Commission Regulation (EC) No 1595/2004 of 8 September 2004 on the application of Articles 87 and 88 of the EC Treaty to State aid to small and medium-sized enterprises active in the production, processing and marketing of fisheries products
Date: 2004-09-08
Institutions: European Commission
Subjects: State aid, control of State aid, fishing industry, small and medium-sized enterprises

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COMMISSION REGULATION (EC) No 1595/2004

of 8 September 2004

on the application of Articles 87 and 88 of the EC Treaty to State aid to small and medium-sized
enterprises active in the production, processing and marketing of fisheries products

THE COMMISSION OF THE EUROPEAN COMMUNITIES,

as Article 89 of the Treaty has been declared applicable
to such products.

Having regard to the Treaty
Community,

establishing the European

Having regard to Council Regulation (EC) No 994/98 of 7 May
1998 on the application of Articles 92 and 93 of the Treaty
establishing the European Community to certain categories of
horizontal State aid (1), and in particular Article 1(1)(a)(i)
thereof,

Having published a draft of this Regulation,

Having consulted the Advisory Committee on State Aid,

Whereas:

(1)

(2)

(3)

Regulation (EC) No 994/98 empowers the Commission
to declare, in accordance with Article 87 of the Treaty,
that under certain conditions, aid to small and medium-
sized enterprises is compatible with the common market
and not subject to the notification requirement of Article
88(3) of the Treaty.

Commission Regulation (EC) No 70/2001 of 12 January
2001 on the application of Articles 87 and 88 of the EC
Treaty to State aid to small and medium-sized enter-
prises (2), does not apply to activities linked to the
production, processing or marketing of products listed
in Annex I to the Treaty.

The Commission has applied Articles 87 and 88 of the
Treaty to small and medium-sized enterprises active in
fisheries’
the production, processing and marketing of
products in numerous decisions and has also stated its
policy, most recently in the Guidelines for the exami-
nation of State aid to fisheries and aquaculture (3) (the
Fisheries Guidelines). In the light of the Commission’s
considerable experience in applying those Articles to
in the
small
production, processing
fisheries
is appropriate, with a view to ensuring
it
products,
administration
supervision and simplifying
efficient
without weakening Commission monitoring,
the
that
Commission should make use of the powers conferred
on it by Regulation (EC) No 994/98 also for small and
in the production,
medium-sized enterprises
insofar
processing and marketing of fisheries products,

active
and marketing of

and medium-sized enterprises

active

(1) OJ L 142, 14.5.1998, p. 1.
(2) OJ L 10, 13.1.2001, p. 33. Regulation as amended by Regulation

(EC) No 364/2004 (OJ L 63, 28.2.2004, p. 22).

(3) OJ C 229, 14.9.2004, p. 5.

(4)

(5)

(6)

(7)

The compatibility of State aid in the fisheries sector is
the
assessed by the Commission on the basis of
objectives of both the Competition Policy and the
Common Fisheries Policy (CFP).

This Regulation should cover aid granted in the fisheries
sector which has been routinely approved by the
Commission for many years. Such aid does not require
a case-by-case assessment of its compatibility with the
common market from the Commission, provided that
it complies with the conditions laid down for structural
funds in Council Regulation (EC) No 2792/1999 of 17
December 1999 laying down the detailed rules and
arrangements for Community structural assistance in
the fisheries sector (4) and with certain other conditions.

