02004R0794 — EN — 22.12.2016 — 010.001

This text is meant purely as a documentation tool and has no legal effect. The Union's institutions do not assume any liability for its contents. The authentic versions of the relevant acts, including their preambles, are those published in the Official Journal of the European Union and available in EUR-Lex. Those official texts are directly accessible through the links embedded in this document

Amended by:





Corrected by:









▼B

▼M8

COMMISSION REGULATION (EC) No 794/2004

of 21 April 2004

implementing Council Regulation (EU) 2015/1589 laying down detailed rules for the application of Article 108 of the Treaty on the Functioning of the European Union

▼B







CHAPTER I

SUBJECT MATTER AND SCOPE

Article 1

Subject matter and scope

1. This Regulation sets out detailed provisions concerning the form, content and other details of notifications and annual reports referred to in Regulation (EC) No 659/1999. It also sets out provisions for the calculation of time limits in all procedures concerning State aid and of the interest rate for the recovery of unlawful aid.

2. This Regulation shall apply to aid in all sectors.







CHAPTER II

NOTIFICATIONS

Article 2

Notification forms

Without prejudice to Member States’ obligations to notify state aids in the coal sector under Commission Decision 2002/871/CE ( 1 ), notifications of new aid pursuant to Article 2(1) of Regulation (EC) No 659/1999, other than those referred to in Article 4(2), shall be made on the notification form set out in Part I of Annex I to this Regulation.

Supplementary information needed for the assessment of the measure in accordance with regulations, guidelines, frameworks and other texts applicable to State aid shall be provided on the supplementary information sheets set out in Part III of Annex I.

Whenever the relevant guidelines or frameworks are modified or replaced, the Commission shall adapt the corresponding forms and information sheets.

▼M3

Article 3

Transmission of notifications

1. The notification shall be transmitted to the Commission by means of the electronic validation carried out by the person designated by the Member State. Such validated notification shall be considered as sent by the Permanent Representative.

2. The Commission shall address its correspondence to the Permanent Representative of the Member State concerned, or to any other address designated by that Member State.

3. As from 1 July 2008, notifications shall be transmitted electronically via the web application State Aid Notification Interactive (SANI).

All correspondence in connection with a notification shall be transmitted electronically via the secured e-mail system Public Key Infrastructure (PKI).

4. In exceptional circumstances and upon the agreement of the Commission and the Member State concerned, an agreed communication channel other than those referred to in paragraph 3 may be used for submission of a notification or any correspondence in connection with a notification.

In the absence of such an agreement, any notification or correspondence in connection with a notification sent to the Commission by a Member State through a communication channel other than those referred to in paragraph 3 shall not be considered as submitted to the Commission.

5. Where the notification or correspondence in connection with a notification contains confidential information, the Member State concerned shall clearly identify such information and give reasons for its classification as confidential.

6. The Member States shall refer to the State aid identification number allocated to an aid scheme by the Commission in each grant of aid to a final beneficiary.

The first subparagraph shall not apply to aid granted through fiscal measures.

▼B

Article 4

Simplified notification procedure for certain alterations to existing aid

1. For the purposes of Article 1(c) of Regulation (EC) No 659/1999, an alteration to existing aid shall mean any change, other than modifications of a purely formal or administrative nature which cannot affect the evaluation of the compatibility of the aid measure with the common market. However an increase in the original budget of an existing aid scheme by up to 20 % shall not be considered an alteration to existing aid.

2. The following alterations to existing aid shall be notified on the simplified notification form set out in Annex II:

(a) increases in the budget of an authorised aid scheme exceeding 20 %;

(b) prolongation of an existing authorised aid scheme by up to six years, with or without an increase in the budget;

(c) tightening of the criteria for the application of an authorised aid scheme, a reduction of aid intensity or a reduction of eligible expenses;

The Commission shall use its best endeavours to take a decision on any aid notified on the simplified notification form within a period of one month.

3. The simplified notification procedure shall not be used to notify alterations to aid schemes in respect of which Member States have not submitted annual reports in accordance with Article 5, 6, and 7, unless the annual reports for the years in which the aid has been granted are submitted at the same time as the notification.







CHAPTER III

ANNUAL REPORTS

Article 5

Form and content of annual reports

1. Without prejudice to the second and third subparagraphs of this Article and to any additional specific reporting requirements laid down in a conditional decision adopted pursuant to Article 7(4) of Regulation (EC) No 659/1999, or to the observance of any undertakings provided by the Member State concerned in connection with a decision to approve aid, Member States shall compile the annual reports on existing aid schemes referred to in Article 21(1) of Regulation (EC) No 659/1999 in respect of each whole or part calendar year during which the scheme applies in accordance with the standardised reporting format set out in Annex IIIA.

Annex IIIB sets out the format for annual reports on existing aid schemes relating to the production, processing and marketing of agricultural products listed in Annex I of the Treaty.

Annex IIIC sets out the format for annual reports on existing aid schemes for state aid relating to the production, processing or marketing of fisheries products listed in Annex I of the Treaty.

2. The Commission may ask Member States to provide additional data for selected topics, to be discussed in advance with Member States.

Article 6

Transmission and publication of annual reports

1. Each Member State shall transmit its annual reports to the Commission in electronic form no later than 30 June of the year following the year to which the report relates.

In justified cases Member States may submit estimates, provided that the actual figures are transmitted at the very latest with the following year’s data.

2. Each year the Commission shall publish a State aid synopsis containing a synthesis of the information contained in the annual reports submitted during the previous year.

Article 7

Status of annual reports

The transmission of annual reports shall not be considered to constitute compliance with the obligation to notify aid measures before they are put into effect pursuant to Article 88(3) of the Treaty, nor shall such transmission in any way prejudice the outcome of an investigation into allegedly unlawful aid in accordance with the procedure laid down in Chapter III of Regulation (EC) No 659/1999.







CHAPTER IV

TIME-LIMITS

Article 8

Calculation of time-limits

▼M7

1. Time-limits provided for in Regulation (EC) No 659/1999 and in this Regulation or fixed by the Commission pursuant to Article 108 of the Treaty shall be calculated in accordance with Regulation (EEC, Euratom) No 1182/71, and the specific rules set out in paragraphs 2 to 5b of this Article. In case of conflict, the provisions of this Regulation shall prevail.

▼B

2. Time limits shall be specified in months or in working days.

▼M3

3. With regard to timelimits for action by the Commission, the receipt of the notification or subsequent correspondence in accordance with Article 3(1) and Article 3(3) of this Regulation shall be the relevant event for the purpose of Article 3(1) of Regulation (EEC, Euratom) No 1182/71.

4. With regard to timelimits for action by Member States, the receipt of the relevant notification or correspondence from the Commission in accordance with Article 3(2) of this Regulation shall be the relevant event for the purposes of Article 3(1) of Regulation (EEC, Euratom) No 1182/71.

▼B

5. With regard to the time-limit for the submission of comments following initiation of the formal investigation procedure referred to in Art. 6(1) of Regulation (EC) No 659/1999 by third parties and those Member States which are not directly concerned by the procedure, the publication of the notice of initiation in the Official Journal of the European Union shall be the relevant event for the purposes of Article 3(1) of Regulation (EEC, Euratom) No 1182/71.

▼M7

5a. With regard to the time-limit for the submission of the information requested from third parties pursuant to Article 6a(6) of Regulation (EC) No 659/1999, the receipt of the request for information shall be the relevant event for the purposes of Article 3(1) of Regulation (EEC, Euratom) No 1182/71.

5b. With regard to the time-limit for the submission of the information requested from third parties pursuant to Article 6a(7) of Regulation (EC) No 659/1999, the notification of the decision shall be the relevant event for the purposes of Article 3(1) of Regulation (EEC, Euratom) No 1182/71.

▼B

6. Any request for the extension of a time-limit shall be duly substantiated, and shall be submitted in writing to the address designated by the party fixing the time-limit at least two working days before expiry.







CHAPTER V

INTEREST RATE FOR THE RECOVERY OF UNLAWFUL AID

▼M3

Article 9

Method for fixing the interest rate

1. Unless otherwise provided for in a specific decision, the interest rate to be used for recovering State aid granted in breach of Article 88(3) of the Treaty shall be an annual percentage rate which is fixed by the Commission in advance of each calendar year.

