Brussels, 15 Sep 2006

The State Aid Action Plan adopted in June 2005 stated that the Commission would consider to create a Framework for R&D and Innovation. When prolonging the Community Framework for State aid for Research and Development in December 2005, the Commission had announced that all interested parties would receive an opportunity to submit comments with regard to the revision of the R&D-rules. Accordingly, a draft of the Community Framework for State Aid for Research and Development and Innovation was published on 20 April 2006, in order to give all interested parties the opportunity to submit comments on the measures proposed therein. Following this first consultation, a new draft has been published. Stakeholders have until 13 October 2006 to send comments to the Commission.

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Table of Contents

1. INTRODUCTION 4

• 1.1. Objectives of State aid for Research and Development and Innovation 4

• 1.2. State aid policy and R&D&I 4

• 1.3. The balancing test for aid to Research and Development and Innovation 6
  • 1.3.1. The State Aid Action Plan: less and better targeted aid, balancing test for the assessment of aid 6

  • 1.3.2. Market failures 7

  • 1.3.3. Appropriate instrument 8

  • 1.3.4. Incentive effect and necessity of aid 8

  • 1.3.5. Proportionality of the aid 8

  • 1.3.6. Negative effects of the aid to R&D&I must be limited so that the overall balance is positive 8

2. SCOPE OF APPLICATION AND DEFINITIONS 10

• 2.1. Scope of application of the framework 10

• 2.2. Definitions 11

3. STATE AID WITHIN THE MEANING OF ARTICLE 87 (1) OF THE EC TREATY 13

• 3.1. Public research organisations and innovation intermediaries as recipients of State aid in the meaning of Article 87 (1) of the EC Treaty 13
  • 3.1.1. Public funding of non-economic activities 13

  • 3.1.2. Public funding of economic activities 13

4. COMPATIBILITY OF AID UNDER ARTICLE 87 (3)(B) OF THE EC TREATY 15

5. COMMISSION ASSESSMENT OF THE COMPATIBILITY OF AID UNDER ARTICLE 87(3) (C) OF THE EC TREATY 16

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• 5.1. Conditions for compatibility applying to all measures 16
  • 5.1.1. Different degrees of analysis 16

  • 5.1.2. Incentive effect and necessity of aid 17

  • 5.1.3. Proportionality 18

  • 5.1.4. Measures subject to a detailed assessment 18

6. COMPATIBILITY OF AID SUBJECT TO A DETAILED ASSESSMENT 28

• 6.1. Methodology of the detailed assessment: R&D&I criteria for economic assessment of certain individual cases 29

• 6.2. Positive effects of the aid 29
  • 6.2.1. Existence of a market failure 29

  • 6.2.2. Appropriate Instrument 30

  • 6.2.3. Incentive effect and necessity of aid 30

  • 6.2.4. Proportionality of the aid 31

6.4. Balancing and decision 34

7. CUMULATION 34

8. SPECIAL RULES FOR AGRICULTURE AND FISHERIES 34

9. FINAL PROVISIONS 35

• 9.1. Monitoring and reporting 35

• 9.2. Appropriate Measures 37

• 9.3. Entry into force, validity and revision 37

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19 July 2006

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10 July 2006

21 April 2006

20 April 2006

17 March 2006

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3 February 2006

14 June 2005

7 June 2005

7 June 2005

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7 June 2005