Accordingly, this Regulation should cover the following
aid: aid for promotion and/or advertising of
fisheries
products, aid for producer groups, aid for protection
and development of aquatic resources, aid for innovative
measures and technical assistance, aid for fishing port
facilities, aid for scrapping of
fishing vessels, aid for
certain socio-economic measures, aid for investments
for processing and/or marketing of
fisheries products,
aid for investments for aquaculture and inland fishing.

legal certainty,

tax exemptions
For
the purpose of
applicable to the whole of
the fisheries sector which
Member States introduce pursuant to Article 15 of the
sixth Council Directive 77/388/EEC of 17 May 1977 on
the harmonisation of
the Member States
the laws of
relating to turnover taxes – Common system of value
added tax: uniform basis of assessment (5), or to Article
14 or Article 15(1) of Council Directive 2003/96/EC of
27 October
the Community
framework for the taxation of energy products and elec-
tricity (6) are,
they constitute State aid,

to the extent

restructuring

2003

(4) OJ L 337, 30.12.1999, p. 10. Regulation as last amended by Regu-

lation (EC) No 1421/2004 (OJ L 260, 6.8.2004, p. 1).

(5) OJ L 145, 13.6.1977, p. 1. Directive as last amended by Directive

2004/66/EC (OJ L 168, 1.5.2004, p. 35).

(6) OJ L 283, 31.10.2003, p. 51. (Directive as last amended by Directive

2004/75/EC (OJ L 157, 30.4.2004, p. 100).

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compatible with the common market and exempt from
the
the notification requirement of Article 88(3) of
Treaty. Tax exemptions which Member States
are
obliged to introduce according to those provisions do
not constitute State aid.

This Regulation should be without prejudice to the possi-
bility for Member States of notifying aid to small and
medium-sized enterprises
in the production,
processing and marketing of
fisheries products. Such
notifications will be assessed by the Commission in the
light of this Regulation and on the basis of the Fisheries
Guidelines.

active

Aid that Member States intend to grant in the fisheries
sector but which does not fall within the scope of this
Regulation, or of other Regulations adopted pursuant to
Article 1 of Regulation (EC) No 994/98, should remain
subject to the notification requirement of Article 88(3) of
the Treaty. Such aid will be assessed in the light of the
Fisheries Guidelines. This is in particular the case for aid
for fleet renewal and for the equipment or modernisation
of fishing vessels, for aid for financial compensation for
the temporary cessation of fishing activities, for aid to
permanent transfer of fishing vessels to a third country,
for income aid and operating aid, for aid to make good
damage caused by natural disaster or exceptional occur-
rences.

This Regulation should exempt any aid that meets all the
requirements it lays down, and any aid scheme, provided
that any aid that could be granted under such scheme
meets all the relevant requirements of this Regulation.
Aid schemes and individual grants outside any aid
scheme should contain an express reference to this Regu-
lation.

In the interests of coherence with Community-financed
support measures, the ceilings of aid covered by this
Regulation should be equal to those fixed for the same
kind of aid in Regulation (EC) No 2792/1999.

It is essential that no aid is granted in circumstances
where Community law, and in particular rules of the
Common Fisheries Policy, are not complied with. An
aid may therefore only be granted by a Member State
in the fisheries sector if the measures financed and their
effects comply with Community law. Before granting any
aid, Member States should therefore ensure that benefi-
ciaries of State aid comply with the rules of the Common
Fisheries Policy.

accordance with

In
the
Commission, and with a view to ensuring that aid is
proportionate and limited to the amount necessary,

established

practice

of

(8)

(9)

(10)

(11)

(12)

(13)

(14)

(15)

(16)

thresholds should normally be expressed in terms of aid
intensities in relation to a set of eligible costs, rather than
in terms of maximum aid amounts.

In view of the need to strike the appropriate balance
between minimising distortions of competition in the
it
aided sector and the objectives of
should not exempt
individual grants which exceed a
fixed maximum amount, whether or not made under
an aid scheme exempted by this Regulation.

this Regulation,

In order to eliminate differences that might give rise to
distortions of competition and to facilitate coordination
initiatives
between different Community and national
concerning small and medium-sized enterprises, the defi-
nition of ‘small and medium-sized enterprises’ used in
this Regulation should be that laid down in Regulation
(EC) No 70/2001.

