Risk control SDE++ subsidy applications

Netherlands Enterprise Agency

The algorithm is used to provide an SDE++ grant application with a risk indication. This is done before the application is assessed by an adviser and before a decision on an application is sent.

Last change on 3rd of December 2024, at 15:55 (CET) | Publication Standard 1.0

• Publication category: Other algorithms
• Impact assessment: ...
• Status: In use

General information

Theme

Economy

Begin date

2018-03

Contact information

Via contactformulier: https://www.rvo.nl/onderwerpen/contact/formulier

Link to publication website

Algemene website SDE++: https://www.rvo.nl/subsidies-financiering/sde   Pagina SDE++ Aanvraagronde: https://www.rvo.nl/subsidies-financiering/sde/aanvragen  

Responsible use

Goal and impact

This algorithm helps to speed up the assessment process. As a result, the applicant hears faster whether the grant is awarded or rejected. In case of a positive decision, the applicant can immediately start implementing the project.

Considerations

Thousands of applications are received per round. The algorithm gives each application a risk rating. An adviser then looks at the risks associated with the application. This risk indication speeds up the assessment because it immediately shows where the application is incomplete or incorrect in terms of content. If an application has no risks, a positive decision on the application is automatically created. This is based on the data entered by the applicant.

The alternative is that all applications are reviewed manually by an adviser for completeness and content. That process takes longer, which means applicants also have to wait longer for a decision. With many applications, it then becomes more difficult to assess all applications within the legal deadlines.

Decisions on whether or not to use the algorithm are made per application round. This depends on the number of applications received.

In this working method, we focus on applications up to a certain application amount, within a certain category. Applications for complicated techniques or for higher amounts are always fully assessed.

In addition to the algorithm, a sampling is done. Applications that fall into this sample are fully checked to see if the algorithm works properly.

Human intervention

Each application with a risk rating is reviewed by an adviser. The adviser reviews the item with a risk rating. If the application is not complete or the information is not sufficient, the applicant may be given a chance to provide additional information or explain something. The algorithm never provides an immediate rejection.

Applications for complicated techniques or applications above a certain amount are always assessed entirely by an adviser and not just on the at-risk part. From which application amount this applies is determined per round.

The algorithm is checked with a sample. This checks whether the algorithm gives the right risk indications or whether it needs to be adjusted. It may also be decided not to use the algorithm and to assess all applications manually. This depends on the number of applications received and the results of the sample.

Risk management

Risk: Applications do not receive the correct risk indication

Because applications without a risk indication are not assessed by a consultant, there is a risk that an application will wrongly receive a positive decision. The consequence of a wrongly granted decision is that another project will not receive a decision if there is a budget depletion. An unduly granted decision does not mean that the grant will actually be paid out. Only when all conditions of the realisation phase (phase from receipt of the positive grant decision to operation of production facility) are met, advances are paid. Under this method, we focus on applications up to a certain application amount and applied for in a certain category. Applications for complex techniques and for a high subsidy amount will always be fully assessed.

The algorithm can wrongly give applications a risk indication, resulting in the assessment process taking longer.

To avoid the above risks, the algorithm is checked with a sample. Applications that fall into the sample are assessed integrally by an adviser. The sample is used to test whether the algorithm's rules are chosen correctly and the rules can be tightened. As an outcome of the sample, it can also be decided not to use the algorithm and assess all applications manually.

Legal basis

Handling process assessment of SDE++ application round

Links to legal bases

• Algemene pagina RVO website met alle wet en regelgeving SDE++: https://www.rvo.nl/subsidies-financiering/sde/orienteren/wet-en-regelgeving
• Besluit stimulering duurzame energieproductie en klimaattransitie: https://wetten.overheid.nl/BWBR0022735
• Algemene uitvoeringsregeling stimulering duurzame energieproductie en klimaattransitie: https://wetten.overheid.nl/BWBR0023563
• Regeling aanwijzing categorieën duurzame energieproductie en klimaattransitie (per jaar gepubliceerd): https://zoek.officielebekendmakingen.nl/stcrt-2024-21599.html

Link to Processing Index

https://www.avgregisterrijksoverheid.nl/verwerkingen/uitvoeren-van-de-sde-regeling

Elaboration on impact assessments

For the SDE scheme, personal data are only used for correspondence purposes. No special personal data are processed, with the exception of the bank account number used to make advance payments.

Impact assessment

Zie verwerkingsregister: https://www.avgregisterrijksoverheid.nl/verwerkingen/uitvoeren-van-de-sde-regeling

Operations

Data

- Data from the application forms with accompanying annexes.

On the application form, data on the applicant (name, Chamber of Commerce number, legal form and address details) and (technical and financial) data on the intended installation are entered.

- Details of other applications from previous or the same application round.

Technical design

Risk analysis is a rule-based algorithm that is not self-learning.

The algorithm has the following rules:

• Rules that determine, based on claim and category of the application, whether the application will be tested fully or through risk analysis.
• Rules that check whether the application meets the specific conditions for the relevant category.
• Rules that check an application for completeness. An application is given a risk rating in the absence of a mandatory annex.
• Rules that check an application for substantive points and give it a risk indication if the application needs further substantive assessment.

First, the rules of the algorithm are created. Then the sample is run to check the rules and the rules are tightened based on results from the sample. Then, data analysis is performed based on the rules.

Applications are given a risk rating based on this analysis.

An assessment document is created in the file of all applications in which an application is assessed. The type of assessment document created for a file depends on whether an application is fully assessed or risk-based. For applications that are not given a risk indication after the risk analysis, a document is created with the outcome of the risk analysis. These applications are not further assessed and automatically receive a positive decision on their application.

After an application has been assessed in the assessment document, a decision on the application follows.