2. The interest rate shall be calculated by adding 100 basis points to the one-year money market rate. Where those rates are not available, the three-month money market rate will be used, or in the absence thereof, the yield on State bonds will be used.

3. In the absence of reliable money market or yield on stock bonds or equivalent data or in exceptional circumstances the Commission may, in close co-operation with the Member State(s) concerned, fix a recovery rate on the basis of a different method and on the basis of the information available to it.

4. The recovery rate will be revised once a year. The base rate will be calculated on the basis of the one-year money market recorded in September, October and November of the year in question. The rate thus calculated will apply throughout the following year.

5. In addition, to take account of significant and sudden variations, an update will be made each time the average rate, calculated over the three previous months, deviates more than 15 % from the rate in force. This new rate will enter into force on the first day of the second month following the months used for the calculation.

▼B

Article 10

Publication

The Commission shall publish current and relevant historical State aid recovery interest rates in the Official Journal of the European Union and for information on the Internet.

Article 11

Method for applying interest

1. The interest rate to be applied shall be the rate applicable on the date on which unlawful aid was first put at the disposal of the beneficiary.

2. The interest rate shall be applied on a compound basis until the date of the recovery of the aid. The interest accruing in the previous year shall be subject to interest in each subsequent year.

▼M3

3. The interest rate referred to in paragraph 1 shall be applied throughout the whole period until the date of recovery. However, if more than one year has elapsed between the date on which the unlawful aid was first put at the disposal of the beneficiary and the date of the recovery of the aid, the interest rate shall be recalculated at yearly intervals, taking as a basis the rate in force at the time of recalculation.

▼M7







CHAPTER Va

HANDLING OF COMPLAINTS

Article 11a

Admissibility of complaints

1. Any person submitting a complaint pursuant to Articles 10(1) and 20(2) of Regulation (EC) No 659/1999 shall demonstrate that it is an interested party within the meaning of Article 1(h) of that Regulation.

2. Interested parties shall duly complete the form set out in Annex IV and provide all the mandatory information requested therein. On a reasoned request by an interested party, the Commission may dispense with the obligation to provide some of the information required by the form.

3. Complaints shall be submitted in one of the official languages of the Union.







CHAPTER Vb

IDENTIFICATION AND PROTECTION OF CONFIDENTIAL INFORMATION

Article 11b

Protection of business secrets and other confidential information

Any person submitting information pursuant to Regulation (EC) No 659/1999 shall clearly indicate which information it considers to be confidential, stating the reasons for such confidentiality, and provide the Commission with a separate non-confidential version of the submission. When information must be provided by a certain deadline, the same deadline shall apply for providing the non-confidential version.

▼B







CHAPTER VI

FINAL PROVISIONS

Article 12

Review

The Commission shall in consultation with the Member States, review the application of this Regulation within four years after its entry into force.

Article 13

Entry into force

This Regulation shall enter into force on the twentieth day following that of its publication in the Official Journal of the European Union.

Chapter II shall apply only to those notifications transmitted to the Commission more than five months after the entry into force of this Regulation.

Chapter III shall apply to annual reports covering aid granted from 1 January 2003 onwards.

Chapter IV shall apply to any time limit, which has been fixed but which has not yet expired on the date of entry into force of this Regulation.

Articles 9 and 11 shall apply in relation to any recovery decision notified after the date of entry into force of this Regulation.

This Regulation shall be binding in its entirety and be directly applicable in all Member States.









ANNEX I

▼M8

PART I

GENERAL INFORMATION

1. Status of the notification

Does the information transmitted on this form concern:

(a)□ a pre-notification? If so, you may not need to complete the entire form at this stage but to agree with the Commission services which information is required for a preliminary assessment of the proposed measure.

(b)□ a notification pursuant to Article 108(3) of the Treaty on the Functioning of the European Union (TFEU)?

(c)□ a simplified notification under Article 4(2) of Regulation (EC) No 794/2004 ( 2 )? If so, please complete only the Simplified Notification Form in Annex II.

(d)□ a measure which does not constitute State aid within the meaning of Article 107(1) TFEU but is notified to the Commission for reasons of legal certainty?

If you have selected point (d) above, please indicate below why the notifying Member State considers that the measure does not constitute State aid within the meaning of Article 107(1) TFEU. Please provide a full assessment of the measure in light of each of following four criteria, stressing in particular the criteria that you consider not to be met in the planned measure:

Does the notified measure imply a transfer of public resources or is it imputable to the State?

Does the notified measure confer an advantage upon undertakings?

Is the measure discretionary, available only to a limited number of undertakings, in a limited number of sectors of the economy or does it entail any territorial restrictions?

Does the measure affect competition on the internal market or threaten to distort intra-Union trade?

2. Identification of the aid grantor

Member State concerned:

Region(s) of the Member State concerned (at NUTS level 2); include information on their regional aid status:

Contact person(s):

Name:

Address:

Phone(s):

E-mail(s):

Please indicate the name, the address (including web address) and the e-mail contact of the granting authority:

Name:

Address:

Web address:

E-mail:

Contact person at the Permanent Representation

Name:

Phone(s):

E-mail:

If you would like a copy of the official correspondence sent by the Commission to the Member State to be forwarded to other national authorities, please indicate here their name, address (including their web address) and e-mail contact:

Name:

Address:

Web address:

E-mail:

3. Beneficiaries

3.1. Location of the beneficiary(ies) (a)□ in (an) unassisted region(s): (b)□ in region(s) eligible for assistance under Article 107(3)(a) TFEU (specify the region(s) at NUTS level 2): (c)□ in region(s) eligible for assistance under Article 107(3)(c) TFEU (specify the region(s) at NUTS level 3 or lower):

3.2. If applicable, location of the project(s) (a)□ in (an) unassisted region(s): (b)□ in region(s) eligible for assistance under Article 107(3)(a) TFEU (specify the region(s) at NUTS level 2): (c)□ in region(s) eligible for assistance under Article 107(3)(c) TFEU (specify the region(s) at NUTS level 3 or lower):

3.3. Sector(s) affected by the aid measure (i.e. in which the aid beneficiaries are active): (a)□ Open to all sectors (b)□ Sector specific. If so, please specify the sector(s) at NACE group level ( 3 ):

3.4. In the case of an aid scheme, please specify: 3.4.1. Type of beneficiaries: (a)□ large enterprises (b)□ small and medium-sized enterprises (SMEs) (c)□ medium-sized enterprises (d)□ small enterprises (e)□ micro enterprises 3.4.2. Estimated number of beneficiaries: (a)□ under 10 (b)□ from 11 to 50 (c)□ from 51 to 100 (d)□ from 101 to 500 (e)□ from 501 to 1 000 (f)□ over 1 000

3.5. In the case of individual aid, either granted within the scope of a scheme or as ad hoc aid, please specify: 3.5.1. Name of the beneficiary(ies): 3.5.2. Type of beneficiary(ies): □ SME Number of employees: Annual turnover (full amount in national currency, in the last financial year): Annual balance-sheet total (full amount in national currency, in the last financial year): Existence of linked enterprise or partner enterprises (please attach a declaration according to Article 3(5) of the Commission Recommendation on SMEs ( 4 ) attesting to either the autonomous, linked or partner status of the beneficiary undertaking ( 5 )): □ Large enterprise

3.6. Is the beneficiary(ies) an undertaking in difficulty ( 6 )?



□ yes □ no

3.7. Outstanding recovery orders 3.7.1. In the case of individual aid: The authorities of the Member State commit to suspend the award and/or payment of the notified aid if the beneficiary still has at its disposal earlier unlawful aid that was declared incompatible by a Commission Decision (either as individual aid or aid under an aid scheme being declared incompatible), until that beneficiary has reimbursed or paid into a blocked account the total amount of unlawful and incompatible aid and the corresponding recovery interest.