In order to determine whether or not aid is compatible
with the common market pursuant to this Regulation, it
is necessary to take into consideration the aid intensity
and thus the aid amount expressed as a grant equivalent.
The calculation of the grant equivalent of aid payable in
instalments and aid in the form of a soft loan
several
requires the use of market interest rates prevailing at the
time of grant. With a view to a uniform, transparent, and
simple application of the State aid rules, the market rates
for the purposes of this Regulation should be deemed to
be the reference rates, provided that, in the case of a soft
loan, the loan is backed by normal security and does not
involve abnormal risks. The reference rates should be
those which are periodically fixed by the Commission
on the basis of objective criteria and published in the
Official Journal of the European Union and on the Internet.

(17) Having regard to Article 87(3)(c) of

the

in order

the Treaty, aid
should not normally have the sole effect of continuously
or periodically reducing the operating costs which the
beneficiary would normally have to bear, and should
be proportionate to the handicaps that have to be
overcome
socio-economic
to secure
benefits deemed to be in the Community interest. State
aid measures which simply seek to improve the financial
situation of producers but which in no way contribute to
the sector, and in particular aid
the development of
which is granted solely on the basis of price, quantity,
unit of production or unit of the means of production is
considered to constitute operating aid which is incom-
patible with the common market. Furthermore, such aid
is also likely to interfere with the mechanisms of the
common organisations of the markets.
It is therefore
appropriate to limit the scope of this Regulation to aid
for investments, as well as to aid for certain socio-
economic measures.

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In order to ensure that the aid is necessary and acts as an
incentive to develop certain activities,
this Regulation
should not exempt aid for activities in which the bene-
ficiary would already engage under market conditions
alone. No aid should be granted in respect of activities
which have already been undertaken.

(23)

It is appropriate to lay down transitional provisions for
notifications pending on the date of entry into force of
this Regulation and for aid which was granted before the
entry into force of this Regulation and was not notified
in breach of the obligation in Article 88(3) of the Treaty,

(18)

(19)

(20)

(21)

local

This Regulation should not exempt aid cumulated with
including aid granted by national,
other State aid,
regional or
support
granted within the framework of Regulation (EC) No
in relation
2792/1999 or with Community assistance,
to the same eligible costs, when such cumulation
exceeds the thresholds fixed in that Regulation.

authorities, with public

In order to ensure transparency and effective monitoring,
in accordance with Article 3 of Regulation (EC) No
994/98, it is appropriate to establish a standard format
in which Member States should provide the Commission
with summary information whenever,
in pursuance of
this Regulation, an aid scheme is implemented or an
individual aid outside such schemes is granted, with a
the
view to publication in the Official
European Union. For the same reasons, it is appropriate
to establish rules concerning the records that Member
States should keep regarding the aid exempted by this
Regulation. For the purposes of the annual report to be
it is
submitted to the Commission by Member States,
appropriate for the Commission to establish its specific
the wide availability of
requirements.
the
necessary technology,
the summary information and
the annual report should be in computerised form.

In view of

Journal

of

Failure by a Member State to comply with the reporting
obligations established in this Regulation may make it
impossible for the Commission to perform its moni-
toring task under Article 88(1) of the Treaty and,
in
particular, to assess whether the cumulative economic
the aid exempted under this Regulation is
effect of
such as to adversely affect
trading conditions to an
extent contrary to the common interest. It is therefore
of primary importance that the Member States rapidly
submit appropriate information when implementing aid
is particularly necessary to
under
evaluate the cumulative effect of State aid where the
same beneficiary may receive aid granted by several
sources.

this Regulation.

It

(22) Having regard to the Commission’s experience in this
area, and in particular the frequency with which it is
generally necessary to revise State aid policy, it is appro-
priate to limit the period of application of this Regu-
lation. Should this Regulation expire without being
extended, aid schemes already exempted by this Regu-
lation should continue to be exempt for six months.

HAS ADOPTED THIS REGULATION:

CHAPTER 1

SCOPE, DEFINITIONS AND CONDITIONS

Article 1

Scope

1.
This Regulation shall apply to aid granted to small and
medium-sized enterprises active in the production, processing
or marketing of fisheries products.

