of the Treaty on the Functioning of the European Union (’the Treaty’) provides that the Commission may declare compatible ‘aid to facilitate the development of certain economic activities or of certain economic areas, where such aid does not adversely affect trading conditions to an extent contrary to the common interest’. Therefore, compatible aid under that provision of the Treatymust contribute to the development of a certain economic activity.
In order to assess compliance with point 23 of the CEEAG, please identify the economic activities that will be facilitated as a result of the aid and how the development of those activities is supported.
…
|
|
7.
|
In order to assess compliance with point 25 of the CEEAG, please “describe if and how the aid will contribute to the achievement of objectives of Union climate policy, environmental policy and energy policy and more specifically, the expected benefits of the aid in terms of its material contribution to environmental protection, including climate change mitigation, or the efficient functioning of the internal energy market”.
…
|
|
8.
|
In addition, please highlight to what extent the aid relates to the policies described under points 253-254 of the CEEAG.
…
|
|
9.
|
Please describe the eligibility requirements applicable to the beneficiary(ies) (for instance by including any technical, environmental (i.e. permits), financial (i.e. collaterals) or other requirements that the beneficiary(ies) need to comply with).
…
|
|
10.
|
Please provide information on the precise scope and supported activities of the aid measure(s), as provided in section 4.5.2 (points 255-259) of the CEEAG. Please indicate which one(s) of the following categories of investments are eligible under the aid measure:
|
(a)
|
Investments enabling undertakings to prevent or reduce pollution other than from greenhouse gases beyond Union standards for environmental protection;
|
|
(b)
|
Investments enabling undertakings to prevent or reduce pollution other than from greenhouse gases in the absence of Union standards;
|
|
(c)
|
Investments enabling undertakings to comply with Union standards that are adopted but not yet in force.
|
…
|
|
11.
|
If the aid is in the form of tradable permits (374):
|
(a)
|
Please describe in detail the tradable permit scheme, including inter alia the objectives, the granting methodology, the authorities or entities involved, the role of the State, the beneficiaries and the procedural aspects.
…
|
|
(b)
|
Please explain how the tradable permit scheme is designed in such a way as to prevent or reduce pollution beyond the levels to be achieved on the basis of Union standards that are mandatory for the undertakings concerned.
…
|
|
|
12.
|
Please confirm that the aid targets the prevention or reduction of pollution directly linked to the beneficiary(-ies)’s own activities.
…
|
|
13.
|
Please describe how it will be ensured that the aid will not merely displace pollution from one sector to another or from one environmental medium to another and that it will achieve an overall reduction of pollution.
…
|
|
14.
|
For individual aid and aid schemes benefitting a particularly limited number of beneficiaries or an incumbent beneficiary and aiming at decreasing their pollution other than from greenhouse gases, please provide a quantification of the emission/pollutants savings expected from the measure and explain the method followed to quantify them.
…
|
|
15.
|
Please indicate whether the aid measure also contributes to the prevention or reduction of greenhouse gas emissions.
If yes, please provide a comparison of the expected results of the measure in terms of the prevention or reduction of greenhouse gas emissions and of emissions of other pollutants on the basis of credible, detailed quantifications.
…
If the prevention or reduction of greenhouse gas emissions is the predominant objective of the aid measure, please refer to the supplementary information sheet for section 4.1 as its compatibility will be assessed on the basis of section 4.1. However, if the predominant objective of the measure is the prevention or reduction of pollution other than from greenhouse gas emissions, it will be assessed on the basis of section 4.5 (point 259 of the CEEAG).
|
|
1.2.
|
Incentive effect
To provide the information in this section, please refer to section 3.1.2 (points 26-32) and section 4.5.3 (points 260-262) of the CEEAG.
|
|
16.
|
Aid can be considered as facilitating an economic activity only if it has an incentive effect. In order to assess compliance with point 26 of the CEEAG, please explain how the measure(s) “induces the beneficiary to change its behaviour, to engage in additional economic activity or in more environmentally-friendly economic activity, which it would not carry out without the aid or would carry out in a restricted or different manner”.
…
|
|
17.
|
Pursuant to point 28 of the CEEAG:
|
|
17.1.
|
Please provide a comprehensive description of the factual scenario expected to result from the aid measure and the likely counterfactual scenario(s) absent the aid measure. (375) Where you expect that different categories of beneficiaries may be supported, please ensure that the counterfactual is credible for each of these categories.
Please take into account the requirements on the counterfactual included in points 266 and 226-230 CEEAG, notably:
|
(a)
|
Generally, the counterfactual corresponds to an investment with the same capacity, lifetime and, where appropriate, other relevant technical characteristics, as the environmentally friendly investment, leading however to a lower level of environmental protection;
|
|
(b)
|
Alternatively, the counterfactual may also correspond to one of the following scenarios:
|
(i)
|
maintaining the existing installations or equipment in operation for a period corresponding to the lifetime of the environmentally friendly investment; in that case, the discounted maintenance, repair and modernisation costs over that period should be taken into account (point 227 of the CEEAG);
|
|
(ii)
|
a later replacement of the installations or equipment; in that case the discounted value of the installations and equipment needs to be taken into account and the difference in the respective economic lifetime of the installations or equipment needs to be equalised in line with point 228 of the CEEAG;
|
|
(iii)
|
the leasing of a the less environmentally-friendly equipment that would be used in the absence of the aid; in that case the discounted value of the leasing of the less environmentally-friendly equipment should be taken into account in line with point 229 of the CEEAG;
|
|
(iv)
|
the absence of an alternative project, in particular where the aided investment consists in adding installations or equipment to existing facilities, installations or equipment.
|
|
When describing the factual scenario and the likely counterfactual scenario(s), please specify the capacity, lifetime and other technical characteristics of the investment for both the factual and the counterfactual scenario(s).
…
|
|
17.2.
|
Please briefly explain the rationale for the choice of the likely counterfactual scenario(s), in view of the proposed different categories of beneficiaries if applicable;
…
|
|
17.3.
|
Please quantify the costs and revenues of factual and counterfactual scenarios and justify the change of behaviour, where relevant for each category of beneficiary, based on:
|
(a)
|
the respective reference project (376), the corresponding counterfactuals and resulting funding gap;
OR
|
|
(b)
|
relevant quantitative evidence based on market studies, investor plans, financial reports, or other quantitative evidence including bids made for similar projects in recent comparable competitive bidding processes. (377)
…
|
|
|
18.
|
In order to demonstrate compliance with points 29 and 31 of the CEEAG:
|
(a)
|
Please confirm that the start of works on the project or activity did not take place prior to a written aid application by the beneficiary to the national authorities;
…
OR
|
|
(b)
|
For projects that started before the aid application, please demonstrate that the project falls within one of the exceptional cases provided in point 31 of the CEEAG ((a), (b) or (c)).
…
|
|
|
19.
|
In order to demonstrate compliance with point 30 of the CEEAG, please confirm that the aid application includes at least the applicant’s name, a description of the project or activity, including its location, and the amount of aid needed to carry it out.
…
|
|
20.
|
In order to demonstrate compliance with points 32, 261 and 262 of the CEEAG:
|
(a)
|
Please indicate if there are Union standards (378) applicable to the notified measure(s), mandatory national standards that are more stringent or ambitious than the corresponding Union standards, or mandatory national standards adopted in the absence of Union standards.
In that context, please provide information to demonstrate the incentive effect.
…
|
|
(b)
|
In cases where the relevant Union standard has already been adopted but is not yet in force, please demonstrate that the aid has an incentive effect because it incentivises the investment to be implemented and finalised at least 18 months before the standard enters into force in line with point 262 of the CEEAG.
…
|
|
|
1.3.
|
No breach of any relevant provision of Union law
To provide the information in this section, please refer to section 3.1.3 (point 33) of the CEEAG.
|
|
21.
|
Please provide information to confirm the compliance with the relevant provisions of EU law, in line with point 33 of the CEEAG.
…
|
|
22.
|
If a levy is used to finance the measure(s), please clarify if the assessment of compliance with Articles 30 and 110 of the Treaty needs to be carried out. In the affirmative, please demonstrate how the measure complies with the provisions of Articles 30 and 110 of the Treaty. In this context, the information submitted under question 5.2 above, where the notified measure(s) is financed through a levy can be referred to.
…
|
|
2.
|
NEGATIVE CONDITION: THE AID CANNOT UNDULY AFFECT TRADING CONDITIONS TO AN EXTENT CONTRARY TO THE COMMON INTERES
|
|
2.1.
|
Minimisation of distortions of competition and trade
|
|
2.1.1.
|
Necessity of the aid
To provide the information in this section, please refer to section 3.2.1.1 (points 34-38) and section 4.5.4.1 (point 264) of the CEEAG.
|
|
23.
|
Please explain which market failure(s) your authorities have identified that prevent the achievement of a sufficient level of environmental protection. Please specify in which category the market failures identified fall, by making reference to letters (a), (b), (c) or (d) of point 34 of the CEEAG.
…
|
|
24.
|
In accordance with point 35 of the CEEAG, please provide information on any existing policies and measures that your authorities identified, which already target the identified regulatory or market failures.
…
|
|
25.
|
In order to demonstrate compliance with point 36 of the CEEAG, please provide information that demonstrates that the aid effectively targets residual market failures, also taking into account any other policies and measures already in place to address some of the market failures identified.
…
|
|
26.
|
In order to demonstrate compliance with point 37 of the CEEAG, please explain if, to your authorities’ knowledge, projects or activities similar to those covered by the notified measure(s) with respect to their technological content, level of risk and size, are already delivered within the Union at market conditions. In the affirmative, please provide further evidence to demonstrate the need for State aid.
…
|
|
27.
|
In order to demonstrate compliance with point 38 of the CEEAG, please refer to the quantitative evidence already provided under question 17 above.
…
|
|
28.
|
If the aid is in the form of tradable permits, please provide evidence showing that the following cumulative conditions are fulfilled, in line with point 264 of the CEEAG:
|
(a)
|
Full auctioning leads to a substantial increase in production costs for each sector or category of individual beneficiaries;
…
|
|
(b)
|
The substantial increase in production costs cannot be passed on to customers without leading to significant sales reductions (379);
…
|
|
(c)
|
Individual undertakings in the sector do not have the possibility to reduce emission levels in order to reduce the costs of the certificates/tradable permits to a level bearable to those companies. This can be shown by comparing the level of emissions of the potential beneficiaries with the emission levels achieved by implementing the best performing technique and showing that the best performing technique in the EEA was used as a benchmark for the level of the allowance granted.
…
|
|
|
2.1.2.
|
Appropriateness
To provide the information in this section, please refer to section 3.2.1.2 (points 39-46) of the CEEAG.
|
|
29.
|
In order to verify compliance with point 40 of the CEEAG, please demonstrate that there are no less distortive instruments available that are more appropriate.
…
|
|
30.
|
In order to verify compliance with point 41 of the CEEAG, please demonstrate that the aid measure is designed in such a way as to not undermine the efficiency of other measures remedying the same market failure, such as market-based mechanisms (e.g., the EU ETS).
…
|
|
31.
|
In order to verify compliance with point 42 of the CEEAG, please confirm that none of the beneficiaries of the aid measure(s) could be held liable for the pollution under existing Union or national law (
‘polluter pays’ principle).
…
|
|
32.
|
In order to verify compliance with points 43 to 46 of the CEEAG, to demonstrate the appropriateness of the aid among different aid instruments, please provide the following information:
|
(a)
|
Please explain why other potentially less distortive forms of aid are less appropriate, as required in point 44 of the CEEAG. Less distortive forms of aid may be repayable advances as compared to direct grants; tax credits as compared to tax reductions; or forms of aid that are based on financial instruments, such as debt, as compared to equity instruments, including, for example, low-interest loans or interest rebates, State guarantees, or an alternative provision of financing on favourable terms.
…
|
|
(b)
|
Please demonstrate that the choice of the aid instrument is appropriate to the market failure that the aid measure(s) aims to address, as required in point 45 of the CEEAG.
…
|
|
(c)
|
Please explain how the aid measure and its design are appropriate to achieve its objective (point 46 of the CEEAG).
…
|
|
|
2.1.3.
|
Proportionality
To provide the information in this section, please refer to section 3.2.1.3 (points 47-57) and section 4.5.4.2 (points 265-273) of the CEEAG. Please note that the following three sections 2.1.3.2., 2.1.3.3. and 2.1.3.4. are alternative. Please provide replies only to the applicable section, depending on the design of the proposed measure. For aid granted in the form of tradable permits, please also reply to question 33 (section 2.1.3.1).
|
|
2.1.3.1.
|
Proportionality of aid granted in the form of tradable permits
|
|
33.
|
If the aid is in the form of tradable permits, in line with point 273 please explain how:
|
(a)
|
The allocation will be carried out in a transparent way, based on objective criteria and on data sources of the highest quality available;
…
|
|
(b)
|
The total amount of tradable permits or allowances granted to each undertaking for a price below their market value will not be higher than its expected needs as estimated for a situation without the trading scheme.
…
|
|
|
2.1.3.2.
|
Proportionality of aid based on aid intensities set out in points 265-273 of the CEEAG
|
|
34.
|
In order to describe the eligible costs under the measure, please identify the extra investment costs directly linked to the achievement of a higher level of environmental protection. For this purpose, please refer to the relevant counterfactual scenario, as identified in the response to question 17 and to points 266 and 226 to 230 CEEAG.
…
|
|
35.
|
Please explain how the investment costs of the factual and the counterfactual scenarios will be determined and verified.
…
|
|
36.
|
Please indicate the maximum aid intensities applicable under the measure and indicate whether any bonuses apply (points 267-270 of the CEEAG).
…
|
|
37.
|
For eco-innovation activities, please demonstrate that the following cumulative conditions are fulfilled (point 270 of the CEEAG):
|
(a)
|
The eco-innovation activity is new or substantially improved compared to the state of the art in its industry in the Union (380);
|
|
(b)
|
The expected environmental benefit is significantly higher than the improvement resulting from the general evolution of the state of the art in comparable activities (381);
|
|
(c)
|
The innovative character of the activity involves a clear degree of risk, in technological, market or financial terms, which is higher than the risk generally associated with comparable non-innovative activities (382).
…
|
|
|
38.
|
If by way of derogation from points 267-270 of the CEEAG, it is considered that aid beyond the maximum aid intensities set under Section 4.5.4.2 is required, please indicate the level of aid considered to be necessary and justify it on the basis of a funding gap analysis for reference projects in the factual and counterfactual scenarios as identified in reply to question 17(c) above, in line with points 51-52 of the CEEAG.
For this funding gap analysis, please submit a quantification, for the factual scenario(s) and a realistic counterfactual scenario(s) (383) identified in reply to question 17 C) above, of all main costs and revenues, the estimated weighted average cost of capital (WACC) of the beneficiaries (or reference projects) to discount future cash flows, as well as the net present value (NPV) for the factual and counterfactual scenarios, over the lifetime of the project/reference project.
|
(a)
|
Please provide this in an Annex to this supplementary information sheet (using an Excel file where all formulas are visible).
…
|
|
(b)
|
Please include detailed information on the assumptions, methodologies, rationale and underlying sources thereof, used for each aspect of the quantification of costs and revenues in the factual scenario and the likely counterfactual scenario (for instance please include the assumptions used to develop those scenarios and the source/rationale for these assumptions).
…
|
|
(c)
|
For cases of individual aid and schemes benefitting a particularly limited number of beneficiaries, the Member State needs to present the supporting evidence at the level of the detailed project business plan.
For cases of aid schemes, the Member State needs to present the supporting evidence on the basis of one or more reference projects.
…
|
|
(d)
|
You may also attach to this supplementary information sheet the documents mentioned in footnote 39 of the CEEAG. Board documents may be particularly useful for individual aid measures or schemes benefitting a particularly limited number of beneficiaries. If such documents are attached to the supplementary information sheet, please provide below a list of those documents, specifying the author, the date when they were drafted and the context when they were used.
…
|
|
|
39.
|
Please also demonstrate that the application of a higher aid determined as indicated in question 38 would not result in aid exceeding the funding gap.
…
|
|
40.
|
In case point 52 of the CEEAG is applicable, i.e. the most likely counterfactual scenario consists in the beneficiary not carrying out an activity or investment, or continuing its business without changes, please provide evidence to support this assumption (384).
…
|
|
41.
|
In all case where the proportionality is justified by reference to a funding gap analysis, please confirm that your authorities will conduct an ex post monitoring to verify the assumptions made about the level of aid required and will put in place a claw-back mechanism. Please also describe the monitoring and claw-back mechanism that your authorities intend to apply (point 271 CEEAG).
…
|
|
2.1.3.3.
|
Proportionality of the aid granted through a competitive bidding process
To provide the information in this section, please refer to points 49, 50 and 272 of the CEEAG.
|
|
42.
|
In order to verify the compliance with points 49 and 50 of the CEEAG, please provide the following:
|
(a)
|
Please explain how the authorities ensure that the bidding process is open, clear, transparent and non-discriminatory, based on objective criteria, defined ex ante in accordance with the objective of the measure and minimising the risk of strategic bidding (point 49(a) of the CEEAG).
…
|
|
(b)
|
The selection criteria used for ranking the bids, and ultimately identifying the level of aid in the competitive bidding process. More specifically:
|
(i)
|
Please provide the list of the selection criteria and specify which of them are/are not directly or indirectly related to the main objectives of the measure(s). Please include their weighting.
…
|
|
(ii)
|
Please explain how the selection criteria put the contribution to the main objectives of the measure(s) in direct or indirect relation with the aid amount requested by the applicant. This may be expressed, for example, in terms of aid per unit of environmental protection (385) (point 50 of the CEEAG and footnote 44 of the CEEAG).
…
|
|
(iii)
|
In case there are other selection criteria that are not directly or indirectly related to the main objectives of the measure(s), please provide reasons for the proposed approach and explain how it is appropriate to the objectives pursued by the measure(s). Please also confirm that those criteria account for no more than 30 % of the weighting of all the selection criteria (point 50 of the CEEAG).
…
|
|
(iv)
|
Please explain how far in advance of the deadline for submitting applications in each competitive bidding process the selection criteria will be published (point 49(b) and footnote 43 of the CEEAG).
…
|
|
|
|
43.
|
Please explain the elements on which you based the assumption that the bidding process will be open and properly subscribed, i.e. that it can be expected that not all bidders will receive aid and that the number of expected bidders is sufficient to ensure effective competition for the duration of the scheme (point 49(c) of the CEEAG). In your explanation, please take into account the budget or volume of the scheme. Where relevant, please refer to the evidence provided in the replies under question 17.
…
|
|
44.
|
Please provide information on the number of bidding rounds envisaged and expected number of bidders in the first round and over time.
…
|
|
45.
|
In case of one or more undersubscribed bidding processes, please explain how the design of bidding processes will be corrected during the implementation of the scheme in order to restore effective competition, and when (point 49(c) of the CEEAG).
…
|
|
46.
|
Please confirm that ex post adjustments to the bidding process outcome (such as subsequent negotiations on bid results or rationing) are avoided (point 49(d) of the CEEAG).
…
|
|
47.
|
In case there is a possibility of ‘zero subsidy bids’, please explain how proportionality will be ensured (please see point 49, footnote 42, of the CEEAG).
…
|
|
48.
|
Please clarify if the authorities foresee the use of price floors or caps in the competitive bidding process. In the affirmative, please justify their use and explain how they do not constrain the competitive bidding process (point 49 and footnote 42 of the CEEAG).
…
|
|
2.1.4.
|
Cumulation
To provide the information in this section, please refer to points 56-57 of the CEEAG.
|
|
49.
|
In as far as not already provided under Part I of the general notification form and in order to verify compliance with point 56 of the CEEAG, please clarify if the aid under the notified measure(s) may be awarded concurrently under several aid schemes or cumulated with ad hoc or de minimis aid in relation to the same eligible costs. If that is the case, please provide details on those aid schemes, ad hoc aid or de minimis aid and how the aid will be cumulated.
…
|
|
50.
|
If point 56 of the CEEAG is applicable, please justify how the total amount of aid granted under the notified measure(s) for a project or an activity does not lead to overcompensation or exceed the maximum aid amount allowed under points 267-273 of the CEEAG. For each measure that the aid granted under the notified aid measure(s) can be cumulated with, please specify the method used for ensuring compliance with the conditions set out in point 56 of the CEEAG.
…
|
|
51.
|
In case point 57 of the CEEAG is applicable, i.e. the aid granted under the notified measure(s) is combined with centrally managed Union funding (386) (that does not constitute State aid), please justify how the total amount of public funding granted in relation to the same eligible costs does not lead to overcompensation.
…
|
|
2.1.5.
|
Transparency
To provide the information in this section, please refer to section 3.2.1.4 (points 58-62) of the CEEAG.
|
|
52.
|
Please confirm that the Member State will comply with the requirements on transparency provided in points 58-61 of the CEEAG.
…
|
|
53.
|
Please provide the internet link where the full text of the approved aid scheme or the individual aid granting decision and its implementing provisions, and information on each individual aid award granted ad hoc or under an aid scheme approved on the basis of the CEEAG and exceeding EUR 100 000 will be published.
…
|
|
2.2.
|
Avoidance of undue negative effects of the aid on competition and trade and balancing
To provide the information in this section, please refer to section 3.2.2 (points 63-70) and section 4.5.5 (points 274-275) of the CEEAG.
|
|
54.
|
In order to verify compliance with point 67 of the CEEAG, please provide information on the possible short and long-term negative effects of the notified measure(s) on competition and trade.
…
|
|
55.
|
Please explain if the measure falls under any of the following situations:
|
(a)
|
It concerns a market (or markets) where incumbents gained market power prior to market liberalisation;
…
|
|
(b)
|
It involves competitive bidding processes in nascent market(s), when there is a player with a strong market position;
…
|
|
(c)
|
It will only benefit one or a particularly limited number of beneficiaries.
…
|
|
|
56.
|
Should the aid measure focus on a specific technological choice/path, please justify the reason for the technological choice and that it will not discourage the deployment of cleaner technologies.
…
|
|
57.
|
If the notified measure(s) will only benefit one or a particularly limited number of beneficiaries, in order to verify compliance with point 68 of the CEEAG, please:
|
(a)
|
Explain whether the notified measure(s) strengthens or maintains the market power of the beneficiary(ies) or discourages the expansion of existing competitors or induces their exit or discourages the entry of new competitors. Explain in this regard also whether the aid measure will lead to an increase in the production capacity of the beneficiary.
…
|
|
(b)
|
Describe the measure(s) put in place to limit the potential distortion of competition caused by granting the aid to the beneficiary(ies).
…
|
|
|
58.
|
In order to verify compliance with point 69 of the CEEAG, please explain:
|
(a)
|
If the aid granted under the notified measure(s) aims at preserving economic activity in one region or attracting it away from other regions within the internal market.
…
|
|
(b)
|
In the affirmative, please specify which is the net environmental effect of the notified measure(s) and how the notified measure(s) improves the existing level of environmental protection in the Member States.
…
|
|
(c)
|
How the aid granted under the notified measure(s) does not result in any manifestly negative effects on competition and trade.
…
|
|
(d)
|
In case of individual aid, the main drivers of the choice of the location for the investments by the beneficiary.
…
|
|
|
59.
|
In order to verify compliance with point 70 of the CEEAG:
|
(a)
|
Please confirm that aid may be granted under the notified scheme for a maximum period of 10 years from the date of the notification of the Commission’s decision declaring the aid compatible.
…
|
|
(b)
|
Please confirm that, should your authorities wish to extend the duration of the scheme beyond that maximum period, they will renotify the measure.
…
|
|
|
60.
|
If the aid is in the form of tradable permits, in order to verify compliance with point 275 of the CEEAG, please confirm that the measure complies with all of the following criteria:
|
(a)
|
The choice of beneficiaries is based on objective and transparent criteria and the aid is granted in principle in the same way for all competitors in the same sector if they are in a similar factual situation;
…
|
|
(b)
|
The allocation methodology does not favour certain undertakings or certain sectors.
…
|
|
(c)
|
In case the allocation methodology favours certain undertakings or certain sectors, please explain how that is justified by the environmental logic of the scheme itself or is necessary for consistency with other environmental policies.
…
|
|
(d)
|
New entrants do not receive permits or allowances on more favourable conditions than existing undertakings operating on the same markets.
…
|
|
(e)
|
Granting higher allocations to existing installations compared to new entrants does not result in creating undue barriers to entry.
…
|
|
|
3.
|
WEIGHING THE POSITIVE EFFECTS OF THE AID AGAINST THE NEGATIVE EFFECTS ON COMPETITION AND TRADE
To provide the information in this section, please refer to section 3.3 (points 71-76) of the CEEAG.
|
|
61.
|
In order to verify compliance with point 72 of the CEEAG, please explain whether activities supported under the notified measure meet the criteria for environmentally sustainable economic activities provided in Article 3 of the Regulation (EU) 2020/852 of the European Parliament and of the Council (387), including the ‘do no significant harm’ principle, or other comparable methodologies.
…
|
|
62.
|
(In case of competitive bidding process) Please explain if the notified measure(s) includes features to facilitate the participation of SMEs in competitive bidding processes. In the affirmative, please provide information on those features and justify how the positive effects of ensuring participation of SMEs in the notified measure(s) outweigh the possible distortive effects.
…
|
Section C: Evaluation
To provide the information in this section, please refer to Section 5 (points 455-463) of the CEEAG.
|
63.
|
If the notified measure(s) exceed the budget/expenditure thresholds in point 456 of the CEEAG, please either explain why in your view the exception in point 457 of the CEEAG should apply, or attach to this supplementary information sheet an Annex that includes a draft evaluation plan covering the scope mentioned in point 458 of the CEEAG (388).
…
|
|
64.
|
If a draft evaluation plan is provided, please:
|
(a)
|
provide below a summary of that draft evaluation plan included in the Annex.
…
|
|
(b)
|
confirm that point 460 of the CEEAG will be respected.
…
|
|
(c)
|
provide the date and internet link where the evaluation plan will be publicly available.
…
|
|
|
65.
|
In order to verify compliance with point 459(b) of the CEEAG, in case the aid scheme is not currently subject to an ex post evaluation, and its duration exceeds three years, please confirm that you will notify a draft evaluation plan within 30 working days following a significant modification increasing the budget of the scheme to over EUR 150 million in any given year or EUR 750 million over the total duration of the scheme.
…
|
|
66.
|
In order to verify compliance with point 459(c) of the CEEAG, in case the aid scheme is not currently subject to an ex post evaluation, please provide below a commitment that the Member State will notify a draft evaluation plan within 30 working days after recording in official accounts expenditures in excess of EUR 150 million in the previous year.
…
|
|
67.
|
In order to verify compliance with point 461 of the CEEAG:
|
(a)
|
Please clarify if the independent expert has already been selected or it will be selected in the future.
…
|
|
(b)
|
Please provide information on the selection procedure of the expert.
…
|
|
(c)
|
Please justify how the expert is independent from the granting authority.
…
|
|
|
68.
|
In order to verify compliance with point 461 of the CEEAG:
|
(a)
|
Please provide your proposed deadlines for the submission of the interim and final evaluation report. Please note that the final evaluation report must be submitted to the Commission in due time to allow for the assessment of the possible prolongation of the aid scheme and at the latest 9 months before its expiry, in line with point 463 of the CEEAG. Please note that that deadline could be reduced for schemes triggering the evaluation requirement in their last 2 years of implementation.
…
|
|
(b)
|
Please confirm that the interim and final evaluation report will be made public. Please provide the date and internet link where those reports will be publicly available.
…
|
|
Section D: Reporting and monitoring
To provide the information in this section, please refer to Section 6 (points 464 and 465) of the CEEAG.
|
69.
|
Please confirm that the Member State will comply with the requirements for reporting and monitoring set out in Section 6, points 464 and 465, of the CEEAG.
…
|
PART III.6.G
Supplementary information sheet for State aid granted under the Guidelines on State aid for climate, environmental protection and energy 2022 (hereafter ‘CEEAG’) - Section 4.6 - Aid for the remediation of contaminated sites, for the rehabilitation of natural habitats and ecosystems and for biodiversity and nature-based solution
This supplementary information sheet concerns measures covered in Section 4.6 of the CEEAG. If the notification includes measures that are covered by more than one section of the CEEAG, please once available also fill in the respective supplementary information sheet that concerns the respective section of the CEEAG.
All documents provided by Member States as annexes to this supplementary information sheet must be numbered and document numbers must be indicated in the relevant sections of this supplementary information sheet.
Section A: Summary of the main characteristics of the notified measure(s)
|
1.
|
Background and objective(s) of the notified measure(s).
|
|
1.1.
|
If not already discussed under section 5.2 of the General Information Form (Part I), please provide the background and the main objective, including any Union targets for remediating contaminated sites, rehabilitating natural habitats and ecosystems and biodiversity and implementing nature-based solutions that the measure is intended to support.
…
|
|
1.2.
|
Please indicate any other objectives pursued by the measure. For any objectives that are not purely environmental, please explain whether they may result in any distortions of competition in the internal market.
…
|
|
2.
|
Entry into force and duration:
|
|
2.1.
|
To the extent not already provided under section 5.5 of the General Information Form (Part I), please indicate the date as of which the aid scheme is planned to enter into force;
…
|
|
2.2.
|
Please indicate the duration of the scheme. (389)
…
|
|
3.1.
|
If not already provided under section 3 of the General Information Form (Part I), please describe the (potential) beneficiary(ies) of the measure(s);
…
|
|
3.2.
|
Please indicate the location of the (potential) beneficiary(ies) (i.e. if only economic entities located in the respective Member State or also in other Member States are eligible to participate in the measure).
…
|
|
3.3.
|
In order to assess the compliance with point 15 of the CEEAG, please specify if aid is granted under the measure(s) in favour of an undertaking (individual or part of a scheme) that is subject to an outstanding recovery order following a previous Commission decision declaring an aid illegal and incompatible with the internal market.
In the affirmative, please provide information on the amount of aid still to be recovered so that the Commission takes account of it in the assessment of the aid measure(s).
…
|
|
4.
|
Please confirm that the measure(s) does not involve aid to activities falling outside the scope of application of the CEEAG (see point 13 of the CEEAG). Otherwise, please provide details.
…
|
|
5.
|
Budget and financing of the measure(s).
|
|
5.1.
|
If not already mentioned in the table under section 7.1 of the General Information Form (Part I), please provide the yearly and/or total budget for the whole duration of the measure(s); if the total budget is not known (for instance because it depends on the results of tenders), please indicate an estimated budget, including the assumptions used to calculate the respective estimated budget. (390)
…
|
|
5.2.
|
if the measure is financed through a levy, please clarify if:
|
(a)
|
the levy is set by law or any other legislative act; in the affirmative, please provide the legal act, number and date when adopted and entered into force, the internet link to the legal act;
…
|
|
(b)
|
the levy is imposed equally on domestic and imported products;
…
|
|
(c)
|
the notified measure will benefit equally domestic and imported products;
…
|
|
(d)
|
the levy finances fully the measure or only partly. If the levy finances only partly the measure, indicate the other sources of financing of the measure and their respective proportion;
…
|
|
(e)
|
the levy financing the notified measure also finances other aid measures. If so, indicate the other aid measures financed by the concerned levy.
…
|
|
Section B: Compatibility assessment of the aid
|
1.
|
POSITIVE CONDITION: THE AID MUST FACILITATE THE DEVELOPMENT OF AN ECONOMIC ACTIVITY
|
|
1.1.
|
Contribution to the development of an economic activity
To provide the information in this section, please refer to section 3.1.1 (points 23-25) and sections 4.6.1 (points 276-278) and 4.6.2 (points 279-282) of the CEEAG.
|
|
6.
|
Article 107(3), point (c), of the Treaty on the Functioning of the European Union (’the Treaty’) provides that the Commission may declare compatible “aid to facilitate the development of certain economic activities or of certain economic areas, where such aid does not adversely affect trading conditions to an extent contrary to the common interest”. Therefore, compatible aid under that provision of the Treaty must contribute to the development of a certain economic activity.
In order to assess compliance with point 23 of the CEEAG, please identify the economic activities that will be facilitated as a result of the aid and how the development of those activities is supported.
…
|
|
7.
|
In order to assess compliance with point 25 of the CEEAG, please describe “if and how the aid will contribute to the achievement of objectives of Union climate policy, environmental policy and energy policy and more specifically, the expected benefits of the aid in terms of its material contribution to environmental protection, including climate change mitigation, or the efficient functioning of the internal energy market”.
…
|
|
8.
|
In addition, please highlight to what extent the aid relates to the policies described under points 276, 277 and 278 of the CEEAG.
…
|
|
9.
|
Please describe the eligibility requirements applicable to the beneficiary(ies) (for instance by including any technical, environmental (i.e. permits), financial (i.e. collaterals) or other requirements that the beneficiary(ies) need to comply with).
…
|
|
10.
|
Please provide information on the precise scope and precise supported activities of the aid measure(s) to demonstrate that the scheme covers activities falling under one or several of the categories listed under point 281 of the CEEAG.
…
|
|
11.
|
Please confirm that the aid granted under the measure(s) is not awarded for remediation or rehabilitation following the closure of power plants and mining or extraction operations to the extent that the aid in question is covered by Section 4.12 (point 280(a) of the CEEAG). Should the aid for remediation or rehabilitation be directly following the early closure of profitable coal, peat and oil shale activities or the closure of uncompetitive coal, peat and oil shale activities please fill in Supplementary information sheet for State aid granted under Section 4.12 of the CEEAG, as such aid is assessed under Section 4.12.
…
|
|
12.
|
Please confirm that the aid granted under the measure(s) is not awarded to make good the damage caused by natural disasters, such as earthquakes, avalanches, landslides, floods, tornadoes, hurricanes, volcanic eruptions and wild fires of natural origin (point 280(b) of the CEEAG).
…
|
|
13.
|
In order to determine whether the compatibility of the measure will be assessed under Section 4.6 or Section 4.1, please indicate whether the aid granted under the measure(s) also contributes to the reduction of greenhouse gas emissions.
…
|
|
14.
|
In the affirmative, please provide, in order to determine the predominant objective of the measure in line with point 282 and footnote 124 of the CEEAG, a comparison of the expected results of the measure in terms of the prevention or reduction of emissions of greenhouse gases and of the remediation of environmental damage, the rehabilitation of natural habitats and ecosystems, the protection or restoration of biodiversity and the implementation of nature-based solutions for climate change adaptation and mitigation, on the basis of credible, detailed quantifications.
…
|
|
1.2.
|
Incentive effect
To provide the information in this section, please refer to section 3.1.2 (points 26-32) and section 4.6.3 (points 283-287) of the CEEAG.
|
|
15.
|
Aid can be considered as facilitating an economic activity only if it has an incentive effect. In order to assess the compliance with point 26 of the CEEAG, please explain how the measure(s) “induces the beneficiary to change its behaviour, to engage in additional economic activity or in more environmentally-friendly economic activity, which it would not carry out without the aid or would carry out in a restricted or different manner”.
…
|
|
16.
|
Pursuant to point 28 of the CEEAG, please provide a comprehensive description of the factual scenario expected to result from the aid measure and the likely counterfactual scenario(s) absent the aid measure. (391) Where you expect that different categories of beneficiaries may be supported, please ensure that the counterfactual is credible for each of these categories and justify the choice of the counterfactual.
…
Please justify the change of behaviour where relevant for each category of beneficiary, based on the respective reference project (392), the corresponding counterfactuals and resulting funding gap.
…
|
|
17.
|
In order to assess compliance with point 27 of the CEEAG, please provide information to confirm that the aid does not support the costs of an activity that the aid beneficiary would anyhow carry out and does not compensate for the normal business risk of an economic activity.
…
|
|
18.
|
In order to demonstrate compliance with points 29 and 31 of the CEEAG:
|
(a)
|
Please confirm that the start of works on the project or activity did not take place prior to a written aid application by the beneficiary to the national authorities;
…
OR
|
|
(b)
|
For projects that started before the aid application, please demonstrate that the project falls within one of the exceptional cases provided in point 31 of the CEEAG ((a), (b) or (c)).