□ yes □ no Please provide the reference to the national legal basis concerning this point: 3.7.2. In the case of aid schemes: The authorities of the Member State commit to suspend the award and/or payment of any aid under the notified aid scheme to any undertaking that has benefited from earlier unlawful aid declared incompatible by a Commission Decision (either as an individual aid or an aid under an aid scheme being declared incompatible), until that undertaking has reimbursed or paid into a blocked account the total amount of unlawful and incompatible aid and the corresponding recovery interest.



□ yes □ no Please provide the reference to the national legal basis concerning this point:

4. National Legal Basis

4.1. Please provide the national legal basis of the aid measure including the implementing provisions and their respective sources: National legal basis: Implementing provisions (where applicable): References (where applicable):

4.2. Please enclose with this notification one of the following: (a)□ a copy of the relevant extracts of the final text(s) of the legal basis (together with a web address which provides direct access to it, if available) (b)□ a copy of the relevant extracts of the draft text(s) of the legal basis (together with a web address which provides direct access, if available)

4.3. In case of a final text, does the final text contain a stand-still clause whereby the aid granting body can only grant the aid after the Commission has authorised the aid? □ Yes □ No: has a provision been included to that effect in the draft text? □ Yes □ No: please explain why such a provision was not included in the text of the legal basis.

4.4. Where the text of the legal basis contains a stand-still clause, please indicate whether the date of granting of the aid will be: □ the date of the approval by the Commission □ the date of the commitment of the national authorities to grant the aid, subject to the approval of the Commission

5. Identification of the Aid, Objective and Duration

5.1. Title of the aid measure (or name of the beneficiary of the individual aid)

5.2. Brief description of the objective of the aid

5.3. Does the measure concern the national co-financing of an European Fund for Strategic investment (EFSI) ( 7 ) project?

□ No

□ Yes: please attach the European Investment Bank application form to the notification form

5.4. Type of aid

5.4.1. Does the notification relate to an aid scheme? □ No □ Yes: Does the scheme amend an existing aid scheme? □ No □ Yes: Are the conditions laid down for the simplified notification procedure pursuant to Article 4(2) of Regulation (EC) No 794/2004 fulfilled? □ Yes: Please use and complete the Simplified Notification Form (see Annex II). □ No: Continue with this form, and specify whether the original scheme which is being amended was notified to the Commission □ Yes: please specify: Aid number ( 8 ):… Date of Commission approval (reference of the letter of the Commission) if relevant or exemption number: …/…/…; Duration of the original scheme:… Please specify which conditions are being amended in relation to the original scheme and why: □ No: please specify when the scheme was implemented:

5.4.2. Does the notification relate to individual aid ( 9 )? □ No □ Yes: please indicate whether: □ the aid is based on an approved/block-exempted scheme which should be individually notified. Please provide the reference to the approved scheme or to the exempted scheme: Title: Aid number (8) :… Letter of Commission approval (where applicable): □ individual aid is not based on a scheme

5.4.3. Does the system of financing form an integral part of the aid measure (for example, by applying parafiscal levies in order to raise the necessary funds to allow for the aid to be granted)? □ No □ Yes: if yes, the system of financing should be notified as well.

5.5. Duration

□ Scheme

Indicate the planned last date until which individual aid may be granted under the scheme. If the duration exceeds 6 years please indicate why a longer period is indispensable to achieve the objectives of the aid scheme.

□ Individual aid

Indicate the planned date when the aid will be granted ( 10 ):

If the aid will be paid out in instalments, indicate the planned date(s) of each instalment

6. Compatibility of the aid

Common assessment principles

(Sub-sections 6.2 to 6.7 do not apply to aid to the agriculture, fishery and aquaculture sectors ( 11 ))

6.1. Please indicate the primary objective and, where applicable, the secondary objective(s), of common interest to which the aid contributes:



Primary objective (please tick only one) Secondary objective (1) Agriculture; Forestry; Rural areas □ □ Broadband infrastructures □ □ Closure aid □ □ Compensation of damage caused by natural disasters or exceptional occurrences □ □ Culture □ □ Aid or disadvantaged workers and/or workers with disabilities □ □ Energy infrastructures □ □ Energy efficiency □ □ Environmental protection □ □ Execution of an important project of common European interest □ □ Fisheries and aquaculture □ □ Heritage conservation □ □ Promotion of export and internationalisation □ □ Regional development (including territorial cooperation) □ □ Remedy for a serious disturbance in the economy □ □ Renewable energy □ □ Rescuing undertakings in difficulty □ □ Research, development and innovation □ □ Restructuring undertakings in difficulty □ □ Risk finance □ □ Sectorial development □ □ Services of general economic interest (SGEI) □ □ SMEs □ □ Social support to individual consumers □ □ Sport and multifunctional recreational infrastructures □ □ Training □ □ Airport infrastructure or equipment □ □ Airport operation □ □ Start-up aid to airlines for the development of new routes □ □ Coordination of transport □ □ (1) A secondary objective is one for which, in addition to the primary objective, the aid will be exclusively earmarked. For example, a scheme for which the primary objective is research and development may have as a secondary objective small and medium-sized enterprises (SMEs) if the aid is earmarked exclusively for SMEs. The secondary objective may also be sectorial, in the case for example of a research and development scheme in the steel sector.

6.2. Please explain the need for State intervention. Please note that the aid must be targeted towards a situation where it can bring about a material improvement which cannot be delivered by the market itself, by remedying a well-defined market failure.

6.3. Please indicate why the aid is an appropriate instrument to address the objective of common interest as defined in point 6.1. Please note that the aid will not be considered compatible if less distortive measures make it possible to achieve the same positive contribution.

6.4. Please indicate whether the aid has an incentive effect (that is, when the aid changes the behaviour of an undertaking leading it to engage in additional activity which it would not have engaged in without the aid or would only have engaged in such activity in a restricted or different manner).



□ yes □ no Please indicate whether activities which started before the submission of an application for aid are eligible.



□ yes □ no If they are eligible, please explain how the incentive effect requirement is complied with.

6.5. Please indicate why the aid granted is proportionate insofar as it amounts to the minimum needed to induce investment or activity.

6.6. Please indicate the possible negative effects of the aid on competition and trade and specify the extent to which they are outweighed by the positive effects.

6.7. In accordance with the Transparency Communication ( 12 ), please indicate whether the following information will be published on a single national or regional website: the full text of the approved aid scheme or the individual aid granting decision and its implementing provisions, or a link to it; the identity of the granting authority/(ies); the identity of the individual beneficiary(ies), the aid instrument ( 13 ) and amount of aid granted to each beneficiary(ies); the objective of the aid, the date of granting, the type of undertaking (for example SME, large company); the Commission's aid measure reference number; the region where the beneficiary is located (at NUTS level 2) and the principal economic sector of the beneficiary(ies) (at NACE group level) ( 14 ).



□ yes □ no 6.7.1. Please provide the address(es) of the website(s) on which the information will be made available: 6.7.2. If applicable, please provide the address(es) of the central website retrieving information from the regional website(s): 6.7.3. If the address(es) of the website referred to in point 6.7.2 are not known at the time of the submission of the notification, the Member State must undertake to inform the Commission once those websites are created and the addresses are known.

7. Aid instrument, Aid amount, Aid intensity and Means of funding

7.1. Aid instrument and aid amount

Specify the form of the aid and the aid amount ( 15 ) made available to the beneficiary(ies) (where appropriate, for each measure):







Aid instrument Aid amount or budget allocation (1) Overall Annual □ Grants (or similar in effect) (a)□ Direct grant (b)□ Interest rate subsidy (c)□ Debt write-off □ Loans (or similar in effect) (a)□ Soft loan (including details of how the loan is secured and its duration) (b)□ Repayable advances (c)□ Tax deferral □ Guarantee Where appropriate, provide a reference to the Commission decision approving the methodology to calculate the gross grant equivalent and information on the loan or other financial transaction covered by the guarantee, the security required and the premium to be paid, the duration, etc. □ Any form of equity or quasi-equity intervention □ Tax advantage or tax exemption (a)□ Tax allowance (b)□ Tax base reduction (c)□ Tax rate reduction (d)□ Reduction of social security contributions (e)□ Other (please specify) … □ Other (please specify) …… Please indicate the instruments to which it would broadly match as regards its effect …… (1) For information on aid amounts or budget at any chapter of this form and supplementary forms, give the full amount in national currency.