2.

This Regulation shall not apply to:

(a) aid to export-related activities, namely aid directly linked to
the quantities exported, to the establishment and operation
of a distribution network or to other current expenditure
linked to the export activity;

(b) aid contingent upon the use of domestic over imported

goods.

3.
This Regulation shall not apply to aid for individual
projects with eligible expenses in excess of EUR 2 million, or
where the amount of aid exceeds EUR 1 million per beneficiary
per year.

Article 2

Definitions

For the purpose of this Regulation, the following definitions
shall apply:

1.

‘aid’, means any measure fulfilling all the criteria laid down
in Article 87(1) of the EC Treaty;

2.

3.

‘fisheries product’, means both products caught at sea or in
inland waters and the products of aquaculture listed in
Article 1 of Council Regulation (EC) No 104/2000 (1);

‘processing and marketing’, means all operations, including
handling, treatment, production and distribution, between
the time of landing or harvesting and the end-product stage;

4.

‘small and medium-sized enterprises’ (SMEs), means enter-
prises as defined in Annex I to Regulation (EC) No 70/2001.

(1) OJ L 17, 21.1.2000, p. 22.

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Article 3

Conditions for exemption

from the notification requirement of Article 88(3) of the Treaty
provided that:

fulfilling all

Individual aid outside any scheme,

1.
the
this Regulation, shall be compatible with the
conditions of
common market within the meaning of Article 87(3)(c) of the
Treaty and shall be exempt from the notification requirement of
Article 88(3) of the Treaty provided that the summary infor-
mation provided for in Article 16(1) of this Regulation has been
submitted and that
it contains an express reference to this
Regulation, by citing its title and publication reference in the
Official Journal of the European Union.

2.
Aid schemes fulfilling all the conditions set out in this
Regulation shall be compatible with the common market
within the meaning of Article 87(3)(c) of the Treaty and shall
be exempt from the notification requirement of Article 88(3) of
the Treaty provided that:

(a) any aid that could be awarded under such scheme fulfils all

the conditions set out in this Regulation;

(b) the scheme contains an express reference to this Regulation,
by citing its title and publication reference in the Official
Journal of the European Union;

(a)

the aid fulfils the conditions of Article 15 of Regulation (EC)
No 2792/1999;

and

(b) the amount of
equivalent,
subsidies
2792/1999 for such aid.

the total

the aid does not exceed,

in subsidy
rate of national and Community
fixed by Annex IV to Regulation (EC) No

Article 5

Aid for investments in the protection and development of
aquatic resources

Aid for investments in the protection and development of
shall be compatible with the common
aquatic resources
market within the meaning of Article 87(3)(c) of the Treaty
and shall be exempt
from the notification requirement of
Article 88(3) of the Treaty provided that:

(a)

the aid fulfils the conditions of Article 13 of, and points 2
and 2(1) of Annex III to Regulation (EC) No 2792/1999;

(c)

the summary information provided for in Article 16(1) of
this Regulation has been submitted.

and

Aid granted under the schemes referred to in paragraph 2
3.
shall be compatible with the common market within the
meaning of Article 87(3)(c) of the Treaty and shall be exempt
from the notification requirement of Article 88(3) of the Treaty
provided that the aid granted directly fulfils all the conditions of
this Regulation.

4.
Before granting any aid under this Regulation, Member
States shall verify that the measures financed and their effects
comply with Community law. During the grant period, Member
States shall verify that the beneficiaries of the aid comply with
the rules of the Common Fisheries Policy.