…
|
|
|
19.
|
In order to demonstrate compliance with point 30 of the CEEAG, please confirm that the aid application includes at least the applicant’s name, a description of the project or activity, including its location, and the amount of aid needed to carry it out.
…
|
|
20.
|
In order to demonstrate compliance with point 32 of the CEEAG, please indicate if there are Union standards (393) applicable to the notified measure(s), mandatory national standards that are more stringent or ambitious than the corresponding Union standards, or mandatory national standards. adopted in the absence of Union standards. In that context, please provide information to demonstrate the incentive effect.
…
|
|
21.
|
In cases where the relevant Union standard has already been adopted but is not yet in force, please demonstrate that the aid has an incentive effect because it incentivises the investment to be implemented and finalised at least 18 months before the standard enters into force.
…
|
|
22.
|
Without prejudice to Directive 2004/35/EC or other relevant Union rules (394), in order to verify the compliance with points 284 and 285 of the CEEAG and with the ‘polluter pays’ principle:
|
(a)
|
Please confirm that the undertaking at the origin of the environmental damage cannot be identified or be held liable for financing the works necessary to prevent and correct the environmental damage in accordance with the polluter pays principle.
…
|
|
(b)
|
Please demonstrate that all necessary measures, including legal action, have been taken to identify the liable entity or undertaking at the origin of the environmental damage and make it bear the relevant costs.
…
|
|
(c)
|
Please indicate whether the undertaking at the origin of the environmental damage, has ceased to legally exist and no other undertaking can be regarded as its legal or economic successor and whether there is insufficient financial security to meet the costs of remediation.
…
|
|
|
23.
|
In order to verify compliance with point 286 of the CEEAG, please confirm that the aid is not granted for the implementation of compensatory measures referred to in Article 6(4) of Council Directive 92/43/EEC (395).
…
|
|
24.
|
Please indicate whether the aid covers extra costs necessary to increase the scope or ambition of the compensatory measures beyond the legal obligations under Article 6(4) of the Council Directive 92/43/EEC.
…
|
|
1.3.
|
No breach of any relevant provision of Union law
To provide the information in this section, please refer to section 3.1.3 (point 33) of the CEEAG.
|
|
25.
|
Please provide information to confirm the compliance with the relevant provisions of EU law, in line with point 33 of the CEEAG.
…
|
|
26.
|
If a levy is used to finance the measure(s), please clarify if the assessment of compliance with Articles 30 and 110 of the Treaty needs to be carried out. In the affirmative, please demonstrate how the measure complies with the provisions of Articles 30 and 110 of the Treaty. In this context, the information submitted under question 5.2 above, where the notified measure(s) is financed through a levy can be referred to.
…
|
|
2.
|
NEGATIVE CONDITION: THE AID CANNOT UNDULY AFFECT TRADING CONDITIONS TO AN EXTENT CONTRARY TO THE COMMON INTEREST
|
|
2.1.
|
Minimisation of distortions of competition and trade
|
|
2.1.1.
|
Minimisation of distortions of competition and trade
To provide the information in this section, please refer to section 3.2.1.1 (points 34-38) of the CEEAG.
|
|
27.
|
Please explain which market failure(s) your authorities have identified that prevent the achievement of a sufficient level of environmental protection. Please specify in which category the market failures identified fall, by making reference to letters (a), (b), (c) or (d) of point 34 of the CEEAG.
…
|
|
28.
|
In accordance with point 35 of the CEEAG, please provide information on any existing policies and measures that your authorities identified, which already target the identified regulatory or market failures.
…
|
|
29.
|
In order to demonstrate compliance with point 36 of the CEEAG, please provide information that demonstrates that the aid effectively targets residual market failures, also taking into account any other policies and measures already in place to address some of the market failures identified.
…
|
|
30.
|
In order to demonstrate compliance with point 37 of the CEEAG, please explain if, to your authorities’ knowledge, projects or activities similar to those covered by the notified measure(s) with respect to their technological content, level of risk and size, are already delivered within the Union at market conditions. In the affirmative, please provide further evidence to demonstrate the need for State aid.
…
|
|
31.
|
In order to demonstrate compliance with point 38 of the CEEAG, please refer to the quantitative evidence already provided under question 16 above.
…
|
|
2.1.2.
|
Appropriateness
To provide the information in this section, please refer to section 3.2.1.2 (points 39-46) of the CEEAG.
|
|
32.
|
In order to verify compliance with point 40 of the CEEAG, please demonstrate that there are no less distortive instruments available that are more appropriate.
…
|
|
33.
|
In order to verify compliance with point 41 of the CEEAG, please demonstrate that the aid measure is designed in such a way as to not undermine the efficiency of other measures remedying the same market failure, such as market-based mechanisms (e.g., the Union’s ETS).
…
|
|
34.
|
In order to verify compliance with points 43 to 46 of the CEEAG, to demonstrate the appropriateness of the aid among different aid instruments, please provide the following information:
|
(a)
|
Please explain why other potentially less distortive forms of aid are less appropriate, as required in point 44 of the CEEAG. Less distortive forms of aid may be repayable advances as compared to direct grants; tax credits as compared to tax reductions; or forms of aid that are based on financial instruments, such as debt as compared to equity instruments, including, for example, low-interest loans or interest rebates, State guarantees, or an alternative provision of financing on favourable terms.
…
|
|
(b)
|
Please demonstrate that the choice of the aid instrument is appropriate to the market failure that the aid measure(s) aims to address, as required in point 45 of the CEEAG.
…
|
|
(c)
|
Please explain how the aid measure and its design are appropriate to achieve the objective of the measure at which the aid is targeted (point 46 of the CEEAG).
…
|
|
|
2.1.3.
|
Proportionality
To provide the information in this section, please refer to section 4.6.4 (points 288-291 of the CEEAG.
|
|
35.
|
Please describe what costs are eligible under the aid measure and how they will be identified.
…
|
|
36.
|
For investments in the remediation of environmental damage or the rehabilitation of natural habitats and ecosystems:
|
(a)
|
Please indicate (i) the remediation or rehabilitation costs and provide their amounts using the quantification of the project costs or the reference project costs under question 16 and (ii) the value of the land before the remediation or rehabilitation has been undertaken and after the remediation or rehabilitation has been undertaken or describe the procedure to determine the increase in the value of the land.
…
|
|
(b)
|
Please confirm that the aid may not exceed the difference between the remediation or rehabilitation costs and the increase in land value (point 288 of the CEEAG).
…
|
|
(c)
|
Please confirm that evaluations of the increase in value of the land or property resulting from the remediation or rehabilitation will be carried out by an independent qualified expert (point 288 of the CEEAG).
…
|
|
|
37.
|
For investments in the protection or restoration of biodiversity and in the implementation of nature-based solutions for climate change adaptation and mitigation, please confirm that eligible costs may not exceed the total costs of the works resulting in the contribution to protecting or restoring biodiversity or in the implementation of nature-based solutions for climate change adaptation and mitigation (point 289 of the CEEAG).
…
|
|
38.
|
For aid granted for the implementation of nature-based solutions in buildings, for which an energy performance certificate exists, please demonstrate that these investments do not prevent the implementation of energy efficiency measures recommended in the energy performance certificate (point 290 of the CEEAG).
…
|
|
39.
|
Point 291 of the CCEAG allows the aid intensity to reach up to 100 %. Please indicate the maximum aid intensities applicable under the measure.
|
|
2.1.4.
|
Cumulation
To provide the information in this section, please refer to points 56-57 of the CEEAG.
|
|
40.
|
In as far as not already provided under Part I of the general notification form and in order to verify compliance with point 56 of the CEEAG, please clarify if the aid under the notified measure(s) may be awarded concurrently under several aid schemes or cumulated with ad hoc or de minimis aid in relation to the same eligible costs. If that is the case, please provide details on those aid schemes, ad hoc aid or de minimis aid and how the aid will be cumulated.
…
|
|
41.
|
If point 56 of the CEEAG is applicable, please justify how the total amount of aid granted under the notified measure(s) for a project or an activity does not lead to overcompensation or exceed the maximum aid amount allowed under point 291 of the CEEAG. For each measure that the aid granted under the notified aid measure(s) can be cumulated with, please specify the method used for ensuring compliance with the conditions set out in point 56 of the CEEAG.
…
|
|
42.
|
In case point 57 of the CEEAG is applicable, i.e. the aid granted under the notified measure(s) is combined with centrally managed Union funding (396) (that does not constitute State aid), please justify how the total amount of public funding granted in relation to the same eligible costs does not lead to overcompensation.
…
|
|
2.1.5.
|
Transparency
To provide the information in this section, please refer to section 3.2.1.4 (points 58-61) of the CEEAG.
|
|
43.
|
Please confirm that the Member State will comply with the requirements on transparency provided in points 58-61 of the CEEAG.
…
|
|
44.
|
Please provide the internet link where the full text of the approved aid scheme or the individual aid granting decision and its implementing provisions and information on each individual aid award granted ad hoc or under an aid scheme approved on the basis of the CEEAG and exceeding EUR 100 000 will be published.
…
|
|
2.2.
|
Avoidance of undue negative effects on competition and trade and balancing
To provide the information in this section, please refer to section 3.2.2 (points 63-70) of the CEEAG.
|
|
45.
|
In order to verify compliance with point 67 of the CEEAG, please provide information on the possible short and long-term negative effects of the notified measure(s) on competition and trade.
…
|
|
46.
|
Please explain if the measure falls under any of the following situations:
|
(a)
|
It concerns a market (or markets) where incumbents gained market power prior to market liberalisation;
…
|
|
(b)
|
It involves competitive bidding processes in nascent market(s), when there is a player with a strong market position;
…
|
|
(c)
|
It will only benefit one or a particularly limited number of beneficiaries.
…
|
|
|
47.
|
Should the aid measure focus on a specific technological choice/path, please justify the reason for the technological choice and that it will not discourage the deployment of cleaner technologies.
…
|
|
48.
|
If the notified measure(s) will only benefit one or a particularly limited number of beneficiaries, in order to verify compliance with point 68 of the CEEAG, please:
|
(a)
|
Explain whether the notified measure(s) strengthens or maintains the market power of the beneficiary(ies) or discourages the expansion of existing competitors or induces their exit or discourages the entry of new competitors. Explain in this regard also whether the aid measure will lead to an increase in the production capacity of the beneficiary.
…
|
|
(b)
|
Describe the measures put in place to limit the potential distortion of competition caused by granting the aid to the individual beneficiary(ies).
…
|
|
|
49.
|
In order to verify compliance with point 69 of the CEEAG, please explain:
|
(a)
|
If the aid granted under the notified measure(s) aims at preserving economic activity in one region or attracting it away from other regions within the internal market.
…
|
|
(b)
|
In the affirmative, please specify which is the net environmental effect of the notified measure(s) and how the notified measure(s) improves the existing level of environmental protection in the Member States.
…
|
|
(c)
|
How the aid granted under the notified measure(s) does not result in any manifestly negative effects on competition and trade.
…
|
|
(d)
|
In case of individual aid, the main drivers of the choice of the location for the investments by the beneficiary.
…
|
|
|
50.
|
In order to verify compliance with point 70 of the CEEAG:
|
(a)
|
Please confirm that aid may be granted under the notified scheme for a maximum period of 10 years from the date of the notification of the Commission’s decision declaring the aid compatible.
…
|
|
(b)
|
Please confirm that should your authorities wish to extend the duration of the scheme beyond that maximum period, they will renotify the measure(s).
…
|
|
|
3.
|
WEIGHING THE POSITIVE EFFECTS OF THE AID AGAINST THE NEGATIVE EFFECTS ON COMPETITION AND TRADE
To provide the information in this section, please refer to section 3.3 (points 71-76) of the CEEAG.
|
|
51.
|
In order to verify compliance with point 72 of the CEEAG, please explain whether activities supported under the notified measure meet the criteria for environmentally sustainable economic activities provided in Article 3 of the Regulation (EU) 2020/852 of the European Parliament and of the Council (397), including the ‘do no significant harm’ principle, or other comparable methodologies.
…
|
Section C: Evaluation
To provide the information in this section, please refer to Section 5 (points 455-463) of the CEEAG.
|
52.
|
If the notified measure(s) exceed the budget/expenditure thresholds in point 456 of the CEEAG, please either explain why in your view the exception in point 457 of the CEEAG should apply, or attach to this notification form an Annex that includes a draft evaluation plan covering the scope mentioned in point 458 of the CEEAG (398).
…
|
|
53.
|
If a draft evaluation plan is provided, please:
|
(a)
|
provide below a summary of that draft evaluation plan included in the Annex.
…
|
|
(b)
|
confirm that point 460 of the CEEAG will be respected.
…
|
|
(c)
|
provide the date and internet link where the evaluation plan will be publicly available.
…
|
|
|
54.
|
In order to verify compliance with point 459(b) of the CEEAG, in case the aid scheme is not currently subject to an ex post evaluation and its duration exceeds three years, please confirm that you will notify a draft evaluation plan within 30 working days following a significant modification increasing the budget of the scheme to over EUR 150 million in any given year or EUR 750 million over the total duration of the scheme.
…
|
|
55.
|
In order to verify compliance with point 459(c) of the CEEAG, in case the aid scheme is not currently subject to an ex post evaluation, please provide below a commitment that the Member State will notify a draft evaluation plan within 30 working days after recording in official accounts expenditures in excess of EUR 150 million in the previous year.
…
|
|
56.
|
In order to verify compliance with point 461 of the CEEAG:
|
(a)
|
Please clarify if the independent expert has already been selected or if it will be selected in the future.
…
|
|
(b)
|
Please provide information on the selection procedure of the expert.
…
|
|
(c)
|
Please justify how the expert is independent from the granting authority.
…
|
|
|
57.
|
In order to verify compliance with point 461 of the CEEAG:
|
(a)
|
Please provide your proposed deadlines for the submission of the interim and final evaluation report. Please note that the final evaluation report must be submitted to the Commission in due time to allow for the assessment of the possible prolongation of the aid scheme and at the latest 9 months before its expiry, in line with point 463 of the CEEAG. Please note that that deadline could be reduced for schemes triggering the evaluation requirement in their last 2 years of implementation.
…
|
|
(b)
|
Please confirm that the interim and final evaluation report will be made public. Please provide the date and internet link where those reports will be publicly available.
…
|
|
Section D: Reporting and monitoring
To provide the information in this section, please refer to Section 6 (points 464-465) of the CEEAG.
|
58.
|
Please confirm that the Member State will comply with the requirements for reporting and monitoring set out in Section 6, points 464 and 465, of the CEEAG.
…
|
PART III.6.H
Supplementary information sheet for State aid granted under the Guidelines on State aid for climate, environmental protection and energy 2022 (hereafter ‘CEEAG’) - Section 4.7.1 – Aid in the form of reductions in environmental taxes and parafiscal levies
This supplementary information sheet concerns measures covered in Section 4.7.1 of the CEEAG. If the notification includes measures that are covered by more than one section of the CEEAG, please once available also fill in the respective supplementary information sheet that concerns the respective section of the CEEAG.
All documents provided by Member States as annexes to this supplementary information sheet must be numbered and document numbers must be indicated in the relevant sections of this supplementary information sheet.
Section A: Summary of the main characteristics of the measure(s)
|
1.
|
Background and objective(s) of the measure(s):
|
|
1.1.
|
If not already discussed under section 5.2 of the General Information Form (Part. I), please provide the background and the main objective, including the relation to any Union environmental targets that the measure is intended to support.
…
|
|
1.2.
|
If not already discussed under section 5.2 of the General Information Form (Part. I), please indicate any other objectives pursued by the measure. For any objectives that are not purely environmental, please explain whether they may result in any distortions to the internal market.
…
|
|
2.
|
Entry into force and duration:
|
|
2.1.
|
To the extent not already provided under section 5.5 of the General Information Form (Part I), please indicate:
|
(a)
|
For an aid scheme:
|
—
|
the date as of which it is planned that the scheme will enter into force:
…
|
|
—
|
The duration of the scheme (399).
…
|
|
|
(b)
|
For individual aid:
|
—
|
the (planned) aid granting date (promise of aid):
…
and
|
|
—
|
the payment date (first payment date if various successive payments are foreseen).
…
|
|
|
|
3.1.
|
If not already provided under section 3 of the General Information Form (Part I), please describe the (potential) beneficiary(ies) of the measure(s).
…
|
|
3.2.
|
Please indicate the location of the beneficiary(ies) (i.e. if only economic entities located in the respective Member States or also in other Member States are eligible to participate in the measure).
…
|
|
3.3.
|
In order to assess the compliance with point 15 of the CEEAG, please specify if aid is granted under the measure(s) in favour of an undertaking (individual or part of a scheme) that is subject to an outstanding recovery order following a previous Commission decision declaring an aid illegal and incompatible with the internal market.
…
In the affirmative, please provide information on the amount of aid still to be recovered so that the Commission takes account of it in the assessment of the aid measure(s).
…
|
|
4.
|
Please confirm that the measure(s) does not involve aid to activities falling outside the scope of application of the CEEAG (see point 13 CEEAG). Otherwise, please provide details.
…
|
|
5.
|
Budget and financing of the measure(s):
|
|
5.1.
|
If not already mentioned in the table under section 7.1 of the General Information Form (Part I), please provide the yearly and/or total budget for the whole duration of the measure(s); if the total budget is not known (for instance it depends on the results of tenders), please indicate an estimated budget, including the assumptions used to calculate the respective estimated budget. (400)
…
|
|
5.2.
|
As the measure concerns an environmental tax/parafiscal levy (401), please clarify if:
|
(a)
|
The levy is set by law or any other legislative act; in the affirmative, please provide the legal act, number and date when adopted and entered into force, the internet link to the legal act.
…
|
|
(b)
|
The levy reduction is financed by raising the levy for other consumers.
…
|
|
(c)
|
The levy is imposed equally on domestic and imported products.
…
|
|
(d)
|
The measure will benefit equally domestic and imported producers.
…
|
|
(e)
|
The levy finances fully the measure or only partly. If the levy finances only partly the measure, indicate the other sources of financing of the measure and their respective proportion.
…
|
|
(f)
|
The levy financing the measure also finances other aid measures. If so, indicate the other aid measures financed by the concerned levy.
…
|
|
Section B: Compatibility assessment of the aid
|
1.
|
POSITIVE CONDITION: THE AID MUST FACILITATE THE DEVELOPMENT OF AN ECONOMIC ACTIVITY
|
|
1.1.
|
Contribution to the development of an economic activity, incentive effect, rationale for the aid and scope of supported activities
To provide the information in this section, please refer to sections 3.1.1 and 3.1.2, to the extent they are applicable to the measure(s), and sections 4.7.1.1.and 4.7.1.2 (points 293-296) of the CEEAG.
|
|
6.
|
Article 107(3), point (c), of the Treaty on the Functioning of the European Union (’the Treaty’) provides that the Commission may declare compatible ‘aid to facilitate the development of certain economic activities or of certain economic areas, where such aid does not adversely affect trading conditions to an extent contrary to the common interest’. Therefore, compatible aid under that provision of the Treaty must contribute to the development of a certain economic activity.
In order to assess the compliance with point 23 of the CEEAG, please identify the economic activities that will be facilitated as a result of the aid and how the development of those activities is supported.
…
|
|
7.
|
Aid can be considered as facilitating an economic activity only if it has an incentive effect. In order to assess the compliance with section 3.1.2 of the CEEAG, please explain how the measure(s) ‘induce[s] the beneficiary to change its behaviour, to engage in additional economic activity or in more environmentally-friendly economic activity, which it would not carry out without the aid or would carry out in a restricted or different manner’, in light of the rationale for the aid as explained in section 4.7.1.1 of the CEEAG.
…
|
|
8.
|
In order to assess the compliance with point 293 of the CEEAG, please describe (i) why ‘reductions in environmental taxes or parafiscal levies [that] may adversely impact the environmental protection objective, (…) may nonetheless be needed’, and (ii) why ‘the beneficiaries would otherwise be placed at such a competitive disadvantage that it would not be feasible to introduce the environmental tax or parafiscal levy in the first place’.
…
|
|
9.
|
In order to assess the compliance with point 294 of the CEEAG please describe:
|
(a)
|
Why ‘granting a more favourable treatment to some undertakings may allow to achieve a higher general level of contribution to the environmental taxes or parafiscal levies’.
…
|
|
(b)
|
Why ‘reductions in environmental taxes or levies can indirectly contribute to a higher level of environmental protection’;
…
AND
|
|
(c)
|
How the Member State ensures that such reductions do ‘not undermine the overall objective of the environmental tax or parafiscal levy to discourage environmentally harmful behaviour and/or increase the cost of such behaviour where satisfactory alternatives are not available’.
…
|
|
|
10.
|
In order to assess compliance with point 295 of the CEEAG, please provide the information as described in point 296 of the CEEAG:
|
(a)
|
A description of the sectors or categories of beneficiaries eligible for the reductions
…
|
|
(b)
|
A list of the largest beneficiaries in each sector concerned, their turnover, market shares, the size of the tax base and the proportion that the environmental tax or levy would represent in their pre-tax profit with and without the reduction (which can be provided in a separate annex to this supplementary information sheet).
…
|
|
(c)
|
A description of the situation of those beneficiaries explaining why they would not be able to pay the standard rate of environmental tax or levy.
…
|
|
(d)
|
An explanation of how the reduced tax or levy would contribute to an actual increase of the level of environmental protection compared to the level of environmental protection to be achieved in the absence of reductions (402).
…
|
|
|
1.2.
|
No breach of any relevant provision of Union law
To provide the information in this section, please refer to section 3.1.3 (point 33) of the CEEAG.
|
|
11.
|
Please provide information to confirm the compliance with the relevant provisions of EU law, in line with point 33 of the CEEAG.
…
|
|
12.
|
If a levy is used to finance the measure(s), please clarify if the assessment of compliance with Articles 30 and 110 of the Treaty needs to be carried out. In the affirmative, please demonstrate how the measure complies with the provisions of Articles 30 and 110 of the Treaty. In this context, the information submitted under question 5.2 above can be referred to.
…
|
|
2.
|
NEGATIVE CONDITION: THE AID CANNOT UNDULY AFFECT TRADING CONDITIONS TO AN EXTENT CONTRARY TO THE COMMON INTEREST
|
|
2.1.
|
Minimisation of distortions of competition and trade
Please note that sections 2.1.1 and 2.1.2 are alternative. For cases that are eligible for a simplified approach in line with section 2.1.1 below, replies under section 2.1.2 are not required.
|
|
2.1.1.
|
Simplified approach for harmonised environmental taxes
To provide the information in this section, please refer to section 4.7.1.3 (points 297-300) of the CEEAG. When environmental taxes are harmonised, the Commission may apply a simplified approach to assess the necessity and proportionality of the aid. In the context of Directive 2003/96/EC, the Commission may apply a simplified approach for tax reductions respecting the Union minimum tax level set out in points 298 and 299.
|
|
13.
|
Please clarify whether the measure(s) falls in the scope of Directive 2003/96/EC.
…
|
|
14.
|
In the affirmative, and in order to assess compliance with point 298 of the CEEAG, please provide the following information:
|
(a)
|
Please indicate the minimum applicable Union tax level and the applicable tax rate paid by the beneficiary under the measure.
…
|
|
(b)
|
Please provide and explain the criteria for the selection of beneficiaries. In your reply, please explain why these are objective and transparent.
…
|
|
(c)
|
Please explain and confirm that the aid is granted in the same way for all undertakings in the same sector, if they are in a similar factual situation.
…
|
|
(d)
|
Please confirm that an ex ante open public consultation has been conducted where the sectors eligible for the reductions have been properly described and a list of the largest beneficiaries for each sector has been provided. Please provide relevant evidence for this consultation.
…
|
|
|
15.
|
In order to assess compliance with point 299 of the CEEAG:
|
(a)
|
Please explain whether the aid is granted in the form of a reduction of the tax rate or as a fixed annual compensation amount (tax refund), or as a combination of the two;
…
|
|
(b)
|
If (part of) the aid is in the form of a tax refund, please confirm that (i) the amount of the tax refund is calculated on the basis of historical data, i.e. the level of production, and the consumption or pollution observed for the undertaking in a given base year; and (ii) the level of the tax refund does not go beyond the Union minimum tax amount that would otherwise be due for the base year.
…
|
|
|
2.1.2.
|
In-depth assessment of the measure(s)
When environmental taxes are non-harmonised or the beneficiaries pay less than the Union minimum level of the harmonised tax where allowed by Directive 2003/96/EC, an in-depth assessment of the necessity and proportionality of the aid is needed.
|
|
2.1.2.1.
|
Necessity of the aid
To provide the information in this section, please refer to section 3.2.1.1, to the extent it is applicable to the measure(s), and section 4.7.1.3.1 (points 301-303) of the CEEAG.
|
|
16.
|
In order to assess the compliance with the applicable requirements of section 3.2.1.1 of the CEEAG, please describe how the measure(s) is targeted towards a situation where it can bring about a material development that the market alone cannot deliver. In your reply, please refer to market failures as described in point 34 of the CEEAG as applicable and explain why other policies and measures already in place as mentioned in point 35 of the CEEAG are not sufficient to address these.
…
|
|
17.
|
In order to assess compliance with point 302 of the CEEAG, please describe whether the following conditions are met:
|
(a)
|
the selection of beneficiaries is based on objective and transparent criteria, and the aid is granted in the same way for all eligible undertakings operating in the same sector of economic activity that are in the same or similar factual situation in respect of the aims or objectives of the aid measure;
…
|
|
(b)
|
the environmental tax or parafiscal levy without the reduction would lead to a substantial increase in production costs, calculated as a proportion of the gross value added for each sector or category of beneficiaries (e.g. based on figures from representative beneficiaries or aggregated figures for the sector or category of beneficiaries);
…
|
|
(c)
|
the substantial increase in production costs could not be passed on to customers without leading to significant reductions of sales volumes (e.g. based on references to competition from undertakings in jurisdictions not subject to the tax and the degree of substitutability of the relevant product);
…
|
|
|
18.
|
For tax reductions for biofuels, bioliquids and biomass fuels, in order to assess compliance with point 303 of the CEEAG, please:
|
(a)
|
confirm that a mechanism to verify that the measure is still necessary will be in place, applying the necessity conditions of section 4.1.3.1. of the CEEAG;
…
|
|
(b)
|
explain how this mechanism will work; and
…
|
|
(c)
|
confirm that the Member State will take appropriate measures, such as termination of the exemption or a reduction of the support level and specify which appropriate measures will be applied concretely.
…
|
|
|
2.1.2.2.
|
Appropriateness of the aid
To provide the information in this section, please refer to section 3.2.1.2, to the extent it is applicable to the measure(s), and section 4.7.1.3.2. (points 304-306) of the CEEAG.
|
|
19.
|
In order to assess the compliance with the applicable requirements of section 3.2.1.2 of the CEEAG, please describe why the measure(s) is an appropriate policy instrument to achieve the intended objective of the aid, that is to say there must not be a less distortive policy and aid instrument capable of achieving the same results, taking into account other policy instruments and different aid instruments that could be implemented as an alternative.
…
|
|
20.
|
In order to assess compliance with point 305 of the CEEAG, please confirm that (i) the duration of the measure(s) is of maximum 10 years and (ii) any re-notification will be based on a re-evaluation of the appropriateness of the measure(s).
…
|
|
21.
|
If (part of) the aid is in the form of a tax refund, in order to assess compliance with point 306 of the CEEAG, please confirm that the amount of the tax refund will be calculated on the basis of historical data, that is to say the level of production, and the consumption or pollution observed for the undertaking in a given base year.
…
|
|
2.1.2.3.
|
Proportionality of the aid
To provide the information in this section, please refer to section 4.7.1.3.3. (points 307-309) of the CEEAG.
|
|
22.
|
In order to assess the compliance with point 308 of the CEEAG (requiring that at least one of the following conditions is fulfilled), please provide either of the following information:
|
(a)
|
Please indicate whether each aid beneficiary pays at least 20 % of the nominal amount of the environmental tax or parafiscal levy that would otherwise be applicable to that beneficiary in the absence of the reduction.
…
|
|
(b)
|
Or please indicate whether (i) the tax or levy reduction does not exceed 100 % of the national environmental tax or parafiscal levy; (ii) the tax or levy reduction is conditional on the conclusion of agreements between the Member State and the beneficiaries or associations of beneficiaries whereby the beneficiaries or associations of beneficiaries commit themselves to achieve environmental protection objectives which have the same effect as if beneficiaries or associations of beneficiaries paid at least 20 % of the national tax or levy (403).
…
|
|
|
23.
|
If option ii. of question 22 is relied upon, in order to assess the compliance with point 309 of the CEEAG, please describe:
|
(a)
|
the substance of the applicable agreements, including the specific targets and fixed time schedule for reaching them;
…
|
|
(b)
|
how independent and regular monitoring of the commitments in the agreements will be ensured;
…
|
|
(c)
|
how the agreements are revised periodically in the light of technological and other developments and provide for effective penalties in the event that the commitments are not met.
…
|
|
|
2.2.
|
Cumulation
To provide the information in this section, please refer to points 56-57 of the CEEAG.
|
|
24.
|
In as far as not already provided under Part I of the general notification form and in order to verify compliance with point 56 of the CEEAG, please clarify if the aid under the measure(s) may be awarded concurrently under several aid schemes or cumulated with ad hoc or de minimis aid in relation to the same eligible costs. If that is the case, please provide details on those aid schemes, ad hoc aid or de minimis aid and how the aid will be cumulated.
…
|
|
25.
|
If point 56 of the CEEAG is applicable, please justify how the total amount of aid granted under the measure(s) for a project or an activity does not lead to overcompensation or exceed the maximum aid amount allowed under point 308 of the CEEAG. For each measure that the aid granted under the notified aid measure(s) can be cumulated with, please specify the method used for ensuring compliance with the conditions set out in point 56 of the CEEAG.
…
|
|
26.
|
If point 57 of the CEEAG is applicable, i.e. the aid granted under the measure(s) is combined with centrally managed Union funding (404) (that does not constitute State aid), please justify how the total amount of public funding granted in relation to the same eligible costs does not lead to overcompensation.
…
|
|
2.3.
|
Transparency
To provide the information in this section, please refer to section 3.2.1.4 (points 58-62) of the CEEAG.
|
|
27.
|
Please confirm that the Member State will comply with the requirements on transparency provided in points 58-61 of the CEEAG.
…
|
|
28.
|
Please provide the internet link(s) where the full text of the approved aid scheme or the individual aid granting decision and its implementing provisions, and information on each individual aid award granted ad hoc or under an aid scheme approved on the basis of these guidelines and exceeding EUR 100 000 will be published.
…
|
|
2.4.
|
Avoidance of undue negative effects on competition and trade
To provide the information in this section, please refer to section 3.2.2 of the CEEAG, to the extent it is applicable to the measure(s).
|
|
29.
|
In order to assess the compliance with the applicable requirements of section 3.2.2 of the CEEAG, please describe how the measure(s) mitigates any manifestly negative effects on competition and trade.
…
|
|
30.
|
In order to assess compliance with point 70 of the CEEAG:
|
(a)
|
If not already done so in reply to question 20 above, please confirm that the duration of the scheme is of maximum 10 years from the date of the notification of the Commission’s decision declaring the aid compatible.
…
|
|
(b)
|
Please confirm that an extension of the duration of the measure beyond that maximum period, will require a new notification of the measure(s).
…
|
|
|
3.
|
WEIGHING THE POSITIVE EFFECTS OF THE AID AGAINST THE NEGATIVE EFFECTS ON COMPETITION AND TRADE
To provide the information in this section, please refer to section 3.3 (points 71-76) of the CEEAG, to the extent it is applicable to the measure(s).
|
|
31.
|
In order to assess compliance with the applicable requirements of section 3.3. of the CEEAG:
|
(a)
|
Please justify how in general the positive effects of the measure(s) outweigh the negative effects.
…
|
|
(b)
|
As regards the application of point 75 of the CEEAG, please clarify if the measure(s) includes features to facilitate the participation of SMEs. In the affirmative, please provide information on those features and justify how the positive effects of ensuring participation and acceptance of SMEs in the measure(s) outweigh the possible distortive effects.
…
|
|
(c)
|
As regards the application of point 76(c) of the CEEAG, please specify if the aid measure(s) is subject to a time limitation.
…
|
|
Section C: Evaluation
To provide the information in this section, please refer to point 76(a) and Section 5 (points 455-463) of the CEEAG.
|
32.
|
If the measure(s) exceed the budget/expenditure thresholds in point 456 of the CEEAG, please either explain why in the view of the Member State the exception in point 457 of the CEEAG should apply, or attach to this supplementary information sheet an annex that includes a draft evaluation plan covering the scope mentioned in point 458 of the CEEAG. (405)
…
|
|
33.
|
If a draft evaluation plan is provided, please:
|
(a)
|
provide below a summary of that draft evaluation plan included in the annex.
…
|
|
(b)
|
confirm that point 460 of the CEEAG will be respected.
…
|
|
(c)
|
provide the date and internet link where the evaluation plan will be publicly available.
…
|
|
|
34.
|
In order to assess the compliance with point 459(b) of the CEEAG, in case the aid scheme is not currently subject to an ex post evaluation, and its duration exceeds three years, please confirm that the Member State will notify a draft evaluation plan within 30 working days following a significant modification increasing the budget of the scheme to over EUR 150 million in any given year or EUR 750 million over the total duration of the scheme.
…
|
|
35.
|
In order to assess the compliance with point 459(c) of the CEEAG, in case the aid scheme is not currently subject to an ex post evaluation, please provide below a commitment that the Member State will notify a draft evaluation plan within 30 working days after recording in official accounts expenditures in excess of EUR 150 million in the previous year.
…
|
|
36.
|
In order to assess the compliance with point 461 of the CEEAG:
|
(a)
|
Please clarify if the independent expert has already been selected or it will be selected in the future.
…
|
|
(b)
|
Please provide information on the selection procedure of the expert.
…
|
|
(c)
|
Please justify how the expert is independent from the granting authority.
…
|
|
|
37.
|
In order to further assess the compliance with point 461 of the CEEAG:
|
(a)
|
Please provide the proposed deadlines of the Member State for the submission of the interim and final evaluation report. Please note that final evaluation report must be submitted to the Commission in due time to allow for the assessment of the possible prolongation of the aid scheme and at the latest 9 months before its expiry, in line with point 463 of the CEEAG. Please note that that deadline could be reduced for schemes triggering the evaluation requirement in their last 2 years of implementation.
…
|
|
(b)
|
Please confirm that the interim and final evaluation report will be made public. Please provide the date and internet link where those reports will be publicly available.
…
|
|
Section D: Reporting and monitoring
To provide the information in this section, please refer to Section 6 (points 464-465) of the CEEAG.
|
38.
|
Please confirm that the Member State will comply with the requirements for reporting and monitoring provided in Section 6, points 464 and 465, of the CEEAG.
…
|
PART III.6.I
Supplementary information sheet for State aid granted under the Guidelines on State aid for climate, environmental protection and energy 2022 (hereafter ‘CEEAG’) - Section 4.7.2 – Aid for environmental protection in the form of reductions in taxes or parafiscal levies
This supplementary information sheet concerns measures covered in Section 4.7.2 of the CEEAG. If the notification includes measures that are covered by more than one section of the CEEAG, please once available also fill in the respective supplementary information sheet that concerns the respective section of the CEEAG.
All documents provided by Member States as annexes to this supplementary information sheet must be numbered and document numbers must be indicated in the relevant sections of this supplementary information sheet.
Section A: Summary of the main characteristics of the notified measure(s)
|
1.
|
Background and objective(s) of the notified measure(s).
|
|
1.1.
|
If not already discussed under section 5.2 of the General Information Form (Part I), please provide the background and the main objective, including any Union targets for environmental protection that the measure is intended to support.