For guarantees, please indicate the maximum amount of loans guaranteed:

For loans, please indicate the maximum (nominal) amount of the loan granted:

7.2. Description of the aid instrument

For each aid instrument chosen from the list in point 7.1, please describe the conditions of application of the aid (such as the tax treatment, whether the aid is awarded automatically based on certain objective criteria or whether there is an element of discretion by the awarding authorities):

7.3. Source of funding

7.3.1. Specify the financing of the aid: (a)□ General budget of the State/region/local (b)□ Through parafiscal charges or taxes affected to a beneficiary. Please provide full details of the charges and the products/activities on which they are levied (specify in particular whether products imported from other Member States are liable to the charges). If applicable, please annex a copy of the legal basis of the financing. (c)□ Accumulated reserves (d)□ Public enterprises (e)□ Structural fund co-financing (f)□ Other (please specify)

7.3.2. Is the budget adopted annually? □ Yes □ No. Please specify what period it covers:

7.3.3. If the notification concerns changes to an existing scheme, please indicate the budgetary effects for each of the aid instruments of the notified changes to the scheme on the: Overall budget Annual budget ( 16 )

7.4. Cumulation

Can the aid be cumulated with aid or de minimis aid ( 17 ) received from other local, regional or national aid ( 18 ) to cover the same eligible costs?

□ Yes. If available, please provide the name, purpose and objective of the aid

Please explain the mechanisms put in place in order to insure that the cumulation rules are respected:

□ No

8. Evaluation

8.1. Is the scheme considered for evaluation ( 19 )? □ No If the scheme is not considered for evaluation, please explain why you consider the criteria for evaluation not to be fulfilled. □ Yes According to which criteria is the scheme considered for ex post evaluation: (a)□ A scheme with large aid budget; (b)□ A scheme containing novel characteristics; (c)□ A scheme where significant market, technology or regulatory changes can be foreseen; (d)□ A scheme that you plan for evaluation even if the other criteria referred to in this point do not apply. If any of the criteria referred to in this point are fulfilled, please indicate the period of evaluation and complete the supplementary information sheet for the notification of an evaluation plan in Annex 1, Part III.8 ( 20 ).

8.2. Please indicate whether any ex-post evaluation has already been carried out for a similar scheme (where relevant, with a reference and a link to any relevant websites)

9. Reporting and Monitoring

In order to enable the Commission to monitor the aid scheme and individual aid, the notifying Member State undertakes to:

□ Annually submit to the Commission the reports provided for by Article 26 of Council Regulation (EU) 2015/1589 ( 21 ).

□ Maintain for at least 10 years from the date of award of the aid (individual aid and aid granted under the scheme) detailed records containing the information and supporting documentation necessary to establish that all compatibility conditions are met, and provide them, on a written request, to the Commission within a period of 20 working days or such longer period as may be fixed in the request.

For fiscal aid schemes:

□ In case of schemes under which fiscal aid is granted automatically based on tax declarations of the beneficiaries, and where there is no ex ante control that all compatibility conditions are met for each beneficiary, the Member State undertakes to put in place an appropriate control mechanism, by which it regularly verifies (for example once per fiscal year), at least ex post and on a sample basis, that all compatibility conditions are met, and to impose sanctions in case of fraud. In order to enable the Commission to monitor fiscal aid schemes, the notifying Member State undertakes to maintain detailed records of the controls for at least 10 years from the date of the controls, and provide them, on a written request, to the Commission within a period of 20 working days or such longer period as may be fixed in the request.

10. Confidentiality

Does the notification contain confidential information ( 22 ) which should not be disclosed to third parties?

□ Yes. Please indicate which of the form are confidential and provide reasons for confidentiality.

□ No

11. Other Information

Where applicable, please indicate any other information relevant for the assessment of the aid.

12. Attachments

Please list all documents which are attached to the notification and provide paper copies or internet addresses which allow access to the documents concerned.

13. Declaration

I certify that to the best of my knowledge the information provided on this form, annexes and attachments is accurate and complete.

Date and place of signature

Signature:

Name and position of person signing

14. Supplementary Information Sheet

14.1. Based on the information submitted in the general information form, please select the applicable supplementary information sheet to be completed: (a)□ Supplementary information sheets on regional aid 1.□ investment aid 2.□ operating aid 3.□ individual aid (b)□ Supplementary information sheet on research, development and innovation aid (c)□ Supplementary information sheets on aid for restructuring and rescuing undertakings in difficulty 1.□ rescue aid 2.□ restructuring aid 3.□ aid schemes (d)□ Supplementary information sheet on audiovisual production aid (e)□ Supplementary information sheet on aid for broadband aid (f)□ Supplementary information sheet on environment and energy aid (g)□ Supplementary information sheet on risk finance aid (h)□ Supplementary information sheet on aid to the transport sector: 1.□ investment aid to airports 2.□ operating aid to airports 3.□ start-up aid to airlines 4.□ aid of a social character under Article 107(2)(a) TFEU 5.□ aid for maritime transport (i)□ Supplementary information sheet for the notification of an evaluation plan (j)□ Supplementary information sheets on aid in the agriculture and forestry sectors and in rural areas (k)□ Supplementary information sheet on aid to the fishery and aquaculture sector

14.2. For aid which is not covered by any supplementary information sheet, please select the relevant provision of the TFEU, guideline or another text applicable to State aid: (a)□ Short term export credit ( 23 ) (b)□ Emissions Trading Systems ( 24 ) (c)□ Banking Communication ( 25 ) (d)□ Communication on important projects of common European interest ( 26 ) (e)□ Services of General Economic Interest (Article 106(2) TFEU) ( 27 ) (f)□ Article 93 TFEU (g)□ Article 107(2)(a) TFEU (h)□ Article 107(2)(b) TFEU (i)□ Article 107(3)(a) TFEU (j)□ Article 107(3)(b) TFEU (k)□ Article 107(3)(c) TFEU (l)□ Article 107(3)(d) TFEU (m)□ Other(s), please specify Please provide a justification for the compatibility of the aid falling in the categories selected in this point: For practical reasons, it is recommended to number the documents provided as annexes and to refer to those document numbers in the relevant sections of the supplementary information sheets.

▼M3 —————

▼B

►(1) C1

▼M8

PART III

SUPPLEMENTARY INFORMATION SHEETS

PART III.1.A

Supplementary Information Sheet on individual regional investment aid

This supplementary information sheet must be used for the notification of any individual investment aid covered by the Guidelines on regional State aid 2014-2020 ( 28 )(the ‘RAG’). Where several beneficiaries are involved in an individual aid measure, the relevant information must be provided for each of them.

1. Scope

1.1. Reasons for notifying the measure: a)□ 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. b)□ The notification relates to individual aid granted outside a scheme (ad hoc aid). c)□ The notification relates to aid granted to a beneficiary that has closed down the same or similar activity ( 29 ) in the EEA two years preceding the date of applying for aid or at the moment when submitting the aid application the beneficiary has the intention of closing down such an activity within a period of two years after the investment to be subsidised is completed. d)□ The notification relates to an investment by a large undertaking to diversify an existing establishment in a ‘c’ area into new products and/or new process innovation. e)□ Other. Please explain:

1.2. Scope of the notified aid measure 1.2.1. Please confirm that the beneficiary is not an undertaking in difficulty ( 30 ) 1.2.2. If the measure covers investment aid to broadband networks, please explain how the aid granting authority will ensure that the following conditions are complied with and provide the reference to the relevant provisions in the legal basis and/or supporting documents: — aid is granted only to areas where there is no network of the same category (either basic broadband or next generation access networks) and where none is likely to be developed in the near future — the subsidised network operator offers active and passive wholesale access under fair and non-discriminatory conditions with the possibility of effective and full unbundling — aid was or will be allocated on the basis of a competitive selection process in accordance with paragraphs 78(c) and (d) of the EU Guidelines for the application of State aid rules in relation to the rapid deployment of broadband networks ( 31 ). 1.2.3. If the measure covers aid to research infrastructures ( 32 ), please confirm that the aid is conditional on giving transparent and non-discriminatory access to this infrastructure and provide supporting documents to that effect and/or provide reference(s) to the relevant parts of the legal basis (paragraph 13 RAG). 1.2.4. 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. Beneficiary

2.1.1. Identity of aid recipient(s):

2.1.2. If the legal identity of the aid recipient is different from that of the undertaking(s) that finance(s) the project or the actual beneficiary or beneficiaries of the aid, describe those differences.