CHAPTER 2

CATEGORIES OF AID

Article 4

(b) the amount of
equivalent,
subsidies
2792/1999 for such aid.

the total

the aid does not exceed,

in subsidy
rate of national and Community
fixed by Annex IV to Regulation (EC) No

Article 6

Aid for investments for innovative measures and technical
assistance

1.
Aid for investments for innovative measures and technical
assistance shall be compatible with the common market within
the meaning of Article 87(3)(c) of
the Treaty and shall be
exempt from the notification requirement of Article 88(3) of
the Treaty provided that:

(a)

the aid fulfils the conditions of Article 17 of Regulation (EC)
No 2792/1999;

Aid for producer groups or associations or members of the
trade

and

Aid for the constitution and for the operation of producer
groups or producer associations, and aid for measures imple-
mented by such groups or associations or by members of the
trade, shall be compatible with the common market within the
meaning of Article 87(3)(c) of the Treaty and shall be exempt

(b) the amount of
equivalent,
subsidies
2792/1999 for such aid.

the total

the aid does not exceed,

in subsidy
rate of national and Community
fixed by Annex IV to Regulation (EC) No

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Aid for investments for innovative measures and technical
2.
assistance shall be excluded from the scope of paragraph 1 if
they relate to the usual operating expenditure of the beneficiary.

the Treaty and shall be
the meaning of Article 87(3)(c) of
exempt from the notification requirement of Article 88(3) of
the Treaty provided that:

Article 7

Aid for investments for promotion and advertising of
fisheries products

(a)

the aid complies with the conditions laid down in Article
13 of, and points 2 and 2(3) of Annex III to Regulation
(EC) No 2792/1999,

Aid for investments for promotion and advertising of fisheries
products shall be compatible with the common market within
the meaning of Article 87(3)(c) of
the Treaty and shall be
exempt from the notification requirement of Article 88(3) of
the Treaty provided that:

(b)

(a)

the aid concerns an entire sector or product or group of
products in such a way that
it does not promote the
products of one or more specific undertakings,

(b) the aid complies with the conditions laid down in Article
14 of, and point 3 of Annex III to Regulation (EC) No
2792/1999;

and

(c)

in subsidy
the amount of
equivalent,
rate of national and Community
subsidies fixed by Annex IV to that Regulation for such aid.

the aid does not exceed,

the total

and

the amount of
equivalent,
subsidies
2792/1999 for such aid.

the aid does not exceed,

in subsidy
rate of national and Community
fixed by Annex IV to Regulation (EC) No

the total

Article 10

Aid for the permanent cessation of
fishing activities
through the scrapping of a fishing vessel or its reas-
signment for a non profitable purpose other than fishing

Aid for the scrapping of fishing vessels or aid for the permanent
reassignment of
fishing vessels for non profitable purposes
other
than fishing shall be compatible with the common
market within the meaning of Article 87(3)(c) of the Treaty
and shall be exempt
from the notification requirement of
Article 88(3) of the Treaty provided that:

(a)

the aid fulfils the conditions laid down in Article 7 of, and
point 1(1) of Annex III to Regulation (EC) No 2792/1999;

Article 8

Aid for investments in processing and marketing

and

Aid for investments in the processing and marketing of fisheries
products shall be compatible with the common market within
the meaning of Article 87(3)(c) of
the Treaty and shall be
exempt from the notification requirement of Article 88(3) of
the Treaty provided that:

(a)

the aid complies with the conditions laid down in Article
13 of, and points 2 and 2(4) of Annex III to Regulation (EC)
No 2792/1999;

and

(b) the amount of
equivalent,
subsidies
2792/1999 for such aid.

the total

the aid does not exceed,

in subsidy
rate of national and Community
fixed by Annex IV to Regulation (EC) No

Article 9

Aid for investments in fishing port facilities

the total

the aid does not exceed,

(b) the amount of
equivalent,
subsidies
2792/1999
2370/2002 (1) for such aid.

in subsidy
rate of national and Community
fixed by Annex IV to Regulation (EC) No
(EC) No

Regulation

Council

by

or

Article 11

Aid for investments in the aquaculture and inland fishing
sectors

Aid for investments in the aquaculture and inland fishing
sectors shall be compatible with the common market within
the meaning of Article 87(3)(c) of
the Treaty and shall be
exempt from the notification requirement of Article 88(3) of
the Treaty provided that:

(a)

the aid fulfils the conditions laid down in Article 13 of, and
points 2, 2(2) and 2(5) of Annex III to Regulation (EC) No
2792/1999;

Aid for investments in fishing port facilities intended to assist
landing operations and the provision of supplies to fishing
vessels shall be compatible with the common market within

and

(1) OJ L 358, 31.12.2002, p. 57.