…
|
|
1.2.
|
Please indicate any other objectives pursued by the measure. For any objectives that are not purely environmental, please explain whether they may result in any distortions of competition in the internal market.
…
|
|
2.
|
Entry into force and duration:
|
|
2.1.
|
To the extent not already provided under section 5.5 of the General Information Form (Part I), please indicate the date as of which the aid scheme is planned to enter into force;
…
|
|
2.2.
|
Please indicate the duration of the scheme (406).
…
|
|
3.1.
|
If not already provided under section 3 of the General Information Form (Part I), please describe the (potential) beneficiary(ies) of the measure(s);
…
|
|
3.2.
|
Please indicate the location of the beneficiary(ies) (i.e. if only economic entities located in the respective Member State or also in other Member States are eligible to participate in the measure).
…
|
|
3.3.
|
In order to assess the compliance with point 15 of the CEEAG, please specify if aid is granted under the measure(s) in favour of an undertaking (individual or part of a scheme) that is subject to an outstanding recovery order following a previous Commission decision declaring an aid illegal and incompatible with the internal market.
In the affirmative, please provide information on the amount of aid still to be recovered so that the Commission takes account of it in the assessment of the aid measure(s).
…
|
|
4.
|
Please confirm that the measure(s) does not involve aid to activities falling outside the scope of application of the CEEAG (see point 13 of the CEEAG). Otherwise, please provide details.
…
|
|
5.
|
Budget and financing of the measure(s).
|
|
5.1.
|
If not already mentioned in the table under section 7.1 of the General Information Form (Part I), please provide the yearly and/or total budget for the whole duration of the measure(s); if the total budget is not known (for instance because it depends on the results of tenders), please indicate an estimated budget, including the assumptions used to calculate the respective estimated budget (407).
…
|
|
5.2.
|
if the measure (i.e. the tax/parafiscal reduction) is financed through a levy, please clarify if:
|
(a)
|
the levy is set by law or any other legislative act; in the affirmative, please provide the legal act, number and date when adopted and entered into force, the internet link to the legal act;
…
|
|
(b)
|
the levy is imposed equally on domestic and imported products;
…
|
|
(c)
|
the notified measure will benefit equally domestic and imported products;
…
|
|
(d)
|
the levy finances fully the measure or only partly. If the levy finances only partly the measure, indicate the other sources of financing of the measure and their respective proportion;
…
|
|
(e)
|
the levy financing the notified measure also finances other aid measures. If so, indicate the other aid measures financed by the concerned levy.
…
|
|
Section B: Compatibility assessment of the aid
|
1.
|
POSITIVE CONDITION: THE AID MUST FACILITATE THE DEVELOPMENT OF AN ECONOMIC ACTIVITY
|
|
1.1.
|
Contribution to the development of an economic activity
To provide the information in this section, please refer to section 3.1.1 (points 23-25) and sections 4.7.2.1 (point 310) and 4.7.2.2 (points 311-313) of the CEEAG.
|
|
6.
|
Article 107(3), point (c), of the Treaty on the Functioning of the European Union (’the Treaty’) provides that the Commission may declare compatible ‘aid to facilitate the development of certain economic activities or of certain economic areas, where such aid does not adversely affect trading conditions to an extent contrary to the common interest’. Therefore, compatible aid under that provision of the Treaty must contribute to the development of certain economic activity.
In order to assess compliance with point 23 of the CEEAG, please identify the economic activities that will be facilitated as a result of the aid and how the development of those activities is supported.
…
|
|
7.
|
In order to assess compliance with point 25 of the CEEAG, please “describe if and how the aid will contribute to the achievement of objectives of Union climate policy, environmental policy and energy policy and more specifically, the expected benefits of the aid in terms of its material contribution to environmental protection, including climate change mitigation, or the efficient functioning of the internal energy market”.
…
|
|
8.
|
In addition, depending on the Section of the CEAAG under which the supported activities fall, please highlight to what extent the aid relates to the objectives and/or policies described under point 135 of the CEEAG (for Section 4.2), points 160-161 of the CEEAG (for Section 4.3.1), points 190-191 of the CEEAG (for Section 4.3.2), points 217-219 of the CEEAG (for Section 4.4), points 253-254 of the CEEAG (for Section 4.5) or points 276-278 of the CEEAG (for Section 4.6).
…
|
|
9.
|
Pursuant to point 311 of the CEEAG, and depending on the Section of the CEEAG under which the supported activities fall, please provide information on the precise scope and precise supported activities of the aid measure(s) by filling in the following question(s) of the relevant supplementary information sheet. For activities falling under Section:
|
☐
|
4.2 (questions 9-12 of the relevant supplementary information sheet)
|
|
☐
|
4.3.1 (question 10 of the relevant supplementary information sheet)
|
|
☐
|
4.3.2 (question 10 of the relevant supplementary information sheet)
|
|
☐
|
4.4 (questions 11-13 of the relevant supplementary information sheet)
|
|
☐
|
4.5 (questions 10-15 of the relevant supplementary information sheet)
|
|
☐
|
4.6 (questions 10-12 of the relevant supplementary information sheet)
|
…
|
|
10.
|
Please indicate whether the supported activities primarily pursue a decarbonisation objective. If the prevention or reduction of greenhouse gas emissions is the predominant objective of the aid measure, please refer to the supplementary information sheet for Section 4.1 of the CEEAG in line with point 312 of the CEEAG, as such aid is assessed on the basis of Section 4.1 of the CEEAG.
…
|
|
11.
|
Please provide a detailed description of the taxes and/or parafiscal levies that will be reduced (including their purpose, how they are charged across the base, the rate and the entities involved in setting and reviewing the rate as well as in collecting and managing the revenues raised). On this basis, in order to ensure compliance with point 313 of the CEEAG, please demonstrate that the proposed measure does not involve reductions in taxes or levies reflecting the essential costs of providing energy or related services, such as network charges or charges financing capacity mechanisms. In addition, please confirm that the measure does not cover reductions from levies on electricity consumption that finance an energy policy objective.
…
|
|
12.
|
Please describe the eligibility requirements applicable to the beneficiary(ies) (for instance by including any technical, environmental (i.e. permits), financial (i.e. collaterals) or other requirements that the beneficiary(ies) need to comply with).
…
|
|
1.2.
|
Incentive effect
To provide the information in this section, please refer to section 3.1.2 (points 26-32) and section 4.7.2.3 (points 315-316) of the CEEAG.
|
|
13.
|
Aid can be considered as facilitating an economic activity only if it has an incentive effect. In order to assess compliance with point 26 of the CEEAG, please explain how the measure(s) “induces the beneficiary to change its behaviour, to engage in additional economic activity or in more environmentally-friendly economic activity, which it would not carry out without the aid or would carry out in a restricted or different manner”.
…
|
|
14.
|
Pursuant to point 28 and 315 of the CEEAG:
|
|
14.1.
|
Please provide a comprehensive description of the factual scenario expected to result from the aid measure and the likely counterfactual scenario(s) absent the aid measure. (408) Where you expect that different categories of beneficiaries may be supported, please ensure that the counterfactual is credible for each of these categories.
Please take into account the requirements regarding the counterfactual included in points 165-169 of the CEEAG (for projects and activities that fall within the scope of Section 4.3.1) and 226-230 of the CEEAG (for projects and activities that fall within the scope of Sections 4.4 and 4.5) and fill in the questions from the respective supplementary information sheet for Sections 4.3.1, 4.4 or 4.5.
…
|
|
14.2.
|
Please briefly explain the rationale for the choice of the likely counterfactual scenario(s), in view of the proposed different categories of beneficiaries, if applicable;
…
|
|
14.3.
|
Please quantify the costs and revenues of factual and counterfactual scenarios and justify the change of behaviour, where relevant for each category of beneficiary, by comparing the profitability of the reference project (409) or activity with and without the tax or parafiscal levy reduction (410), based on:
|
(a)
|
the respective reference project, the corresponding counterfactuals and resulting funding gap (411);
…
OR
|
|
|
15.
|
In order to assess compliance with point 27 of the CEEAG, please provide information to confirm that the aid does not support the costs of an activity that the aid beneficiary would anyhow carry out and does not compensate for the normal business risk of an economic activity.
…
|
|
16.
|
In order to demonstrate compliance with points 29, 31 and 316 of the CEEAG, please indicate if the project or activity already started prior to a written aid application by the beneficiary to the national authorities.
…
|
|
17.
|
For projects or activities that started before the aid application is submitted, please:
|
(a)
|
confirm that the measure establishes a right to aid in accordance with objective and non-discriminatory criteria and without further exercise of discretion by the Member States and that the measure has been adopted and is in force before work on the aided project or activity has started;
OR
|
|
(b)
|
In case the project or activity already started prior to a written aid application and prior to the adoption and/or entry into force of the measure, please confirm that the project or activity was already covered by a previous similar scheme in the form of tax or parafiscal advantages
OR
|
|
(c)
|
demonstrate that the project or activity falls within one of the exceptional cases provided in point 31 of the CEEAG (b) or (c).
…
|
|
|
18.
|
In order to demonstrate compliance with point 30 of the CEEAG, please confirm that the aid application includes at least the applicant’s name, a description of the project or activity, including its location, and the amount of aid needed to carry it out.
…
|
|
19.
|
In order to demonstrate compliance with point 32 of the CEEAG:
|
(a)
|
Please indicate if there are Union standards (412) applicable to the notified measure(s), mandatory national standards that are more stringent or ambitious than the corresponding Union standards, or mandatory national standards adopted in the absence of Union standards.
In that context, please provide information to demonstrate the incentive effect.
…
|
|
(b)
|
In cases where the relevant Union standard has already been adopted but is not yet in force, please demonstrate that the aid has an incentive effect because it incentivises the investment to be implemented and finalised at least 18 months before the standard enters into force.
…
|
|
(c)
|
For projects and activities that fall within the scope of Section 4.2, please explain whether projects with a payback period (413) of less than five years are eligible for aid under the measure(s). In the affirmative, please provide evidence to demonstrate that aid is needed to trigger a change in behaviour, as required by point 142 of the CEEAG.
…
|
|
|
1.3.
|
No breach of any relevant provision of Union law
To provide the information in this section, please refer to section 3.1.3 (point 33) of the CEEAG.
|
|
20.
|
Please provide information to confirm the compliance with the relevant provisions of EU law, in line with point 33 of the CEEAG.
…
|
|
21.
|
If a levy is used to finance the measure(s), please clarify if the assessment of compliance with Articles 30 and 110 of the Treaty needs to be carried out. In the affirmative, please demonstrate how the measure complies with the provisions of Articles 30 and 110 of the Treaty. In this context, the information submitted under question 5.2 above, where the notified measure(s) is financed through a levy can be referred to.
…
|
|
2.
|
NEGATIVE CONDITION: THE AID CANNOT UNDULY AFFECT TRADING CONDITIONS TO AN EXTENT CONTRARY TO THE COMMON INTEREST
|
|
2.1.
|
Minimisation of distortions of competition and trade
|
|
2.1.1.
|
Necessity of the aid
To provide the information in this section, please refer to section 3.2.1.1 (points 34-38) of the CEEAG.
|
|
22.
|
Please explain which market failure(s) your authorities have identified that prevent the achievement of a sufficient level of environmental protection. Please specify in which category the market failures identified fall, by making reference to letters (a), (b), (c) or (d) of point 34 of the CEEAG.
…
|
|
23.
|
In accordance with point 35 of the CEEAG, please provide information on any existing policies and measures that your authorities identified, which already target the identified regulatory or market failures.
…
|
|
24.
|
In order to demonstrate compliance with point 36 of the CEEAG, please provide information that demonstrates that the aid effectively targets residual market failures, also taking into account any other policies and measures already in place to address some of the market failures identified.
…
|
|
25.
|
In order to demonstrate compliance with point 37 of the CEEAG, please explain if, to your authorities’ knowledge, projects or activities similar to those covered by the notified measure(s) with respect to their technological content, level of risk and size, are already delivered within the Union at market conditions. In the affirmative, please provide further evidence to demonstrate the need for State aid.
…
|
|
26.
|
In order to demonstrate compliance with point 38 of the CEEAG, please refer to the quantitative evidence already provided under question 14(c) above.
…
|
|
2.1.2.
|
Appropriateness
To provide the information in this section, please refer to section 3.2.1.2 (points 39-46) of the CEEAG.
|
|
27.
|
In order to verify compliance with point 40 of the CEEAG, please demonstrate that there are no less distortive instruments available that are more appropriate.
…
|
|
28.
|
In order to verify compliance with point 41 of the CEEAG, please demonstrate that the aid measure is designed in such a way as to not undermine the efficiency of other measures remedying the same market failure, such as market-based mechanisms (e.g., the EU ETS).
…
|
|
29.
|
In order to verify compliance with point 42 of the CEEAG, please confirm that none of the beneficiaries of the aid measure(s) could be held liable for the pollution under existing Union or national law (
‘polluter pays’ principle).
…
|
|
30.
|
In order to verify compliance with points 43 to 46 of the CEEAG, to demonstrate the appropriateness of the aid among different aid instruments, please provide the following information:
|
(a)
|
Please explain why other potentially less distortive forms of aid are less appropriate, as required in point 44 of the CEEAG.
…
|
|
(b)
|
Please demonstrate that the choice of the aid instrument is appropriate to the market failure that the aid measure(s) aims to address, as required in point 45 of the CEEAG.
…
|
|
(c)
|
Please explain how the aid measure and its design are appropriate to achieve its objective (point 46 of the CEEAG).
…
|
|
|
2.1.3.
|
Proportionality
To provide the information in this section, please refer to section 4.7.2.4 (points 318-320) of the CEEAG.
|
|
31.
|
In order to verify the compliance with point 318 of the CEEAG, please provide information to demonstrate that the aid does not exceed the normal amount of the tax or levy that would otherwise be applicable.
…
|
|
32.
|
In cases where the tax or parafiscal levy reduction is linked to investment costs, depending on the Section of the CEAAG under which the supported activities fall, please describe in line with point 319 of the CEEAG how it will be ensured that the aid will not exceed the applicable aid intensities and maximum aid amounts:
|
☐
|
For Section 4.2 (points 146-151 of the CEEAG)
|
|
☐
|
For Section 4.3.1 (points 177-180 of the CEEAG)
|
|
☐
|
For Section 4.3.2 (points 200-204 of the CEEAG
|
|
☐
|
For Section 4.4 (points 239-245 of the CEEAG)
|
|
☐
|
For Section 4.5 (points 265-271 of the CEEAG)
|
|
☐
|
For Section 4.6 (points 288-291 of the CEEAG)
|
Please fill in for the maximum aid intensities and maximum aid amounts the questions from the respective supplementary information sheet for the relevant Section.
|
|
33.
|
In cases where the tax or parafiscal levy reduction reduces recurrent operating costs, in order to verify compliance with point 320 of the CEEAG, please describe how it will be ensured that the aid amount will not exceed the difference between the costs of the environmentally-friendly project or activity and of the less environmentally-friendly counterfactual scenario. Please also detail how potential cost savings and/or additional revenues of the more environmentally friendly project will be taken into account.
…
|
|
2.1.4.
|
Transparency
To provide the information in this section, please refer to section 3.2.1.4 (points 58-62) of the CEEAG.
|
|
34.
|
Please confirm that the Member State will comply with the requirements on transparency provided in points 58-61 of the CEEAG.
…
|
|
35.
|
Please provide the internet link where the full text of the approved aid scheme or the individual aid granting decision and its implementing provisions, and information on each individual aid award granted ad hoc or under an aid scheme approved on the basis of the CEEAG and exceeding EUR 100 000 will be published, whereby the individual aid amounts may be published in ranges as set out in point 60 of the CEEAG.
…
|
|
2.2.
|
Avoidance of undue negative effects of the aid on competition and trade and balancing
To provide the information in this section, please refer to section 3.2.2 (points 63-70) and section 4.7.2.5 (points 322-324) of the CEEAG.
|
|
36.
|
In order to verify compliance with point 67 of the CEEAG, please provide information on the possible short and long-term negative effects of the notified measure(s) on competition and trade.
…
|
|
37.
|
Please explain if the measure falls under any of the following situations:
|
(a)
|
It will only benefit one or a particularly limited number of beneficiaries;
…
|
|
(b)
|
It targets a market (or markets) where incumbents gained market power prior to market liberalisation.
…
|
|
|
38.
|
Should the aid measure focus on a specific technological choice/path, please justify the reason for the technological choice and that it will not discourage the deployment of cleaner technologies.
…
|
|
39.
|
If the notified measure(s) will only benefit one or a particularly limited number of beneficiaries, in order to verify compliance with point 68 of the CEEAG, please:
|
(a)
|
Explain whether the notified measure(s) strengthens or maintains the market power of the beneficiary(ies) or discourages the expansion of existing competitors or induces their exit or discourages the entry of new competitors. Explain in this regard also whether the aid measure will lead to an increase in the production capacity of the beneficiary.
…
|
|
(b)
|
Describe the measure(s) put in place to limit the potential distortion of competition caused by granting the aid to the beneficiary(ies).
…
|
|
|
40.
|
In order to verify compliance with point 69 of the CEEAG, please explain:
|
(a)
|
If the aid granted under the notified measure(s) aims at preserving economic activity in one region or attracting it away from other regions within the internal market.
…
|
|
(b)
|
In the affirmative, please specify which is the net environmental effect of the notified measure(s) and how the notified measure(s) improves the existing level of environmental protection in the Member States.
…
|
|
(c)
|
How the aid granted under the notified measure(s) does not result in any manifestly negative effects on competition and trade.
…
|
|
|
41.
|
In order to verify compliance with point 70 of the CEEAG:
|
(a)
|
Please confirm that aid may be granted under the notified scheme for a maximum period of 10 years from the date of the notification of the Commission’s decision declaring the aid compatible.
…
|
|
(b)
|
Please confirm that, should your authorities wish to extend the duration of the scheme beyond that maximum period, they will renotify the measure.
…
|
|
|
42.
|
Please describe how it is ensured that aid is granted, in line with point 322 of the CEEAG, in the same way for all eligible undertakings operating in the same sector of economic activity that are in the same or similar factual situation in respect of the aims or objectives of the aid measure.
…
|
|
43.
|
For schemes that run for more than 3 years, please describe in line with point 323 of the CEEAG the monitoring that will be undertaken to ensure that aid remains necessary and confirm that the scheme will be subject to a verificationexercise at least every 3 years.
…
|
|
44.
|
Pursuant to point 324 of the CEEAG, and depending on the Section of the CEEAG under which the supported activities fall, please fill in the following question(s) of the relevant supplementary information sheet. For projects falling under Section:
|
☐
|
4.2 (question 52 of the relevant supplementary information sheet).
|
|
☐
|
4.3.1 (questions 49-52 of the relevant supplementary information sheet).
|
|
☐
|
4.3.2 (questions 46-55 of the relevant supplementary information sheet).
|
…
|
|
3.
|
WEIGHING THE POSITIVE EFFECTS OF THE AID AGAINST THE NEGATIVE EFFECTS ON COMPETITION AND TRADE
To provide the information in this section, please refer to section 3.3 (points 71-76) of the CEEAG.
|
|
45.
|
In order to verify compliance with point 72 of the CEEAG, please explain whether activities supported under the notified measure meet the criteria for environmentally sustainable economic activities provided in Article 3 of the Regulation (EU) 2020/852 of the European Parliament and of the Council (414), including the ‘do no significant harm’ principle, or other comparable methodologies.
…
|
Section C: Evaluation
To provide the information in this section, please refer to Section 5 (points 455-463) of the CEEAG.
|
46.
|
If the notified measure(s) exceed the budget/expenditure thresholds in point 456 of the CEEAG, please either explain why in your view the exception in point 457 of the CEEAG should apply, or attach to this supplementary information sheet an Annex that includes a draft evaluation plan covering the scope mentioned in point 458 of the CEEAG (415).
…
|
|
47.
|
If a draft evaluation plan is provided, please:
|
(a)
|
provide below a summary of that draft evaluation plan included in the Annex.
…
|
|
(b)
|
confirm that point 460 of the CEEAG will be respected.
…
|
|
(c)
|
provide the date and internet link where the evaluation plan will be publicly available.
…
|
|
|
48.
|
In order to verify compliance with point 459(b) of the CEEAG, in case the aid scheme is not currently subject to an ex post evaluation, and its duration exceeds three years, please confirm that you will notify a draft evaluation plan within 30 working days following a significant modification increasing the budget of the scheme to over EUR 150 million in any given year or EUR 750 million over the total duration of the scheme.
…
|
|
49.
|
In order to verify compliance with point 459(c) of the CEEAG, in case the aid scheme is not currently subject to an ex post evaluation, please provide below a commitment that the Member State will notify a draft evaluation plan within 30 working days after recording in official accounts expenditures in excess of EUR 150 million in the previous year.
…
|
|
50.
|
In order to verify compliance with point 461 of the CEEAG:
|
(a)
|
Please clarify if the independent expert has already been selected or it will be selected in the future.
…
|
|
(b)
|
Please provide information on the selection procedure of the expert.
…
|
|
(c)
|
Please justify how the expert is independent from the granting authority.
…
|
|
|
51.
|
In order to verify compliance with point 461 of the CEEAG:
|
(a)
|
Please provide your proposed deadlines for the submission of the interim and final evaluation report. Please note that the final evaluation report must be submitted to the Commission in due time to allow for the assessment of the possible prolongation of the aid scheme and at the latest 9 months before its expiry, in line with point 463 of the CEEAG. Please note that that deadline could be reduced for schemes triggering the evaluation requirement in their last 2 years of implementation.
…
|
|
(b)
|
Please confirm that the interim and final evaluation report will be made public. Please provide the date and internet link where those reports will be publicly available.
…
|
|
Section D: Reporting and monitoring
To provide the information in this section, please refer to Section 6 (points 464 and 465) of the CEEAG.
|
52.
|
Please confirm that the Member State will comply with the requirements for reporting and monitoring set out in Section 6, points 464 and 465, of the CEEAG.
…
|
PART III.6.J
Supplementary information sheet for State aid granted under the Guidelines on State aid for climate, environmental protection and energy 2022 (hereafter ‘CEEAG’) - Section 4.8 – Aid for the security of electricity supply
This notification form concerns measures covered in Section 4.8 of the CEEAG. If the notification includes measures that are covered by more than one section of the CEEAG, please also fill in the respective notification form that concerns the respective section of the CEEAG.
All documents provided by Member States as annexes to the notification form must be numbered and document numbers must be indicated in the relevant sections of this notification form.
Section A: Summary of the main characteristics of the notified measure(s)
|
1.
|
Background and objective(s) of the notified measure(s).
|
|
1.1.
|
If not already discussed under section 5.2 of the General Information Form (Part. I), please provide the background and the main objective of the measure.
…
|
|
1.2.
|
Please indicate any other objectives pursued by the measure. For any objectives which do not concern the security of electricity supply or environmental protection, please explain whether they may result in any distortions to the internal market.
…
|
|
2.
|
Entry into force and duration:
|
|
2.1.
|
To the extent not already provided under section 5.5 of the General Information Form (Part I), please indicate the date as of which the measure(s) is planned to enter into force;
…
|
|
2.2.
|
Please indicate the duration of measure(s). (416)
…
|
|
3.1.
|
If not already provided under section 3 of the General Information Form (Part I), please describe the (potential) beneficiary(ies) of the measure(s).
…
|
|
3.2.
|
Please indicate the location of the beneficiary(ies) (i.e. if only economic entities located in the respective Member States or also in other Member States are eligible to participate in the measure).
…
|
|
3.3.
|
In order to assess the compliance with point 15 of the CEEAG, please specify if aid is granted under the measure in favour of an undertaking (individual or part of a scheme) that is subject to an outstanding recovery order following a previous Commission decision declaring an aid illegal and incompatible with the internal market.
In the affirmative, please provide information on the amount of aid still to be recovered so that the Commission takes account of it in the assessment of the notified measure.
…
|
|
4.
|
Please confirm that the measure(s) does not involve aid to activities falling outside the scope of application of the CEEAG (see point 13 of the CEEAG). Otherwise, please provide details.
…
|
|
5.1.
|
If not already mentioned in the table under section 7.1 of the General Information Form (Part I), please provide the yearly and/or total budget for the whole duration of the measure(s); if the total budget is not known (for instance because it depends on the results of tenders), please indicate an estimated budget, including the assumptions used to calculate the respective estimated budget. (417)
…
|
Section B: Compatibility assessment of the aid
|
1.
|
POSITIVE CONDITION: THE AID MUST FACILITATE THE DEVELOPMENT OF AN ECONOMIC ACTIVITY
|
|
1.1.
|
Contribution to the development of an economic activity
To provide the information in this section, please refer to section 3.1.1 (points 23-25) and sections 4.8.1 and 4.8.2 (points 325-328) of the CEEAG.
|
|
6.
|
Article 107(3), point (c), of the Treaty on the Functioning of the European Union (’the Treaty’) provides that the Commission may declare compatible “aid to facilitate the development of certain economic activities or of certain economic areas, where such aid does not adversely affect trading conditions to an extent contrary to the common interest”. Therefore, compatible aid under that provision of the Treaty must contribute to the development of a certain economic activity.
In order to assess the compliance with point 23 of the CEEAG, please identify the economic activities that will be facilitated as a result of the aid and how the development of those activities is supported. Point 328 of the CEEAG provides examples of such economic activities concerning measures aimed at increasing the security of electricity supply.
…
|
|
7.
|
In order to assess the compliance with point 25 of the CEEAG, please “describe if and how the aid will contribute to the achievement of objectives of Union climate policy, environmental policy and energy policy and more specifically, the expected benefits of the aid in terms of its material contribution to environmental protection, including climate change mitigation, or the efficient functioning of the internal energy market”.
…
|
|
8.
|
Please describe the requirements applicable to the beneficiary(ies) (for instance by including any technical, environmental (i.e. permits), financial (i.e. collaterals) or other requirements that the beneficiary(ies) need to comply with).
…
|
|
9.
|
Please provide information on the rationale of the measure, as provided in section 4.8.1. (point 325) of the CEEAG.
…
|
|
10.
|
Please provide information on the scope of the measure, as provided in section 4.8.2. (points 326-327) of the CEEAG.
…
|
|
1.2.
|
Incentive effect
To provide the information in this section, please refer to point 329 and section 3.1.2 (points 29, 30, 31 and 32) of the CEEAG.
|
|
11.
|
In order to demonstrate the compliance with points 29 and 31 of the CEEAG:
|
(a)
|
Please confirm that the start of works on the project or activity did not take place prior to a written aid application by the beneficiary to the national authorities;
…
OR
|
|
(b)
|
For projects that started before the aid application, please demonstrate that the project falls within one of the exceptional cases provided in point 31 of the CEEAG ((a), (b) or (c)).
…
|
|
|
12.
|
In order to demonstrate compliance with point 30 of the CEEAG, please confirm that the aid application includes at least the applicant’s name, a description of the project or activity, including its location, and the amount of aid needed to carry it out.
…
|
|
13.
|
In order to demonstrate the compliance with point 32 of the CEEAG, please indicate if there are Union standards (418) applicable to the notified measure, mandatory national standards that are more stringent or ambitious than the corresponding Union standards, or mandatory national standards adopted in the absence of Union standards. In that context, please provide information to demonstrate the incentive effect.
…
|
|
14.
|
In cases where the relevant Union standard has already been adopted but is not yet in force, please demonstrate that the aid has an incentive effect because it incentivises the investment to be implemented and finalised at least 18 months before the standard enters into force.
…
|
|
1.3.
|
No breach of any relevant provision of Union law
To provide the information in this section, please refer to section 3.1.3 (point 33 of the CEEAG).
|
|
15.
|
Please provide information to confirm the compliance with the relevant provisions of EU law, in line with point 33 of the CEEAG (see e.g. question 49 regarding compliance with Regulation (EU) 2019/943).
…
|
|
16.
|
If a levy is used to finance the measure(s) (see question 54 below), please clarify if:
…
|
(a)
|
the levy is imposed equally on domestic and imported products;
…
|
|
(b)
|
the notified measure will benefit equally domestic and imported products.
…
|
|
|
2.
|
NEGATIVE CONDITION: THE AID CANNOT UNDULY AFFECT TRADING CONDITIONS TO AN EXTENT CONTRARY TO THE COMMON INTEREST
|
|
2.1.
|
Minimisation of distortions of competition and trade
|
|
2.1.1.
|
Necessity of the aid
To provide the information in this section, please refer to section 4.8.4.1 (points 331-339 of the CEEAG).
|
|
17.
|
Point 331 of the CEEAG provides that the nature and causes of the security of electricity supply problem, and therefore of the need for State aid to ensure security of electricity supply, must be properly analysed and quantified, including when and where the problem is expected to arise with reference where applicable to the reliability standard as defined in Article 25 of Regulation (EU) 2019/943.
Please provide an analysis identifying and quantifying the security of electricity supply problem. Please provide in the answer details in view of the considerations set out in points 331-333 of the CEEAG.
…
|
|
18.
|
In line with point 334 of the CEEAG and for measures related to the risk of electricity crises, please provide the national risk-preparedness plan provided for in Article 11 of Regulation (EU) 2019/941 in which the proposed measure should be identified.
…
|
|
19.
|
In line with point 335 of the CEEAG and in case of a proposal to introduce several measures targeting security of electricity supply, please clearly explain how they interact with one another in ensuring the overall cost effectiveness of the combined measures for ensuring security of supply, for example as regards capacity mechanisms by explaining how they reach (but do not go beyond) the reliability standard referred to in point 331.
…
|
|
20.
|
In line with point 336 of the CEEAG, please identify the regulatory or market failure(s), along with any other issues preventing a sufficient level of security of electricity supply (and of environmental protection if relevant) being achieved in the absence of intervention.
…
|
|
21.
|
In line with point 337 of the CEEAG, please identify existing measures that already target the market or regulatory failure(s) or other issues identified in point 336. In as far as appropriate you may refer to the evidence already provided in response to question 16 above.
…
|
|
22.
|
In line with point 338 of the CEEAG, please demonstrate the reasons why the market cannot be expected to deliver security of electricity supply in the absence of State aid, taking account of market reforms and improvements planned by the Member State and technology developments.
…
|
|
23.
|
Please provide the following information set out in point 339 of the CEEAG:
|
(a)
|
Assessment of the impact of variable generation, including that originating from neighbouring systems.
…
|
|
(b)
|
Assessment of the impact of demand-side and storage participation, including a description of measures to encourage demand side management.
…
|
|
(c)
|
Assessment of the actual or potential existence of interconnectors and major internal transmission grid infrastructure, including a description of projects under construction and planned.
…
|
|
(d)
|
Assessment of any other element which might cause or exacerbate the security of electricity supply problem, such as caps on wholesale prices or other regulatory or market failures. Where applicable, please provide and take into account the implementation plan for measures eliminating any identified regulatory distortions or market failures, as well as the opinion of the Commission on such implementation plan under Article 20(3) and (5) of Regulation (EU) 2019/943.
…
|
|
(e)
|
Any relevant content in an action plan under Article 15 of the Regulation (EU) 2019/943.
…
|
|
|
2.1.2.
|
Appropriateness
To provide the information in this section, please refer to section 4.8.4.2 (points 341-342) of the CEEAG.
|
|
24.
|
In order to assess the compliance with point 341 of the CEEAG:
|
(a)
|
Please explain which alternative ways of achieving security of electricity supply have been considered, in particular more efficient electricity market design that can alleviate the market failures that undermine security of electricity supply. In this respect, point 341 CEEAG provides examples of improvements to electricity market design (improving the functioning of electricity imbalance settlement, better integrating variable generation, incentivising and integrating demand response and storage, enabling efficient price signals, removing barriers to cross-border trade, and improving infrastructure, including interconnection.).
…
|
|
(b)
|
Please demonstrate that despite appropriate and proportionate improvements to market design and investments in network assets, whether already implemented or planned, a security of supply concern remains (point 341 of the CEEAG).
…
|
|
|
25.
|
For network congestion measures, in addition please explain how the efficiency of redispatch measures is being improved in line with Article 13 of Regulation (EU) 2019/943 (point 342 of the CEEAG).
…
|
|
2.1.3.
|
Eligibility
To provide the information in this section, please refer to section 4.8.4.3 (points 343-346) of the CEEAG.
|
|
26.
|
To demonstrate compliance with point 343 of the CEEAG, please confirm that the measure will be open to all beneficiaries or projects technically capable of contributing efficiently to the achievement of the security of supply objective (e.g. generation, storage, demand response, aggregation of small units into larger blocks).
…
|
|
27.
|
In line with point 344 of the CEEAG, please explain whether there are any limitations on participation in the proposed security of supply measure that aim to ensure that the measure does not undermine environmental protection.
…
|
|
28.
|
If the notified security of supply measure includes additional criteria or features to promote the participation of greener technologies (or reduce the participation of polluting technologies) necessary to support the delivery of the Union’s environmental protection objectives, please demonstrate that such additional criteria or features are objective, transparent and non-discriminatory in relation to clearly identified environmental protection objectives, and will not result in the overcompensation of beneficiaries (point 345 of the CEEAG).
…
|
|
29.
|
In line with point 346 of the CEEAG:
|
(a)
|
Please indicate whether the measure for security of electricity supply will be open to direct cross-border participation of capacity providers located in another Member State. If not, please provide a justification.
…
|
|
(b)
|
Please demonstrate that foreign capacity capable of providing equivalent technical performance to domestic capacities will have the opportunity to participate in the same competitive process as domestic capacity.
…
|
|
(c)
|
If applicable, please demonstrate compliance with the relevant rules set out in Article 26 of Regulation (EU) 2019/943 on cross-border participation in capacity mechanisms.
…
|
|
|
2.1.4.
|
Public consultation
To provide the information in this section, please refer to section 4.8.4.4 (points 348-351) of the CEEAG.
|
|
30.
|
Please explain whether or not the measure requires a public consultation under Section 4.8.4.4, and if not, why not.
…
|
|
31.
|
If the measure requires a public consultation, please:
|
(a)
|
Specify the duration of the public consultation and provide a summary of the main issues covered.
…
|
|
(b)
|
In line with the requirements in point 350 of the CEEAG, please provide the address of the public website where consultation questionnaires and the government’s summary of the responses will be/are published.
|
|
|
2.1.5.
|
Proportionality
To provide the information in this section, please refer to section 3.2.1.3 (points 49-53 and 55) and section 4.8.4.5. (points 353-357) of the CEEAG. Please note that the following two sections 2.1.5.1. and 2.1.5.2. are alternative. Please provide replies only to the applicable section, depending on the design of the proposed measure
|
|
2.1.5.1.
|
Proportionality of aid granted through a competitive bidding process
To provide the information in this section, please refer to section 3.2.1.3 (points 49, 50, 51, 52, 53 and 55) and points 353, 354 and 356 of the CEEAG.
For aid granted without a competitive bidding process, this section is not applicable. For such measures, please go directly to section 2.1.5.2.
|
|
32.
|
In order to assess compliance with point 353 CEEAG, and in case not already provided in response to question 16 above, please provide an analysis used to set the level of demand in the notified security of supply measure based on the reliability standard or cost benefit analysis. Please confirm that the analysis used to set the level of demand is at most 12 months old at the point in time when the demand level is set.
…
|
|
33.
|
In line with point 354 of the CEEAG, please demonstrate that the lead-time between the granting of the aid and the deadline by when projects must be delivered will allow effective competition between the various eligible projects.
…
|
|
34.
|
In line with point 356 of the CEEAG, please demonstrate that the beneficiaries of security of supply measures will have efficient incentives to contribute to security of supply during the delivery period. These incentives should in general be related to the value of lost load (VoLL) as determined according to Article 11 of Regulation (EU) 2019/943.
…
|
|
35.
|
In order to verify the compliance with points 49 and 50 of the CEEAG, please provide the following:
|
(a)
|
Please explain how the authorities ensure that the bidding process is open, clear, transparent and non-discriminatory, based on objective criteria, defined ex ante in accordance with the objective of the measure and minimising the risk of strategic bidding (point 49(a) of the CEEAG).
