GovWire

The SAUs role

The Subsidy Advice Unit (SAU) supports public authorities in their decision-making about the design and assessment of certain subsidies referred to it, to help make sure that those decisions are based on a strong assessment of their compliance (Assessment of Compliance) with the requirements of the Subsidy Control Act 2022.

This takes the form of an independent advisory report, that evaluates the public authorities Assessment of Compliance. The SAU publishes its reports on GOV.UK.

The SAUs report is non-binding. Public authorities are responsible for deciding to give a subsidy or make a scheme, based on their own Assessment of Compliance, with the benefit of the SAUs evaluation where applicable.

Further guidance on the role of the Subsidy Advice Unit (SAU), and procedures, can be found in Guidance on the operation of the subsidy control functions of the Subsidy Advice Unit. This guidance should be read alongside BEIS Statutory Guidance, which explains the legal obligations on public authorities under the domestic regime.

What to refer to the SAU

Public authorities can make a referral (request a report) on subsidies or schemes of interest (SSoI). This is a voluntary referral. Public authorities must refer the following subsidies to the SAU (mandatory referrals):

• a subsidy or subsidy scheme of particular interest (SSoPI)
• a subsidy or subsidy scheme called-in by the Secretary of State

The Secretary of State has the power, in certain circumstances, to refer subsidies to the SAU after they have been awarded.

The criteria for identifying SSoI and SSoPI are set out in the Subsidy Control (Subsidies and Schemes of Interest or Particular Interest) Regulations 2022.

How to make a referral to the SAU (request a report)

Requests for a report should be made through the SAUs Public Authority Portal (PAP). The PAP is a dedicated secure, auditable communication channel between the SAU and public authorities.

Public authorities must register for access to the PAP.

Process after submission of a referral

Within 5 working days (beginning on the date the referral is received from the public authority), the SAU will undertake a preliminary assessment to decide whether it will provide a report.

For mandatory referrals, the SAU will assess whether the request contains the required information. For voluntary referrals, the SAU will also decide whether to accept the request, in line with its prioritisation principles.

The SAU will notify the public authority of its decision to accept, reject or decline a request for a report. If the referral is accepted we will publish details on GOV.UK.

Where a request is accepted (and no extension has been agreed with the public authority or the Secretary of State) the SAU will publish a report on GOV.UK within 30 working days and will provide a copy of the report to the public authority and the Secretary of State.

Discuss referrals with the SAU

We encourage public authorities to contact the SAU to discuss their prospective referral in advance of formally submitting a request for a report. Although pre-referral discussions are a voluntary step, they help ensure that the SAU is provided with all the information it needs to evaluate a public authoritys Assessment of Compliance.

The SAU can also support public authorities in identifying the information that should be submitted when the subsidy or scheme is formally referred. Successful pre-referral discussions should reduce the risk that the SAU will reject the request as incomplete.

Public authorities decide when to formally submit a request for a report. We suggest that a public authority contacts the SAU in good time in advance of an anticipated request once their Assessment of Compliance is sufficiently developed. The SAU would welcome a discussion at an early stage about appropriate timings, depending on the specific circumstances of the proposed subsidy or scheme.

Pre-referral discussions are limited to matters that fall within the SAUs remit. In matters relating to the design of subsidies and their assessment, public authorities can request support and guidance from the subsidy control teams listed under additional support on subsidy control requirements. For more information about the scope of the pre-referral discussions, please visit procedural arrangements in the SAU guidance.

Additional support on subsidy control requirements

Details of the subsidy control requirements are set out in BEIS Statutory Guidance, which includes relevant sources of guidance and support.

Public authorities can request support and guidance on the subsidy control requirements from the subsidy control teams at BEIS, the subsidy control teams in the devolved governments and certain other government departments listed in BEIS Statutory Guidance.

Contact Us

Public authorities can email SAU@cma.gov.uk to discuss the preparation of a request.