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(b) the amount of
equivalent,
subsidies
2792/1999 for such aid.

the total

the aid does not exceed,

in subsidy
rate of national and Community
fixed by Annex IV to Regulation (EC) No

Article 12

Socio-economic measures

fishermen and individual

Early retirement aid for
flat-rate
premiums in compliance with the provisions of Article 12(1)
and (2), Article 12(3)(a), (b) and (c), and Article 12(4)(a) to (e)
of, and Annex III to Regulation (EC) No 2792/1999 shall be
compatible with the common market within the meaning of
Article 87(3)(c) of the Treaty and shall be exempt from the
the Treaty
notification requirement of Article 88(3) of
provided that
in
subsidy equivalent, the total rate of national and Community
subsidies fixed by Annex IV to that Regulation for such aid.

the aid does not exceed,

the amount of

Article 13

Tax exemptions in accordance with Directives 77/388/EEC
and 2003/96/EC

Tax exemptions applicable to the whole of the fisheries sector
which Member States introduce pursuant
to Article 15 of
Directive 77/388/EEC or pursuant
to Article 14 or Article
15(1) of Directive 2003/96/EC, shall, to the extent that they
constitute State aid, be compatible with the common market
and exempt from the notification requirement of Article 88(3)
of the Treaty.

CHAPTER 3

COMMON AND FINAL PROVISIONS

Article 14

Steps preceding grant of aid

1.
In order to qualify for exemption under this Regulation,
aid under an aid scheme shall only be granted in respect of
activities undertaken or services received after the aid scheme
has been set up and published in accordance with this Regu-
lation.

If the aid scheme creates an automatic right to receive the aid,
requiring no further action at administrative level, the aid itself
may only be granted after the aid scheme has been set up and
published in accordance with this Regulation.

If the aid scheme requires an application to be submitted to the
competent authority concerned,
the aid itself may only be
granted after the following conditions have been fulfilled:

(b) an application for

the aid must have been properly

submitted to the competent authority concerned;

(c)

the application must have been accepted by the competent
authority concerned in a manner which obliges
that
authority to grant the aid, clearly indicating the amount
of aid to be granted or how this amount is to be calculated;
such acceptance by the competent authority may only be
made if the budget available for the aid or aid scheme is not
exhausted.

2.
In order to qualify for exemption under this Regulation,
individual aid outside any aid scheme shall only be granted in
respect of activities undertaken or services received after the
conditions in points (b) and (c) of the third subparagraph of
paragraph 1 have been satisfied.

Article 15

Cumulation

Aid exempted by this Regulation shall not be cumulated with
any other State aid within the meaning of Article 87(1) of the
Treaty in relation to the same eligible costs, if such cumulation
would result in an aid intensity or aid amount exceeding the
ceilings laid down in this Regulation.

Article 16

Transparency and monitoring

1.
At the latest 10 working days before the entry into force
of an aid scheme, or the granting of individual aid outside any
scheme, exempted by this Regulation, Member States shall
forward to the Commission, with a view to its publication in
the European Union, a summary of the
the Official
information regarding such aid scheme or individual aid in
computerised form and as laid down in Annex I. Within five
working days from receiving that summary, the Commission
shall send a notice of receipt with an identification number
and publish the summary on the internet.

Journal of

2. Member States shall maintain detailed records regarding
the aid schemes exempted by this Regulation, the individual aid
granted under those schemes, and the individual aid exempted
is granted outside any existing aid
by this Regulation that
scheme. Such records shall contain all
information necessary
to establish that the conditions for exemption, as laid down
in this Regulation, are fulfilled,
including information on the
status of the company as an SME.