…
|
|
(b)
|
The selection criteria used for ranking the bids, and ultimately identifying the level of aid in the competitive bidding process. More specifically:
|
(i)
|
Please provide the list of the selection criteria and specify which of them are/are not directly or indirectly related to the main objectives of the measure. Please include their weighting.
…
|
|
(ii)
|
Please explain how the selection criteria put the contribution to the main objectives of the measure(s) in direct or indirect relation with the aid amount requested by the applicant. This may be expressed, for example, in terms of aid per unit of environmental protection or aid per unit of energy (point 50 and footnote 44 of the CEEAG).
…
|
|
(iii)
|
In case there are other selection criteria that are not directly or indirectly related to the main objectives of the measure, please provide reasons for the proposed approach and explain how it is appropriate to the objectives pursued by the measure. Please also confirm that those criteria account for no more than 30 % of the weighting of all the selection criteria (point 50 of the CEEAG).
…
|
|
(iv)
|
Please explain how far in advance of the deadline for submitting applications in each competitive bidding process the selection criteria will be published (point 49(b) and footnote 43 of the CEEAG).
…
|
|
|
(c)
|
Please confirm that the budget or the volume related to the bidding process is a binding constraint in that it can be expected that not all bidders will receive aid (point 49(c) of the CEEAG).
…
|
|
(d)
|
Please provide information on the number of bidding rounds envisaged and expected number of bidders in the first round and over time.
…
|
|
(e)
|
In case of one or more undersubscribed bidding processes, please explain how the design of bidding processes will be corrected during the implementation of the scheme to restore effective competition and when (point 49(c) of the CEEAG).
…
|
|
(f)
|
Please confirm that ex post adjustments to the bidding process outcome (such as subsequent negotiations on bid results or rationing) are avoided (point 49(d) of the CEEAG).
…
|
|
(g)
|
In case there is a possibility of ‘zero subsidy bids’, please explain how proportionality will be ensured.
…
|
|
(h)
|
Please clarify if the authorities foresee the use of price floors or caps in the competitive bidding process. In the affirmative, please justify their use and explain how they do not constrain the competitive bidding process (419) (point 49 and footnote 42 of the CEEAG).
…
|
|
|
2.1.5.2.
|
Proportionality of aid not granted through a competitive bidding process
To provide the information in this section, please refer to points 51-55 and 353 to 357 of the CEEAG.
This section does not apply to measures in which aid is granted through a competitive bidding process. For such measures, please reply to section 2.5.1.1 above instead.
|
|
36.
|
In order to assess compliance with point 353 of the CEEAG, and in case not already provided in response to question 16 above, please provide an analysis used to set the level of demand in the notified security of supply measure based on the reliability standard or cost benefit analysis. Please confirm that the analysis used to set the level of demand is at most 12 months old at the point in time when the demand level is set.
…
|
|
37.
|
In line with point 354 of the CEEAG, please demonstrate that the lead-time between the granting of the aid and the deadline by when projects must be delivered will allow effective competition between the various eligible projects.
…
|
|
38.
|
In line with point 356 of the CEEAG, please demonstrate that the beneficiaries of security of supply measures will have efficient incentives to contribute to security of supply during the delivery period. These incentives should in general be related to the value of lost load (VoLL) as determined according to Article 11 of Regulation (EU) 2019/943.
…
|
|
39.
|
Please explain why a competitive bidding process is not used (pursuant to point 355 of the CEEAG).
…
|
|
40.
|
In the case of aid schemes, please provide a list of reference projects and an explanation for why these have been defined (for example, explaining that within each reference project the costs and revenues can be expected to be broadly similar). For the avoidance of doubt, a reference project is an example project that is representative of the average project in a category of eligible beneficiaries for an aid scheme (point 19(63) of the CEEAG).
…
|
|
41.
|
Pursuant to point 51 of the CEEAG, for each reference project (in the case of aid schemes) or for each beneficiary (in the case of individual aid), please demonstrate that the aid does not exceed the minimum necessary, i.e. the difference between the net present value (NPV) for the factual scenario and the NPV for the counterfactual scenario over the lifetime of the reference project or the project. For this assessment, please submit a quantification, for the factual scenario and for a realistic counterfactual scenario, (420) of all main costs and revenues, the estimated weighted average cost of capital (WACC) of the beneficiaries (or of the reference projects in the case of aid schemes) to discount future cash flows, as well as the NPV for the factual and counterfactual scenarios, over the lifetime of the project/reference project.
|
(a)
|
Please provide this in an Annex to this notification form (using an Excel file where all formulas are visible).
…
|
|
(b)
|
Please include detailed information on the assumptions, methodologies, rationale and underlying sources thereof, used for each aspect of the quantification of costs and revenues in the factual scenario and the likely counterfactual scenario (for instance please include the assumptions used to develop those scenarios and the source/rationale for these assumptions).
…
|
|
(c)
|
You may also attach to this notification form the documents mentioned in footnote 39 of the CEEAG. Board documents may be particularly useful for individual aid measures or schemes benefitting a particularly limited number of beneficiaries. If such documents are attached to the notification form, please provide below a list of those documents, specifying the author, the date when they were drafted and the context when they were used.
…
|
|
|
42.
|
If point 55 of the CEEAG is applicable, please provide information on the compensation models that the Member State might intend to introduce (a mix of ex ante and ex post or ex post claw-back or cost monitoring mechanisms).
If point 55 of the CEEAG is not applicable for the measure(s), please provide a justification.
…
|
|
43.
|
If the notified measure(s) takes the form of a competitive certificates or supplier obligation scheme (point 357 of the CEEAG), please:
|
(a)
|
confirm that demand in the scheme will be set below potential supply; and
…
|
|
(b)
|
explain how the buyout/penalty price will be established and ensures that there will be no overcompensation.
…
|
|
|
2.1.6.
|
Cumulation
To provide the information in this section, please refer to points 56 and 57 of the CEEAG.
|
|
44.
|
In as far as not already provided under Part I of the general notification form and in order to verify compliance with point 56 of the CEEAG, please clarify if the aid under the notified measure may be awarded concurrently under several aid schemes or cumulated with ad hoc or de minimis aid in relation to the same eligible costs. If that is the case, please provide details on those aid schemes, ad hoc aid or de minimis aid and how the aid will be cumulated. Please note that you may wish to refer to the quantification provided above.
…
|
|
45.
|
If point 56 of the CEEAG is applicable, please justify how the total amount of aid granted under the notified measure(s) for a project or an activity does not lead to overcompensation or exceed the maximum aid amount allowed under the CEEAG. The maximum aid amount allowed under the CEEAG is either the amount of aid factored in the successful bid or, in the absence of a competitive process, the funding gap taking into account all main revenues including other sources of aid (point 51 of the CEEAG). For each measure that the aid granted under the notified aid measure(s) can be cumulated with, please specify the method used for ensuring compliance with the conditions set out in point 56 of the CEEAG.
…
|
|
46.
|
In case point 57 of the CEEAG is applicable, i.e. the aid granted under the notified measure(s) is combined with centrally managed Union funding (421) (that does not constitute State aid), please justify how the total amount of public funding granted in relation to the same eligible costs does not lead to overcompensation
…
|
|
2.1.7.
|
Transparency
To provide the information in this section, please refer to section 3.2.1.4 (points 58-61) of the CEEAG.
|
|
47.
|
Please confirm that the Member State will comply with the requirements on transparency provided in points 58-61 of the CEEAG.
…
|
|
48.
|
Please provide the internet link where the full text of the approved aid scheme or the individual aid granting decision and its implementing provisions, and information on each individual aid award granted ad hoc or under an aid scheme approved on the basis of the CEEAG and exceeding EUR 100 000 will be published.
…
|
|
2.2.
|
Avoidance of undue negative effects on competition and trade and balancing
To provide the information in this section, please refer to section 4.8.5 (points 359-370) and section 3.3 (points 71-76) of the CEEAG.
|
|
49.
|
In order to verify compliance with points 359, 360 and 361 of the CEEAG, please:
|
(a)
|
demonstrate (in case not already provided in response to question 23 above) that the aid is designed to maintain the efficient functioning of markets and preserve efficient operation incentives and price signals.
…
|
|
(b)
|
confirm the absence of incentives for the generation of energy that would displace less polluting forms of energy.
…
|
|
(c)
|
indicate whether the measure pays for capacity (EUR per megawatt (MW)) or for electricity output (EUR/MWh).
…
|
|
|
50.
|
Please provide evidence that the measure meets any applicable design conditions in Article 22 of Regulation (EU) 2019/943 (point 362 of the CEEAG).
…
|
|
51.
|
For strategic reserves and any other measure(s) for resource adequacy, including interruptibility schemes, where capacity is held outside the market, to ensure market price formation is not distorted, please demonstrate, in line with point 363 of the CEEAG, that the following cumulative conditions are met:
|
(a)
|
The resources of the measure(s) are to be dispatched only if the transmission system operators are likely to exhaust their balancing resources to establish an equilibrium between demand and supply.
…
|
|
(b)
|
During imbalance settlement periods where resources in the measure(s) are dispatched, imbalances in the market are to be settled at least at VOLL or at a higher value than the intraday technical price limit, whichever is higher.
…
|
|
(c)
|
The output of the measure(s) following dispatch is to be attributed to balance responsible parties through the imbalance settlement mechanism.
…
|
|
(d)
|
The resources do not receive remuneration from the wholesale electricity market or balancing markets.
…
|
|
(e)
|
The resources in the measure(s) are to be held outside the energy markets for at least the duration of the contractual period.
…
|
|
|
52.
|
For network congestion measures, where resources are held outside the market, please confirm that those resources will not receive remuneration from the wholesale electricity market or balancing markets and that they will be held outside the energy markets for at least the duration of the contractual period (point 364 of the CEEAG).
…
|
|
53.
|
For capacity mechanisms other than strategic reserves, please demonstrate, in line with point 365 of the CEEAG, that the measure:
|
(a)
|
Is constructed so as to ensure that the price paid for availability automatically tends to zero when the level of capacity supplied is expected to be adequate to meet the level of capacity demanded.
…
|
|
(b)
|
Remunerates the participating resources only for their availability and ensure that the remuneration does not affect decisions of the capacity provider on whether or not to generate.
…
|
|
(c)
|
Enables capacity obligations to be transferable between eligible capacity providers.
…
|
|
|
54.
|
In order to verify compliance with point 366 of the CEEAG, please demonstrate that the measure will not:
|
(a)
|
Create undue market distortions nor limit cross-zonal trade.
…
|
|
(b)
|
Reduce incentives to invest in interconnection capacity – for example by reducing congestion revenue for existing or new interconnectors.
…
|
|
(c)
|
Undermine market coupling, including intra-day and balancing markets.
…
|
|
(d)
|
Undermine investment decisions on capacity which preceded the measure.
…
|
|
|
55.
|
In order to verify compliance with point 367 of the CEEAG, please demonstrate that the costs of the notified measure will be borne by the market participants who contribute to the need for the measure(s). If you consider that such a cost allocation is not required, please explain why this is the case and provide evidence, including that gathered in the public consultation. (422)
…
|
|
56.
|
Pursuant to point 72 of the CEEAG, please justify the compliance of the notified measure with the criteria for environmentally sustainable economic activities provided in Article 3 of the Regulation (EU) 2020/852 of the European Parliament and of the Council (423), including the ‘do no significant harm’ (424) principle, or other comparable methodologies.
…
|
|
57.
|
Pursuant to point 75 of the CEEAG, in cases where the Member State chooses to implement a competitive bidding procedure, please clarify if the notified measure includes features to facilitate the participation of SMEs or renewable energy communities. In the affirmative, please provide information on those features and justify how the positive effects of ensuring participation and acceptance of SMEs in the notified measure(s) outweigh the possible distortive effects.
…
|
|
58.
|
In order to verify compliance with points 368 and 369 of the CEEAG, please:
|
(a)
|
If the notified measure incentivises new investments in the most polluting fossil fuels, explain whether the measure, including network congestion measures and interruptibility schemes, respects the emissions threshold applicable to capacity mechanisms set out in Article 22 of Regulation (EU) 2019/943.
…
|
|
(b)
|
If the notified measure incentivises new investments in energy generation based on natural gas, explain how the measure will ensure that it contributes to achieving the Union’s 2030 climate target and 2050 climate neutrality target. In particular, explain how a lock in of this gas-fired energy generation or gas-fired production equipment will be avoided.
…
|
|
|
59.
|
For individual aid measures or schemes benefitting only a particularly limited number of beneficiaries or an incumbent beneficiary, in addition, please demonstrate that the proposed aid measure will not lead to increased market power (point 370 of the CEEAG).
…
|
Section C: Evaluation
To provide the information in this section, please refer to point 76(a) and Section 5 (points 455-463) of the CEEAG.
|
60.
|
If the notified measure(s) exceed the budget/expenditure thresholds in point 456 of the CEEAG, please either explain why in your view the exception in point 457 of the CEEAG should apply, or attach to this notification form an Annex that includes a draft evaluation plan covering the scope mentioned in point 458 of the CEEAG. (425)
…
|
|
61.
|
If a draft evaluation plan is provided, please:
|
(a)
|
provide below a summary of that draft evaluation plan included in the Annex.
…
|
|
(b)
|
confirm that point 460 of the CEEAG will be respected.
…
|
|
(c)
|
provide the date and internet link where the evaluation plan will be publicly available.
…
|
|
|
62.
|
In order to verify the compliance with point 459(b) of the CEEAG, in case the aid scheme is not currently subject to an ex post evaluation, and its duration exceeds three years, please confirm that you will notify a draft evaluation plan within 30 working days following a significant modification increasing the budget of the scheme to over EUR 150 million in any given year or EUR 750 million over the total duration of the scheme.
…
|
|
63.
|
In order to verify the compliance with point 459(c) of the CEEAG, in case the aid scheme is not currently subject to an ex post evaluation, please provide below a commitment that the Member State will notify a draft evaluation plan within 30 working days after recording in official accounts expenditures in excess of EUR 150 million in the previous year.
…
|
|
64.
|
In line with the provisions of point 461 of the CEEAG:
|
(a)
|
Please clarify if the independent expert has already been selected or it will be selected in the future.
…
|
|
(b)
|
Please provide information on the selection procedure of the expert.
…
|
|
(c)
|
Please justify how the expert is independent from the granting authority.
…
|
|
|
65.
|
In line with the provisions of point 461 of the CEEAG:
|
(a)
|
Please provide your proposed deadlines for the submission of the interim and final evaluation report. Please note that final evaluation report must be submitted to the Commission in due time to allow for the assessment of the possible prolongation of the aid scheme and at the latest 9 months before its expiry, in line with point 463 of the CEEAG. Please note that that deadline could be reduced for schemes triggering the evaluation requirement in their last 2 years of implementation.
…
|
|
(b)
|
Please confirm that the interim and final evaluation report will be made public. Please provide the date and internet link where those reports will be publicly available.
…
|
|
Section D: Reporting and monitoring
To provide the information in this section, please refer to Section 6 (points 464-465) of the CEEAG.
|
66.
|
Please confirm that the Member State will comply with the requirements for reporting and monitoring provided in Section 6, points 464 and 465, of the CEEAG.
…
|
PART III.6.K
Supplementary information sheet for State aid granted under the Guidelines on State aid for climate, environmental protection and energy 2022 (hereafter ‘CEEAG’) - Section 4.9 – Aid for energy infrastructure
This supplementary information sheet concerns measures covered in Section 4.9 of the CEEAG. If the notification includes measures that are covered by more than one section of the CEEAG, please once available also fill in the respective supplementary information sheet that concerns the respective section of the CEEAG.
All documents provided by Member States as annexes to this supplementary information sheet must be numbered and document numbers must be indicated in the relevant sections of this supplementary information sheet.
Section A: Summary of the main characteristics of the notified measure(s)
|
1.
|
Background and objective(s) of the notified measure(s).
|
|
1.1.
|
If not already discussed under section 5.2 of the General Information Form (Part. I), please provide the background and the main objective, including any Union targets for reduction and removal of greenhouse gas emissions that the measure is intended to support.
…
|
|
1.2.
|
Please indicate any other objectives pursued by the measure. For any objectives that are not purely environmental, please explain whether they may result in any distortions to the internal market.
…
|
|
2.
|
Entry into force and duration:
|
|
2.1.
|
To the extent not already provided under section 5.5 of the General Information Form (Part I), please indicate the date as of which the measure is planned to enter into force;
…
|
|
2.2.
|
If the measure concerns an aid scheme, please indicate its duration. (426)
…
|
|
3.1.
|
If not already provided under section 3 of the General Information Form (Part I), please describe the (potential) beneficiary(ies) of the measure(s).
…
|
|
3.2.
|
Please indicate the location of the (potential) beneficiary(ies) (i.e. if only economic entities located in the respective Member States or also in other Member States are eligible to participate in the measure).
…
|
|
3.3.
|
In order to assess the compliance with point 15 of the CEEAG, please specify if individual aid is granted under the measure(s) in favour of an undertaking (as part of a scheme or not) that is subject to an outstanding recovery order following a previous Commission decision declaring an aid illegal and incompatible with the internal market.
In the affirmative, please provide information on the amount of aid still to be recovered so that the Commission takes account of it in the assessment of the aid measure(s).
…
|
|
3.4.
|
Please confirm that the measure(s) does not involve aid to activities falling outside the scope of application of the CEEAG (see point 13 of the CEEAG). Otherwise, please provide details.
…
Points 373 and 374 of the CEEAG provide that “
support to energy infrastructure within the framework of a legal monopoly is not subject to State aid rules”. This could be the case where the construction and operation of certain infrastructures is exclusively reserved by law for the TSO or DSO. Similarly, point 375 CEEAG provides that “
the Commission considers that there is no State aid involved in investments where the energy infrastructure is run under a ‘natural monopoly’
”.
Is the project notified within the framework of a legal monopoly or is it run under a “natural monopoly”?
…
|
|
3.5.
|
If the answer to the previous question is Yes, please explain why the notified project falls within the framework of a legal and/or natural monopoly, with reference to each cumulative criterion laid down in point 374 for legal monopolies and/or in point 375 for natural monopolies of the CEEAG.
…
|
|
4.
|
Budget and financing of the measure(s).
|
|
4.1.
|
If not already mentioned in the table under section 7.1 of the General Information Form (Part I), please provide the yearly and/or total budget for the whole duration of the measure(s); if the total budget is not known (for instance because it depends on the results of tenders), please indicate an estimated budget, including the assumptions used to calculate the respective estimated budget. (427)
…
|
|
4.2.
|
If the measure is financed through a levy, please clarify if:
|
(a)
|
the levy is set by law or any other legislative act; in the affirmative, please provide the legal act, number and date when adopted and entered into force, the internet link to the legal act;
…
|
|
(b)
|
the levy is imposed equally on domestic and imported products;
…
|
|
(c)
|
the notified measure will benefit equally domestic and imported products;
…
|
|
(d)
|
the levy finances fully the measure or only partly. If the levy finances only partly the measure, indicate the other sources of financing of the measure and their respective proportion;
…
|
|
(e)
|
the levy financing the notified measure also finances other aid measures. If so, indicate the other aid measures financed by the concerned levy.
…
|
|
Section B: Compatibility assessment of the aid
|
1.
|
POSITIVE CONDITION: THE AID MUST FACILITATE THE DEVELOPMENT OF AN ECONOMIC ACTIVITY
|
|
1.1.
|
Contribution to the development of an economic activity
To provide the information in this section, please refer to section 3.1.1 (points 23-25) and sections 4.9.1 and 4.9.2 of the CEEAG.
|
|
5.
|
Article 107(3), point (c), of the Treaty on the Functioning of the European Union (’the Treaty’) provides that the Commission may declare compatible ‘aid to facilitate the development of certain economic activities or of certain economic areas, where such aid does not adversely affect trading conditions to an extent contrary to the common interest’. Therefore, compatible aid under that provision of the Treaty must contribute to the development of certain economic activity.
In order to assess the compliance with point 23 of the CEEAG, please identify the economic activities that will be facilitated as a result of the aid and how the development of those activities is supported.
…
|
|
6.
|
In order to assess the compliance with point 25 of the CEEAG, please “describe if and how the aid will contribute to the achievement of objectives of Union climate policy, environmental policy and energy policy and more specifically, the expected benefits of the aid in terms of its material contribution to environmental protection, including climate change mitigation, or the efficient functioning of the internal energy market”.
…
|
|
7.
|
In addition, please highlight to what extent the aid relates to policies described under points 371 and 372 CEEAG.
…
|
|
8.
|
Please provide information on the scope and supported activities of the aid measure(s), as provided in point 376 CEEAG. By doing so, please also:
|
(a)
|
Ensure that the project is about an energy infrastructure as defined under point 19(36) of the CEEAG.
|
|
(b)
|
Ensure that the project does not involve dedicated infrastructure and/or other energy infrastructure combined with production and/or consumption activities.
|
|
(c)
|
Specify what type of costs will be supported by the measure: investment or operating costs.
|
|
(d)
|
In case where the measure will cover operating costs, demonstrate that those costs cannot be recovered from network users and that they are not related to sunk costs, and that the operating aid leads to a change in behaviour that enables the delivery of security of supply or environmental protection objectives.
|
…
|
|
1.2.
|
Incentive effect
To provide the information in this section, please refer to section 3.1.2 (points 26-32) of the CEEAG.
|
|
9.
|
Aid can be considered as facilitating an economic activity only if it has an incentive effect. In order to assess the compliance with point 26 of the CEEAG, please explain how the measure(s) “induces the beneficiary to change its behaviour, to engage in additional economic activity or in more environmentally-friendly economic activity, which it would not carry out without the aid or would carry out in a restricted or different manner”.
…
|
|
10.
|
In order to assess the compliance with point 27 of the CEEAG, please provide information to confirm that the aid does not support the costs of an activity that the aid beneficiary would anyhow carry out and does not compensate for the normal business risk of an economic activity (428)
.
…
|
|
11.
|
In order to demonstrate the presence of an incentive effect, point 28 of the CEEAG requires the identification of the factual scenario and the likely counterfactual scenario in the absence of aid. For aid to energy infrastructure, as explained in point 52, the counterfactual scenario is presumed to be the situation in which the project would not take place.
|
(a)
|
Please provide a comprehensive description of the factual scenario. In case of schemes covering different reference projects (429), please provide a description of the factual scenario for each reference project.
…
|
|
(b)
|
In as far as the measure is not an aid scheme, please attach to this notification form any official board documents, risk assessments, financial report, internal business plans, expert opinions and other studies related to the project under assessment, documents containing information on demand forecasts, costs forecasts, financial forecasts, documents submitted to an investment committee and that elaborate on investment/operation scenarios, or documents provided to the financial institutions as provided in point 28, footnote 39 of the CEEAG.
|
Please note that those documents need to be contemporary to the decision-making process concerning the investment/operation decision.
If such documents are attached to the notification form, please provide below a list of those documents, specifying the author, the date when they were drafted and the context when they were used.
…
|
|
12.
|
In order to demonstrate the compliance with points 29 and 31 of the CEEAG:
|
(a)
|
Please confirm that the start of works on the project or activity did not take place prior to a written aid application by the beneficiary to the national authorities;
…
OR
|
|
(b)
|
For projects that started before the aid application, please demonstrate that the project falls within one of the exceptional cases provided in point 31 of the CEEAG ((a), (b) or (c)).
…
|
|
|
13.
|
In order to demonstrate compliance with point 30 of the CEEAG, please confirm that the aid application includes at least the applicant’s name, a description of the project or activity, including its location, and the amount of aid needed to carry it out.
…
|
|
14.
|
In order to demonstrate compliance with point 32 of the CEEAG, please indicate if there are Union standards (430) applicable to the notified measure(s), mandatory national standards that are more stringent or ambitious than the corresponding Union standards, or mandatory national standards adopted in the absence of Union standards. In that context, please provide information to demonstrate the incentive effect.
…
|
|
15.
|
In cases where the relevant Union standard has already been adopted but is not yet in force, please demonstrate that the aid has an incentive effect because it incentivises the investment to be implemented and finalised at least 18 months before the standard enters into force.
…
|
|
1.3.
|
No breach of any relevant provision of Union law
To provide the information in this section, please refer to section 3.1.3 (point 33 of the CEEAG).
|
|
16.
|
Please provide information to confirm the compliance with the relevant provisions of EU law, in line with point 33 of the CEEAG.
…
|
|
17.
|
If a levy is used to finance the measure(s), please clarify if the assessment of compliance with Articles 30 and 110 of the Treaty needs to be carried out. In the affirmative, please demonstrate how the measure complies with the provisions of Articles 30 and 110 of the Treaty. In this context, the information submitted under question 4.2. above, where the notified measure(s) is financed through a levy can be referred to.
…
|
|
2.
|
NEGATIVE CONDITION: THE AID CANNOT UNDULY AFFECT TRADING CONDITIONS TO AN EXTENT CONTRARY TO THE COMMON INTEREST
|
|
2.1.
|
Minimisation of distortions of competition and trade
|
|
2.1.1.
|
The necessity and the appropriateness of State aid intervention
To provide the information in this section, please refer to section 4.9.3.1 (points 379 and 380) of the CEEAG.
|
|
18.
|
Point 379 of the CEEAG provides that, regarding energy infrastructure, market failures are usually addressed/financed by means of compulsory user tariffs subject to regulation. Nevertheless, as point 380 of the CEEAG mentioned, this may not always be the case. Please explain to what extent the measure addresses market failures that cannot be addressed by means of compulsory user tariffs.
…
|
|
19.
|
In order to demonstrate the necessity and the appropriateness of the State aid, please specify under which of the different situations the notified project has to be assessed:
|
(a)
|
The project notified is a project of common interest as defined in Article 2, point (4) of Regulation (EU) No 347/2013, which are fully subjected to internal energy market legislation. In that situation, the Commission considers that there is a presumption of market failure. There is no need for the Member State to justify further the need and the appropriateness of the State aid, or
|
|
(b)
|
the project notified is not a project of common interest as defined above or is a project of common interest but is partially or fully exempted from internal energy market legislation, or
|
|
(c)
|
the project is not a project of common interest and is between the Union and a third country.
…
|
|
|
20.
|
If the notified project falls within the situation mentioned in point 19(b) above, in order to justify the necessity and the appropriateness of the measure, please explain to what extent:
|
—
|
the market failure leads to a sub-optimal provision of the necessary infrastructure;
|
|
—
|
the infrastructure is open to third party access and subject to tariff regulation;
|
|
—
|
the project contributes to the security of supply in the Union or to climate neutrality objectives to the Union.
|
…
|
|
21.
|
If the project is in the situation mentioned in point 19©, please explain if (i) for the part of the infrastructure located on Union territory, the project is built and operated in line with Union legislation, particularly Directives 2009/73/EC and (EU) 2019/944, and (ii) for the part located in third country or countries involved, the project has a high level of regulatory alignment and supports the overall objectives of the Union, in particular to ensure:
|
—
|
a well-functioning internal energy market,
|
|
—
|
security of energy supply based on cooperation and solidarity,
|
|
—
|
an energy system on a trajectory towards decarbonisation in line with the Paris Agreement and the Union’s climate objectives, and in particular
|
|
—
|
avoidance of carbon leakage.
|
…
|
|
2.1.2.
|
The proportionality of the aid
To provide the information in this section, please refer to points 51-52 and 381 of the CEEAG.
|
|
22.
|
Pursuant to point 51 of the CEEAG, the typical net extra costs can be estimated as the difference between the NPV for the factual scenario and the counterfactual scenario over the lifetime of the project or per reference project where applicable. Where the counterfactual scenario is that the project will not be implemented (see point 52 of the CEEAG), the negative NPV of the factual scenario is equal to the net extra costs.
Please provide the following in an Annex to this notification form (using an Excel file where all formulas are visible):
|
(a)
|
In order to determine the funding gap (431), please submit a quantification, for the factual scenario, of:
|
(i)
|
all main costs and revenues of the project;
|
|
(ii)
|
the estimated weighted average cost of capital (WACC) of the beneficiaries to discount future cash flows;
|
|
(iii)
|
net present value (NPV) for the factual scenario, over the lifetime of the project.
|
…
|
|
(b)
|
Please include in an Annex to this notification form detailed information on the assumptions, methodologies, rationale and underlying sources thereof, used for each aspect of the quantification of costs and revenues in the factual scenario (for instance please include the assumptions used to develop the factual scenario)
…
|
|
|
23.
|
Pursuant to point 53 of the CEEAG, for cases of individual aid and schemes benefitting a particularly limited number of beneficiaries, the Member State needs to present the supporting evidence at the level of the detailed project business plan.
For cases of aid schemes, the Member State needs to present the supporting evidence on the basis of one or more reference projects.
|
|
24.
|
In order to allow the Commission to verify that the aid amount does not exceed the minimum necessary for the aided project to be sufficiently profitable (432), please provide the following information:
|
(a)
|
The internal rate of return (IRR) corresponding to the sector or firm specific benchmark or hurdle rate; or
|
|
(b)
|
The normal rates of return required by the beneficiary in other investment projects of a similar kind, its cost of capital as a whole; or
|
|
(c)
|
The returns commonly observed in the industry concerned; or
|
|
(d)
|
Any other information justifying that the aid amount does not exceed the minimum necessary for the aided project to be sufficiently profitable.
|
…
|
|
25.
|
Pursuant to point 381 of the CEEAG, if the aid is close to the maximum allowed and where there is a risk of windfall profits, a monitoring and claw-back mechanism may be necessary, while keeping incentives for the beneficiaries to minimise their costs and develop their business in a more efficient manner over time. Please explain if there is any monitoring and claw-back mechanism in place. If not, please explain why.
…
|
|
2.1.3.
|
Cumulation
To provide the information in this section, please refer to points 56-57 of the CEEAG.
|
|
26.
|
In so far as not already provided under section 7.4 of the General Information Form (Part I), and in order to verify compliance with point 56 of the CEEAG, please clarify if the aid under the notified measure(s) may be awarded concurrently under several aid schemes or cumulated with ad hoc or de minimis aid in relation to the same eligible costs. If that is the case, please provide details on those aid schemes, ad hoc aid or de minimis aid and how the aid will be cumulated. Please note that you may wish to refer to the quantification provided above.
…
|
|
27.
|
If aid is awarded concurrently under several aid schemes or cumulated with ad hoc or de minimis aid in relation to the same eligible costs, please justify how the total amount of aid granted under the notified measure(s) for a project or an activity does not lead to overcompensation or exceed the maximum aid amount allowed under points 51 and 381 of the CEEAG. Please specify, for each measure, that the aid granted under the notified aid measure(s) can be cumulated, the method used for ensuring compliance with the conditions set out in point 56 of the CEEAG.
…
|
|
28.
|
If the aid granted under the notified measure(s) is combined with centrally managed Union funding pursuant to point 57 of the CEEAG (433), please justify how the total amount of public funding granted in relation to the same eligible costs does not lead to overcompensation.
…
|
|
2.1.4.
|
Transparency
To provide the information in this section, please refer to section 3.2.1.4 (points 58-62) of the CEEAG.
|
|
29.
|
Please confirm that the Member State will comply with the requirements on transparency provided in points 58-61 of the CEEAG.
…
|
|
30.
|
Please provide the internet link where the full text of the approved aid scheme or the individual aid granting decision and its implementing provisions, and information on each individual aid award granted ad hoc or under an aid scheme approved on the basis of the CEEAG and exceeding EUR 100 000 will be published.
…
|
|
2.2.
|
Avoidance of undue negative effects of the aid on competition and trade and balancing
To provide the information in this section, please refer to section 4.9.4. (points 382 et seq. of the CEEAG).
|
|
31.
|
If the project notified is exempted, in whole or in part, from internal energy market legislation, please explain:
|
—
|
To what degree the aided infrastructure is open to third party access;
|
|
—
|
To what degree customers can have access to alternative infrastructure, if any;
|
|
—
|
To what degree the project could result in crowding-out of private investments;
|
|
—
|
The competitive position of the beneficiary(ies), both as regards the operation of infrastructure and as regards relevant product markets for the good transported with the infrastructure.
|
…
|
|
32.
|
If the project notified is a natural gas infrastructure, please provide information on how the notified project will fulfil the following conditions:
|
—
|
The infrastructure is ready for the use of hydrogen and leads to increase the use of renewable gases; or alternatively, the reason why it is not possible to design the project so that it is ready for the of hydrogen and how the project does not create a lock-in effect for the use of natural gas;
|
|
—
|
The investment contributes to achieving the Union’s 2030 climate targets and 2050 climate neutrality target.
|
…
|
|
33.
|
If the project notified is a Project of Common Interest or Project of Mutual Interest not subject to internal market legislation, please explain what the impact of the project will be on related services markets as well as on other services markets.
…
|
Section C: Evaluation
To provide the information in this section, please refer to point 76(a) and Section 5 (points 455-463) of the CEEAG.
|
34.
|
If the notified measure(s) exceed the budget/expenditure thresholds in point 456 of the CEEAG, please either explain why in your view the exception in point 457 of the CEEAG should apply, or attach to this notification form an Annex that includes a draft evaluation plan covering the scope mentioned in point 458 of the CEEAG. (434)
…
|
|
35.
|
If a draft evaluation plan is provided, please:
|
(a)
|
provide below a summary of that draft evaluation plan included in the Annex.
…
|
|
(b)
|
confirm that point 460 of the CEEAG will be respected.
…
|
|
(c)
|
provide the date and internet link where the evaluation plan will be publicly available.
…
|
|
|
36.
|
In order to verify the compliance with point 459(b) of the CEEAG, in case the aid scheme is not currently subject to an ex post evaluation, and its duration exceeds three years, please confirm that you will notify a draft evaluation plan within 30 working days following a significant modification increasing the budget of the scheme to over EUR 150 million in any given year or EUR 750 million over the total duration of the scheme.
…
|
|
37.
|
In order to verify the compliance with point 459(c) of the CEEAG, in case the aid scheme is not currently subject to an ex post evaluation, please provide below a commitment that the Member State will notify a draft evaluation plan within 30 working days after recording in official accounts expenditures in excess of EUR 150 million in the previous year.
…
|
|
38.
|
In order to verify the compliance with point 461 of the CEEAG:
|
(a)
|
Please clarify if the independent expert has already been selected or it will be selected in the future.
…
|
|
(b)
|
Please provide information on the selection procedure of the expert.
…
|
|
(c)
|
Please justify how the expert is independent from the granting authority.
…
|
|
|
39.
|
In order to verify the compliance with point 461 of the CEEAG:
|
(a)
|
Please provide your proposed deadlines for the submission of the interim and final evaluation report. Please note that final evaluation report must be submitted to the Commission in due time to allow for the assessment of the possible prolongation of the aid scheme and at the latest 9 months before its expiry, in line with point 463 of the CEEAG. Please note that that deadline could be reduced for schemes triggering the evaluation requirement in their last 2 years of implementation.
…
|
|
(b)
|
Please confirm that the interim and final evaluation report will be made public. Please provide the date and internet link where those reports will be publicly available.
…
|
|
Section D: Reporting and monitoring
To provide the information in this section, please refer to Section 6 (points 464-465) of the CEEAG.
|
40.
|
Please confirm that the Member State will comply with the requirements for reporting and monitoring provided in Section 6, points 464 and 465, of the CEEAG.
…
|
PART III.6.L
Supplementary information sheet for State aid granted under the Guidelines on State aid for climate, environmental protection and energy 2022 (hereafter ‘CEEAG’) - Section 4.10 – Aid to district heating and cooling
This supplementary information sheet concerns measures covered in Section 4.10 of the CEEAG. If the notification includes measures that are covered by more than one section of the CEEAG, please once available also fill in the respective supplementary information sheet that concerns the respective section of the CEEAG.
All documents provided by Member States as annexes to this supplementary information sheet must be numbered and document numbers must be indicated in the relevant sections of this supplementary information sheet.