2.1.3. Please give a clear description of the relationship 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: (Planned) date of start of works on the investment project: Planned date of the start of production: Planned date on which the full production capacity is reached: Planned end date of the investment project:

2.2.2. If the notification covers an investment in an ‘a’ area or an investment by an one or more SMEs ( 33 ) in a ‘c’ area, please specify the category or categories of initial investment concerned by the notification (paragraph 20(h) RAG): (a)□ the setting-up of a new establishment (b)□ the extension of the capacity of an existing establishment (c)□ the diversification of the output of an establishment into products not previously produced in the establishment (d)□ a fundamental change in the overall production process of an existing establishment (e)□ an acquisition of assets directly linked to an establishment provided the establishment has closed down or would have closed down had it not been purchased, and is bought by an investor unrelated to the seller ( 34 ).

2.2.3. If the notification covers an investment in a ‘c’ area by a Large Enterprise, please specify the category or categories of initial investment concerned by the notification (paragraph 15 and paragraph 20(i) RAG): (a)□ the setting-up of a new establishment (b)□ the diversification of the activity of an establishment, under the condition that the new activity is not the same or a similar activity ( 35 ) to the activity previously performed in the establishment (c)□ diversification of an existing establishment into new products (d)□ new process innovation at an existing establishment (e)□ the acquisition of the assets belonging to an establishment that has closed or would have closed had it not been purchased, and is bought by an investor unrelated to the seller, under the condition that the new activity to be performed using the acquired assets is not the same or a similar activity to the activity performed in the establishment prior to the acquisition.

2.2.4. Please describe briefly the investment explaining 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) (1) Total eligible cost (discounted) (1) Preparatory studies or consultancy costs linked to the investment (SMEs only) Land Buildings Plant/machinery/equipment (1) Intangible assets Total eligible cost (*1) In national currency (see also point 2.5 below) (1) In the transport sector, expenditure on the purchase of transport equipment cannot be included in the uniform set of items of expenditure. Such expenditure is not eligible for initial investment.

2.3.2. Please confirm that the acquired assets are new (paragraph 94 RAG) ( 36 ).



□ yes □ no

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 95 RAG).

2.3.4. Please provide evidence to show that for aid awarded 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 three preceding fiscal years (paragraph 96 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 97 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 98 RAG) or explain how respect for those conditions 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 companies, 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 99 RAG provides that ‘In the case of acquisition of an establishment only the costs of buying the assets from third parties unrelated to the buyer should be taken into consideration. The transaction must take place under market conditions. Where aid has already been granted for the acquisition of assets prior to their purchase, the costs of those assets should be deducted from the eligible costs related to the acquisition of an establishment. If the acquisition of an establishment is accompanied by an additional investment eligible for aid, the eligible costs of this latter investment should be added to the costs of purchase of the assets of the establishment’. If relevant in the notified case, please explain how those conditions have been complied with, providing relevant supporting documentation.

2.3.8. If the eligible expenditure for the investment project includes intangible assets, please explain how it is ensured that the conditions set out in paragraphs 101 to 102 RAG ( 37 ) 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

Please:

— explain how eligible costs calculated on the basis of wage costs have been established (paragraph 103 RAG);

— explain how the number of jobs created has been calculated with reference to paragraph 20(k) RAG;

— explain how the wage costs of the persons hired have been established with reference to paragraph 20(z) 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 table in this point 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 (1) N+1 (1) N+2 (1) N+3 (1) N+X (1) Total (1) Preparatory studies etc. (SMEs only) Nominal Discounted Land Nominal Discounted Buildings Nominal Discounted Plant/machinery/equipment (1) Nominal Discounted Intangible assets Nominal Discounted Wage costs Nominal Discounted Other (please specify) Nominal Discounted Total Nominal Discounted (*1) In national currency (1) In the transport sector, expenditure on the purchase of transport equipment cannot be included in the uniform set of items of expenditure. Such expenditure is not eligible for initial investment. Please indicate the date to which the amounts were discounted, as well as the discount rate used ( 38 ):

2.5.2. Please complete the table in this point 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 (1) N+1 (1) N+2 (1) N+3 (1) N+X (1) Total (1) Grants Nominal Discounted Soft loan Nominal Discounted Guarantee Nominal Discounted Tax reduction Nominal Discounted … Nominal Discounted … Nominal Discounted Total Nominal Discounted (*1) In national currency 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 in point 2.5.2 please indicate how the grant equivalent is calculated: Soft loan: Guarantee: Tax reduction: Other:

2.5.3. Please specify whether any of the aid measures to be granted to the project are not yet defined, and explain how the granting authority will ensure that the applicable maximum aid intensity is respected (paragraphs 82 and 83 RAG):

2.5.4. Is the project co-financed by the ESI Funds? If so, please explain under which operational programme the ESI Funds finance will be obtained. Please also indicate the amount of ESI Fund finance that will be involved.

2.5.5. If the beneficiary (at group level) has received aid for one (or more) initial investment(s) started in the same NUTS 3 region over a period of three years from the date of start of works of the notified investment project (paragraph 20(t) 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 ( 39 )).



Eligible investm. cost (1) Aid amount granted (1) Date of applic-ation Date of aid granting Date of start of work Short description Aid reference(s) Initial invest. project 1 Initial invest. Project 2 Initial invest. project 3 … (*1) In national currency

2.5.6. Please confirm that the total amount of aid that will be granted to the initial investment project does not exceed the ‘maximum aid intensity’ (as defined in paragraph 20(m) RAG), taking into account the increased aid intensity for SMEs (as determined in paragraph 177 RAG) and the ‘adjusted aid amount’ (as defined in paragraph 20(c) RAG), where applicable. Please provide the relevant supporting documentation and calculations.

2.5.7. 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 the amount of that maximum aid intensity. Please explain how the aid granting authorities will ensure that that maximum aid intensity will be respected (paragraph 92 RAG).

2.5.8. If the initial investment is linked to a European Territorial Cooperation (ETC) project please explain with reference to the provisions set out in paragraph 93 RAG how the maximum aid intensity applicable to the project and the different beneficiaries involved are established.

3. Compatibility assessment of the measure

3.1. Contribution to regional objectives and need for State intervention

3.1.1. Please: — indicate the exact location of the aided project (that is to say 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 (that is to say is it in an area eligible for regional aid under Article 107(3)(a) or (c) TFEU?); and — provide the maximum aid intensity applicable to large enterprises.

3.1.2. Please explain how the aid will contribute to regional development ( 40 ).

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 35 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 42 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 36 RAG). Please provide the reference to the relevant provision in the legal basis (e.g. the aid granting contract).

3.1.6. In cases where the aid is calculated on the basis of wage costs, please explain how the method of implementation of 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 is implemented (paragraph 37 RAG). Please provide the reference to the relevant provision in the legal basis (e.g. 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 ( 41 ) (paragraph 38 RAG).

3.1.8. Did you or do you commit to carry out an Environmental Impact Assessment (‘EIA’) for the investment (paragraph 39 RAG).



□ yes □ no If no, please explain why an EIA is not required for this project.

3.2. Appropriateness of the measure

3.2.1. 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 55 RAG):

3.2.2. If the aid is granted in forms that provide a direct pecuniary advantage ( 42 ), 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 ( 43 ) are not appropriate (paragraph 57 RAG):

3.3. Incentive effect and proportionality of the measure

3.3.1. Please confirm that works on the notified individual investment started only after submission of the application for the aid (paragraph 64 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.

3.3.2. 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 61 RAG.