(a)

the aid scheme must have been set up and published in
accordance with this Regulation;

Member States shall keep a record regarding an individual aid
for 10 years from the date on which it was granted and,
regarding an aid scheme,
for 10 years from the date on
which the last individual aid was granted under such scheme.

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On written request, the Member State concerned shall provide
the Commission, within a period of 20 working days or such
longer period as may be fixed in the request, with all
the
information which the Commission considers necessary to
this Regulation have been
assess whether the conditions of
complied with.

it

results

this Regulation is granted if

3. Member States shall make sure that no aid exempted
under
in an aid
intensity or aid amount exceeding the ceilings laid down in
this Regulation. For that purpose, Member States shall either
obtain from the enterprise concerned full
information about
other similar aid received or operate a monitoring system
which makes it possible to calculate the total amount of aid
received by a beneficiary of aid exempted by this Regulation,
including any aid paid at different levels of the Member State
concerned, and any Community support the beneficiary may
receive.

4. Member States shall compile a report on the application
of this Regulation in respect of each whole or part calendar year
during which this Regulation applies, in computerised form and
as laid down in Annex II. This report may be integrated into the
annual report to be submitted by Member States pursuant to
Article 21(1) of Council Regulation (EC) No 659/1999 (1), and
shall be submitted by 30 March of
the year following the
calendar year covered by the report.

5.
As soon as an aid scheme enters into force, or an indi-
vidual aid is granted outside an aid scheme exempted by this
Regulation, Member States shall publish on the internet the full
text of such aid scheme, or the criteria and conditions under
the
which such individual aid is granted. The address of
websites shall be communicated to the Commission together
with the summary of
the information regarding the aid
required pursuant to paragraph 1. It shall also be contained
in the annual report submitted pursuant to paragraph 4.

Article 17

Transitional Provisions

1.
Notifications pending at the time of entry into force of
this Regulation shall be assessed in accordance with its
provisions. Where the conditions of this Regulation are not
fulfilled, the Commission shall examine such pending notifi-
cations under the Guidelines for the examination of state aid
to fisheries and aquaculture.

Individual aid and aid schemes implemented before the date of
entry into force of this Regulation and aid granted under these
schemes in the absence of a Commission authorisation and in
breach of the notification requirement of Article 88(3) of the
Treaty shall be compatible with the common market within the
meaning of Article 87(3)(c) of the Treaty and shall be exempt if
they fulfil the conditions laid down in Article 3 of this Regu-
lation, except the requirements in paragraph 1 and paragraph
2(b) and (c) of that Article that express reference be made to
this Regulation and that the summary information has been
provided. Any aid which does not fulfil those conditions shall
be assessed by the Commission in accordance with the relevant
frameworks, guidelines, communications and notices.

2.
Aid schemes exempted under this Regulation shall remain
exempt during an adjustment period of six months following
the date provided for in the second paragraph of Article 18.

Article 18

Entry into force and applicability

This Regulation shall enter into force on 1 November 2004.

It shall apply until 31 December 2006.

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

Done at Brussels, 8 September 2004.

For the Commission

Franz FISCHLER
Member of the Commission

(1) OJ L 83, 27.3.1999, p. 1.

L 291/10

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Official Journal of the European Union

14.9.2004

ANNEX I

Form of summary information to be provided whenever an aid scheme exempted by this Regulation is imple-
mented and whenever an individual aid exempted by this Regulation is granted outside any aid scheme

Summary information on State aid granted in conformity with Commission Regulation (EC) No …/2004.

Summary information to be filled in.

Explanatory remarks.

Member State.

Region (indicate the name of the region if the aid is granted by a subcentral authority).

Title of aid scheme or name of company receiving an individual aid (indicate the name of the aid scheme or in the case of
individual aid, the name of the beneficiary).