Section A: Summary of the main characteristics of the notified measure(s)
|
1.
|
Background and objective(s) of the notified measure(s).
|
|
1.1.
|
If not already discussed under section 5.2 of the General Information Form (Part. I), please provide the background and the main objective, including any Union targets for reduction and removal of greenhouse gas emissions that the measure is intended to support.
…
|
|
1.2.
|
Please indicate any other objectives pursued by the measure. For any objectives that are not purely environmental, please explain whether they may result in any distortions to the internal market.
…
|
|
2.
|
Entry into force and duration:
|
|
2.1.
|
To the extent not already provided under section 5.5 of the General Information Form (Part I), please indicate the date as of which the aid scheme is planned to enter into force;
…
|
|
2.2.
|
Please indicate the duration of the scheme. (435)
…
|
|
3.1.
|
If not already provided under section 3 of the General Information Form (Part I), please describe the (potential) beneficiary(ies) of the measure(s).
…
|
|
3.2.
|
Please indicate the location of the (potential) beneficiary(ies) (i.e. if only economic entities located in the respective Member States or also in other Member States are eligible to participate in the measure).
…
|
|
3.3.
|
In order to assess the compliance with point 15 of the CEEAG, please specify if aid is granted under the measure(s) in favour of an undertaking (individual or part of a scheme) that is subject to an outstanding recovery order following a previous Commission decision declaring an aid illegal and incompatible with the internal market.
In the affirmative, please provide information on the amount of aid still to be recovered so that the Commission takes account of it in the assessment of the aid measure(s).
…
|
|
4.
|
Please confirm that the measure(s) does not involve aid to activities falling outside the scope of application of the CEEAG (see point 13 of the CEEAG). Otherwise, please provide details.
…
|
|
5.
|
Budget and financing of the measure(s).
|
|
5.1.
|
If not already mentioned in the table under section 7.1 of the General Information Form (Part I), please provide the yearly and/or total budget for the whole duration of the measure(s); if the total budget is not known (for instance because it depends on the results of tenders), please indicate an estimated budget, including the assumptions used to calculate the respective estimated budget. (436)
…
|
|
5.2.
|
If the measure is financed through a levy, please clarify if:
|
(a)
|
the levy is set by law or any other legislative act; in the affirmative, please provide the legal act, number and date when adopted and entered into force, the internet link to the legal act;
…
|
|
(b)
|
the levy is imposed equally on domestic and imported products;
…
|
|
(c)
|
the notified measure will benefit equally domestic and imported producers;
…
|
|
(d)
|
the levy finances fully the measure or only partly. If the levy finances only partly the measure, indicate the other sources of financing of the measure and their respective proportion;
…
|
|
(e)
|
the levy financing the notified measure also finances other aid measures. If so, indicate the other aid measures financed by the concerned levy.
…
|
|
Section B: Compatibility assessment of the aid
|
1.
|
POSITIVE CONDITION: THE AID MUST FACILITATE THE DEVELOPMENT OF AN ECONOMIC ACTIVITY
|
|
1.1.
|
Contribution to the development of an economic activity
To provide the information in this section, please refer to section 3.1.1 (points 23-25) and sections 4.10.1 and 4.10.2 (points 383-390) of the CEEAG.
|
|
6.
|
Article 107(3), point (c), of the Treaty on the Functioning of the European Union (’the Treaty’) provides that the Commission may declare compatible ‘aid to facilitate the development of certain economic activities or of certain economic areas, where such aid does not adversely affect trading conditions to an extent contrary to the common interest’. Therefore, compatible aid under that provision of the Treaty must contribute to the development of certain economic activity.
In order to assess the compliance with point 23 of the CEEAG, please identify the economic activities that will be facilitated as a result of the aid and how the development of those activities is supported.
…
|
|
7.
|
In order to assess the compliance with point 25 of the CEEAG, please “describe if and how the aid will contribute to the achievement of objectives of Union climate policy, environmental policy and energy policy and more specifically, the expected benefits of the aid in terms of its material contribution to environmental protection, including climate change mitigation, or the efficient functioning of the internal energy market”.
…
|
|
8.
|
In addition, please highlight to what extent the aid relates to policies described under points 383 and 384 CEEAG. By doing so, please also clarify whether the project promotes renewable energy in line with Article 2(1) of Directive 2018/2001/EU. Specifically, please confirm whether the measure develops efficient district heating and cooling systems within the meaning of Article 26 of Directive 2023/1791/EU to promote heating and cooling from renewable energy sources.
…
|
|
9.
|
Points 385 and 386 of the CEEAG provide that support that is limited to district heating distribution networks can, under certain circumstances, be considered to fall outside of State aid control.
|
(a)
|
Does the measure support district heating distribution networks which will be subject to third party access, unbundling (i.e. separation between generation and distribution of heating/cooling) and regulated tariffs?
|
|
(b)
|
If the answer to point a) is Yes, please explain if the distribution network will be run under a legal and/or natural monopoly, with reference to the criteria laid down in points 374 and 375 of the CEEAG.
…
|
|
|
10.
|
Please provide information on the scope and supported activities of the aid measure(s), as provided in section 4.10.2. (points 388-389) of the CEEAG. By doing so, please also:
|
(a)
|
Explain why the project falls within the definition of district heating/cooling under point 19(27) of the CEEAG and within the definition of district heating and/or a district cooling system under point 19(28) of the CEEAG.
|
|
(b)
|
Explain if the project supports the construction, upgrade or operation of:
|
—
|
a generation unit, and/or
|
|
—
|
a distribution network.
|
|
|
(c)
|
If the support is about a generation unit, explain which resources this generation unit uses to produce electricity, district heating or cooling: renewable energy, waste heat or highly efficient cogeneration including thermal storage solution.
|
|
(d)
|
If the support is about a generation unit using waste, confirm that the support is limited to either waste that meets the definition of renewable energy sources or waste used to fuel installations that meet the definition of high-efficiency cogeneration.
|
|
(e)
|
Where aid is granted for the upgrade of a district heating and cooling system, clarify if the district heating and cooling system meets the standard of efficient district heating and cooling in line with Article 2(46) and Article 26 of Directive 2023/1791/EU.
|
|
(f)
|
Specify what type of costs will be supported by the measure: investment and/or operating costs.
…
|
|
|
11.
|
If the aid aims at supporting the upgrade of a district heating and cooling system which however does not lead to system meeting the standard of efficient district heating and cooling within the meaning of Article 26 of Directive 2023/1791/EU as a result of the upgrade supported, please provide a commitment that the beneficiary will start the works to reach that efficiency standard within 3 years following the upgrade works pursuant to point 390 of the CEEAG.
…
|
|
1.2.
|
Incentive effect
To provide the information in this section, please refer to section 3.1.2 (points 26-32) of the CEEAG.
|
|
12.
|
Aid can be considered as facilitating an economic activity only if it has an incentive effect. In order to assess the compliance with point 26 of the CEEAG, please explain how the measure(s) “induces the beneficiary to change its behaviour, to engage in additional economic activity or in more environmentally-friendly economic activity, which it would not carry out without the aid or would carry out in a restricted or different manner”.
…
|
|
13.
|
In order to assess the compliance with point 27 of the CEEAG, please provide information to confirm that the aid does not support the costs of an activity that the aid beneficiary would anyhow carry out and does not compensate for the normal business risk of an economic activity (437)
.
…
|
|
14.
|
Please provide a comprehensive description of the factual scenario and the likely counterfactual scenario(s). In case of schemes covering different reference projects (438), such description needs to be submitted for each reference project. For the construction, upgrade and operation of distribution networks, the counterfactual scenario is presumed to be the situation in which the project would not take place (point 395 of the CEEAG).
…
|
(a)
|
As provided in point 28, footnote 39 of the CEEAG, please attach to this supplementary information sheet any official board documents, risk assessments, financial report, internal business plans, expert opinions and other studies related to the project under assessment, documents containing information on demand forecasts, costs forecasts, financial forecasts, documents submitted to an investment committee and that elaborate on investment/operation scenarios, or documents provided to the financial institutions.
Please note that those documents need to be contemporary to the decision making process concerning the investment/operation decision.
If such documents are attached to the supplementary information sheet, please provide below a list of those documents, specifying the author, the date when they were drafted and the context when they were used.
…
|
|
(b)
|
Please provide in an Annex to this supplementary information sheet (using an Excel file where all formulas are visible) a quantification, for the factual scenario and a credible counterfactual scenario as described under point i., of all main costs and revenues, the estimated weighted average cost of capital (WACC) of the beneficiaries to discount future cash flows, as well as the net present value (NPV) for the factual and counterfactual scenarios, over the lifetime of the project. For cases of individual aid and schemes benefitting a particularly limited number of beneficiaries, those calculations and projections need to be presented at the level of the detailed project business plan, and for aid schemes on the basis of one or more reference projects.
|
|
(c)
|
Please include in an Annex to this supplementary information sheet detailed information on the assumptions, methodologies, rationale and underlying sources thereof, used for each aspect of the quantification of costs and revenues in the factual scenario and the likely counterfactual scenario(s) (for instance please include the assumptions used to develop those scenarios).
…
|
|
|
15.
|
In order to demonstrate the compliance with points 29 and 31 of the CEEAG:
|
(a)
|
Please confirm that the start of works on the project or activity did not take place prior to a written aid application by the beneficiary to the national authorities;
…
OR
|
|
(b)
|
For projects that started before the aid application, please demonstrate that the project falls within one of the exceptional cases provided in point 31 of the CEEAG ((a), (b) or (c)) (439).
…
|
|
|
16.
|
In order to demonstrate compliance with point 30 of the CEEAG, please confirm that the aid application includes at least the applicant’s name, a description of the project or activity, including its location, and the amount of aid needed to carry it out.
…
|
|
17.
|
In order to demonstrate compliance with point 32 of the CEEAG, please indicate if there are Union standards (440) applicable to the notified measure(s), mandatory national standards that are more stringent or ambitious than the corresponding Union standards, or mandatory national standards adopted in the absence of Union standards. In that context, please provide information to demonstrate the incentive effect.
…
|
|
18.
|
In cases where the relevant Union standard has already been adopted but is not yet in force, please demonstrate that the aid has an incentive effect because it incentivises the investment to be implemented and finalised at least 18 months before the standard enters into force.
…
|
|
1.3.
|
No breach of any relevant provision of Union law
To provide the information in this section, please refer to section 3.1.3 (point 33) of the CEEAG.
|
|
19.
|
Please provide information to confirm the compliance with the relevant provisions of EU law, in line with point 33 of the CEEAG.
…
|
|
20.
|
If a levy is used to finance the measure(s), please clarify if the assessment of compliance with Articles 30 and 110 of the Treaty needs to be carried out. In the affirmative, please demonstrate how the measure complies with the provisions of Articles 30 and 110 of the Treaty. In this context, the information submitted under question 5.2 above, where the notified measure(s) is financed through a levy can be referred to.
…
|
|
2.
|
NEGATIVE CONDITION: THE AID CANNOT UNDULY AFFECT TRADING CONDITIONS TO AN EXTENT CONTRARY TO THE COMMON INTEREST
|
|
2.1.
|
Minimisation of distortions of competition and trade
|
|
2.1.1.
|
Necessity and appropriateness for State aid intervention
To provide the information in this section, please refer to section 4.10.3 (points 391-393 of the CEEAG.
|
|
21.
|
Please explain in detail how the project will contribute to the creation, extension or upgrade of efficient district heating and cooling systems.
…
|
|
22.
|
If the measure exceptionally covers operating costs, please demonstrate that these costs cannot be passed on to district heating/cooling consumers without undermining environmental protection in line with point 392 of the CEEAG. Please show that the supported district heating/cooling systems increase energy efficiency, reduce CO2 emissions and other pollution sources as well as network losses, in comparison to alternative district heating/cooling solutions.
…
|
|
23.
|
In line with point 393 of the CEEAG, if the project is based on waste as input fuel, please explain how it respects the waste hierarchy principle (Article 4 point (1) of Directive 2008/98/EU).
…
|
|
2.1.2.
|
The proportionality of the aid
To provide the information in this section, please refer to section 3.2.1.3 and section 4.10.4 (points 394 and 395) of the CEEAG.
|
|
24.
|
In order to verify the compliance with point 51 of the CEEAG, please provide the following:
|
(a)
|
In order to determine the funding gap (441), please submit a quantification, for the factual scenario and a credible counterfactual scenario (442), of:
|
(i)
|
all main costs and revenues of the project;
|
|
(ii)
|
the estimated weighted average cost of capital (WACC) of the beneficiaries to discount future cash flows;
|
|
(iii)
|
net present value (NPV) for the factual and counterfactual scenarios, over the lifetime of the project.
…
|
|
|
(b)
|
The reasons for the assumptions used for each aspect of the quantification, and explain and justify any methodologies applied.
…
For cases of individual aid and schemes benefitting a particularly limited number of beneficiaries, the Member State needs to present the supporting evidence at the level of the detailed project business plan.
For cases of aid schemes, the Member State needs to present the supporting evidence on the basis of one or more reference projects.
…
|
|
|
25.
|
In case an alternative project is absent, in order to allow the Commission to verify that the aid amount does not exceed the minimum necessary for the aided project to be sufficiently profitable (443), please provide the following information:
|
(a)
|
The internal rate of return (IRR) corresponding to the sector or firm specific benchmark or hurdle rate; or
|
|
(b)
|
The normal rates of return required by the beneficiary in other investment projects of a similar kind, its cost of capital as a whole; or
|
|
(c)
|
The returns commonly observed in the industry concerned; or
|
|
(d)
|
Any other information justifying that the aid amount does not exceed the minimum necessary for the aided project to be sufficiently profitable.
…
|
|
|
2.1.3.
|
Cumulation
To provide the information in this section, please refer to points 56-57 of the CEEAG.
|
|
26.
|
In order to verify compliance with point 56 of the CEEAG, please clarify if the aid under the notified measure(s) may be awarded concurrently under several aid schemes or cumulated with ad hoc or de minimis aid in relation to the same eligible costs. If that is the case, please provide details on those aid schemes, ad hoc aid or de minimis aid and how the aid will be cumulated.
…
|
|
27.
|
If point 56 of the CEEAG is applicable to the notified aid measure(s), please justify how the total amount of aid granted under the notified measure(s) for a project or an activity does not lead to overcompensation or exceed the maximum aid amount allowed under point 394 of the CEEAG. For each measure that the aid granted under the notified aid measure(s) can be cumulated with, please specify the method used for ensuring compliance with the conditions set out in point 56 of the CEEAG.
…
|
|
28.
|
In case point 57 of the CEEAG is applicable, i.e. the aid granted under the notified measure(s) is combined with centrally managed Union funding (444), please justify how the total amount of public funding granted in relation to the same eligible costs does not lead to overcompensation
…
|
|
2.1.4.
|
Transparency
To provide the information in this section, please refer to section 3.2.1.4 (points 58-61) of the CEEAG.
|
|
29.
|
Please confirm that the Member State will comply with the requirements on transparency provided in points 58-61 of the CEEAG.
…
|
|
30.
|
Please provide the internet link where the full text of the approved aid scheme or the individual aid granting decision and its implementing provisions, and information on each individual aid award granted ad hoc or under an aid scheme approved on the basis of the CEEAG and exceeding EUR 100 000 will be published.
…
|
|
2.2.
|
Avoidance of undue negative effects of the aid on competition and trade and balancing
To provide the information in this section, please refer to section 4.10.5 (points 396-398) of the CEEAG.
|
|
31.
|
If the district heating and cooling systems rely on most polluting fossil fuels such as coal, lignite, oil and diesel, please explain whether the following cumulative conditions are fulfilled pursuant to point 396 of the CEEAG:
|
(a)
|
The aid is limited to investments on the distribution network.
|
…
|
(b)
|
The distribution network already enables the transport of heat and cooling generated from renewable energy sources, waste heat or carbon neutral sources.
|
…
|
(c)
|
The aid does not result in increased generation of energy from the most polluting fossil fuels (for example by connecting additional customers).
|
…
|
(d)
|
There is a clear timeline involving firm commitments for transitioning away from the most polluting fossil fuels in view of the Union’s 2030 climate target and the 2050 climate neutrality target (see example in the footnote 156 of the CEEAG).
|
…
|
|
32.
|
If the project incentivises new investments in natural gas or operation of energy generation assets based on natural gas, please explain whether the project ensures the following, in line with point 397 of the CEEAG :
|
(a)
|
the contribution of the aid to achieving the Union’s 2030 climate target and 2050 climate neutrality target;
|
|
(b)
|
how a lock-in effect of the gas-fired energy generation will be avoided;
|
|
(c)
|
how the aid does not displace investments into cleaner alternatives that are already available on the market, and does not impede the development of cleaner technologies and their use.
…
|
|
|
33.
|
In order to verify compliance with point 398 of the CEEAG, please clarify whether the district heating and cooling system is open to third party access and whether using sustainable alternative heating solutions would be possible.
…
|
Section C: Evaluation
To provide the information in this section, please refer to point 76(a) and Section 5 (points 455-463) of the CEEAG.
|
34.
|
If the notified measure(s) exceed the budget/expenditure thresholds in point 456 of the CEEAG, please either explain why in your view the exception in point 457 of the CEEAG should apply, or attach to this supplementary information sheet an Annex that includes a draft evaluation plan covering the scope mentioned in point 458 of the CEEAG. (445)
…
|
|
35.
|
If a draft evaluation plan is provided, please:
|
(a)
|
provide below a summary of that draft evaluation plan included in the Annex.
…
|
|
(b)
|
confirm that point 460 of the CEEAG will be respected.
…
|
|
(c)
|
provide the date and internet link where the evaluation plan will be publicly available.
…
|
|
|
36.
|
In order to verify the compliance with point 459(b) of the CEEAG, in case the aid scheme is not currently subject to an ex post evaluation, and its duration exceeds three years, please confirm that you will notify a draft evaluation plan within 30 working days following a significant modification increasing the budget of the scheme to over EUR 150 million in any given year or EUR 750 million over the total duration of the scheme.
…
|
|
37.
|
In order to verify the compliance with point 459(c) of the CEEAG, in case the aid scheme is not currently subject to an ex post evaluation, please provide below a commitment that the Member State will notify a draft evaluation plan within 30 working days after recording in official accounts expenditures in excess of EUR 150 million in the previous year.
…
|
|
38.
|
In order to verify the compliance with point 461 of the CEEAG:
|
(a)
|
Please clarify if the independent expert has already been selected or it will be selected in the future.
…
|
|
(b)
|
Please provide information on the selection procedure of the expert.
…
|
|
(c)
|
Please justify how the expert is independent from the granting authority.
…
|
|
|
39.
|
In order to verify the compliance with point 461 of the CEEAG:
|
(a)
|
Please provide your proposed deadlines for the submission of the interim and final evaluation report. Please note that final evaluation report must be submitted to the Commission in due time to allow for the assessment of the possible prolongation of the aid scheme and at the latest 9 months before its expiry, in line with point 463 of the CEEAG. Please note that that deadline could be reduced for schemes triggering the evaluation requirement in their last 2 years of implementation.
…
|
|
(b)
|
Please confirm that the interim and final evaluation report will be made public. Please provide the date and internet link where those reports will be publicly available.
|
|
Section D: Reporting and monitoring
To provide the information in this section, please refer to Section 6 (points 464-465) of the CEEAG.
|
40.
|
Please confirm that the Member State will comply with the requirements for reporting and monitoring provided in Section 6, points 464 and 465, of the CEEAG.
…
|
PART III.6.M
Supplementary information sheet for State aid granted under the Guidelines on State aid for climate, environmental protection and energy 2022 (hereafter ‘CEEAG’) - Section 4.11 - Aid in the form of reductions from electricity levies for energy-intensive users
This supplementary information sheet concerns measures covered in Section 4.11 of the CEEAG. If the notification includes measures that are covered by more than one section of the CEEAG, please once available also fill in the respective supplementary information sheet that concerns the respective section of the CEEAG.
All documents provided by Member States as annexes to this supplementary information sheet must be numbered and document numbers must be indicated in the relevant sections of this supplementary information sheet.
Section A: Summary of the main characteristics of the notified measure(s)
|
1.
|
Background and objective(s) of the notified measure(s).
|
|
1.1.
|
Please indicate whether this is a new measure or an amendment to an existing measure. If it is an amendment, please provide details on the changes to the scheme.
…
|
|
1.2.
|
If not already discussed under section 5.2 of the General Information Form (Part. I), please provide the background and the main objective, including the relation to any Union environmental targets that the measure is intended to support.
…
|
|
1.3.
|
Please indicate any other objectives pursued by the measure. For any objectives that are not purely environmental, please explain whether they may result in any distortions to the internal market.
…
|
|
2.
|
Entry into force and duration:
|
|
2.1.
|
To the extent not already provided under section 5.5 of the General Information Form (Part I), please indicate:
|
(a)
|
For an aid scheme:
|
—
|
the date as of which it is planned that the scheme will enter into force:
…
|
|
—
|
The duration of the scheme (446).
…
|
|
|
(b)
|
For individual aid:
|
—
|
the (planned) aid granting date (promise of aid):
…
and
|
|
—
|
the payment date (first payment date if various successive payments are foreseen).
…
|
|
|
|
3.1.
|
If not already provided under section 3 of the General Information Form (Part I), please describe the (potential) beneficiary(ies) of the measure(s).
…
|
|
3.2.
|
Please indicate the location of the (potential) beneficiary(ies) (i.e. if only economic entities located in the respective Member States or also in other Member States are eligible to participate in the measure).
…
|
|
3.3.
|
In order to assess the compliance with point 15 of the CEEAG, please specify if aid is granted under the measure(s) in favour of an undertaking (individual or part of a scheme) that is subject to an outstanding recovery order following a previous Commission decision declaring an aid illegal and incompatible with the internal market.
…
In the affirmative, please provide information on the amount of aid still to be recovered so that the Commission takes account of it in the assessment of the aid measure(s).
…
|
|
4.
|
Please confirm that the measure(s) does not involve aid to activities falling outside the scope of application of the CEEAG (see point 13 CEEAG). Otherwise, please provide details.
…
|
|
5.
|
Budget and financing of the measure(s).
|
|
5.1.
|
If not already mentioned in the table under section 7.1 of the General Information Form (Part I), please provide the annual and/or total budget for the whole duration of the measure(s); if the total budget is not known (for instance because it depends on the results of tenders), please indicate an estimated budget, including the assumptions used to calculate the respective estimated budget. (447)
…
|
|
5.2.
|
As the measure concerns a levy, please specify if:
|
(a)
|
the levy is set by law or any other legislative act; in the affirmative, please provide the legal act, number and date when adopted and entered into force, the internet link to the legal act;
…
|
|
(b)
|
the levy reduction is financed by raising the levy for other consumers.
…
|
|
(c)
|
the levy finances fully the measure or only partly. If the levy finances only partly the measure, indicate the other sources of financing of the measure and their respective proportion;
…
|
|
(d)
|
the levy financing the notified measure also finances other aid measures. If so, indicate the other aid measures financed by the concerned levy.
…
|
|
Section B: Compatibility assessment of the aid
|
1.
|
POSITIVE CONDITION: THE AID MUST FACILITATE THE DEVELOPMENT OF AN ECONOMIC ACTIVITY
|
|
1.1.
|
Contribution to the development of an economic activity and incentive effect
To provide the information in this section, please refer to section 4.11.1 of the CEEAG.
|
|
6.
|
Article 107(3), point (c), of the Treaty on the Functioning of the European Union (’the Treaty’) provides that the Commission may declare compatible ‘aid to facilitate the development of certain economic activities or of certain economic areas, where such aid does not adversely affect trading conditions to an extent contrary to the common interest’. Therefore, compatible aid under that provision of the Treatymust contribute to the development of certain economic activity.
Furthermore, State aid can only be considered to facilitate an economic activity if it has an incentive effect. An incentive effect occurs when the aid induces the beneficiary to change its behaviour towards the development of an economic activity pursued by the aid, and if this change in behaviour would not otherwise occur without the aid.
|
(a)
|
Please explain how the levy reduction mechanism provides incentives to eligible undertakings to avoid the risk of activities moving outside the Union where environmental disciplines are absent or less ambitious or incentives to encourage the electrification of production processes in line with point 400 of the CEEAG.
…
|
|
(b)
|
Please identify in which part of the (draft) legal basis this consideration is reflected.
…
|
|
|
1.2.
|
No breach of any relevant provision of Union law
To provide the information in this section, please refer to section 3.1.3 (point 33) of the CEEAG.
|
|
7.
|
Please provide information to confirm the compliance with the relevant provisions of EU law, in line with point 33 of the CEEAG.
…
|
|
2.
|
NEGATIVE CONDITION: THE AID CANNOT UNDULY AFFECT TRADING CONDITIONS TO AN EXTENT CONTRARY TO THE COMMON INTEREST
|
|
2.1.
|
Minimisation of distortions of competition and trade
|
|
2.1.1.
|
Necessity and appropriateness for State aid intervention
To provide the information in this section, please refer to section 4.11.2 and point 413 of the CEEAG.
|
|
8.
|
Point 403 of the CEEAG applies to levy reductions on electricity consumption which finance energy and environmental objectives. For each of the levy on which reductions are envisaged to be granted, please provide a complete and detailed description on the nature, scope and application of the levies by explaining how the levy system works in practice (functioning of the scheme and granting authority) and by making detailed references to its regulatory framework (legal basis).
…
In particular, please share information about the following elements:
|
(a)
|
the purpose of each levy (explaining how the revenues raised through each levy are used);
…
|
|
(b)
|
how and on whom the levy is charged; what is the base on which the levy is charged for an undertaking; the methodology to calculate the levy rate; whether, why and how different levy rates apply across the charged base; how frequently and on which basis the levy rate is reviewed;
…
|
|
(c)
|
describe the various entities involved in setting and reviewing the levy as well as those involved in collecting and managing the revenues raised through the levy;
…
|
|
(d)
|
describe how the levy collection and redistribution system work;
…
|
|
(e)
|
provide the most recent annual figures on applied levy rates and total revenues raised. If available, please provide projections for the future;
…
|
|
|
9.
|
Point 404 of the CEEAG states that Member States have to include all reductions on potentially multiple electricity levies for energy-intensive users into a single scheme and to inform the Commission of the cumulative effect of all eligible levies and all reductions proposed.
|
(a)
|
Please confirm that all levy reductions to be granted on the basis of Section 4.11 of the CEEAG are covered by the notified measure, and that possible future reductions on levies other than those covered will be notified through an amendment to the notified measure.
…
|
|
(b)
|
On the basis of recent years and possible projections, please provide information on the cumulative effect of all relevant levies (both in absolute and relative terms, compared to overall electricity costs and overall electricity levies, charges and taxes) and of related reductions for the beneficiaries under the notified scheme.
…
|
|
|
10.
|
Please describe whether the aid under the notified measure will be in the form of an ex ante reduction in levies, an ex post compensation amount (refund) or a combination of the two. Please make specific references in your answer to the (draft) legal basis (e.g. Article 7, paragraph 3).
…
|
(a)
|
Pursuant to point 413 of the CEEAG, if the aid is granted in the form of a reduction in levies, please confirm:
|
(i)
|
that an ex post monitoring mechanism is in place;
…
|
|
(ii)
|
and that any overpayment of aid will be repaid before 1 July of the following year. Indicate where this information can be found in the (draft) legal basis.
…
|
|
|
(b)
|
Pursuant to point 413, last sentence, of the CEEAG, if the aid is granted in the form of a refund, please confirm that it is calculated on the basis of the observed levels of electricity consumption and, if applicable, the gross value added over the period of time during which the eligible levies were applied.
…
|
|
|
2.2.
|
Eligibility
To provide the information in this section, please refer to section 4.11.3.1 (points 405-407) of the CEEAG.
|
|
11.
|
Point 405 of the CEEAG defines electro-intensive sectors “at significant risk” (point (a)) and “at risk” (point (b)). In order to verify the compliance with point 405 of the CEEAG, please confirm that all eligible electro-intensive sectors “at risk” and “at significant risk” under the notified measure are listed in related parts of Annex I to the CEEAG and provide in annex to this form the lists of NACE-4 sectors “at risk” and “at significant risk” that are eligible for aid under the measure, indicating where this information can be found in the (draft) legal basis (e.g. Article 7, paragraph 3).
…
|
|
12.
|
Point 406 of the CEEAG states that a sector or subsector (448) not included in Annex I of the CEEAG will also be considered eligible provided that it meets the eligibility criteria of point 405. If aid under the notified measure is intended to be granted also to sectors and/or subsectors not included in Annex I to the CEEAG, please:
|
(a)
|
demonstrate compliance with the methodology under point 405 of the CEEAG for each (sub)sector;
…
|
|
(b)
|
provide in annex to this form data that is representative of the sector or subsector at Union level (449), verified by an independent expert and based on a time period of at least three consecutive years starting no earlier than 2013.
…
|
|
|
13.
|
Please describe how applicants will have to demonstrate that they operate in an eligible sector, indicating where this information can be found in the (draft) legal basis (e.g. Article 7, paragraph 3).
…
|
|
14.
|
Please list all other conditions to be eligible for aid under the notified measure, indicating where this information can be found in legal basis (e.g. Article 7, paragraph 3). In particular, please explain (a) whether beneficiaries or (sub)sectors in principle eligible under Annex I CEEAG are excluded, (b) whether there are additional eligibility criteria which would apply and are not mentioned in Section 4.11 CEEAG or (c) whether different levy reductions are envisaged for beneficiaries in the same category.
…
|
|
15.
|
In line with point 407 of the CEEAG, it is possible to further restrict the eligible beneficiaries of the measure. If that is the case, please explain for each such additional eligibility condition the underlying rationale and demonstrate that (i) the respective condition is based on objective, non-discriminatory and transparent criteria and that (ii) the aid is granted, in principle, in the same way for all eligible beneficiaries in the same sector if they are in a similar factual situation.
…
|
|
2.3.
|
The proportionality of the aid (aid limited to the minimum necessary to attain its objective), including cumulation
|
|
2.3.1.
|
The proportionality of the aid
To provide the information in this section, please refer to section 4.11.3.2 and point 407 of the CEEAG.
|
|
16.
|
With a view to proving compliance with section 4.11.3.2 and point 407 of the CEEAG, please provide a complete and detailed description of the methodology to calculate levy reductions applicable to the eligible beneficiaries, indicating where this information can be found in the (draft) legal basis (e.g. Article 7, paragraph 3). In particular:
|
(a)
|
Please indicate the maximum levy reduction rate applicable to undertakings operating in sectors “at risk” and “at significant risk”, respectively;
…
|
|
(b)
|
Please indicate whether the notified measure foresees, compared to point “i” above, further limits the additional costs resulting from the relevant electricity levies. If it is the case, please also (a) provide the value of such limits in relation to the gross value added (“GVA”) of undertakings operating in sectors “at risk” and “at significant risk” and (b) describe how the GVA of eligible undertakings operating in sectors “at risk” and “at significant risk” is computed;
…
|
|
(c)
|
Please confirm that, in any event, levy reductions will not result in a levy below 0,5 EUR/MWh.
…
|
|
|
17.
|
Indicate whether the notified measure foresees, in line with point 410 of the CEEAG, higher aid intensities for those undertakings operating in sectors “at risk” that reduce the carbon footprint of their electricity consumption.
In the affirmative:
|
(a)
|
Please describe the higher aid intensities and confirm the related conditions to be fulfilled by the undertakings concerned (i.e. 50 % of electricity consumption from carbon-free sources, of which either at least 10 % from a forward instrument such as a PPA or at least 5 % from on-site or near-site generation), indicating where this information can be found in the (draft) legal basis (e.g. Article 7, paragraph 3);
…
|
|
(b)
|
Please describe how the fulfilment of these conditions will be monitored and, in case of ex-post monitoring, what would be the effect in case of non-compliance by an undertaking.
…
|
|
|
18.
|
If applicable, please describe any further modulation of the levy reduction rate across beneficiaries operating in sectors “at risk” and “at significant risk”, respectively, indicating where this information can be found in the (draft) legal basis (e.g. Article 7, paragraph 3). Please demonstrate that (a) different levy reductions are based on objective, non-discriminatory and transparent criteria and that (b) the aid is granted, in principle, in the same way for all eligible beneficiaries in the same sector if they are in a similar factual situation.
…
|
|
2.3.2.
|
Energy audits and management systems
To provide the information in this section, please refer to section 4.11.3.4 of the CEEAG.
|
|
19.
|
In line with point 414 of the CEEAG, please describe how the national authorities will verify under the notified measure that beneficiaries comply with the obligation to conduct an energy audit within the meaning of Article 8 of Directive 2012/27/EU. Please indicate where this information can be found in the (draft) legal basis (e.g. Article 7, paragraph 3).
…
|
|
20.
|
Point 415 of the CEEAG provides that beneficiaries required to conduct an energy audit must comply with at least one of three following options, i.e. (a) implementing audit recommendations, to the extent that the pay-back time is 3 years maximum and that the costs of their investments is proportionate, or (b) covering at least 30% of their electricity consumption from carbon-free sources, or (c) investing at least 50% of the aid in projects that lead to substantial reductions of greenhouse gas emissions. Please describe how the national authorities will monitor under the notified measure that beneficiaries required to conduct an energy audit under Article 8(4) of Directive 2012/27/EU comply with one or more of the three options listed in point 415 of the CEEAG, indicating where this information can be found in the (draft) legal basis (e.g., Article 7, paragraph 3). In particular, please provide details for each option foreseen in the notified measure:
|
(a)
|
how exactly beneficiaries will have to demonstrate compliance;
…
|
|
(b)
|
when the deadline is to comply with the requirements (e.g., to complete the relevant investments within one year from the granting of the aid) and how frequently beneficiaries will have to prove compliance (e.g., on an annual basis);
…
|
|
(c)
|
how and how frequently the fulfilment of the conditions will be monitored (e.g., on an annual basis);
…
|
|
(d)
|
what the consequences of non-compliance will be for the beneficiaries (e.g., refusal to grant the aid, if ex ante verification, or reimbursement of the aid already granted, if ex post verification).
…
|
|
|
2.3.3.
|
Cumulation
To provide the information in this section, please refer to points 56-57 of the CEEAG.
|
|
21.
|
In so far as not already provided under the General Information Form (Part I) and in order to verify compliance with point 56 of the CEEAG, please clarify if the aid under the notified measure(s) may be awarded concurrently under several aid schemes or cumulated with ad hoc or de minimis aid in relation to the same eligible costs. If that is the case, please provide details on those aid schemes, ad hoc aid or de minimis aid and how the aid will be cumulated.
…
|
|
22.
|
If point 56 of the CEEAG is applicable to the notified aid measure(s), please justify how the total amount of aid granted under the notified measure(s) for an activity does not lead to overcompensation or exceed the maximum aid amount allowed under points 408 to 410 of the CEEAG. For each measure that the aid granted under the notified aid measure(s) can be cumulated with, please specify the method used for ensuring compliance with the conditions set out in point 56 of the CEEAG.
…
|
|
23.
|
In case point 57 of the CEEAG is applicable, i.e., the aid granted under the notified measure(s) is combined with centrally managed Union funding (450), please justify how the total amount of public funding granted in relation to the same eligible costs does not lead to overcompensation.
…
|
|
2.3.4.
|
Transitional rules
To provide the information in this section, please refer to section 4.11.3.5 of the CEEAG.
|
|
24.
|
Please indicate whether the present notification encompasses non-notified aid granted in the form of reduced electricity levies for energy-intensive users in the period prior to the publication of the CEEAG. In the affirmative, please explain how the non-notified aid complies with point 419 of the CEEAG, paragraphs (a) and (b).
…
|
|
25.
|
Please indicate whether the notified measure establishes a transitional plan to avoid disruptive changes in the levy burden for individual undertakings that do not meet the eligibility conditions set out in Section 4.11 of the CEEAG. In the affirmative, please reply to the next questions of this section.
