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Henry Britton DG Competition – Regional aid* *The views expressed are purely those of the speaker and may not in any circumstances be regarded as stating an official position of the European Commission. Training seminar on State aid Warsaw 25 September 2009. Regional aid. Outline.

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Regional aid


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    1. Henry BrittonDG Competition – Regional aid* *The views expressed are purely those of the speaker and may not in any circumstances be regarded as stating an official position of the European Commission Training seminar on State aidWarsaw25 September 2009 Regional aid

    2. Outline • General notions on regional aid • The regional aid guidelines (RAG) • Regional aid in the GBER • Practical issues • Questions & answers

    3. 1. General notions on regional aid

    4. Regional aid: General notions • Horizontal aid • Cohesion objective (redress disparities) • Link to regional development policy • Systemic (endogenous) or FDI-oriented • Evolutions in EC regional aid approach • Also in other regions of the globe

    5. 2. The regional aid guidelines (RAG)

    6. Structure of the RAG 2007-2013 • Introduction • Scope • Demarcation of regions • Regional investment aid • Operating aid • Aid for newly created enterprises • Transitional arrangements • Regional aid maps and declaration of compatibility • Entry into force, implementation, transparency and review • Annexes

    7. Regional map • For Poland, covers entire territory (100 % of population) • Defines: • the areas eligible for regional aid • the maximum aid intensity in each area • Art. 87(3)(a): • GDP per capita <75 % (in PPS) of Community level • For each NUTS level 2 region

    8. Aid intensities • Large enterprises: • GDP below 45 %: 50 % GGE (10 voivodeships) • GDP below 60 %: 40 % GGE (5 voivodeships) • GDP below 75 %: 30 % GGE (Mazowieckie) • SME bonuses: • Small enterprises: +20 pp GGE • Medium enterprises: +10 pp GGE • (except for transport sector)

    9. Sectoral scope: Exclusions RAG, points 8 and 9: • Sectors not covered by the RAG: • Fisheries, coal industry • No regional (investment) aid for: • Steel industry, synthetic fibres • Types of company excluded: • Firms in difficulty

    10. Sectoral scope: Special rules RAG, point 8: • Agricultural sector: • only for processing and marketing of agricultural products • conditions of the AGRI guidelines must apply • Specific rules (even if applied under the RAG): • Transport, shipbuilding

    11. Sectoral scope: Schemes RAG, point 10: • In principle, regional aid schemes should be multisectoral • Should form part of a regional development strategy with clearly defined objectives • If ad hoc aid, to one firm, or to one sector: need to prove contribution to such strategy

    12. Incentive effect RAG, point 39: • Before start of works on the investment project: • Beneficiary must submit an application for aid • Granting authority must confirm in writing that project, in principle, meets scheme conditions • Aid schemes must mention these conditions • (except automatic tax schemes)

    13. Initial investment • Setting-up of a new establishment • Extension of an existing establishment • Diversification of the output of an establishment into new, additional products • Fundamental change in the overall production process of an existing establishment

    14. Initial investment (2) • No replacement investment • If establishment has closed or would have closed (without the acquisition): • Assets directly linked to the investment • Participation in company (acquisition of shares/equity) not sufficient

    15. Eligible costs • Material assets: • Land, buildings, plant/machinery • Immaterial assets (technology transfer): • Patent rights, licences, know-how, unpatented technical knowledge • For large entreprises: max. 50 % of total eligible costs; for SMEs: no ceiling • Acquired assets should be new

    16. Eligible costs: Existing establishment • Acquisition of existing establishment: • only assets bought from third parties (under market conditions) • If accompanied with new investment: both have to be treated as single investment • Takeover: • Existing (old) assets can be included • Exclude assets for which aid was already granted (before purchase)

    17. Eligible costs: Leasing • Land and buildings: any form of leasing, but lease must continue for 5 years after expected date of completion of investment project (3 years for SMEs) • Other assets: only financial leasing + obligation to purchase assets (or transfer of property) at expery of term of leasing contract

    18. Eligible costs: SMEs • Preparatory studies and consultancy (aid intensity of up to 50 % of costs) • Existing (old) assets can be included

    19. Eligible costs: intangible assets • Must be purchased from third parties under market conditions • Can only be used in the establishment receiving the aid + must remain in the establishment receiving the aid for at least 5 years (3 years for SMEs) • Must be amortizable assets + be included in the assets of the firm

    20. Maintenance conditions • The investment must be kept in the region for at least 5 years after the completion of the project (3 years for SMEs) • Wage costs: • posts must be filled within 3 years of completion of the works • Jobs must be kept in the region for 5 years from when the post was first filled (3 years for SMEs)

    21. Cumulation • Source of aid not relevant: • Local, regional, national, Community • Regional aid can be cumulated with: • Aid under other schemes • Ad hoc aid • De minimis aid

    22. Cumulation (2) • Most favourable ceiling can be used for: • Regional aid based on combination of capital costs + wage costs • Common portion of same eligible costs for which other aid is applicable • But regional aid ceiling must be respected • For schemes, need to specify how cumulation conditions will be ensured

    23. Large investment projects (LIPs) • Investments projects with eligible costs > € 50 mio • Ex post monitoring of projects: > € 50 mio • Rules on single investment project (SIP): • Geographical proximity • Technical, function and strategic links

    24. Adjusted aid ceilings

    25. Notification of LIPs • Must be notified if the aid exceeds the maximum aid that a project of € 100 mio could receive (adjusted aid) • If below notification threshold: can be implemented directly (EC informed within 20 wd)

    26. In-depth assessment of LIPs • For projects with aid > notification threshold • If: • Market share of beneficiary > 25 % (before or after the investment) • Production capacity increase > 5 % if in a market in decline • Opening of the formal investigation procedure

    27. LIPs guidance communication • Positive effects: • Contribution to regional economic development (objective of the aid), appropriateness of the aid instrument (necessity), incentive effect, proportionality • Negative effects: • Market power, inefficient market structures, negative effect on trade • Balancing test: effects on trade

    28. 3. Regional aid in the GBER

    29. Założenie • Zwolnienie z obowiązku zgłoszenia do Komisji środków, które spełniają wszystkie warunki Wyłączenia dot. pomocy regionalnej

    30. Przepisy przejściowe Pkt 66 Rozporządzenia: • Wraz z uchyleniem rozporządzenia (WE) nr 1628/2006 możliwa będzie dalsza realizacja istniejących wyłączonych programów regionalnej pomocy inwestycyjnej na warunkach przewidzianych w rozporządzeniu 1628.