Legal basis (indicate the precise national legal reference for the aid scheme or for the individual aid).

Annual expenditure planned under the scheme or overall amount of individual aid granted to the company (amounts are
to be given in euro or, if applicable, national currency). In the case of an aid scheme, indicate the annual overall amount
of the budget appropriation(s) or the estimated tax loss per year for all aid instruments contained in the scheme. In the
case of an individual aid award: indicate the overall aid amount/tax loss. If appropriate, indicate also for how many years
the aid will be paid in instalments or over how many years tax losses will be incurred. For guarantees in both cases,
indicate the (maximum) amount of loans guaranteed).

Maximum aid intensity (indicate the maximum aid intensity or the maximum aid amount per eligible item).

Date of implementation (indicate the date from which aid may be granted under the scheme or when the individual aid is
granted).

Duration of scheme or individual aid award (indicate the date (year and month) until which aid may be granted under the
scheme or in the case of an individual aid and if appropriate the expected date (year and month) of the last instalment to
be paid).

Objective of aid (it is understood that the primary objective is aid to SME. Indicate the further (secondary) objectives
pursued).

Indicate which one of Articles 4 to 12 is used and the eligible costs covered by the scheme or individual aid.

Sector(s) concerned (indicate whether the scheme applies to the sea fishing sector, and/or to the aquaculture sector, and/or
to the processing and/or marketing sector). Indicate the subsectors where appropriate.

Name and address of the granting authority.

Web address (indicate the internet address where the full text of the scheme or the criteria and conditions under which
individual aid is granted outside of an aid scheme can be found).

Other information.

14.9.2004

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Official Journal of the European Union

L 291/11

ANNEX II

Form of the periodic report to be provided to the Commission

Annual reporting format on aid schemes exempted under a group exemption regulation adopted pursuant to Article 1 of
Council Regulation (EC) No 994/98.

Member States are required to use the format below for their reporting obligations to the Commission under group
exemption regulations adopted on the basis of Council Regulation (EC) No 994/98.

The reports shall also be provided in computerised form.

Information required for all aid schemes exempted under group exemption regulations adopted pursuant to Article 1 of
Council Regulation (EC) No 994/98:

1.

2.

3.

Title of aid scheme

Commission exemption regulation applicable

Expenditure (separate figures have to be provided for each aid instrument within a scheme or individual aid (e.g.
grant, soft loans, etc.). The figures have to be expressed in euro or, if applicable, national currency. In the case of tax
expenditure, annual tax losses have to be reported. If precise figures are not available, such losses may be estimated.

These expenditure figures should be provided on the following basis.

For the year under review indicate separately for each aid instrument within the scheme (e.g. grant, soft loan,
guarantee, etc.):

3.1. amounts committed, (estimated) tax losses or other revenue forgone, data on guarantees, etc. for new assisted
projects. In the case of guarantee schemes, the total amount of new guarantees handed out should be provided;

3.2. actual payments, (estimated) tax losses or other revenue forgone, data on guarantees, etc. for new and current
projects. In the case of guarantee schemes, the following should be provided: total amount of outstanding guar-
antees, premium income, recoveries, indemnities paid out, operating result of the scheme under the year under
review;

3.3. number of assisted projects and/or enterprises;

3.4. estimated overall amount of:

— aid granted to producer groups or associations or members of the trade,

— aid granted for investments for promotion and/or advertising of fisheries products,

— aid granted for investments in the protection and development of aquatic resources,

— aid granted for investments for innovative measures and technical assistance,

— aid granted for investments for fishing port facilities,

— aid granted for socio-economic measures as defined in Article 12,

— aid granted for the permanent cessation of fishing activities as defined in Article 10,

— aid granted for investments in the processing and marketing of quality fisheries products,

— aid granted for investments for aquaculture and inland fishing;

3.5. regional breakdown of amounts under points 3.1. by regions defined as Objective 1 regions and other areas.

4. Other information and remarks.