3.3.3. In Scenario 1 cases (that is to say, investment decisions under paragraph 61 RAG), please provide the following information (or refer to the relevant parts of the submitted counterfactual scenario) (paragraph 104 RAG): — the calculation of the investment's Internal Rate of Return (‘IRR’) with and without the aid ( 44 ): — — information on the relevant benchmarks for the company (e.g. 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 criteria in this point, the aid is the minimum necessary to render the project sufficiently profitable (cf. paragraph 79 RAG): —

3.3.4. In Scenario 2 cases (that is to say, location decisions under paragraph 61 RAG), please provide the following information (or refer to the relevant parts of the submitted counterfactual scenario) (paragraph 105 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 ( 45 ): — — all the parameters used for the calculation of the NPV of the investment in the target area and the NPV of the investment in the alternative location (among others the time frame concerned, discount rate used, etc.): — — an explanation of why on the basis of the information referred to in the first two sub-points the aid does not exceed the difference between the NPV of investment in the target area and the NPV in the alternative location (cf. paragraph 80 RAG): —

3.3.5. If the regional aid is awarded through ESI Funds in ‘a’ regions 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 it would not be sufficiently profitable for the beneficiary to make the investment in the area concerned which would lead to the closure of an existing establishment in the area in the absence of the aid (paragraph 63 RAG)?

3.4. Avoidance of negative effects on competition and trade

3.4.1. Please provide the information specified in this point to identify the relevant product market(s) (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 129 and 130 RAG): — Specify all the product(s) that will be produced in the aided facility upon the completion of the investment and indicate, where appropriate, the NACE code or Prodcom code or CPA nomenclature ( 46 ) for projects in the service sectors. — — Will the products envisaged by the project 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 provide a time schedule for the replacement. — — 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? — — 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 that 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) of the product(s) concerned and, if possible, provide evidence in support, from an independent third party. A relevant product market includes the product concerned and its demand-side substitutes, that is to say products considered to be such by the consumer (by reason of the product's characteristics, prices and intended use) and its supply-side substitutes, that is to say products considered as such by producers (through flexibility of the production installations of the beneficiary and its competitors). —

3.4.2. Please provide information, and supporting evidence, on the relevant geographic market of the beneficiary:

3.4.3. 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): — an estimate of all sales (in value and volume terms) of the beneficiary 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. —

3.4.4. 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 the conclusions on this point.

3.4.5. Provide an estimate of the additional production capacity created by the investment (in volume and value terms):

3.4.6. In Scenario 1 cases, please provide the following information, and supporting evidence, on the relevant product market ( 47 ): — From a long-term perspective, is the relevant market structurally in absolute decline (that is to say, showing a negative growth rate)? (paragraph 135 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 135 RAG) — In Scenario 2 cases, please indicate whether without aid the investment would have been located in a region with a regional aid intensity which is higher or the same as the target region (paragraph 139 RAG). Please provide supporting evidence.

3.4.7. Please confirm whether 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 a similar activity elsewhere in the EEA in the two years after the completion of investment (paragraph 23 RAG). If such a statement was provided, please annex a copy of it to the notification, otherwise, please explain why it was not provided.

3.4.8. 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 122 RAG).

3.4.9. 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. Other information

Please provide any other relevant information to assess the notified aid measure under the RAG:

PART III.1.B

Supplementary Information Sheet on regional investment aid schemes

This supplementary information sheet must be used for the notification of any investment aid schemes covered by the Guidelines on regional State aid 2014-2020 ( 48 )(the ‘RAG’).

1. Scope

1.1. Reasons for notifying the scheme instead of putting it in place under the General Block Exemption Regulation (‘GBER’) ( 49 ) or de minimis Regulation ( 50 ): (a)□ The notification relates to a sectoral scheme. In that case please indicate the sector covered by the scheme (NACE code): (b)□ The notification relates to a general scheme also covering the shipbuilding sector. (c)□ Other. Please specify:

1.2. Scope of the notified scheme 1.2.1. I confirm that the legal basis for the notified scheme foresees an obligation to notify to the Commission individual aid to beneficiaries that have closed down the same or a similar activity ( 51 ) in the EEA during the two years preceding the date of applying for aid or at the moment of the aid application have the intention to close down such an activity within a period of two years after the investment to be subsidised is completed (paragraph 23 RAG). Please provide the reference to the relevant provision of the legal basis: 1.2.2. I 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 Undertakings in difficulty (1) The steel sector (2) Synthetic fibres sector (2) Production of agricultural products listed in Annex I to the TFEU Processing and/or marketing of agricultural products listed in Annex I to the TFEU (3) into products listed in that Annex I Production, processing and/or marketing of fishery and aquaculture products listed in Annex I to the TFEU The transport sector (4) The energy sector (1) As defined in the Communication from the Commission on Guidelines on State aid for rescuing and restructuring non-financial undertakings in difficulty (OJ C 249, 31.7.2014, p. 1). (2) As defined in Annex IV to Guidelines on regional State aid for 2014–2020. (3) The Regional Aid Guidelines apply to aid schemes supporting activities outside the scope of Article 42 TFEU but covered by Regulation (EU) No 1305/2013 of the European Parliament and of the Council of 17 December 2013 on support for rural development by the European Agricultural Fund for Rural Development (EAFRD) and repealing Council Regulation (EC) No 1698/2005 (OJ L 347, 20.12.2013, p. 487) and which are either co-financed by the European Agriculture Fund for Rural Development or are granted as additional national financing to such co-financed schemes, unless sectoral rules provide otherwise. (4) As defined in footnote 12 of the Regional Aid Guidelines. 1.2.3. If the scheme covers investment aid to broadband networks please specify whether each of the following conditions are complied with: (a)□ aid is granted only to areas where there is no network of the same category (either basic broadband or new generation access networks) and where none is likely to be developed in the near future; (b)□ the subsidised network operator offers active and passive wholesale access under fair and non-discriminatory conditions with the possibility of effective and full unbundling; (c)□ aid should be allocated on the basis of a competitive selection process in accordance with paragraphs 78(c) and (d) of the Broadband guidelines ( 52 ); Please provide the reference to the relevant provision of the legal basis: 1.2.4. If the scheme covers aid to research infrastructures, is the aid made conditional on giving transparent and non-discriminatory access to this infrastructure? (a)□ No (b)□ Yes. Please provide the reference to the relevant provision of the legal basis:

2. Initial investment, eligible costs and aid

2.1. Types of initial investments covered by the scheme

2.1.1. Where the scheme covers investments in ‘a’ areas by SMEs or large enterprises ( 53 ) or investments by SME(s) in ‘c’ areas (paragraph 34 RAG), please specify the category or categories of initial investment concerned by the notification (paragraph 20(h) RAG): (a)□ the setting-up of a new establishment? (b)□ the extension of the capacity of an existing establishment (c)□ the diversification of the output of an establishment into products not previously produced in the establishment (d)□ a fundamental change in the overall production process of an existing establishment (e)□ an acquisition of assets directly linked to an establishment provided the establishment has closed or would have closed if it had not been purchased, and is bought by an investor unrelated to the seller ( 54 )

2.1.2. In case the scheme covers investments in ‘c’ areas by large enterprises, please specify the category or categories of initial investment concerned by the notification (paragraph 15and paragraph 20(i) RAG): (a)□ the setting-up of a new establishment (b)□ the diversification of the activity of an establishment, under the condition that the new activity is not the same or a similar activity ( 55 ) to the activity previously performed in the establishment (c)□ diversification of an existing establishment into new products (d)□ new process innovation at an existing establishment (e)□ the acquisition of the assets belonging to an establishment that has closed or would have closed if it had not been purchased, and is bought by an investor unrelated to the seller, under the condition that the new activity to be performed using the acquired assets is not the same or a similar activity to the activity performed in the establishment prior to the acquisition

2.1.3. Please provide the reference to the relevant provisions of the legal basis where it is stipulated that the Commission will be notified of any individual aid to be granted under the legal basis of the scheme to large enterprises in ‘c’ areas for (paragraphs 24 and 34 RAG): (a) diversification of an existing establishment into new products; (b) new process innovation at an existing establishment.

2.1.4. Please provide the reference to the relevant provisions of the legal basis where it is stipulated that the Commission will be notified of any individual aid to be granted under the legal basis of the scheme that would lead to the notification threshold being exceeded ( 56 ) (paragraph 23 RAG).