    31. Zakres • Stosuje się doprzejrzystych programów pomocy regionalnej • Pomocy ad hocwykorzystywanej jako uzupełnienie pomocy przyznanej w oparciu o przejrzysty program regionalnej pomocy (do 50% całkowitej kwoty pomocy)

    32. Pomoc nieprzejrzysta • Programy regionalnej pomocy inwestycyjnej, w przypadku których, nie jest możliwe dokładne wyliczenie ex ante ekwiwalentu dotacji brutto jako odsetka wydatków kwalifikowanych bez potrzeby przeprowadzania oceny ryzyka • ALE: • Jeżeli Komisja zatwierdzi metodologię użytą do obliczenia intensywności pomocy możliwe będzie stosowanie Wyłączenia także do takich instrumentów

    33. Pomoc przejrzysta - zmiany • dla MŚP: możliwość zastosowania obwieszczenia Komisji w sprawie zastosowania art. 87 i 88 TWE do pomocy państwowej w formie gwarancji; • pożyczki niezabezpieczone – odniesienie do stopy referencyjnej obowiązującej w dniu przyznania pomocy • Zaliczki zwrotne – jeżeli całkowita kwota zaliczki nie przekracza dopuszczalnego pułapu pomocy • Wyjątki od „nieprzejrzystości” pomocy w formie dokapitalizacji oraz kapitału podwyższonego ryzyka

    34. RSWG – część regionalna • Nie stosuje się do: • Innego rodzaju pomocy ad hoc aid • Programów nieprzejrzystych • Programów sektorowych – [turystyka] • Dużych projektów inwestycyjnych, które podlegają obowiązkowi indywidualnego zgłoszenia • Programów pomocy operacyjnej

    35. Warunki udzielania pomocy • Bliskie warunkom określonym w Wytycznych 2007 -2013 i poprzedniego Rozporządzenia 1628/2006; ALE: • Rozszerzenie zakresu środków nieprzejrzystych • Włączenie pomocy dla nowoutworzonych przedsiębiorstw (+ zasada 12 miesięcy) • Uproszczona definicja „zagrożonego” przedsiębiorstwa – (dla MŚP) • Rozszerzenie kosztów kwalifikowanych w przypadku pomocy na utworzenie nowych miejsc pracy (świadczenia dodatkowe) oraz warunki dotyczące kosztów niematerialnych • Rozszerzenie pojęcia inwestycji początkowej na „przekazanie” przedsiębiorstwa w rodzinie lub pracownikom • Definicja sektora turystycznego • EFEKT BODŹCA (dla dużych oraz małych przedsiębiorstw)

    36. Obowiązek monitorowania • W ciągu 20 dni roboczych przesyłanie Komisji informacji zbiorczej dotyczącej tego rodzaju pomocy w standardowej formie określonej w załączniku I do Wyłączenia. • M.in. programy powinny zawierać bezpośrednie odwołanie do Wyłączenia, informacja zbiorcza musi zawierać adres internetowy publikacji • Prowadzenie szczegółowej dokumentacji przez 10 lat • Obowiązek monitorowania dla dużych projektów inwestycyjnych, które nie podlegają obowiązkowi indywidualnego zgłoszenia • Obowiązek składania dorocznych raportów • SUROWE KONSEKWENCJE braku współpracy (Art. 12 ust. 3)

    37. 4. Practical issues

    38. Does the measure contain State aid? YES NO Does it fit under an existing approved scheme? No need to notify the measure to the Commission YES: ensure that individual aid complies with existing scheme NO Can it be applied under a block exemption regulation (incl. de minimis)? YES NO De minimis: implement under de minimis conditions GBER/(BER): implement + send summary information to the Commission Notify to the Commission Steps

    39. Procedures • Granting authority prepares notification forms • Relevant ministry sends notification electronically via SANI system • Perm. Rep. in Brussels = main contact point for the Commission • Commission examines notification and has 2 months to reach formal decision: • No aid • No objections • Opening of formal investigation procedure • Negative decision (with or without recovery)

    40. Procedures (2) • Duration: in practice 4-6 months in average, due to need for additional info / questions • Other possibilities: • Notification for legal certainty • Pre-notification • New procedures • Best Practices Code • Simplified Notification

    41. Documents to be notified • Regional aid schemes or individual aid below notification threshold: • Parts I & II • Form III.4 • Large investment projects above notification threshold: • Parts I & II • Form III.4 • Form III.5 (+ relevant documents)

    42. 5. Questions & answers

    43. Q1. How to calculate the total planned yearly budget of the aid program in case the duration of the program exceeds 1 year and the amounts spent on the basis of the program each year differ?

    44. Q2. Which of the following types of costs constitute eligible cost for the purposes of application of Article 13 in case of investment in tangible assets (land, buildings, machines and other equipment): • Cost of supervision (including construction supervision, author's supervision) • Cost of plans and projects (eg. construction plan, executive plan)