…
|
|
26.
|
In line with point 416 of the CEEAG, please explain how eligibility to the transitional plan will be limited to undertakings that (i) met the eligibility criteria of Section 3.7.2 of the Guidelines on State aid for environmental protection and energy 2014-2020, and (ii) received aid in the form of reduced levies in at least one of the 2 years prior to the amendment of existing aid schemes in order to bring them into line with the CEEAG. Please indicate where this information can be found in the (draft) legal basis (e.g. Article 7, paragraph 3)
…
|
|
27.
|
Please describe how the transitional plan will entail a progressive and complete adjustment to the conditions resulting from the application of the eligibility and proportionality criteria of section 4.11 of the CEEAG, and notably how the aid intensity decreases over time and how the GVA cap increases over time in line with the schedule mentioned in point 417 of the CEEAG. Please make specific references to where this information can be found in the (draft) legal basis (e.g. Article 7, paragraph 3).
…
|
|
28.
|
Please indicate whether the transitional plan will exceptionally allow fixed aid intensities throughout the entire transitional period, provided that the undertakings concerned reduce the carbon footprint of their electricity consumption in line with the conditions in point 418 of the CEEAG (i.e. 50 % of electricity consumption from carbon-free sources, of which either at least 10 % from a forward instrument such as a PPA or at least 5 % from on-site or near-site generation). In the affirmative, please indicate where this information can be found in the (draft) legal basis (e.g. Article 7, paragraph 3) and explain how compliance with point 418 of the CEEAG is ensured and monitored by the national authorities.
…
|
|
2.4.
|
Transparency
To provide the information in this section, please refer to section 3.2.1.4 (points 58-62) of the CEEAG.
|
|
29.
|
Please confirm that the Member State will comply with the requirements on transparency provided in points 58-61 of the CEEAG.
…
|
|
30.
|
In order to verify compliance with point 61 of the CEEAG, please confirm that the information provided in point 58(b) will be available for at least 10 years from the date on which the aid was granted in order to allow the enforcement of State aid rules under the Treaty,
…
|
|
2.5.
|
Avoidance of undue negative effects of the aid on competition and trade and balancing
To provide the information in this section, please refer to section 3.2.2 of the CEEAG.
|
|
31.
|
In order to verify compliance with point 70 of the CEEAG:
|
(a)
|
please confirm that the duration of the scheme is of maximum 10 years from the date of the notification of the Commission’s decision declaring the aid compatible;
…
|
|
(b)
|
please confirm that if the Member State wishes to extend the duration of the measure beyond that maximum period of 10 years, it will renotify the measure(s).
…
|
|
|
3.
|
WEIGHING THE POSITIVE EFFECTS OF THE AID AGAINST THE NEGATIVE EFFECTS ON COMPETITION AND TRADE
To provide the information in this section, please refer to section 3.3 (points 71-76) and points 400-402 of the CEEAG.
|
|
32.
|
In line with point 75 of the CEEAG, please clarify if the notified measure(s) includes features to facilitate the participation of SMEs. In the affirmative, please provide information on those features and justify how the positive effects of ensuring participation and acceptance of SMEs in the notified measure(s) outweigh the possible distortive effects.
…
|
|
33.
|
As regards the application of point 76(c) of the CEEAG, please specify if the aid measure(s) is subject to a time limitation.
…
|
Section C: Evaluation
To provide the information in this section, please refer to point 76(a) and Section 5 (points 455-463) of the CEEAG.
|
34.
|
If the notified measure(s) exceed the budget/expenditure thresholds in point 456 of the CEEAG, please either explain why in your view the exception in point 457 of the CEEAG should apply, or attach to this supplementary information sheet an annex that includes a draft evaluation plan covering the scope mentioned in point 458 of the CEEAG. (451)
…
|
|
35.
|
If a draft evaluation plan is provided, please:
|
(a)
|
provide below a summary of that draft evaluation plan included in the Annex.
…
|
|
(b)
|
confirm that point 460 of the CEEAG will be respected.
…
|
|
(c)
|
provide the date and internet link where the evaluation plan will be publicly available.
…
|
|
|
36.
|
In order to verify the compliance with point 459(b) of the CEEAG, in case the aid scheme is not currently subject to an ex post evaluation, and its duration exceeds three years, please confirm that you will notify a draft evaluation plan within 30 working days following a significant modification increasing the budget of the scheme to over EUR 150 million in any given year or EUR 750 million over the total duration of the scheme.
…
|
|
37.
|
In order to verify the compliance with point 459(c) of the CEEAG, in case the aid scheme is not currently subject to an ex-post evaluation, please provide below a commitment that the Member State will notify a draft evaluation plan within 30 working days after recording in official accounts expenditures in excess of EUR 150 million in the previous year.
…
|
|
38.
|
In order to verify the compliance with point 461 of the CEEAG:
|
(a)
|
Please clarify if the independent expert has already been selected or it will be selected in the future.
…
|
|
(b)
|
Please provide information on the selection procedure of the expert.
…
|
|
(c)
|
Please justify how the expert is independent from the granting authority.
…
|
|
|
39.
|
In order to verify the compliance with point 461 of the CEEAG:
|
(a)
|
Please provide your proposed deadlines for the submission of the interim and final evaluation report. Please note that final evaluation report must be submitted to the Commission in due time to allow for the assessment of the possible prolongation of the aid scheme and at the latest 9 months before its expiry, in line with point 463 of the CEEAG. Please note that that deadline could be reduced for schemes triggering the evaluation requirement in their last 2 years of implementation.
…
|
|
(b)
|
Please confirm that the interim and final evaluation report will be made public. Please provide the date and internet link where those reports will be publicly available.
…
|
|
Section D: Reporting and monitoring
To provide the information in this section, please refer to Section 6 (points 464-465) of the CEEAG.
|
40.
|
Please confirm that the Member State will comply with the requirements for reporting and monitoring provided in Section 6, points 464 and 465, of the CEEAG.
…’
|
|
|
(e)
|
Part III.7 is replaced by the following:
‘PART III.7
SUPPLEMENTARY INFORMATION SHEET ON RISK FINANCE AID
Please complete this supplementary information sheet, in addition to the 'General information' form, for the notification of any aid scheme covered by the Guidelines on State aid to promote risk finance investments ('RFG')
(452)
. Please consult paragraph 35 of RFG for definitions.
Please submit, together with this Supplementary Information Sheet, an in-depth “
ex ante assessment” that proves the specific market failure or other relevant obstacle, and justifies how the notified scheme is necessary, appropriate and proportionate to address them
(453).
|
1.1.
|
Reasons for notifying the scheme:
|
(a)
|
☐ The scheme does not comply with Regulation (EU) No 651/2014 (454). Please identify the provisions in the legal basis of the scheme that go beyond Regulation (EU) No 651/2014 and indicate which Regulation (EU) No 651/2014 provisions they go beyond:
…
|
|
(b)
|
☐The scheme does not comply with the de minimis Regulation (455). Please indicate the reasons why:
…
|
|
(c)
|
☐The scheme does not comply with the market economy operator test at one or more levels (at the level of the investors, at the level of the financial intermediary and its manager, and at the level of the undertakings in which the investment is made) (See Commission Notice on the notion of Aid (456); for loans, reference is made to the Communication on the Reference Rate (457); for guarantees, reference is made to the Guarantee Notice (458)). Please specify the reasons why:
…
|
|
(d)
|
☐The scheme does not contain aid and it is notified for legal certainty reasons.
|
|
|
1.2.
|
Scope of the notified scheme: Please tick as appropriate to confirm:
|
(a)
|
☐The notified scheme is deployed through financial intermediaries or alternative trading platforms, except for fiscal incentives for direct investments in eligible undertakings (paragraph 22 of RFG).
Please provide the reference to the relevant provision of the legal basis:
…
|
|
(b)
|
☐The notified scheme excludes large companies, except for middle-capitalisation firms (“mid-caps”) that are either small mid-caps or innovative mid-caps (paragraph 23 of RFG).
Please provide the reference to the relevant provision of the legal basis:
…
|
|
(c)
|
☐The notified scheme excludes risk finance aid to companies listed on the official list of a regulated market (paragraph 24 of RFG).
Please provide the reference to the relevant provision of the legal basis:
…
|
|
(d)
|
☐The notified scheme involves participation from independent private investors (paragraph 25 of RFG).
Please provide the reference to the relevant provision of the legal basis:
…
|
|
(e)
|
☐The notified scheme provides that, as regards asymmetric risk-reward sharing between the State and private investors, there is a substantial risk incurred by private investors or the State receives a reward on its investment (paragraph 26 of RFG).
Please provide the reference to the relevant provision of the legal basis:
…
|
|
(f)
|
☐The notified scheme cannot be used to support buy-outs (paragraph 27 of RFG).
Please provide the reference to the relevant provision of the legal basis:
…
|
|
(g)
|
☐The notified scheme provides that no risk finance aid will be granted to undertakings in difficulty, as defined in the Guidelines on State aid for rescuing and restructuring non-financial undertakings in difficulty (459) (Please note that under the RFG, SMEs that have been operating in any market for no longer than the eligibility period fixed in Article 21 of Regulation (EU) No 651/2014 that qualify for risk finance investments following due diligence by the selected financial intermediary will not be considered as undertakings in difficulty, unless they are subject to insolvency proceedings or fulfil the criteria under their domestic law for being placed in collective insolvency proceedings at the request of their creditors) (paragraph 28(a) of RFG).
Please provide the reference to the relevant provision of the legal basis:
…
|
|
(h)
|
☐The notified scheme excludes aid to undertakings that have received illegal aid that has not yet been fully recovered (paragraph 28(b) of RFG).
|
|
(i)
|
☐The notified scheme does not concern aid to export-related activities towards third countries or Member States, namely aid directly linked to the quantities exported, the establishment and operation of a distribution network or to other current costs linked to the export activity, as well as aid contingent upon the use of domestic over imported goods (paragraph 29 of RFG).
|
|
(j)
|
☐The notified scheme does not make aid subject to the obligation to use nationally produced goods or national services; does not violate the freedom of establishment, where the aid is subject to the obligation for financial intermediaries, their managers or final beneficiaries to have or move their headquarters in the territory of the Member State concerned; and does not impose conditions which violate Article 63 of the Treaty pertaining to the free movement of capital (paragraph 41 of RFG)
|
|
|
2.
|
DESCRIPTION OF THE SCHEME
|
|
2.1.
|
Budget of the scheme:
|
(a)
|
What is the total investment amount (including both the public and private part) per target undertaking over the whole investment cycle for each undertaking benefiting from the scheme (that is to say: not per annum)? Please specify the public and private part:
…
|
|
(b)
|
What is the size of the annual budget of the scheme?
…
|
|
(c)
|
What is the overall size of budget of the scheme for its entire duration?
…
|
|
(d)
|
What is the size of the investment fund(s) set up under the scheme?
…
|
|
(e)
|
Is the scheme to be co-financed by Union funds (InvestEU Fund, European Social Fund, European Regional Development Fund, other)? Please specify which Union fund:
…
|
|
|
2.2.
|
Duration of the scheme:
|
(a)
|
What is the duration of the scheme? (Please specify the dates of its entry into force and its end date)
|
|
(b)
|
What is the envisaged duration of the investment period?
|
|
(c)
|
What is the envisaged duration of the holding period?
|
|
(d)
|
Are there different end dates for different forms of aid under the scheme?
…
|
|
|
2.3.
|
Target undertakings which are the final beneficiaries of the notified scheme: The ex ante assessment (460)
demonstrates the need for the following undertakings to be targeted by the scheme as final beneficiaries (paragraphs 53 to 66 of RFG)
|
(a)
|
☐Small mid-caps (an undertaking that is not an SME and (i) whose number of employees does not exceed 499, calculated in accordance with Articles 3 to 6 of Annex I to Regulation (EU) No 651/2014, and (ii) whose annual turnover does not exceed EUR 100 million or whose annual balance sheet does not exceed EUR 86 million). With reference to the ex ante assessment, please provide a summary of its economic evidence and appropriate justification:
…
|
|
(b)
|
☐Innovative mid-caps as defined under Article 2 of Regulation (EU) No 651/2014. With reference to the ex ante assessment, please provide a summary of its the economic evidence and appropriate justification:
…
|
|
(c)
|
☐Undertakings receiving the initial risk finance investment while they have been operating in any market for longer than the eligibility period fixed in Article 21, paragraph 3, letter b, of Regulation (EU) No 651/2014. With reference to the ex ante assessment, please provide a summary of its economic evidence and appropriate justification:
…
|
|
(d)
|
☐Start-ups and SMEs requiring a risk finance investment (including public and private) of an amount exceeding the maximum amount of EUR 16.5 million per eligible undertaking fixed in Article 21 of Regulation (EU) No 651/2014. With reference to the ex ante assessment, please provide a summary of its economic evidence and appropriate justification:
…
|
|
(e)
|
☐Alternative trading platforms not fulfilling the conditions of Article 23 of Regulation (EU) No 651/2014. With reference to the ex ante assessment, please provide a summary of its economic evidence and appropriate justification:
…
|
|
(f)
|
☐Other:
…
With reference to the ex ante assessment, please provide a summary of its economic evidence and appropriate justification:
…
|
|
|
2.4.
|
Financial instruments: the ex ante assessment demonstrates a need for the following design parameters not complying with Regulation (EU) No 651/2014 (paragraphs 82 to 88 of RFG):
|
(a)
|
☐Independent private investors' participation below the ratios required in Article 21, paragraph 12, of Regulation (EU) No 651/2014 (paragraphs 82 and 83 of RFG).
With reference to the ex ante assessment, please provide a summary of its economic evidence and appropriate justification:
…
|
|
(b)
|
☐Financial instruments with design parameters above the ceilings provided for in Article 21, paragraph 10, letters b (State first loss) and c (guarantee rate), Regulation (EU) No 651/2014, that is to say where the public investor takes more risk than allowed under Regulation (EU) No 651/2014 (paragraphs 84 and 85 of RFG).
With reference to the ex ante assessment, please provide a summary of its economic evidence and appropriate justification:
…
|
|
(c)
|
☐Financial instruments other than guarantees where investors, financial intermediaries and their managers are selected by giving preference to downside protection (i.e. protection against losses) over upside incentives (i.e. returns from profits (paragraphs 86 to 88 of RFG).
With reference to the ex ante assessment, please provide a summary of its economic evidence and appropriate justification:
…
|
|
(d)
|
☐Other:
…
With reference to the ex ante assessment, please provide a summary of its economic evidence and appropriate justification:
…
|
|
|
2.5.
|
Fiscal instruments: the ex ante assessment demonstrates that the following design parameters which do not comply with Regulation (EU) No 651/2014 are required:
|
(a)
|
☐Fiscal incentives to corporate investors (including financial intermediaries or their managers acting as co-investors) (paragraphs 89 and 90 of RFG).
With reference to the ex ante assessment, please provide a summary of its economic evidence and appropriate justification:
…
|
|
(b)
|
☐Fiscal incentives to corporate investors for investment in SMEs via an alternative trading platform (paragraph 81 of RFG).
With reference to the ex ante assessment, please provide a summary of its economic evidence and appropriate justification:
…
|
|
(c)
|
☐Other:
…
With reference to the ex ante assessment, please provide a summary of its economic evidence and appropriate justification:
…
|
|
|
2.6.
|
Private investors participating in the notified scheme with equity, loans or guarantees:
(See the definition of “independent private investor” in Article 2 of Regulation (EU) No 651/2014).
|
(a)
|
Please provide the characteristics of the private investors participating in the measure (e.g. corporate investors, natural persons, etc.):
…
|
|
(b)
|
Do the private investors provide equity, loans or guarantees at the level of the financial intermediary (e.g. fund of funds) or at the level of the final beneficiaries? Please specify the level and how much:
…
|
|
(c)
|
Do the financial intermediaries implementing the scheme (see the following section 2.7.) also co-invest (and are hence to be considered also as private investors)?
|
|
|
2.7.
|
Financial intermediaries and entrusted entity implementing the notified scheme:
(See broad definition of financial intermediary in paragraph 35(11) of RFG; it also includes funds with and without legal personality)
|
(a)
|
Please specify the nature of the financial intermediaries implementing the scheme:
…
|
|
(b)
|
Does the implementation of the measure involve an 'entrusted entity' (as defined in paragraph 35(5) of RFG)?
|
☐
|
Yes. Please give details:
|
|
|
(c)
|
Does the entrusted entity co-invest with the Member State out of its own resources?
|
☐
|
Yes. Please provide the reference to the legal basis authorising the entrusted entity to make such co-investment:
…
|
|
|
(d)
|
How is the entrusted entity selected?
|
☐
|
Through an open, transparent, non-discriminatory and objective selection procedure. Please specify:
…
|
|
☐
|
Through direct appointment. Please explain the method for the calculation of its compensation for implementing the measure that ensures it is not overcompensated (paragraph 150 of RFG):
…
|
|
|
(e)
|
Does the entrusted entity manage the fund(s) through which the funding is provided under the notified scheme?
☐Yes. ☐No.
|
|
(f)
|
Characteristics of the management company in charge of implementing the measure at the level of the financial intermediary:
…
|
|
(g)
|
In the case of several levels of financial intermediaries involved in the scheme (including funds of funds), please provide all relevant information for each level of financial intermediary:
…
|
|
|
2.8.
|
Is any further party involved in the notified scheme (other than the public authority granting the aid, the target undertakings, the financial intermediaries, and the private investors)?
|
|
2.9.
|
Detailed description of the investment strategy and investment instrument(s):
|
—
|
What is the investment strategy of the financial intermediary?
|
|
—
|
Which public policy objectives are pursued with this investment strategy?
|
|
—
|
Please attach a drawing to visualise the structure of the scheme and its instrument(s), indicating all parties involved, the size of their involvement, as well as, if appropriate, an annex summarising the overall design of the notified scheme.
…
|
|
—
|
Please outline the design parameters to solicit private investors and financial intermediaries to manifest their interest in participating in the notified scheme, by replying to the questions in this section.
…
|
|
|
2.9.1.
|
Financial instruments
Risk finance aid measures in the form of financial instruments must:
|
(1)
|
be deployed through financial intermediaries (paragraph 22 of RFG) and
|
|
(2)
|
provide for the participation of private investors (paragraph 25 of RFG). Hence, those measures are composed of three levels: (i) a State intervention for financial intermediaries, (ii) investments by financial intermediaries into final beneficiary undertakings, and (iii) investment by private investors at either of the previous two levels.
|
|
|
2.9.1.1.
|
Intervention at the level of financial intermediaries
|
|
A.
|
STATE INTERVENTION AT THE LEVEL OF FINANCIAL INTERMEDIARIES
The State provides the following to financial intermediaries (Please tick and complete as applicable):
|
☐
|
Equity (including quasi-equity) injection by the State at the level of the financial intermediaries
|
|
|
1.
|
Please provide the following information:
|
—
|
Terms of the equity injection (please include also a comparison with the market terms for such equity injection):
…
|
|
—
|
Type of financial intermediary:
…
|
|
—
|
Type of funding structure of the financial intermediary (e.g. investment fund with a percentage of private and public participation; fund of funds multi-stage structure with specialised sub-funds, public fund co-investing with private investors on a deal-by-deal basis) Please explain in detail:
…
|
|
|
2.
|
In case of quasi-equity, please describe in detail the nature of the envisaged instrument:
…
|
|
3.
|
If there is private participation at this level (e.g. private investors provide equity to the financial intermediary alongside the State):
|
—
|
Please indicate the participation ratios of the public and private investors:
…
|
|
—
|
Please indicate the type of preferential treatment envisaged for the benefit of participating private investors, as described in the call for expression of interest (please give details):
…
|
☐
|
Upside incentives (obtaining better profits): …
|
|
☐
|
Downside protection (protection from losses): …
|
|
|
—
|
If non-pari passu loss-sharing features go beyond the limits set out in Article 21, paragraph 10, of Regulation (EU) No 651/2014, please provide economic evidence and justification, with reference to the ex ante assessment (paragraph 113 of RFG):
…
|
|
—
|
If relevant, please indicate whether the first loss piece borne by the public investor is capped (paragraph 113 of RFG):
|
☐
|
Yes. Please specify how that cap has been fixed:
…
|
|
|
|
4.
|
Please describe how the instrument is designed to ensure alignment of interests between the financial intermediary's investment strategy and the public policy objectives:
…
|
|
5.
|
Please provide a detailed explanation of the duration of the instrument or of the exit strategy underpinning the investment in equity, and how the exit is strategically planned by the public investor:
…
|
|
6.
|
Other relevant information:
…
|
☐
|
FUNDED DEBT INSTRUMENTS: LOAN INSTRUMENTS (HEREAFTER 'LOANS') AT THE LEVEL OF FINANCIAL INTERMEDIARIES
|
|
|
1.
|
Please provide the following information:
|
—
|
Type of loans (e.g. subordinated, portfolio risk-sharing) please provide details:
…
|
|
—
|
Terms of the loans under the measure (please include also a comparison with the market terms for such loans):
…
|
|
—
|
Maximum size of the loan: …
|
|
—
|
Maximum duration of the loan: …
|
|
—
|
Collateral or other requirements: …
|
|
—
|
Other relevant information: …
|
|
|
2.
|
Please provide reference to the relevant provisions of the legal basis that prohibit the use of the aid to refinance existing loans (paragraph 46 of RFG):
…
|
|
3.
|
If private participation takes place at this level (e.g. private investors provide loans to the financial intermediary alongside the State):
|
—
|
Please indicate the participation ratios of the public and private investors/lenders:
…
In particular, in case of portfolio risk-sharing loans, what is the co-investment rate by the selected financial intermediary? Please note that it should not be lower than 30% of the value of the underlying loan portfolio (paragraph 117 of RFG): The rate is …%
|
|
—
|
Please describe the risk and reward sharing between the public and private investors or lenders:
…
Where the public investor/lender assumes a first loss position exceeding the cap set out in Regulation (EU) No 651/2014 (i.e. 25%), it needs to be justified by reference to a severe market failure identified in the ex ante assessment (paragraph 116 of RFG). Please provide a summary of such justification:
…
|
|
—
|
If there are other risk-mitigation mechanisms for the benefit of the private investors/lenders, please explain:
…
|
|
|
4.
|
What is the pass-on mechanism (as required by paragraph 106 of RFG) ensuring that the financial intermediary passes on the advantage it receives from the State to the final beneficiary undertakings? What requirements does the financial intermediary have to apply (e.g. in terms of interest rate, collateral, risk class) to the final beneficiaries (please provide very precise details)? Please also provide details as to what extent the portfolio to be built under the measure goes beyond the financial intermediary's standard credit risk policy.
…
|
|
5.
|
Please describe how the instrument is designed to ensure alignment of interests between the financial intermediary's investment strategy and the public policy objectives:
…
|
|
6.
|
Please explain in detail the duration of the instrument or of the exit strategy underpinning the investment in debt instruments, and how the exit is strategically planned by the public investor:
…
|
|
7.
|
Other relevant information:
…
|
☐
|
UNFUNDED DEBT INSTRUMENTS: GUARANTEES BY THE STATE AT THE LEVEL OF FINANCIAL INTERMEDIARIES ON UNDERLYING TRANSACTIONS WITH FINAL BENEFICIARIES
|
|
|
1.
|
Please provide reference to the relevant provision of the legal basis that requires that eligible transactions covered by the guarantee must be newly originated eligible risk finance loan transactions, including lease instruments, as well as quasi-equity investment instruments, to the exclusion of equity instruments (paragraph 118 of RFG): …
|
|
2.
|
Do the guarantees to financial intermediaries cover a portfolio of underlying transactions and not a single underlying transaction?
☐Yes. ☐No.
|
|
3.
|
Type of guarantee:
|
☐
|
Capped: guarantee cap is …%
(Please note that this cap applies to portfolios held by financial intermediaries and it is recommended that the cap rate does not exceed 35% (paragraph 120 of RFG); Please provide reasons for that rate:
…
Moreover, tick to specify whether:
|
(a)
|
☐The cap rate only covers expected losses; or
|
|
(b)
|
☐The cap rate covers also unexpected losses; In this case, please show how the pricing of the guarantee reflects this additional risk coverage: …
|
|
|
☐
|
Uncapped; in that case, please justify the need and how the pricing of the guarantee reflects this additional risk coverage by the guarantee:
…
|
☐
|
Counter-guarantee (guarantee to guarantee institutions)
|
|
☐
|
Other: please specify: …
|
|
|
|
4.
|
Guarantee rate (percentage of loss coverage by the public investor of every underlying transaction (See definition in paragraph 35(18) of RFG and please note that the guarantee rate must not exceed 90% (paragraph 119 of RFG)): …%;
Please give the reason for this level of coverage:
…
|
|
5.
|
Underlying transactions covered by the guarantee:
|
—
|
Nature of the underlying transactions: …
|
|
—
|
Total nominal size of the underlying transactions (in EUR): …
|
|
—
|
Maximum nominal amount of the underlying transaction per final beneficiary:
…
|
|
—
|
Duration of the underlying transactions: …
|
|
—
|
Other relevant characteristics of the underlying transactions (risk rating, other):
…
|
|
|
6.
|
Please describe the other features of the guarantee (please include also a comparison with the market terms for such guarantee):
|
—
|
Maximum duration of the guarantee: … (Please note that this should normally not exceed 10 years (paragraph 121 of RFG))
|
|
—
|
Please provide reference to the relevant provision in the legal basis that stipulates that the guarantee must be reduced if the financial intermediary does not include a minimum amount of investment in the portfolio during a specific period, and that commitment fees are required for unused amounts: …
|
|
—
|
Is a guarantee fee envisaged?
☐Yes. ☐No.
Please specify which party will have to pay the guarantee fee:
…
Please describe in detail the pricing: …
|
|
|
7.
|
What is the pass-on mechanism (as required by paragraph 106 of RFG) ensuring that the financial intermediary passes on the advantage it receives from the State to the final beneficiary undertakings? What requirements does the financial intermediary have to apply (e.g. in terms of interest rate, collateral, risk class) to the final beneficiaries? Please provide very precise details. Please also detail to what extent the portfolio to be built under the measure goes beyond the financial intermediary’s standard credit risk policy.
…
|
|
8.
|
Please describe how the instrument is designed to ensure alignment of interests between the financial intermediary’s investment strategy and the public policy objectives:
…
|
|
9.
|
Please provide a detailed explanation of the duration of the instrument or of the exit strategy underpinning the investment in debt instruments, and how the exit is strategically planned by the public investor:
…
|
|
10.
|
Other relevant information:
…
|
☐
|
OTHER FINANCIAL INSTRUMENTS (PLEASE DESCRIBE):
…
|
|
|
B.
|
INTERVENTION BY FINANCIAL INTERMEDIARIES IN FURTHER LEVELS OF FINANCIAL INTERMEDIARIES
There may be situations (including fund of funds structures), whereby, for instance, the State provides equity, loans or guarantees to a financial intermediary, which, in turn, provides equity, loans or guarantees to a further financial intermediary, which eventually provides risk finance investments to final beneficiaries. In such cases where there is a second, or further levels of financial intermediaries involved in the scheme, please provide all relevant information required in section 2.9.1.1.A) on Equity / Loans / Guarantees / Other financial instruments, as applicable, for each additional level of financial intermediary:
…
|
|
2.9.1.2.
|
Risk finance investment by financial intermediaries in final beneficiaries
The risk finance investment in the final beneficiaries takes the following form (Please tick and complete as applicable):
|
☐
|
EQUITY (INCL. QUASI-EQUITY) INVESTMENT BY THE FINANCIAL INTERMEDIARIES IN FINAL BENEFICIARIES
|
(a)
|
In case of quasi-equity, please describe in detail the nature of the envisaged instrument:
…
|
|
(b)
|
Please provide the terms of the equity investment in detail (please include also a comparison with the market terms for that equity investment):
…
|
|
(c)
|
Please describe all features of the investments to be made by the financial intermediary in detail, including the requirements that the investment strategy of the eligible financial intermediaries should comply with:
…
|
|
(d)
|
Please provide a detailed explanation of the duration of the instrument or of the exit strategy underpinning the investment in equity:
…
|
|
(e)
|
If private participation takes place at this level (e.g. private investors also provide equity to the final beneficiaries):
|
—
|
Please indicate the private participation ratio: …
|
|
—
|
Please indicate the type of preferential treatment envisaged for the benefit of participating private investors, as described in the call for expression of interest (please give details):
…
|
|
—
|
If non-pari passu loss-sharing features go beyond the limits set out in Article 21, paragraph 10, of Regulation (EU) No 651/2014, please provide economic evidence and justification, with reference to the ex ante assessment (paragraph 113 of RFG):
…
|
|
—
|
If relevant, please indicate whether the first loss piece borne by the public investor is capped (paragraph 113 of RFG):
|
☐
|
Yes. Please specify how the cap has been fixed:
…
|
|
|
|
|
☐
|
FUNDED DEBT INSTRUMENTS: LOANS BY FINANCIAL INTERMEDIARIES TO FINAL BENEFICIARIES
|
—
|
Type of loans: please provide details:
…
|
|
—
|
Terms of the loans under the measure (please include also a comparison with the market terms for such loans):
…
|
|
—
|
Maximum size of the loan per beneficiary:
…
|
|
—
|
Maximum duration of the loans:
…
|
|
—
|
Please provide a detailed explanation of the duration of the instrument or of the exit strategy underpinning the investment in debt instruments:
…
|
|
—
|
Risk rating of the final beneficiaries:
…
|
|
—
|
Collateral or other requirements:
…
|
|
—
|
Other relevant information:
…
|
|
—
|
If private participation takes place at this level (e.g. private investors also provide loans to the final beneficiaries):
Please indicate the private participation ratio:
…
Please describe the risk and reward sharing between the public and the private investors:
…
In particular, if the public investor assumes the first loss, at what level is it capped? Capped at …%. (Please note that it is recommendable that such cap does not exceed 35% (paragraph 116 of RFG))
Where the public investor or lender assumes a first loss position exceeding the cap set out in Regulation (EU) No 651/2014 (i.e. 25 %), please justify this by reference to measures targeting exclusively start-ups and SMEs before their first commercial sale or at the proof-of-concept stage, by reference to a severe market failure identified in the ex ante assessment or other relevant obstacle (paragraph 116 of RFG) and please provide a summary for such justification:
…
If there are other risk-mitigation mechanisms for the benefit of the private investors/lenders, please explain:
…
|
|
|
☐
|
Unfunded debt instruments: guarantees by financial intermediaries to final beneficiaries:
|
1.
|
Please provide the nature and terms of the guarantees in detail (please include also a comparison with the market terms for such guarantees):
…
|
|
2.
|
Please provide reference to the relevant provision of the legal basis that requires that eligible transactions covered by the guarantee must be newly originated eligible risk finance loan transactions, including lease instruments, as well as quasi-equity investment instruments, to the exclusion of equity instruments (paragraph 118 of RFG):
…
|
|
3.
|
Please provide the nature and terms of the underlying transactions:
…
|
|
|
☐
|
Other financial instruments
|
—
|
Describe the financial instrument to be implemented with the measure:
…
|
|
—
|
Provide a detailed description of all elements contained in section 2.9.1.2 above in so far as they are applicable to the chosen financial instrument:
…
|
|
|
|
2.9.2.
|
Fiscal instruments:
Please complete this entire section for each tax incentive. If the measure provides for multiple forms of tax incentive, please fill in the set of questions for each form of aid.
|
—
|
Tax incentive granted for:
|
(a)
|
☐Direct investments into undertakings
|
|
(b)
|
☐Indirect investments into undertakings (that is to say via financial intermediaries)
|
|
(c)
|
☐Indirect investments into undertakings made through an alternative trading platform
|
|
|
—
|
Tax incentive granted to:
|
(b)
|
☐investors who are natural persons, for investments falling outside the scope of Regulation (EU) No 651/2014:
…
|
|
|
—
|
Form of tax incentive:
|
(a)
|
☐income tax relief applicable on the taxable base
|
|
(b)
|
☐income tax break applicable on the tax liability payable
|
|
(c)
|
☐capital gains tax relief
|
|
|
—
|
Please describe in detail the conditions that the investment must fulfil in order to be able to benefit from the fiscal incentive:
…
|
|
—
|
Please describe in detail the calculation of the tax incentive including: (i) maximum percentage of the invested amount that the investor can claim for the purposes of the tax relief, (ii) maximum tax break amount which can be deducted from the investor's tax liabilities, and (iii) maximum amount per each beneficiary:
…
|
|
—
|
With reference to the ex ante assessment, please provide economic evidence and justification for the category of eligible undertakings (paragraph 123 of RFG):
…
|
|
—
|
Please provide evidence that the selection of the eligible undertakings is based on a well-structured set of investment requirements, made public through appropriate publicity, and setting out the characteristics of the eligible undertakings which are subject to a market failure or another relevant obstacle (paragraph 125 of RFG):
…
|
|
—
|
Maximum duration of the tax incentive foreseen:
…
|
Please note that fiscal schemes should have a maximum duration of 10 years (paragraph 126 of RFG).
|
(a)
|
Is this tax incentive the prolongation of an existing measure?
|
☐
|
Yes. Please provide the case number of the existing measure: …
|
|
|
(b)
|
Does the total duration of the fiscal scheme (including its predecessor schemes, if any) exceed 10 years?
☐Yes ☐No
If yes, please specify whether:
|
—
|
a new ex ante assessment has been carried out:
☐Yes ☐No
|
|
—
|
the existing measure has been subject to an ex post evaluation:
☐Yes ☐No
|
|
|
(c)
|
Please explain the specific characteristics of the national fiscal system that are relevant for a full understanding of the tax incentive:
…
|
|
(d)
|
Please describe any related / similar / relevant fiscal incentives that already exist in the Member State as well as the interplay between them and the notified tax incentive:
…
|
|
(e)
|
Is the tax incentive open to all investors fulfilling the applicable criteria, without discrimination as to their place of establishment (paragraph 128 of RFG)?
☐Yes ☐No
|
Please provide proof of the adequate publicity regarding the scope and the technical parameters (incl. ceilings and caps, maximum investment amount) of measure (paragraph 128 of RFG):
|
(f)
|
Does the total investment for each beneficiary undertaking exceed the maximum amount of EUR 16.5 million per eligible undertaking fixed in Article 21 of Regulation (EU) No 651/2014 (paragraph 151 of RFG)?
☐Yes ☐No
|
|
(g)
|
If this amount is higher, please justify this by reference to the market failure identified in the ex ante assessment:
…
|
|
(h)
|
Are eligible shares full-risk, ordinary shares, which are newly-issued by an eligible undertaking as defined in the ex ante assessment, and must they be held for at least three years (paragraph 152 of RFG)?
|
☐
|
No. Please provide details:
…
|
|
|
(i)
|
Is the relief available to investors who are independent from the company invested in (paragraph 152 of RFG)?
|
☐
|
No. Please provide details: …
|
|
|
(j)
|
In the case of income tax relief, what is the maximum percentage of the amount invested in eligible undertakings to which the relief can amount? Please note that capping the tax relief at 30% of the invested amount is considered reasonable (paragraph 153 of RFG): …%
Can the relief exceed the maximum income tax liability of the investor, as established prior to the fiscal measure?
|
☐
|
Yes. Please provide details: …
|
|
|
|
2.9.3.
|
Measures supporting alternative trading platforms:
|
—
|
Existing platform:
|
☐
|
No, to be newly established
|
|
|
—
|
Is there a business plan demonstrating that the aided platform can become self-sustainable in less than 10 years (paragraph 129 of RFG)?
…
|
|
—
|
Is or will the platform be a sub-platform or subsidiary of an existing stock exchange?
|
☐
|
Yes. Please identify: …
|
|
|
—
|
Are there already existing alternative trading platforms in the Member State (paragraph 131 of RFG)?
|
☐
|
Yes. Please identify: …
|
|
|
—
|
Is the platform set up by and operating across several Member States (paragraph 130 of RFG)?
|
Type of undertakings traded on the platform:
…
|
—
|
Which percentage of the investment costs incurred for the establishment of the platform is being supported? State aid can be granted in order to cover up to 50 % of the investment costs incurred for the establishment of such a platform (paragraph 156 of RFG).