2.2. Eligible costs calculated on the basis of investment costs

2.2.1. Where the eligible expenditure (paragraph 20(x) RAG) under the scheme relates to tangible assets, is the value of the investment established as a percentage on the basis of land, buildings and plant, machinery and equipment? ( 57 ): (a)□ land (b)□ buildings (c)□ plant/machinery/equipment? Please provide the reference to the relevant parts of the legal basis:

2.2.2. Please provide a reference to the relevant provision of the legal basis which stipulate that the acquired assets should be new ( 58 ) (paragraph 94 RAG)

2.2.3. Please provide a reference to the relevant provision in the legal basis which stipulate 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 95 RAG).

2.2.4. Please provide a reference to the relevant provision of the legal basis which stipulates that for aid awarded 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 96 RAG).

2.2.5. Please provide a reference to the relevant provision of the legal basis which stipulates 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 97 RAG).

2.2.6. In cases involving the lease of tangible assets, please provide a reference to the relevant provisions of the legal basis which stipulate that the following conditions should be respected (paragraph 98 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 companies, 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 99 RAG provides that ‘In the case of acquisition of an establishment only the costs of buying the assets from third parties unrelated to the buyer should be taken into consideration. The transaction must take place under market conditions. Where aid has already been granted for the acquisition of assets prior to their purchase, the costs of those assets should be deducted from the eligible costs related to the acquisition of an establishment. If the acquisition of an establishment is accompanied by an additional investment eligible for aid, the eligible costs of this latter investment should be added to the costs of purchase of the assets of the establishment’. If relevant for the notified scheme, please provide a reference to the provisions of the legal basis which stipulate that the conditions in this point should be respected.

2.2.8. Where the eligible expenditure under the scheme relates to intangible assets (paragraph 20(j) RAG), is the value of the investment established on the basis of expenditure entailed by the transfer of technology through the acquisition of patent rights, licences, know-how or unpatented technical knowledge? (a)□ patent rights (b)□ licences (c)□ know-how (d)□ unpatented technical knowledge Please provide the reference to the relevant parts of the legal basis:

2.2.9. Please provide a reference to the relevant provisions of the legal basis which stipulate that for large undertakings the expenditure on eligible intangible investment must not exceed 50 % of the total eligible investment costs of the project (paragraph 100 RAG).

2.2.10. Please provide a reference to the relevant provisions of the legal basis which stipulate that the conditions set out in paragraphs 101 and 102 RAG ( 59 ) should be respected.

2.3. Eligible costs calculated on the basis of wage costs

Please provide a reference to the relevant provisions of the legal basis where it is stipulated how the eligible costs calculated on the basis of wage costs should be established (paragraph 103 RAG), how the number of jobs created should be calculated with reference to paragraph 20(k) RAG and how the wage costs of the persons hired should be established with reference to paragraph 20(z) RAG.

2.4. Calculation of discounted eligible costs

2.4.1. Please indicate which forms of aid are allowed under the scheme: (a)□ grants. Please provide the reference to the relevant provisions of the legal basis: (b)□ soft loans. Please indicate how the grant equivalent will be calculated and provide the reference to the relevant provisions of the legal basis: (c)□ guarantees. Please indicate how the grant equivalent will be calculated and provide the reference to the relevant provisions of the legal basis: (d)□ tax measures. 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: (e)□ 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. Is the aid scheme eligible to be co-financed by the ESI Funds? If so, please mention under which operational programmes the ESI Funds finance might be obtained. Please also indicate the amount of ESI Funds finance that will be involved, if known at this stage.

2.4.3. Please provide the reference to the relevant provisions of the legal basis which stipulate 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 from 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 which stipulate that the total amount of aid that will be granted under the scheme to any initial investment project does not exceed the ‘maximum aid intensity’ (as defined in paragraph 20(m) RAG), taking into account the increased aid intensity for SMEs (as determined in paragraph 177 RAG) or the ‘adjusted aid amount’ (as defined in paragraph 20(c) RAG), where applicable.

2.4.5. Please provide the reference to the relevant provisions of the legal basis which 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 92 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 which stipulate (with reference to the provisions set out in paragraph 93 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 objective and need for State intervention

Is the scheme part of an Operational Programme ( 60 ) (paragraph 32 RAG)?

□ Yes. Please provide the reference(s) to the Operational Programme(s) concerned:

□ No. Please explain how the scheme is consistent and contributes to the development strategy of the area concerned (paragraph 33 RAG):

3.1.1. 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 39 RAG).

3.1.2. 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 33 RAG). Please also provide the reference to the relevant provisions of the legal basis or other related administrative acts.

3.1.3. 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) contributes towards the objective of the scheme and thus towards the development strategy of the area concerned (paragraph 35 RAG).

3.1.4. 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 36 RAG). Please provide the reference to the relevant provisions in the legal basis.

3.1.5. In cases where the aid granted under the notified scheme is calculated on the basis of wage costs, please explain the method of implementation of 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 (paragraph 37 RAG). Please provide the reference to the relevant provision in the legal basis.

3.1.6. 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 ( 61 ) (paragraph 38 RAG).

3.1.7. 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 81 RAG). Please also provide the reference to the Commission decision approving the regional aid map concerned.

3.2. Appropriateness of the scheme

3.2.1. If the scheme is not eligible under an Operational Programme, please explain why regional aid is an appropriate instrument to tackle the common objective of equity or cohesion ( 62 ) (paragraph 52 RAG):

3.2.2. Where the scheme is sector-specific and is not eligible for co-financing by Structural Funds, please demonstrate the advantages of such an instrument compared to a multi-sectoral scheme or other policy options (paragraph 53 RAG):

3.2.3. Will individual aid under the notified scheme 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:

3.2.4. If the aid under the scheme is granted in forms that provide a direct pecuniary advantage ( 63 ), 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 ( 64 ) are not appropriate (paragraph 57 RAG):

3.3. Incentive effect and proportionality of the scheme

3.3.1. 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 64 RAG):

3.3.2. Please provide the reference to the relevant provisions of the legal basis which stipulate 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 indicate which of the scenarios (Scenario 1 — investment decision or Scenario 2 — location decision) applies (paragraph 66 and paragraph 61 RAG). If that application form differs from the example provided in Annex V to the RAG, please provide a copy of that application.

3.3.3. Please provide the reference to the relevant provisions of the legal basis which stipulate that large enterprises who apply for aid under the notified scheme are required to provide documentary evidence in support of the counterfactual described. (paragraph 67 RAG). Please also explain what type of documents will be required.

3.3.4. Please provide the reference to the relevant provisions of the legal basis which stipulate 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 ( 65 ) (paragraph 68 RAG).

3.3.5. Please provide the reference to the relevant provisions of the legal basis which stipulate 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 paragraph 79 and paragraph 80 RAG (paragraph 88 RAG).

3.4. Avoidance of undue negative effects on competition and trade

3.4.1. Please explain how the distortions of competition and trade caused by the notified aid scheme will be limited to the minimum (paragraph 125 RAG) ( 66 ):

3.4.2. 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 must verify and confirm that without aid the investment would not have been located in a region with a regional aid intensity which is higher or the same as the target region (paragraph 126 RAG).

3.4.3. Please provide references to the relevant provisions in the legal basis which stipulate that when awarding aid under the scheme to individual projects, the granting authority must notify individual aid grants in cases where the beneficiary has closed down the same or a similar activity in another area in the EEA in the two years preceding the date of applying for aid or at the moment of the 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 (paragraph 122 RAG).

4. Other information

Please provide any other information that is of relevance to assess the notified aid measure under the RAG:

PART III.1.C

Supplementary Information Sheet on regional operating aid schemes

This supplementary information sheet must be used for the notification of any operating aid schemes covered by the Guidelines on regional State aid 2014-2020 ( 67 )(the ‘RAG’).