…
|
PLEASE PROVIDE, TOGETHER WITH THIS NOTIFICATION:
|
—
|
Evidence that the majority of the financial instruments admitted to trading on the alternative trading platforms are or will be issued by SMEs.
|
|
—
|
A copy of the business plan of the platform operator demonstrating that the platform can become self-sustainable in less than 10 years (paragraph 129 of RFG).
|
|
—
|
Plausible counterfactual scenarios comparing the situations with which the tradable undertakings would be confronted in the absence of the platform in terms of access to the necessary finance (paragraph 129 of RFG).
|
|
—
|
For existing platforms, a copy of the proposed business strategy of the platform that shows that, due to a persistent shortage of listings, and therefore a shortage of liquidity, the platform needs to be supported in the short-term, despite its long-term viability (paragraph 131 of RFG).
|
FORM OF THE MEASURE:
|
☐
|
Fiscal incentives to corporate investors in respect of their risk finance investments made through an alternative trading platform in eligible undertakings: Please complete section 2.9.2 on Fiscal instruments above.
|
☐
|
Support to platform operators:
|
—
|
Platform operator is:
|
☐
|
A larger than small enterprise.
|
|
|
—
|
Maximum amount of the measure: … EUR.
|
|
—
|
Is the maximum amount more than the start-up aid allowed under Regulation (EU) No 651/2014?
☐Yes ☐No
|
|
—
|
Investment costs incurred for the establishment of the platform: … EUR
|
|
—
|
Does the aid to the operator exceed 50% of those investment costs (paragraph 156 of RFG)?
☐Yes ☐No
|
|
—
|
Aid is allowed up to how many years of start-up of the platform?
…
|
|
—
|
For platforms that are or will be a sub-platform or subsidiary of an existing stock exchange, please provide evidence for the lack of finance that such a sub-platform would face:
…
|
|
—
|
Other relevant information:
…
|
|
|
|
|
3.
|
FURTHER INFORMATION FOR THE COMPATIBILITY ASSESSMENT OF THE AID SCHEME
|
|
3.1.
|
Need for State intervention (section 3.2.2 of RFG)
|
(a)
|
A risk finance aid scheme can only be justified if it is targeted at addressing the specific market failure or other relevant obstacle in access to finance demonstrated in the ex ante assessment (461).
|
|
(b)
|
Please submit the in-depth ex ante assessment that proves the specific market failure or other relevant obstacle, together with this Supplementary Information Sheet (paragraphs 50 and 56 of RFG).
|
|
|
3.1.1.
|
Information on the ex ante assessment (section 3.2.1 of RFG):
|
(a)
|
Date of the ex ante assessment: …
|
|
(b)
|
The assessment has been carried out by (paragraph 57 of RFG):
|
☐
|
an independent entity …
|
|
☐
|
an entity linked to the following public authority:
…
|
|
|
(c)
|
Evidence and methodologies on which the assessment is based (paragraph 57 of RFG):
…
|
|
(d)
|
☐Please tick to confirm that the ex ante assessment dates from less than 3 years preceding the notification (paragraph 57 of RFG):
|
|
(e)
|
☐The notified scheme is financed partially from the European Structural and Investment Funds and the assessment was prepared in accordance with Article 37(2) of Regulation (EU) No 1303/2013 (462) or Article 58(3) of Regulation (EU) 2021/1060 (463) (the Common Provisions Regulations) (paragraph 60 of RFG).
|
|
|
3.1.2.
|
Ad facilitates the development of an economic activity (section 3.1 of RFG)
|
(a)
|
Please identify the supported economic activity (paragraph 42 of RFG), including whether you consider it a high-risk or capital-intensive sector and why (paragraphs 75 and 77 of RFG):
…
|
|
(b)
|
Please describe the nature of the market failure or other relevant obstacle and demonstrate its presence (paragraph 61 of RFG)
…
|
|
(c)
|
Incentive effect: How does the notified scheme induce (i) the aid beneficiary and/or (ii) private investors, to change their behaviour by undertaking activities which they would not carry out without the aid or would carry out in a more restrictive manner (paragraphs 43 to 47 of RFG)?
…
|
|
|
3.1.3.
|
Identification of the specific objectives and performance indicators for the notified scheme based on the results of the ex ante assessment (paragraphs 164 and 165 of RFG):
|
(a)
|
Please list the identified specific objectives and make reference to the relevant section in the ex ante assessment:
…
|
|
(b)
|
Please list the defined performance indicators (see examples in paragraph 164 of RFG) and make reference to the relevant section in the ex ante assessment:
…
|
|
|
3.1.4.
|
Economic evidence and justification in the ex ante assessment for the need for State intervention (section 3.2.2 of RFG): see sections 2.3, 2.4, and 2.5 of this form.
|
|
3.2.
|
Appropriateness of the notified scheme (section 3.2.3 of RFG)
|
|
3.2.1.
|
General:
|
(a)
|
By reference to the ex ante assessment, please explain why the existing and envisaged national and Union policy actions (paragraph 58 of RFG) targeting the same identified market failures cannot adequately address the identified market failures (paragraphs 92 and 93 of RFG):
…
|
|
(b)
|
Please explain why the proposed State aid instrument has the most appropriate design to ensure an efficient funding structure (paragraphs 94 and 95 of RFG):
…
|
|
|
3.2.2.
|
Appropriateness conditions for financial instruments (section 3.2.3.2RFG):
|
|
1.
|
Minimum private investment ratios (paragraphs 97 to 99 of RFG):
|
—
|
What is the minimum aggregate (that is to say total, including all levels) independent private participation rate in the risk finance investment in the final beneficiary?: …% of the risk finance (public and private) provided to the final beneficiary.
|
|
—
|
In case of independent private investors' participation below the ratios required in Article 21, paragraph 12, of Regulation (EU) No 651/2014, please summarize the economic evidence and provide detailed justification for this ratio (as per paragraph 97 of RFG), with reference to the ex ante assessment:
…
|
|
—
|
Is private participation in the notified scheme of a non-independent nature acceptable (paragraph 98 of RFG)?
|
☐
|
Yes. Please provide economic evidence and justification:
…
|
|
|
—
|
In the case of undertakings receiving the initial risk finance investment while they have been operating in any market for longer than the eligibility period fixed in Article 21, paragraph 3, letter b, of Regulation (EU) No 651/2014 at the time of the first risk finance investment (paragraph 99 of RFG) e, what adequate restrictions does the notified scheme contain? …
|
|
—
|
Does the private participation ratio amount to minimum 60% (paragraph 99 of RFG)?
☐Yes ☐No
|
|
|
2.
|
Balance of risks and rewards between public and private investors (paragraphs 100 to 102 of RFG):
|
—
|
Please explain why the allocation of risks and rewards between public and private investors as described above in the sections on the relevant financial instruments can be considered as balanced (paragraphs 100 to 102 of RFG):
…
|
|
|
3.
|
Nature of incentives to be determined via selection of financial intermediaries, as well as fund managers or investors (paragraphs 103 and 104 of RFG)
Please confirm by ticking as appropriate:
|
A.
|
SELECTION OF FINANCIAL INTERMEDIARIES IMPLEMENTING THE SCHEME:
|
(a)
|
Each of the financial intermediaries is selected via an open, transparent and non-discriminatory process, through which the exact nature of incentives is determined.
|
☐
|
No. Please state the reason (explaining the selection of investors):
…
|
—
|
Please describe the competitive process and describe how the process of selection complies with the requirements, including (i) selection criteria listed in the call for interest, (ii) evaluation grid used for screening and (iii) due diligence process:
…
|
|
—
|
Please provide the reference to the relevant provision of the legal basis:
…
|
|
—
|
Please describe how compliance with the conditions of commercial management and profit-oriented decision-making set out in Regulation (EU) No 651/2014 (Article 21, paragraphs 15 and 16 of Regulation (EU) No 651/2014) is ensured (paragraph 172 of RFG):
…
|
|
—
|
Please provide evidence, and reference to the legal basis:
…
|
|
|
|
(b)
|
As part of this selection process, financial intermediaries must demonstrate how their proposed investment strategy contributes to the achievement of the policy objectives and targets (based on the performance indicators identified in the ex ante assessment). Please submit, together with this notification:
|
—
|
The documents submitted by each financial intermediary detailing its investment strategy, including pricing policy and how it contributes to each of the policy objectives and targets
|
|
—
|
Please provide a detailed description of the mechanism foreseen in the notified scheme, by which the Member State will ensure that the investment strategy of the intermediaries remains at all times aligned with the agreed policy targets (e.g. via monitoring, reporting, participation in the representation bodies), and that material changes to the investment strategy require the prior consent of the Member State:
…
|
|
—
|
Please also provide the reference to the relevant provision of the legal basis:
…
|
|
|
(c)
|
The manager of the financial intermediary or the management company ('the manager') is chosen through an open, transparent, non-discriminatory and objective selection procedure or the manager's remuneration fully reflects market levels.
|
☐
|
No. Please state the reason (including an explanation on the selection of investors):
…
|
—
|
Please describe the competitive process and describe how the selection process complies with the requirements of this point:
…
|
|
—
|
Please provide the reference to the relevant provision of the legal basis containing those requirements:
…
|
|
|
|
(d)
|
☐The managers of the fund of funds are required to legally commit as part of their investment mandate to determine via a competitive process the preferential conditions which could apply at the level of the sub-funds (paragraph 103 of RFG).
|
|
|
B.
|
SELECTION OF PRIVATE INVESTORS
|
☐
|
The private investors are selected via an open, transparent and non-discriminatory process through which the exact nature of incentives is determined (paragraph 103 of RFG).
|
|
—
|
Please describe the modalities for identification and selection of private investors:
…
|
|
|
|
4.
|
Co-investing financial intermediary or fund manager taking at least 10% of first loss piece (paragraph 105 of RFG)
|
—
|
Where the financial intermediary or fund manager co-invest alongside the Member State, any potential conflict of interest should be avoided and they must take at least 10% of the first loss piece (paragraph 105 of RFG). Please confirm that this is the case (if applicable):
…
|
|
|
5.
|
Pass-on mechanism in the case of debt instruments (loans or guarantees) (paragraph 106 of RFG):
|
(a)
|
☐The notified scheme provides for a pass-on mechanism (as described in section 2.9.1.1.A.) ensuring that the financial intermediary passes on the advantage it receives from the State to the final beneficiary undertakings. Please indicate the relevant provisions in the legal basis:
…
|
|
(b)
|
☐The pass-on mechanism includes monitoring arrangements, as well as a claw-back mechanism or an equivalent contractual mechanism. Please describe and indicate the relevant provisions in the legal basis:
…
|
|
|
3.2.3.
|
Appropriateness conditions for fiscal instruments (section 3.2.3.3 of RFG):
For the purposes of these requirements, the information you have provided under section 2.9.2 will be considered.
|
—
|
Please indicate any further information you consider relevant with regard to the appropriateness conditions:
…
|
|
|
3.2.4.
|
Appropriateness conditions for measures supporting alternative trading platforms (section 3.2.3.4 of RFG):
For the purposes of these requirements, the information you have provided under section 2.9.3 will be considered.
|
—
|
Please indicate any further information you consider relevant with regard to the appropriateness conditions:
…
|
|
|
3.3.
|
Proportionality of the aid (section 3.2.4 of RFG)
|
|
3.3.1.
|
Proportionality in relation to the identified market failure:
|
—
|
For risk finance measures that concern financial instruments with independent private investor participation below the ratios provided for in Article 21, paragraph 12, of Regulation (EU) No 651/2014:
|
☐
|
Please tick to confirm and provide a summary of the assessment demonstrating that the ex ante assessment provides a sufficiently detailed assessment of the level and structure of supply of private funding for the type of eligible undertaking in the relevant geographic area and demonstrate that the identified market failure or other relevant obstacle cannot be addressed with measures which fulfil all the requirements set out in Regulation (EU) No 651/2014 concerning private participation (paragraph 63 of RFG):
Summary:
…
|
|
|
—
|
For risk finance investments of an amount exceeding the maximum amount per eligible undertaking of EUR 16.5 million fixed in Article 21(8) of Regulation (EU) No 651/2014:
Is this cap set out in Article 21(8) of Regulation (EU) No 651/2014 complied with?
If applicable, does the ex ante assessment quantify the funding gap (that is to say, the level of currently unmet demand for finance from eligible undertakings) due to the identified market failure or other relevant obstacle?
|
☐
|
Yes. Please summarize the assessment and calculation applied demonstrating that the funding gap at the level of the eligible undertakings exceeds the above-mentioned maximum amount. Such quantification should be based on available best practices and methodologies allowing for the estimation of the extent to which there is an unmet demand for finance, from the targeted undertakings (paragraphs 64 and 65 of RFG):
…
|
If applicable, how is it ensured that the total amount of risk finance does not exceed the funding gap quantified? Please explain:
…
|
—
|
Please describe how the total amount of risk finance (public and private) provided under the aid measure is proportionate (paragraphs 133 and134 of RFG):
…
|
|
—
|
Please explain, by reference to the ex ante assessment, how the preferential treatment of private investors is limited to the minimum necessary to achieve the minimum ratios of private capital participation required by the scheme (paragraphs 135 and 136 of RFG):
…
|
|
|
|
3.3.2.
|
Proportionality conditions for financial instruments (section 3.2.4.1 of RFG):
|
|
1.
|
In relation to the financial intermediaries / fund managers:
|
—
|
Is the exact value of incentives determined in the selection process of the financial intermediaries or fund managers (paragraph 137 of RFG)?
☐Yes ☐No
|
|
—
|
Please provide the following information on the remuneration of the financial intermediaries or fund managers (paragraph 145 of RFG):
|
|
—
|
Does it include an annual management fee in accordance with the RFG (paragraph 145 of RFG)?
|
☐
|
No. Please provide details:
…
|
|
|
—
|
Does it include performance-based incentives, including financial performance incentives and policy-related incentives, in accordance with the RFG (paragraph 146 of RFG)?
|
☐
|
No. Please provide details:
…
|
|
|
—
|
Please specify what penalties are provided for in case the policy targets are not met:
…
|
|
—
|
Please specify the performance-based remuneration and provide a comparison with market practice (paragraph 147 of RFG):
…
|
|
—
|
Please specify the total management fees and provide a comparison with market practice (paragraph 148 of RFG):
…
|
|
—
|
Is the overall fee structure evaluated as part of the scoring of the selection process and the maximum remuneration established as a result of that selection (paragraph 149 of RFG)?
|
☐
|
No. Please explain why: …
|
|
If the financial intermediary and its manager are public entities and were not selected through an open, transparent, non-discriminatory and objective selection procedure, please tick to confirm and provide evidence of the following:
|
(a)
|
☐Explain why you consider it was necessary to directly appoint an entrusted entity as financial intermediary or fund manager:
…
|
|
(b)
|
☐The public financial intermediaries are managed commercially and their managers take investment decisions in a profit-oriented manner at arm's length from the State. Please explain in particular the mechanisms established to exclude any possible interference by the State in the day-to-day management of the public fund:
…
|
|
(c)
|
In the case of direct appointment of an entrusted entity, what is its annual management fee, excluding performance-based incentives?: …% of the capital to be contributed to the entity. Please note that it should not exceed 3% (paragraph 150 of RFG).
|
|
|
2.
|
In relation to the private investors:
|
—
|
In the case of co-investment by a public fund with private investors participating on a deal by deal basis, are the private investors selected through a separate competitive process in respect of each transaction, so as to establish the fair rate of return (paragraph 139 of RFG)?
|
☐
|
Yes. Please provide supporting evidence.
|
|
|
—
|
Where private investors are not selected through such a process, is the fair rate of return established by an independent expert on the basis of an analysis of market benchmarks and market risk using the discounted cash flow valuation methodology, and detailing the calculation of a minimum level of fair rate of return and an appropriate margin to reflect the risks (paragraph 140 of RFG), and are all conditions of paragraph 141 of RFG fulfilled?
|
☐
|
Yes. Please provide the report in which the evaluation is contained, identify the expert, describe the existing rules for its appointment, and provide the relevant evidence:
…
|
|
☐
|
Please tick to confirm that the same independent expert cannot be used twice within the same 3-year period
|
|
|
—
|
Please explain how the risk adjusted returns for the private investors are limited to the fair rate of return (paragraph 142 of RFG):
…
|
|
—
|
Please explain, on the basis of the ex ante assessment, the economic justification for the specific financial parameters underpinning the measure:
…
|
|
|
3.3.3.
|
Proportionality conditions for fiscal instruments (section 3.2.4.2 of RFG):
For the purposes of these requirements, the information provided under section 2.9.2 will be considered.
|
—
|
Please indicate any further information you consider relevant with regard to the proportionality conditions: …
|
|
|
3.3.4.
|
Proportionality conditions for alternative trading platforms (section 3.2.4.3 of RFG):
For the purposes of these requirements, the information provided under section 2.9.3 will be considered.
|
—
|
Please indicate any further information you consider relevant with regard to the proportionality conditions: …
|
|
|
3.4.
|
Avoidance of undue negative effects on competition and trade (section 3.2.5 of RFG)
|
—
|
Please provide, as part of the ex ante assessment, information on the potential negative effects of the notified scheme. It should include the potential negative effects at all three levels, that is to say in the market for the provision of risk finance (e.g. the risk of crowding out of private investors), at the level of financial intermediaries and their managers, and at the level of final beneficiaries (including in the markets in which the beneficiaries are active):
…
|
|
—
|
Does the notified scheme ensure that the only undertakings targeted with risk finance State aid are those that are potentially viable (paragraph 171 of RFG)?
|
☐
|
Yes. Please describe how this is ensured and indicate the relevant provisions in the legal basis: …
|
|
|
—
|
Is the notified scheme geographically or regionally limited (paragraph 173 of RFG)?
|
|
—
|
Is the notified scheme limited in the legal basis (de iure) to specific sectors (paragraph 174 of RFG)?
|
|
—
|
Is the notified scheme in practice targeted at certain sectors?
|
|
—
|
How are the negative effects minimised as much as possible?
…
|
|
|
3.5.
|
Transparency (section 3.2.6 of RFG)
Please confirm that the Member State will comply with the requirements on transparency provided in section 3.2.6 of the RFG and the annex.
|
|
4.
|
CUMULATION OF THE AID
Risk finance aid may be cumulated with other State aid measures without identifiable eligible costs, or with de minimis aid, up to the highest relevant total financing ceiling fixed in the specific circumstances of each case by a block exemption regulation or a decision adopted by the Commission (paragraph 159 of RFG).
|
☐
|
Please tick to confirm compliance with this rule.
|
|
—
|
Please provide reference to the legal basis:
…
|
|
—
|
Please explain in what way is conformity with the cumulation rules achieved:
…
|
|
|
5.
|
OTHER INFORMATION
Please indicate here any other information you consider relevant to the assessment of the measure(s) concerned under the RFG:
…’
|
|
|
(f)
|
Part III.8 is replaced by the following:
‘PART III.8
SUPPLEMENTARY INFORMATION SHEET FOR THE NOTIFICATION OF AN EVALUATION PLAN
Member States shall use this sheet for the notification of an evaluation plan pursuant to Article 1(2), point (a) of Commission Regulation (EU) No 651/2014)
(464)
, Article 1(3), point (a), of Commission Regulation (EU) 2022/2472
(465)
or Article 1(7), point (a) of Commission Regulation (EU) 2022/2473
(466)
and in the case of a notified aid scheme subject to an evaluation as provided in the relevant Commission guidelines.
Please refer to the Commission Staff Working Document "Common methodology for State aid evaluation"
(467)
for guidance on the drafting of an evaluation plan.
|
1.
|
IDENTIFICATION OF THE AID SCHEME TO BE EVALUATED
|
|
1.
|
Title of the aid scheme:
…
|
|
2.
|
Does the evaluation plan concern:
|
(a)
|
☐a scheme subject to evaluation pursuant to Article 1(2), point (a), of Regulation (EU) No 651/2014 ?
|
|
(b)
|
☐a scheme subject to evaluation pursuant to Article 1(3), point (a), of Regulation (EU) 2022/2472?
|
|
(c)
|
☐a scheme subject to evaluation pursuant to Article 1(7), point (a), of Regulation (EU) 2022/2473?
|
|
(d)
|
☐a scheme notified to the Commission pursuant to Article 108(3) of the Treaty?
Please indicate the SA number of the scheme: …
|
|
|
3.
|
Please indicate the SA number of all previous and ongoing State aid schemes with similar objective and geographical area. Please specify if any of these schemes is a predecessor of the current aid scheme.
…
Has any of the above listed State aid schemes been ex post evaluated?
☐Yes ☐No
|
|
3.1.
|
If yes, please provide a brief summary of the main results of the ex post evaluation(s) (where relevant, with a reference and a link).
…
|
|
3.2.
|
Please describe how the results of these evaluations have been taken into account in the design of the new scheme.
…
|
|
4.
|
Please list any existing ex-ante evaluations or impact assessments for the aid scheme. For each of those studies, please provide the following information: (a) a brief description of the study's objectives, methodologies used, results and conclusions, and (b) specific challenges that the evaluations and studies might have faced from a methodological point of view, for example data availability that are relevant for the assessment of the current evaluation plan. If appropriate, please identify relevant areas or topics not covered by previous evaluation plans that should be the subject of the current evaluation. Please provide the summaries of such evaluations and studies in annex and, when available, the internet links to the documents concerned:
…
|
|
2.
|
OBJECTIVES OF THE AID SCHEME TO BE EVALUATED
|
|
1.
|
Please provide a description of the aid scheme specifying the needs and problems the scheme intends to address and the intended categories of beneficiaries, for example size, sectors, location, indicative number:
…
|
|
2.
|
Please indicate the objectives of the scheme and the expected impact, both at the level of the intended beneficiaries and as far as the objective of common interest is concerned:
…
|
|
3.
|
Please indicate possible negative effects, on the aid beneficiaries or on the wider economy, that might be directly or indirectly associated with the aid scheme (468):
…
|
|
4.
|
Please indicate (a) the annual budget planned under the scheme, (b) the intended duration of the scheme (469), (c) the aid instrument or instruments and (d) the eligible costs:
…
|
|
5.
|
Please provide a summary of the eligibility criteria and the methods for selecting the aid beneficiaries. In particular, please describe the following: (a) the methods used for selecting beneficiaries (e.g. such as scoring), (b) the indicative budget available for each group of beneficiaries, (c) the likelihood of the budget being exhausted for certain groups of beneficiaries, (d) the scoring rules, if they are used in the scheme, (e) the aid intensity thresholds and (f) the criteria the authority granting the aid will take into account when assessing applications:
…
|
|
6.
|
Please mention specific constraints or risks that might affect the implementation of the scheme, its expected impacts and the achievement of its objectives:
…
|
|
1.
|
Please indicate the specific questions that the evaluation should address by providing quantitative evidence of the impact of aid. Please distinguish between (a) questions related to the direct impact of the aid on the beneficiaries, (b) questions related to the indirect impacts and (c) questions related to the proportionality and appropriateness of the aid. Please explain how the evaluation questions relate to the objectives of the scheme:
…
|
|
1.
|
Please use the following table to describe which indicators will be built to measure outcomes of the scheme, as well as the relevant control variables, including the sources of data, and how each result indicator corresponds to the evaluation questions. In particular, please mention (a) the relevant evaluation question, (b) the indicator, (c) the source of data, (d) the frequency of collection of data (for example, annual, monthly, etc.), (e) the level at which the data is collected (for example, firm level, establishment level, regional level, etc.), (f) the population covered in the data source (for example, aid beneficiaries, non-beneficiaries, all firms, etc.):
|
Evaluation question
|
Indicator
|
Source
|
Frequency
|
Level
|
Population
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Please explain why the chosen indicators are the most relevant for measuring the expected impact of the scheme:
…
|
|
5.
|
ENVISAGED METHODS TO CONDUCT THE EVALUATION
|
|
1.
|
In light of the evaluation questions, please describe the envisaged methods to be used in the evaluation to identify the causal impact of the aid on the beneficiaries and to assess other indirect impacts. In particular, please explain the reasons for choosing those methods and for rejecting other methods (for example, reasons related to the design of the scheme) (470):
…
|
|
2.
|
Please describe precisely the identification strategy for the evaluation of the causal impact of the aid and the assumptions on which the strategy relies. Please describe in detail the composition and the significance of the control group:
…
|
|
3.
|
Please explain how the envisaged methods address potential selection bias. Can it be claimed with sufficient certainty that observed differences in the outcomes for the aid beneficiaries are due to the aid?
…
|
|
4.
|
If relevant, please explain how the envisaged methods intend to address specific challenges related to complex schemes, for example schemes that are implemented in a differentiated manner at regional level and schemes that use several aid instruments:
…
|
|
1.
|
Please provide information on the mechanisms and sources for collecting and processing data about the aid beneficiaries and about the envisaged counterfactual. (471) Please provide a description of all the relevant information that relates to the selection phase: data collected on aid applicants, data submitted by applicants and selection outcomes. Please also explain any potential issue as regards data availability:
…
|
|
2.
|
Please provide information on the frequency of the data collection relevant for the evaluation. Are observations available on a sufficiently disaggregated level, that is to say at the level of individual undertakings?
…
|
|
3.
|
Please indicate whether the access to the necessary data for conducting the evaluation might be hindered by laws and regulations governing confidentiality of data and how those issues would be addressed. Please mention other possible challenges related to data collection and how they would be overcome:
…
|
|
4.
|
Please indicate whether surveys of aid beneficiaries or of other undertakings are foreseen and whether complementary sources of information are intended to be used:
…
|
|
7.
|
PROPOSED TIMELINE OF THE EVALUATION
|
|
1.
|
Please indicate the proposed timeline of the evaluation, including milestones for data collection, interim reports and involvement of stakeholders. If relevant, please provide an annex detailing the proposed timeline:
…
|
|
2.
|
Please indicate the date by which the final evaluation report will be submitted to the Commission:
…
|
|
3.
|
Please mention factors that might affect the envisaged timeline:
…
|
|
8.
|
THE BODY CONDUCTING THE EVALUATION
|
|
1.
|
Please provide specific information on the body conducting the evaluation or, if not yet selected, on the timeline, procedure and criteria for its selection:
…
|
|
2.
|
Please provide information on the independence of the body conducting the evaluation and on how possible conflict of interest will be excluded during the selection process:
…
|
|
3.
|
Please indicate the relevant experience and skills of the body conducting the evaluation or how those skills will be ensured during the selection process:
…
|
|
4.
|
Please indicate which arrangements the granting authority will make to manage and monitor the conduct of the evaluation:
…
|
|
5.
|
Please provide information, even if only of an indicative nature, on the necessary human and financial resources that will be made available for carrying out the evaluation:
…
|
|
9.
|
PUBLICITY OF THE EVALUATION
|
|
1.
|
Please provide information on the way the evaluation will be made public, that is to say, through the publication of the evaluation plan and the final evaluation report on a website:
…
|
|
2.
|
Please indicate how the involvement of stakeholders will be ensured. Please indicate whether the organisation of public consultations or events related to the evaluation is envisaged:
…
|
|
3.
|
Please specify how the evaluation results are intended to be used by the granting authority and other bodies, for example for the design of successors of the scheme or for similar schemes:
…
|
|
4.
|
Please indicate whether and under which conditions data collected for the purpose or used for the evaluation will be made accessible for further studies and analysis:
…
|
|
5.
|
Please indicate whether the evaluation plan contains confidential information that should not be disclosed by the Commission:
…
|
|
1.
|
Please indicate here any other information you consider relevant for the assessment of the evaluation plan:
…
|
|
2.
|
Please list all documents attached to the notification and provide paper copies or direct internet links to the documents concerned:
…’
|
|
|
(g)
|
Part III.12 is replaced by the following:
‘PART III.12
GENERAL INFORMATION SHEET FOR THE GUIDELINES FOR STATE AID IN THE AGRICULTURE AND FORESTRY SECTORS AND IN RURAL AREAS
Please note that this general information sheet for the notification of State aid applies to all sectors covered by the European Union Guidelines for State aid in the agriculture and forestry sectors and in rural areas
(472)
('the Guidelines'). In addition, for all measures covered by the Guidelines please complete the relevant Supplementary Information Sheet.
COMPATIBILITY ASSESSMENT PURSUANT TO ARTICLE 107(3), POINT (C) OF THE TREATY
On the basis of Article 107(3), point (c), of the Treaty on the Functioning of the European Union (’the Treaty’), the Commission may consider compatible with the internal market State aid to facilitate the development of certain economic activities, where such aid does not adversely affect trading conditions to an extent contrary to the common interest. In order to make the assessment, the Commission will consider the aspects described in this form.
|
1.
|
Does the State aid measure satisfy the following conditions?
First condition:
|
☐
|
identification of the economic activity concerned;
|
|
☐
|
the incentive effect: the aid must change the behaviour of the undertaking(s) concerned in such a way that it engages in an additional activity which it would not carry out without the aid or it would carry out in a restricted or different manner;
|
|
☐
|
the aid does not contravene relevant provisions and general principles of Union law.
|
Second condition:
|
☐
|
need for State intervention: the aid measure must bring about a material improvement that the market cannot deliver itself, for example by remedying a market failure or addressing an equity or cohesion concern where applicable;
|
|
☐
|
appropriateness of the aid: the proposed aid measure must be an appropriate policy instrument to facilitate the development of the economic activity;
|
|
☐
|
proportionality of the aid (aid limited to the minimum necessary): the amount of aid and intensity of the aid must be limited to the minimum needed to induce the additional investment or activity by the undertaking(s) concerned;
|
|
☐
|
transparency of aid: Member States, the Commission, economic operators, and the public must have easy access to all relevant acts and to pertinent information about the aid granted thereunder;
|
|
☐
|
avoidance of adverse negative effects of the aid on competition and trade;
|
|
☐
|
weighing up the positive and negative effects that aid can have on competition and trade between Member States (balancing test).
|
|
|
1.
|
FIRST CONDITION: THE AID MUST FACILITATE AN ECONOMIC ACTIVITY
|
|
1.1.
|
Contribution to the development of aided economic activity
To provide the information in this section, please refer to section 3.1.1 (points 42 – 45) of the Guidelines.
|
|
1.1.1.
|
Article 107(3), point (c), of the Treaty provides that the Commission may declare compatible ‘aid to facilitate the development of certain economic activities or of certain economic areas, where such aid does not adversely affect trading conditions to an extent contrary to the common interest’. Therefore, compatible aid under that provision of the Treaty must contribute to the development of certain economic activity.
In order to assess the compliance with point (42) of the Guidelines, please provide information, which would allow the Commission to identify the economic activity(ies) that will be facilitated as a result of the aid and demonstrate how the aid facilitates the development of that activity(ies):
…
|
|
1.1.2.
|
Please describe whether and, if so, how the aid contributes to the achievement of the objectives of the CAP and within that policy to the objectives of Regulation (EU) 2021/2115 of the European Parliament and of the Council (473) and describe more specifically the expected benefits of the aid:
…
Please note that this information is necessary for the Commission in order to assess the compliance of the aid with point (44) of the Guidelines.
|
|
1.1.3.
|
Is the aid granted in favour of risk and crisis management measures granted in compliance with Part II, Section 1.2. of the Guidelines?
☐yes ☐no
If the answer is yes, please specify the risk and crisis management measure(s) concerned:
…
Please note that pursuant to point (45) of the Guidelines, the Commission considers that aid in favour of risk and crisis management measures granted in compliance with Part II, Section 1.2. of the Guidelines can facilitate the development of the identified economic activity or area, as without aid such development may not take place to the same extent.
|
|
1.1.4.
|
Is the aid awarded for individually notifiable investment projects on the basis of a scheme?
☐yes ☐no
If the answer is yes, please demonstrate that the selected project will contribute towards the objectives of the scheme and thus towards the objectives of aid in the agricultural and forestry sectors and in rural areas. For that purpose, please refer to question 2.6. of this Information Sheet, in which requires the information on the positive effects of the aid for investment.
…
|
|
1.2.
|
Incentive effect
To provide the information in this section, please refer to section 3.1.2 (points 47 - 60) of the Guidelines.
State aid can only be found compatible with the internal market if it has an incentive effect. An incentive effect is present when the aid changes the behaviour of an undertaking in such a way that it engages in additional activity contributing to the development of the sector which it would not have engaged in without the aid or in which it would only have engaged in a restricted or different manner.
|
|
1.2.1.
|
In order to assess the compliance with point 47 of the Guidelines, please explain how the measure(s) induces the beneficiary’s undertaking to change its behaviour in such a way that it engages in additional economic activity contributing to the development of the sector, which the beneficiary would not carry out without the aid or would carry out in a restricted or different manner.
…
|
|
1.2.2.
|
Please confirm that the aid will not simply subsidise the costs of an activity that an undertaking would have incurred in any event and will not compensate for the normal business risk of an economic activity:
☐yes ☐no
Please note that pursuant to point (47) of the Guidelines, the aid must not subsidise the costs of an activity that an undertaking would have incurred in any event and must not compensate for the normal business risk of an economic activity.
|
|
1.2.3.
|
Please confirm that the notified State aid measure is not intended to simply improve the financial situation of undertakings, without any contribution to the development of the sector:
☐yes ☐no
Please note that pursuant to point (48) of the Guidelines, unless exceptions are expressly provided for in Union legislation or in the Guidelines, State aid measures which are simply intended to improve the financial situation of undertakings but which in no way contribute to the development of the sector, and in particular aid which is granted solely on the basis of price, quantity, unit of production or unit of the means of production are considered to constitute operating aid, which is incompatible with the internal market. Furthermore, by its very nature, such aid is also likely to interfere with the mechanisms regulating the organisation of the internal market.
|
|
1.2.4.
|
Is the aid granted under Part II, Sections 1.2 and 2.8.5 of the Guidelines limited to helping undertakings active in the agricultural and forestry sectors facing various difficulties despite having undertaken reasonable efforts to minimise such risks?
☐yes ☐no
Please note that pursuant to point (49) of the Guidelines, aid granted under Part II, Sections 1.2 and 2.8.5 should be limited to helping undertakings active in the agricultural and forestry sectors facing various difficulties despite having undertaken reasonable efforts to minimise such risks. State aid should not have as an effect to entice undertakings into taking unnecessary risk. Undertakings active in the agricultural and forestry sectors should themselves bear the consequences of imprudent choices of production methods or products.
|
|
1.2.5.
|
Will the beneficiary submit an application for the aid to the national authorities before any work on the project or activity has started?
☐yes ☐no
Please note that pursuant to point (50) of the Guidelines, the aid does not present an incentive for the beneficiary wherever work on the relevant project or activity has already started prior to the aid application by the beneficiary to the national authorities.
|
|
1.2.6.
|
Will the aid application include at least the applicant's name and the size of the undertaking, a description of the project or activity, including its location and start and end dates, the amount of aid needed to carry it out and the eligible costs?
☐yes ☐no
|
|
1.2.7.
|
Will the aid be granted to large enterprises?
☐yes ☐no
|
|
1.2.8.
|
If the answer to the previous question is yes, will the beneficiaries, which are large enterprises, explain in the aid application the situation without the aid (referred to as the counterfactual scenario or alternative project or activity) and submit documentary evidence in support of the counterfactual scenario described in the application?
☐yes ☐no
Please note that pursuant to point (52) of the Guidelines, this requirement does not apply to municipalities that are autonomous local authorities with an annual budget of less than EUR 10 million and fewer than 5 000 inhabitants.
|
|
1.2.9.
|
Will the granting authority carry out a credibility check of the counterfactual scenario and confirm that the aid has the required incentive effect?
☐yes ☐no
Please note that pursuant to point (53) of the Guidelines, a counterfactual scenario is credible if it is genuine and relates to the decision-making factors prevalent at the time of the decision by the beneficiary regarding the project or activity concerned.
|
|
1.2.10.
|
If the aid is granted in the form of tax advantages, are the following conditions complied with?
|
(a)
|
the aid scheme establishes a right to aid in accordance with objective criteria and without further exercise of discretion by the Member State; and
|
|
(b)
|
the aid scheme has been adopted and in force before work on the aided project or activity has started (474)?
☐yes ☐no
|
Please note that pursuant to point (54) of the Guidelines, aid in the form of tax advantages is deemed to have an incentive effect if the above two conditions are fulfilled. Pursuant to point (54) of the Guidelines, the requirement referred to in point (b) of this question does not apply in the case of fiscal successor schemes provided the activity was already covered by the previous schemes in the form of tax advantages.
|
|
1.2.11.
|
Does the aid fall under one of the following aid categories of the Guidelines?
|
(a)
|
☐aid schemes for land consolidation in accordance with Part II, Section 1.3.6 and Section 2.9.2 of the Guidelines and aid schemes with ecological, protective and recreational objectives in accordance with Part II, Section 2.8 of the Guidelines and with the following conditions fulfilled:
|
(i)
|
☐the aid scheme establishes a right to aid in accordance with objective criteria and without further exercise of discretion by the Member State;
|
|
(ii)
|
☐the aid scheme has been adopted and is in force before eligible costs in accordance with Part II, Sections 1.3.6 and 2.9.2 and Section 2.8. of the Guidelines are incurred by the beneficiary; and
|
|
(iii)
|
☐the aid scheme only covers SMEs.
|
|
|
(b)
|
☐aid for area-specific disadvantages resulting from certain mandatory requirements in accordance with Part II, Section 1.1.6 of the Guidelines;
|
|
(c)
|
☐aid to areas facing natural or other area-specific constraints in accordance with Part II., Section 1.1.7 of the Guidelines;
|
|
(d)
|
☐aid for information actions in the agricultural sector in accordance with Part II, Section 1.1.10.1 of the Guidelines, which consists of making available the information to an undefined number of beneficiaries;
|
|
(e)
|
☐aid to make good the damage caused by natural disasters or exceptional occurrences in accordance with Part II, Section 1.2.1.1 of the Guidelines;
|
|
(f)
|
☐aid to compensate for the damage caused by adverse climatic events which can be assimilated to natural disaster in accordance with Part II, Section 1.2.1.2 of the Guidelines;
|
|
(g)
|
☐aid to compensate for the costs of the prevention, control and eradication of animal diseases, plant pests and infestation by invasive alien species and aid to make good the damage caused by animal diseases, plant pests and invasive alien species in accordance with Part II, Section 1.2.1.3 of the Guidelines;
|
|
(h)
|
☐aid to cover the costs of the removal and destruction of fallen stock in accordance with Part II, Section 1.2.1.4 of the Guidelines;
|
|
(i)
|
☐aid to compensate for the damage caused by protected animals in accordance with Part II, Section 1.2.1.5 of the Guidelines;
|
|
(j)
|
☐aid to make good the damage in forests caused by protected animals in accordance with Part II, Section 2.8.5 of the Guidelines;
|
|
(k)
|
☐aid for information actions in the forestry sector in accordance with Part II, Section 2.4 of the Guidelines, which consists of making available the information to an undefined number of beneficiaries;
|
|
(l)
|
☐aid for investments in favour of conservation of cultural and natural heritage on the agricultural holding in accordance with Part II, Section 1.1.1.2 of the Guidelines, with the exception of individual aid which exceeds EUR 500 000 per undertaking per investment project;
|
|
(m)
|
☐aid for promotion measures in accordance with point (468)(b), (c) and (d) of the Guidelines;
|
|
(n)
|
☐aid to compensate for additional transport costs in accordance with points (480) and (481) of the Guidelines;
|
|
(o)
|
☐aid for research and development in the agricultural and forestry sectors in accordance with Part II, Sections 1.3.7 and 2.9.1. of the Guidelines;
|
|
(p)
|
☐aid for the restoration of damage to forests from fires, natural disasters, adverse climatic events, plant pests, animal diseases, catastrophic events and climate change related events in accordance with Part II, Section 2.1.3 of the Guidelines;
|
|
(q)
|
☐aid for the costs of treatment and preventing the spreading of pests, tree diseases and invasive alien species and aid to make good the damage caused by the pests, tree diseases and invasive alien species in accordance with Part II, Section 2.8.1 of the Guidelines;
|
Please note that pursuant to point (55) of the Guidelines, the above categories of aid are not required to have or are deemed to have an incentive effect. Thus, if the aid is granted for one of the above categories, points (50) to (53) of the Guidelines do not apply.
|
Additional conditions for individually notifiable investment aid
If the aid is granted for individual investment, please continue with questions 1.2.12. to 1.2.16. below.
|
1.2.12.
|
Please provide in the notification clear evidence that the aid effectively has an impact on the investment choice.
Please specify such impact:
…
Please note that pursuant to point (56) of the Guidelines, to allow a comprehensive assessment, the Member State must provide not only information concerning the aided project but also a comprehensive description of the counterfactual scenario, in which no aid is granted to the beneficiary by any public authority.
|
|
1.2.13.
|
Please provide a comprehensive description of the counterfactual scenario, in which no aid is granted to the beneficiary by any public authority:
…
Please note that pursuant to point (59) of the Guidelines, where no specific counterfactual scenario is known, the incentive effect can be assumed when there is a funding gap, that is to say when the investment costs exceed the net present value (NPV) of the expected operating profits of the investment on the basis of an ex ante business plan.
|
|
1.2.14.
|
Please specify which document(s) related to the investment project under assessment are submitted as part of the notification:
…
Please note that pursuant to point (57) of the Guidelines, the Member States are invited to draw on genuine and official board documents, risk assessments, including the assessment of location-specific risks, financial reports, internal business plans, expert opinions and other studies related to the investment project under assessment. Those documents need to be contemporary to the decision-making process concerning the investment or its location. Documents containing information on demand forecasts, cost forecasts, financial forecasts, documents that are submitted to an investment committee and that elaborate on various investment scenarios, or documents provided to the financial institutions could help the Member States to demonstrate the incentive effect.
|
|
1.2.15.
|
Please specify how will be the level of profitability evaluated:
…
Please note that pursuant to point (58) of the Guidelines, the level of profitability may be evaluated by using methods that are standard practice in the sector concerned and which may include methods to evaluate the net present value (NPV) (475) of the project, the internal rate of return (IRR) (476) or the average return on capital employed (ROCE). The profitability of the project is to be compared with normal rates of return applied by the beneficiary in other investment projects of a similar kind. Where these rates are not available, the profitability of the project is to be compared with the cost of capital of the undertaking as a whole or with the rates of return commonly observed in the sector concerned.
|
|
1.2.16.
|
Does the investment project present a funding gap, i.e. do the investment costs exceed the NPV of the expected operating profits of the investment on the basis of an ex ante business plan?
☐yes ☐no
If the answer is yes, please provide the details:
…
Please note that pursuant to point (59) of the Guidelines, when the investment project presents a funding gap, that is when the investment costs exceed the NPV of the expected operating profits of the investment on the basis of an ex ante business plan, the incentive effect can be assumed.
|
|
1.3.
|
No breach of relevant provisions and general principles of Union law
To provide the information in this section, please refer to section 3.1.3 (points 61 – 64) of the Guidelines.
|
|
1.3.1.
|
Please confirm that the State aid measure, the conditions attached to it, including its financing method when the financing method forms an integral part of the State aid measure, or the activity it finances does not entail a violation of relevant Union law:
☐yes ☐no
Please note that pursuant to point (61) of the Guidelines, if a State aid measure, the conditions attached to it, including its financing method when the financing method forms an integral part of the State aid measure, or the activity it finances entails a violation of relevant Union law, the aid cannot be declared compatible with the internal market.
In order to assess the compliance with point (61) of the Guidelines, please provide information demonstrating that the aid measure does not entail a violation of relevant Union law:
…
|
|
1.3.2.
|
Does the system of financing form an integral part of the aid measure?
☐yes ☐no
If the answer is yes, please specify the system of financing:
…
Please note that pursuant to point (26) of the Guidelines, when the system of financing, for example by parafiscal levies forms an integral part of the aid measure, it must be notified.
|
|
1.3.3.
|
Where the aid measure concerns agricultural products (477), is the aid compatible with the provisions governing the common organisation of the markets in agricultural products?
☐yes ☐no
Please note that in compliance with point (62) of the Guidelines, the Commission will not authorise State aid which is incompatible with the provisions governing the common organisation of the market or which would interfere with the proper functioning of the common organisation.
|
|
1.3.4.
|
Is the aid subject to the obligation for the beneficiary undertaking to use national products or services?
☐yes ☐no
If the answer is yes, please note that pursuant to point (63) of the Guidelines, the aid cannot be declared compatible with the internal market.
|
|
1.3.5.
|
Does the aid restrict the possibility for the beneficiary undertaking to exploit the research, development and innovation results in other Member States?
☐yes ☐no
If the answer is yes, please note that pursuant to point (63) of the Guidelines, the aid cannot be declared compatible with the internal market.
|
|
1.3.6.
|
Is the aid granted for export-related activities to third countries or to Member States, directly linked to the quantities exported, or is the aid contingent upon the use of domestic over imported goods, or is the aid granted for establishing and operating a distribution network or to cover any other expenditure linked to export activities?
☐yes ☐no
Please note that pursuant to point (64) of the Guidelines, the Commission will not authorise aid for export-related activities to third countries or to Member States which would be directly linked to the quantities exported, aid contingent upon the use of domestic over imported goods, or aid to establish and operate a distribution network or to cover any other expenditure linked to export activities. However, aid towards the cost of participating in trade fairs, or of studies or consultancy services needed for the launch of a new or existing product on a new market in principle does not constitute export aid.
|
|
2.
|
SECOND CONDITION: THE AID CANNOT UNDULY AFFECT TRADING CONDITIONS TO AN EXTENT CONTRARY TO THE COMMON INTEREST
Pursuant to Article 107(3), point (c), of the Treaty, aid to facilitate the development of certain economic activities or of certain economic areas can be declared compatible only “where such aid does not adversely affect trading conditions to an extent contrary to the common interest”.
By its very nature, any aid measure generates distortions of competition and has an effect on trade between Member States. However, in order to establish if the distortive effects of the aid are limited to the minimum, the Commission will verify whether the aid is necessary, appropriate, proportionate and transparent.
The Commission will then assess the distortive effect of aid in question on competition and trading conditions. The Commission will then balance the positive effects of the aid with its negative effects on competition and trade. Where the positive effects outweigh the negative effects, the Commission will declare the aid compatible.
|
|
2.1.
|
Need for State intervention
To provide the information in this section, please refer to section 3.2.1. (points 70 - 71) of the Guidelines.
|
|
2.1.1.
|
Pursuant to point 70 of the Guidelines, State aid must be targeted to situations where aid can bring about a material development that the market cannot deliver, for example by remedying a market failure to the aided activity or investment in question. State aid measures can indeed, under certain conditions, correct market failures thereby contributing to the efficient functioning of markets and enhancing competitiveness.
In order to assess the compliance with point (70) of the Guidelines, please provide all information demonstrating that the aid can bring about a material development that the market cannot deliver or that it can correct market failures thereby contributing to the efficient functioning of markets and enhancing competitiveness:
…
Please note that for the purposes of the Guidelines, the Commission considers that the market is not delivering the expected objectives without State intervention concerning the aid measures fulfilling the specific conditions laid down in Part I of the Guidelines. Therefore, such aid should be considered necessary.
|
|
2.2.
|
Appropriateness of the aid
To provide the information in this section, please refer to section 3.2.2. (points 72 - 82) of the Guidelines.
The proposed aid measure must be an appropriate policy instrument to address the concerned policy objective. The Member State must demonstrate that the aid and its design are appropriate to achieve the objective of the measure at which the aid is targeted.
|
Appropriateness among alternative policy instruments
|
2.2.1.
|
Does the aid fulfil the specific conditions laid down in the relevant Sections of Part II of the Guidelines?
☐yes ☐no
If the answer is yes, please specify the relevant Section:
…
Please note that pursuant to point (73) of the Guidelines, the Commission considers that aid granted in the agricultural and forestry sectors, which fulfils the specific conditions laid down in the relevant Sections of Part II of the Guidelines, is an appropriate policy instrument.
|
|
2.2.2.
|
Does the aid constitute a rural development-like aid measure financed exclusively from national funds, while at the same time the same intervention is provided for in the relevant the CAP Strategic Plan?
☐yes ☐no
If the answer is yes, please demonstrate the advantages of such a national aid instrument compared to the CAP Strategic Plan intervention at stake:
…
|
Appropriateness among different aid instruments
Pursuant to point (75) of the Guidelines, aid can be granted in various forms. The Member State should however ensure that the aid is granted in the form that is likely to generate the least distortions of trade and competition.
|
2.2.3.
|
Pursuant to point (82) of the Guidelines, the compatibility assessment of an aid measure with the internal market is without prejudice to the applicable public procurement rules and to the principles of transparency and openness and non-discrimination in the selection process of a service provider. In order to assess the compliance with point (75) of the Guidelines, please specify the form of the aid and demonstrate that this form is likely to generate the least distortions of trade and competition:
…
|
|
2.2.4.
|
If a specific form of aid is set out for a notified aid in an applicable Section of Part II of the Guidelines, does the form of aid correspond to that aid form?
☐yes ☐no
If the answer is yes, please specify the aid form concerned:
…
Please note that pursuant to point (76) of the Guidelines, where a specific form is set out for an aid measure as described in Part II of the Guidelines, such form is considered to be an appropriate aid instrument.
|
|
2.2.5.
|
Is the aid granted in the form provided for in a respective rural development intervention, co-financed by EAFRD or as an additional financing for such co-financed rural development interventions?
☐yes ☐no
If the answer is yes, please note that pursuant to point (78) of the Guidelines, aid granted in the form provided for in the respective rural development interventions, co-financed by EAFRD or granted as an additional financing for such co-financed rural development interventions, is an appropriate aid instrument.
|
|
2.2.6.
|
As regards investment aid, not included in the CAP strategic plan or as additional financing for such a rural development intervention, is the aid granted in forms that provide a direct pecuniary advantage (for example direct grants, exemptions or reductions in taxes, social security or other compulsory charges, etc.)?
☐yes ☐no
If the answer is yes, please demonstrate why other potentially less distortive forms of aid, such as repayable advances or forms of aid that are based on debt or equity instruments (for example, low-interest loans or interest rebates, State guarantees or an alternative provision of capital on favourable terms) are less appropriate:
…
|
|
2.2.7.
|
Is the aid granted for forestry measures referred to in Part II, Section 2.8 of the Guidelines?
☐yes ☐no
If the answer is yes, please demonstrate that the ecological, protective and recreational objectives aimed for cannot be achieved with the rural development like forestry measures referred to in Part II, Sections 2.1 to 2.7 of the Guidelines.
…
|
|
2.2.8.
|
Is the aid granted for any of the following categories of aid?
|
☐
|
aid towards the costs of market research activities, product conception and design and for the preparation of applications for the recognition of quality schemes;
|
|
☐
|
aid for knowledge exchange and information actions;
|
|
☐
|
aid for advisory services;
|
|
☐
|
aid for farm replacement services;
|
|
☐
|
aid for promotion measures;
|
|
☐
|
aid to compensate for the costs of the prevention and eradication of animal diseases, plant pest and invasive alien species;
|
|
☐
|
aid to the livestock sector.
|
|
|
2.2.9.
|
If the aid is granted for any of the categories specified in the previous question, please confirm that such aid is granted to the final aid beneficiaries by means of subsidised services:
☐yes ☐no
Please note that pursuant to point (81) of the Guidelines, the aid granted for any of the above categories must be granted to the final aid beneficiaries by means of subsidised services. In these cases the aid must be paid to the provider of the service or activity in question.
|
|
2.3.
|
Proportionality of the aid and cumulation
To provide the information in this section, please refer to section 3.2.3. (points 83 - 111) of the Guidelines.
In general, the aid is considered to be proportionate if the aid amount per beneficiary is limited to the minimum needed for carrying out the aided activity.
|
|
2.3.1.
|
Does the aid amount exceed the eligible costs?
☐yes ☐no
Please note that that pursuant to point (84) of the Guidelines, the aid is considered to be proportionate if it does not exceed the eligible costs.
|
|
2.3.2.
|
Does the aid fall under Part II., Sections 1.3.1.1. and 2.3 of the Guidelines, which expressly provide for environmental or other public incentives?
☐yes ☐no
If the answer is yes, please note that point (84) of the Guidelines does not apply.
|
|
2.3.3.
|
Will the maximum aid intensity and aid amount be calculated by the granting authority when granting the aid?
☐yes ☐no
|
|
2.3.4.
|
Will the eligible costs be supported by the clear, specific and contemporary documentary evidence?
☐yes ☐no
|
|
2.3.5.
|
When calculating the aid intensity and the eligible costs, will all figures be taken before any deduction of tax or other charge?
☐yes ☐no
|
|
2.3.6.
|
Is the value added tax (VAT) eligible for aid?
☐yes ☐no
|
|
2.3.7.
|
If the answer to the previous question is yes, is the VAT recoverable under national VAT legislation?
☐yes ☐no
Please note that pursuant to point (88) of the Guidelines, value added tax (VAT) is not eligible for aid, except where it is not recoverable under national VAT legislation.
|
|
2.3.8.
|
If the aid is granted in a form other than a grant, is the aid amount the gross grant equivalent of the aid?
☐yes ☐no
|
|
2.3.9.
|
Is the aid payable in several instalments?
☐yes ☐no
If the answer is yes, will the aid be discounted to its value at the moment of granting the aid?
☐yes ☐no
Please note that pursuant to point (90) of the Guidelines, the eligible costs must be discounted to their value at the moment of granting the aid. Furthermore, the interest rate to be used for discounting purposes is the discount rate applicable on the date of granting the aid.
|
|
2.3.10.
|
If the aid payable in the future, will it be discounted to its value at the moment it is granted?
☐yes ☐no
Please note that pursuant to point (91) of the Guidelines, aid payable in the future, including aid payable in several instalments, is discounted to its value at the moment it is granted.
|
|
2.3.11.
|
Is the aid granted by means of tax advantages?
☐yes ☐no
If the answer is yes, is the discounting of aid tranches executed on the basis of the discount rates applicable at the various times the tax advantage takes effect?
☐yes ☐no
|
|
2.3.12.
|
Is the aid amount for the measures or types of operations referred to in Part II, Sections 1.1.4, 1.1.5, 1.1.6, 1.1.7, 1.1.8, 2.1.1, 2.1.2, 2.1.4, 2.2 and 2.3 of the Guidelines fixed on the basis of standard assumptions of additional costs and income foregone?
☐yes ☐no
If the answer is yes, please confirm that the calculation and the corresponding aid:
|
(a)
|
☐contain only elements that are verifiable;
|
|
(b)
|
☐are based on figures established by appropriate expertise;
|
|
(c)
|
☐indicate clearly the source of the figures used;
|
|
(d)
|
☐are differentiated to take account of regional or local site conditions and actual land use, where applicable;
|
|
(e)
|
☐do not contain elements linked to investment costs.
|
Please note that the above conditions are cumulative and must be all fulfilled.
|
|
2.3.13.
|
Is the aid granted in one of the following simplified cost options?
|
(c)
|
☐flat-rate financing.
|
Please note that aid falling under Part II, Sections 1.2 and 2.8.5 of the Guidelines cannot be granted in the above simplified cost options.
|
|
2.3.14.
|
If the answer to the previous question is yes, please indicate the method of establishing the aid amount:
|
(a)
|
☐a fair, equitable and verifiable calculation method based on one or more of the following:
|
(i)
|
☐statistical data, other objective information or an expert judgement;
|
|
(ii)
|
☐verified historical data of individual beneficiaries;
|
|
(iii)
|
☐the application of usual cost accounting practices of individual beneficiaries;
|
|
|
(b)
|
☐in accordance with the rules for application of corresponding unit costs, lump sums and flat rates applicable in Union policies for a similar type of operation.
|
As part of the notification, please submit the relevant supporting documents.
|
|
2.3.15.
|
If the measure is co-financed, is the amounts of eligible costs calculated in accordance with the simplified cost options set out in Regulation (EU) 2021/1060 (478) and Regulation (EU) 2021/2115?
☐yes ☐no
Please provide further details and submit the relevant supporting documentation:
…
|
|
2.3.16.
|
Is there an insurance linked to the measure for which the aid is granted?
☐yes ☐no
If the answer is yes, please provide further details:
…
Please note that pursuant to point (97) of the Guidelines, when assessing the compatibility of aid, the Commission will consider any insurance taken out, or which could have been taken out by the aid beneficiary. Regarding aid to compensate for losses caused by adverse climatic events, which can be assimilated to a natural disaster, in order to avoid the risk of distorting competition, aid at the maximum aid intensity should be granted only to an undertaking that cannot be covered for such losses by insurance.
|
Additional conditions for individually notifiable investment aid and investment aid to large enterprises under notified schemes
|
2.3.17.
|
In the case of individually notifiable investment aid, does the aid amount correspond to the net extra costs of implementing the investment in the area concerned, compared to the counterfactual scenario in the absence of aid?
☐yes ☐no
Please describe the counterfactual scenario:
…
Please note that pursuant to point (98) of the Guidelines, as a general rule, individually notifiable investment aid will be considered to be limited to the minimum if the aid amount corresponds to the net extra costs of implementing the investment in the area concerned, compared to the counterfactual scenario in the absence of aid (479), with maximum aid intensities as a cap.
|
|
2.3.18.
|
Please provide the following information:
|
(a)
|
the calculation of the investment's IRR with and without the aid:
…
|
|
(b)
|
information on the relevant market benchmarks for the undertaking (e.g. normal rates of return required by a beneficiary to undertake similar projects, cost of capital of the company as a whole):
…
|
|
(c)
|
explanation of why, on the basis of the above, the aid is the minimum necessary to render the project sufficiently profitable:
…
|
|
|
2.3.19.
|
Is the aid amount limited to the minimum necessary to render the project sufficiently profitable?
☐yes ☐no
Please note that pursuant to point (99) of the Guidelines, the aid amount should not exceed the minimum necessary to render the project sufficiently profitable. For example, the aid amount should not lead to an increase of its Internal Rate of Return (IRR) beyond the normal rates of return applied by the undertaking concerned in other investment projects of a similar kind or, if these rates are not available, to an increase of its IRR beyond the cost of capital of the undertaking as a whole or beyond the rates of return commonly observed in the sector concerned.
|
|
2.3.20.
|
Where the aid granted is granted for investments to large enterprises under notified schemes, is it ensured that the aid amount corresponds to the net extra costs of implementing the investment in the area concerned, compared to the counterfactual scenario in the absence of aid?
☐yes ☐no
Please note that pursuant to point (100) of the Guidelines, in order to ensure that the aid amount corresponds to the net extra costs of implementing the investment in the area concerned, compared to the counterfactual scenario in the absence of aid, the method set out in point (99) of the Guidelines must be used together with maximum aid intensities as a cap.
|
|
2.3.21.
|
Is the beneficiary a municipality that is autonomous local authority with an annual budget of less than EUR 10 million and fewer than 5 000 inhabitants?
☐yes ☐no
If the answer is yes, please note that points (98) to (101) of the Guidelines do not apply.
|
Cumulation of aid
|
2.3.22.
|
Is the notified aid granted concurrently under several schemes or cumulated with ad hoc aid?
☐yes ☐no
|
|
2.3.23.
|
If the answer to the previous question is yes, is the total amount of State aid for an activity or project limited to the aid ceilings laid down in the Guidelines?
☐yes ☐no
|
|
2.3.24.
|
Does the notified aid have identifiable eligible costs?
☐yes ☐no
If the answer is yes, will this aid be cumulated with other State aid?
☐yes ☐no
If the answer is yes, will that aid be granted for different identifiable eligible costs?
☐yes ☐no
If the answer is no, please note that in accordance with point (104) of the Guidelines, the aid with identifiable eligible costs may be cumulated with any other State aid, in relation to the same eligible costs, partly or fully overlapping, only if such cumulation does not result in exceeding the highest aid intensity or aid amount applicable to this type of aid under the Guidelines.
|
|
2.3.25.
|
Is the aid granted under Part II, Section 1.1.2., which has no identifiable eligible costs, cumulated with another State aid measure with identifiable eligible costs?
☐yes ☐no
|
|
2.3.26.
|
Where aid granted for Part II, Section 1.1.2. has no identifiable eligible costs, is cumulated with another State aid measure without identifiable eligible costs, is such aid limited to the highest relevant total financing threshold fixed in the specific circumstances of each case by the Guidelines or other State aid guidelines, a block exemption regulation or a decision adopted by the Commission?
☐yes ☐no
Please specify the maximum threshold of the applicable aid instrument:
…
Please note that pursuant to point (105) of the Guidelines, aid without identifiable eligible costs under Part II, Section 1.1.2 may be cumulated with any other State aid measure with identifiable eligible costs. Aid without identifiable eligible costs may be cumulated with other State aid without identifiable eligible costs, up to the highest relevant total financing threshold fixed in the specific circumstances of each case by the Guidelines or other State aid guidelines, a block exemption regulation or a decision adopted by the Commission.
|
|
2.3.27.
|
Is aid in favour of the agricultural sector cumulated with payments referred to in Articles 145 and 146 of Regulation (EU) 2021/2115 in respect of the same eligible costs?
☐yes ☐no
If the answer is yes, will such cumulation respect an aid intensity or aid amount laid down in the Guidelines?
☐yes ☐no
|
|
2.3.28.
|
Is the aid granted under Part II, Sections 1.1.4, 1.1.5 and 1.1.8. of the Guidelines cumulated with payments referred to in Article 31 of Regulation (EU) 2021/2115 in respect of the same eligible costs?
☐yes ☐no
If the answer is yes, will such cumulation respect an aid intensity or aid amount laid down in the Guidelines?
|
|
2.3.29.
|
Is the aid combined with Union funds centrally managed by the institutions, agencies, joint undertakings or other bodies of the Union that are not directly or indirectly under the control of the Member State?
☐yes ☐no
Please note that pursuant to point (108) of the Guidelines, if the Union funds are not directly or indirectly under the control of the Member State, only the State aid will be considered for determining whether notification thresholds and maximum aid intensities and ceilings are respected, provided that the total amount of public funding granted in relation to the same eligible costs does not exceed the most favourable funding rate(s) laid down in the applicable rules of Union law. Please confirm that this is the case:
☐yes ☐no
Please provide information on the applicable Union law, referred to in point (108) of the Guidelines:
…
|
|
2.3.30.
|
Where the aid authorised under the Guidelines is cumulated with de minimis aid in respect of the same eligible costs, does such cumulation respect an aid intensity or aid amount fixed in the Guidelines?
☐yes ☐no
|
|
2.3.31.
|
Where the aid is granted for investments aimed at the restoration of agricultural production potential as referred to in point (152)(d) of the Guidelines, is such aid cumulated with aid for the compensation of material damage referred to in Part II, Sections 1.2.1.1, 1.2.1.2 and 1.2.1.3. of the Guidelines?
☐yes ☐no
Please note that pursuant to point (110) of the Guidelines, aid for investments aimed at the restoration of agricultural production potential as referred to in point 152 (d) of the Guidelines should not be cumulated with aid for the compensation of material damage referred to in Part II, Sections 1.2.1.1, 1.2.1.2 and 1.2.1.3.
|
|
2.3.32.
|
Where the aid is granted as a start-up aid for producer groups and organisations in the agricultural sector as referred to in Part II, Section 1.1.3 of the Guidelines, is such aid cumulated with the corresponding support for producers groups and organisations in the agricultural sector as referred to in Article 77 of Regulation (EU) 2021/2115?
☐yes ☐no
Please note that pursuant to point (111) of the Guidelines, start-up aid for producer groups and organisations in the agricultural sector as referred to in Part II, Section 1.1.3 should not be cumulated with the corresponding support for producers groups and organisations in the agricultural sector as referred to in Article 77 of Regulation (EU) 2021/2115.
|
|
2.3.33.
|
Where the aid granted as a start-up aid for young farmers, start-up aid for the development of small farms and start-up aid for agricultural activities as referred to in Part II, Section 1.1.2 of the Guidelines is cumulated with the corresponding support as referred to in Article 75 of Regulation (EU) 2021/2115 does such cumulation respect an aid amount laid down in the Guidelines?
☐yes ☐no
Please note that pursuant to point (111) of the Guidelines, start-up aid for young farmers, start-up aid for the development of small farms and start-up aid for agricultural activities as referred to in Part II, Section 1.1.2 should not be cumulated with the corresponding support as referred to in Article 75 of Regulation (EU) 2021/2115 if such cumulation would result in an aid amount exceeding those laid down in the Guidelines.
|
|
2.4.
|
Transparency
To provide the information in this section, please refer to section 3.2.4. (points 112 - 115) of the Guidelines.
|
|
2.4.1.
|
Will the Member State ensure the publication of the following information in the European Commission’s transparency award module or on a comprehensive State aid website at national or regional level?
|
☐
|
the full text of the aid scheme and its implementing provisions or legal basis for individual aid, or a link to it;
|
|
☐
|
the identity of the granting authority/(ies);
|
|
☐
|
the identity of the individual beneficiaries, the form and amount of aid granted to each beneficiary, the date of granting, the type of undertaking (SME/ large enterprise), the region in which the beneficiary is located (at NUTS level II) and the principal economic sector in which the beneficiary has its activities (at NACE group level). Such a requirement can be waived with respect of individual aid awards not exceeding the following thresholds:
|
i.
|
EUR 10 000 for beneficiaries in the primary agricultural production;
|
|
ii.
|
EUR 100 000 for beneficiaries in the sectors of the processing of agricultural products, the marketing of agricultural products, the forestry sector or activities falling outside the scope of Article 42 of the Treaty.
|
|
|
|
2.4.2.
|
Please confirm as regards the aid schemes in the form of tax advantages, the information on individual aid amount is provided in the following ranges (in EUR million):
|
☐
|
0,01 to 0,1 only for primary agricultural production;
|
|
|
2.4.3.
|
Please specify whether the information laid down in point (112) of the Guidelines will be published:
|
(a)
|
☐in the European Commission’s transparency award module (480);
|
|
(b)
|
☐on a comprehensive national or regional State aid website.
|
|
|
2.4.4.
|
Please confirm that such information:
|
☐
|
will be published after the decision to grant the aid has been taken;
|
|
☐
|
will be kept for at least 10 years;
|
|
☐
|
will be available for the general public without restrictions (481).
|
|
|
2.4.5.
|
Please provide the link of the comprehensive State aid website where the information mentioned in this section will be published:
…
|
|
2.4.6.
|
Please confirm that reporting and revision as required in Part III, Section 3 will be carried out:
☐yes ☐no
Please note that pursuant to point (115) of the Guidelines, for reasons of transparency Member States must carry out reporting and revision as required in Part III, Section 3.
|
|
2.5.
|
Avoidance of adverse negative effects on competition and trade
To provide the information in this section, please refer to section 3.2.5 (points 116- 133) of the Guidelines.
Aid for the agricultural and forestry sectors and for rural areas may potentially cause product market distortions. For the aid to be compatible, the negative effects of the aid measure in terms of distortions of competition and impact on trade between Member States must be minimised.
Pursuant to point (117) of the Guidelines, the Commission will identify the market(s) affected by the aid, taking into account the information provided by the Member State on the product market(s) concerned, that, is to say the market(s) affected by the change in behaviour of the aid beneficiary.
|
|
2.5.1.
|
In compliance with point (117) of the Guidelines, please provide information on the product market affected by the aid:
…
|
|
2.5.2.
|
Is the aid well targeted, proportionate and limited to the net extra costs?
☐yes ☐no
Pursuant to point (118) of the Guidelines, if the aid is well targeted, proportionate and limited to the net extra costs, the negative impact of the aid is softened and the risk that the aid will adversely distort competition will be more limited. In order to provide this information, please refer to Section 2.1.1 of this Information sheet.
|
|
2.5.3.
|
Is the maximum aid intensity or aid amount, as set out in a specific Section of the Guidelines, respected?
☐yes ☐no
Please specify the maximum aid intensity or aid amount:
…
The Commission considers that if the maximum aid intensity or aid amount is respected, the negative impact of the aid is softened and the risk that the aid will adversely distort competition is more limited.
|
Investment aid schemes for the processing of agricultural products and the marketing of agricultural products and in the forestry sector
|
2.5.4.
|
Please describe the product market(s) concerned, i.e. the market(s) affected by the change in behaviour of the aid beneficiary.
…
Please note that in assessing the negative effects of the aid measure, the Commission will focus its analysis of the distortions of competition on the predictable impact the aid in the agricultural and forestry sectors and in rural areas on competition between undertakings in the product market(s) affected (482).
|
|
2.5.5.
|
For investment aid schemes for the processing and/or the marketing of agricultural product and in the forestry sector, please demonstrate that any negative effects will be limited to the minimum taking into account, for example, the size of the projects concerned, the individual and cumulative aid amounts, the expected beneficiaries as well as the characteristics of the targeted sectors.
…
|
|
2.5.6.
|
Regarding investment aid schemes for the processing and/or marketing of agricultural products and in the forestry sector, the Member States are encouraged to submit an impact assessment at their disposal as well as ex-post evaluations carried out for similar schemes in order to enable the Commission to assess the likely negative effects of the aid scheme.
|
—
|
Is an impact assessment submitted together with the notification?
☐yes ☐no
|
|
—
|
Is an ex-post evaluation submitted together with the notification?
☐yes ☐no
|
|
Individually notifiable investment aid for the processing of agricultural products and the marketing of agricultural products and in the forestry sector
Pursuant to point (123) of the Guidelines, in appraising the negative effects of individual investment aid, the Commission places particular emphasis on the negative effects linked with the build-up of overcapacity in declining markets, the prevention of exit, and the notion of substantial market power. These negative effects must be counterbalanced with the positive effects of the aid.
|
2.5.7.
|
In order to allow the Commission to identify and assess the potential distortions of competition and trade, please provide evidence permitting the Commission to identify the product markets concerned (that is to say, products affected by the change in the behaviour of the aid beneficiary) and to identify the competitors and customers/consumers affected:
…
Pursuant to point (124) of the Guidelines, the product concerned is typically the product covered by the investment project (483). When the project concerns an intermediate product and a significant part of the output is not sold on the market, the product concerned may be the downstream product. The relevant product market includes the product concerned and its substitutes considered to be such, either by the consumer (because of the product’s characteristics, prices, or intended use) or by the producer (because of flexibility of production installations).
A relevant product market includes the product concerned and its demand side substitutes, i.e. products considered to be such by the consumer (by reason of the product’s characteristics, prices and intended use) and its supply side substitutes, i.e. products considered as such by producers (through flexibility of the production installations of the beneficiary and its competitors). Please indicate what you regard as the relevant demand and supply side substitutes in this case. Please provide evidence, from an independent third party, if possible, to support your conclusions on this point.
…
|
|
2.5.8.
|
As a result of the aid, will an additional production capacity be created by the project?
☐yes ☐no
If the answer is yes, please provide an estimate of the additional production capacity created (in volume and value terms):
…
|
|
2.5.9.
|
Please provide information on the performance of the products market affected by the aid, i.e. whether it is growing or underperforming:
…
|
|
2.5.10.
|
If the product market affected by the aid is underperforming, please specify whether, in a long-term outlook, the market is structurally in decline (i.e. it is contracting) or in relative decline (i.e. it is still growing, but does not exceed a benchmark growth rate):
…
|
|
2.5.11.
|
In case the geographic market is global, in order to assess the performance of the product market affected by the aid, please provide information on the effect of the aid on the market structures concerned, in particular, its potential to crowd out producers in the EEA:
…
|
|
2.5.12.
|
Please provide information, and supporting evidence, on the relevant geographical market of the beneficiary.
…
|
|
2.5.13.
|
Please specify all the product(s) that will be produced upon the completion of the investment and indicate, where appropriate, the NACE code or CPA nomenclature:
…
|
| |
In force