1. Scope

(a) Please specify what kind of operating aid will be granted:

(i.)□ Operating aid to reduce certain specific difficulties faced by SMEs in ‘a’ areas

(ii.)□ Operating aid to compensate additional costs in the outermost regions

(iii.)□ Operating aid to reduce depopulation in very sparsely populated areas

(iv.)□ Other. Please specify:

(b) Does the notified aid scheme provide that no operating aid will be granted to the following categories of companies and sectors? In each case, please list the relevant provision in the legal basis of the scheme.







Excluded categories of companies and sectors Undertakings in difficulty (1) Relevant provision in the legal basis of the scheme The steel sector (2) □Yes Synthetic fibres sector (2) □Yes Production of agricultural products listed in Annex I to the TFEU Yes Processing and/or marketing of agricultural products listed in Annex I to the TFEU (3) into products listed in that Annex I □Yes Production, processing and/or marketing of fishery and aquaculture products listed in Annex I to the TFEU □Yes The transport sector □Yes The energy sector □Yes Section K ‘Financial and insurance activities’ of the NACE Rev.2 statistical classification of economic activities □Yes NACE 70.10 ‘Activities of head offices’ and NACE 70.22 ‘Business and other management consultancy activities’ □Yes (1) As defined in the Guidelines on State aid for rescuing and restructuring non-financial undertakings in difficulty (OJ C 249, 31.7.2014, p. 1). (2) As defined in Annex IV to Guidelines on regional State aid for 2014–2020. (3) The Regional Aid Guidelines apply to aid schemes supporting activities outside the scope of Article 42 TFEU but covered by the Rural Development Regulation (Regulation (EU) No 1305/2013 of the European Parliament and of the Council of 17 December 2013 on support for rural development by the European Agricultural Fund for Rural Development (EAFRD) and repealing Council Regulation (EC) No 1698/2005 (OJ L 347, 20.12.2013, p. 487)) and which are either co-financed by the European Agriculture Fund for Rural Development or are being granted as additional national financing to such co-financed schemes, unless sectoral rules provide for otherwise.

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: (a)□ Grants. Please provide the reference to the relevant provisions of the legal basis: (b)□ Soft loans. Please indicate how the grant equivalent will be calculated and provide the reference to the relevant provisions of the legal basis: (c)□ Guarantees. Please indicate how the grant equivalent will be calculated and provide the reference to the relevant provisions of the legal basis: (d)□ Tax measures. Please specify which ones and indicate how the grant equivalent will be calculated. Please also provide the reference to the relevant provisions of the legal basis: (e)□ 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. The individual aid under the notified scheme will be granted: (a)□ automatically, should the conditions of the scheme be fulfilled (b)□ 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 that will be applied. If administrative guidance for the assessment of the aid application exists, please attach a copy:

2.4. Will the aid scheme be co-financed by the ESI Funds? If so, please explain under which operational programmes ESI Funds finance will be obtained. Please also indicate the amount of ESI Funds finance that will be involved.

3. Compatibility of the aid

3.1. Contribution to regional objective and incentive effect: 3.1.1. Please list the specific difficulties faced by SMEs in the region concerned to be addressed by the scheme (paragraph 43 RAG) and demonstrate the existence and importance of those difficulties (paragraph 44 RAG). 3.1.2. Please explain why the difficulties listed in point 3.1.1 cannot be overcome by investment aid and thus the notified operating aid scheme is needed (paragraph 44 RAG): 3.1.3. Please identify the specific additional costs ( 69 ) that will be compensated under the scheme and demonstrate how those costs are related to the permanent handicaps set out in Article 349 TFEU (paragraph 45 RAG): 3.1.4. Please demonstrate the risk of depopulation of the relevant area in the absence of operating aid (paragraph 46 RAG):

3.2. Appropriateness of the scheme Please indicate why the aid proposed is considered 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 instrument are not appropriate to achieve the same positive contribution to regional development (paragraphs 50, 56, 57 and 58 RAG):

3.3. Proportionality of the scheme 3.3.1. Please determine the eligible costs that are fully attributable to the problems the aid is intended to address (paragraph 109 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 109 RAG), and provide the reference to the relevant provision of the legal basis: 3.3.3. Please describe the compensation model (paragraph 56 RAG) that will be adopted and how that model will allow an appropriate calculation of the aid amount, ensuring that there is no overcompensation, as defined in paragraph 109 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 those schemes. 3.3.5. 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: 3.3.6. 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 110 RAG): 3.3.7. Please explain how the level of aid will be progressively reduced over the duration of the scheme (paragraph 111 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 140 RAG):

4. Other information

Please provide any other information that is of relevance to assess the notified aid measure under the RAG:

PART III.2

Supplementary information sheet for research and development and innovation aid

This supplementary information sheet must 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’) ( 70 ).

In case there are several beneficiaries involved in an individual aid measure, the relevant information must be provided for each of them.

1. Characteristics of the notified aid measure

1.1. Aid schemes

A) Reasons for notifying the scheme:

(a)□ the scheme includes aid that is not transparent in the sense of Article 5 of the General Block Exemption Regulation (‘GBER’) ( 71 );

(b)□ other reasons.

Please specify:

B) Sectoral scope of the notified scheme:

C) Please tick the box below to confirm that any aid awarded under the notified scheme will be notified individually if it exceeds the thresholds laid down in Article 4 of the GBER:

□

1.2. Individual aid

A) In case the aid is based on an approved scheme, please provide information concerning that scheme, including its publication reference (internet address) and state aid registration number:

B) If applicable, please provide the exchange rate which has been used for the purposes of the notification:

1.3. General information

A) Please specify the type of aid:

(a)□ aid for R & D projects;

(b)□ aid for feasibility studies;

(c)□ aid for the construction and upgrade of research infrastructures;

(d)□ innovation aid for SMEs;

(e)□ aid for process and organisational innovation;

(f)□ aid for innovation clusters.

B) 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?







□yes □no

If so, please specify:

C) 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 ( 72 )?







□yes □no

If so, please specify:

D) 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?







□yes □no

If so, please specify and indicate the amounts still to be recovered:

E) Does the notified measure involve research and knowledge dissemination organisations (‘research organisations’) or research infrastructures, as defined in points 15(ee) and (ff) of the R & D&I Framework?







□yes □no

If so, please specify:

F) Does the notified measure involve public procurement of research and development services?







□yes □no

If so, please specify:

G) Can the aid awarded under the notified measure be combined with other aid?







□yes □no

If so, please specify:

H) If applicable, please tick the box below to confirm that the beneficiaries comply with the SME definition as laid down in Annex I to the GBER and, for individual aid, provide relevant information and evidence:

□

2. Research organisations and research infrastructures

A) 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:

B) If the same entity carries out activities of both an economic and a non-economic nature, can the two kinds of activities and their costs, funding and revenues be clearly separated?







□yes □no

If so, please specify:

C) If the same entity carries out activities of both an economic and a non-economic nature, is the amount of public funding allocated to it for a specific accounting period limited to the costs of non-economic activities incurred in the same period?







□yes □no

If so, please specify:

D) If the same entity carries out activities of both an economic and a 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:

E) If public funding is provided for non-ancillary economic activities of research organisations or research infrastructures, can it be shown that both the public funding and any advantage 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 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

A) Do research organisations or research infrastructures concerned by the notified aid measure perform contract research or provide research services to undertakings?







□yes □no

If so, please specify:

B) 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

If so, please specify:

C) 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 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 is the result of arm's length 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

If so, please specify:

3.2. Collaboration with undertakings

A) Do research organisations or research infrastructures concerned by the notified aid measure effectively collaborate with undertakings with a view to jointly carrying out specific projects?







□yes □no

If so, please specify:

B) 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 projects







□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:

C) If research organisations or research infrastructures effectively collaborate with undertakings and none of the answers to question (B) is yes, please indicate whether any of the following conditions are fulfilled:

(a) the research organisations or research infrastructures receive a compensation the amount of which 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 a compensation the amount of which 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, at arm's length, in order to obtain the maximum economic benefit at the moment when the contract is concluded:







□yes □no

(d) in cases 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

If the answer to any of the questions in this section is yes, please provide details:

4. Public procurement of research and development services

A) 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 ( 73 )?







□yes □no

If yes, please specify:

B) In all other cases where the notified measure involves public procurement 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 detail