Diretiva do sistema de comércio de emissões

Revisão para a fase 4 (2021-2030)

A Comissão Europeia apresentou em julho de 2015 uma proposta legislativa para rever o sistema de comércio de licenças de emissão da UE (EU ETS) para o período após 2020.

Este é o primeiro passo para cumprir o objectivo da UE de reduzir as emissões de gases com efeito de estufa em pelo menos 40% até 2030, em conformidade com o quadro da política climática e energética de 2030 e como parte da sua contribuição para o Acordo de Paris.

Aumentando o ritmo dos cortes de emissões.

Para atingir o objectivo de pelo menos 40% da UE, os sectores abrangidos pelo RCLE têm de reduzir as suas emissões em 43% em relação a 2005.

Para este efeito, o número total de licenças de emissão diminuirá a uma taxa anual de 2,2% a partir de 2021, em comparação com 1,74% atualmente.

Isso equivale a uma redução adicional de emissões nos setores abrangidos pelo RCLE de cerca de 556 milhões de toneladas ao longo da década - equivalente às emissões anuais do Reino Unido.

Melhores regras de fuga de carbono.

A proposta desenvolve ainda regras previsíveis, robustas e justas para lidar com o risco de vazamento de carbono.

Rever o sistema de atribuição gratuita para concentrar-se nos sectores com maior risco de deslocalizar a sua produção para fora da UE - cerca de 50 sectores no total Um número considerável de licenças gratuitas para instalações novas e em crescimento Regras mais flexíveis para melhor alinhar o montante das licenças gratuitas com dados de produção Atualização dos benchmarks para refletir os avanços tecnológicos desde 2008.

Espera-se que cerca de 6,3 bilhões de licenças sejam alocadas gratuitamente às empresas no período 2021-2030.

Financiamento da inovação de baixo carbono e modernização do setor energético.

Vários mecanismos de apoio serão estabelecidos para ajudar a indústria e os setores de energia a enfrentar os desafios de inovação e investimento da transição para uma economia de baixo carbono.

Estes incluem dois novos fundos:

Fundo de Inovação - alargar o apoio existente à demonstração de tecnologias inovadoras para inovar a inovação na indústria. Fundo de Modernização - facilitar os investimentos na modernização do setor energético e dos sistemas energéticos em geral e aumentar a eficiência energética em 10 Estados-Membros de rendimento mais baixo.

Subsídios gratuitos continuarão a estar disponíveis para modernizar o setor de energia nesses países de baixa renda.

Entrada das partes interessadas.

As partes interessadas estiveram envolvidas em várias etapas no desenvolvimento desta proposta.

Consultas extensas foram realizadas em 2014, incluindo.

Na sequência destas consultas e da análise dos objetivos da política climática da UE para 2030, a Comissão realizou uma avaliação de impacto.

A proposta legislativa foi apresentada ao Parlamento Europeu, ao Conselho, ao Comité Económico e Social e ao Comité das Regiões, para ulterior análise de acordo com o processo legislativo ordinário.

O público teve a possibilidade de fornecer feedback sobre a proposta legislativa depois de esta ter sido adotada pela Comissão Europeia. O feedback foi recebido de 85 partes interessadas e foi apresentado um resumo ao Parlamento Europeu e ao Conselho.

O sistema de comércio de emissões da UE (EU ETS)

O Sistema de Comércio de Emissões da UE foi explicado.

O sistema de comércio de emissões da UE (EU ETS) é uma pedra angular da política da UE para combater as alterações climáticas e o seu instrumento fundamental para reduzir as emissões de gases com efeito de estufa de forma rentável. É o primeiro grande mercado de carbono do mundo e continua sendo o maior deles.

opera em 31 países (todos os 28 países da UE mais a Islândia, Liechtenstein e Noruega) limita as emissões de mais de 11.000 instalações que utilizam energia pesada (centrais elétricas e plantas industriais) e companhias aéreas que operam entre esses países cobrem cerca de 45% das emissões de gases com efeito de estufa da UE emissões.

Para uma visão geral detalhada, consulte:

Um sistema 'cap and trade'.

O EU ETS trabalha no princípio do limite e comércio.

Um limite é definido na quantidade total de certos gases de efeito estufa que podem ser emitidos pelas instalações cobertas pelo sistema. O limite é reduzido ao longo do tempo para que as emissões totais caiam.

Dentro do limite, as empresas recebem ou compram licenças de emissão que podem negociar umas com as outras conforme necessário. Eles também podem comprar quantidades limitadas de créditos internacionais de projetos de redução de emissões em todo o mundo. O limite do número total de permissões disponíveis garante que elas tenham um valor.

Após cada ano, uma empresa deve entregar licenças suficientes para cobrir todas as suas emissões, caso contrário, multas pesadas são impostas. Se uma empresa reduz suas emissões, ela pode manter as licenças de reposição para cobrir suas necessidades futuras ou então vendê-las para outra empresa que não possui licenças.

O comércio traz flexibilidade que garante que as emissões sejam cortadas onde custa menos. Um preço robusto de carbono também promove investimentos em tecnologias limpas e de baixo carbono.

Principais características da fase 3 (2013-2020)

O EU ETS está agora em sua terceira fase - significativamente diferente das fases 1 e 2.

As principais mudanças são:

Aplica-se um único limite de emissões à escala da UE em vez do anterior sistema de limites nacionais O leilão é o método predefinido para atribuição de licenças (em vez de atribuição gratuita) e as regras de atribuição harmonizadas aplicam-se às licenças ainda gratuitas. os gases incluíram 300 milhões de licenças reservadas na New Entrants Reserve para financiar a implantação de tecnologias inovadoras de energia renovável e captura e armazenamento de carbono por meio do programa NER 300.

Setores e gases cobertos.

O sistema cobre os seguintes setores e gases com foco nas emissões que podem ser medidas, reportadas e verificadas com um alto nível de precisão:

dióxido de carbono (CO 2) da geração de energia e calor - setores intensivos em energia, incluindo refinarias de petróleo, siderúrgicas e produção de ferro, alumínio, metais, cimento, cal, vidro, cerâmica, polpa, papel, papelão, ácidos e produtos químicos orgânicos a granel Óxido nitroso (N 2 O) da aviação comercial a partir da produção de ácidos nítrico, adípico e glioxílico e de perfluorocarbonetos glioxálicos (PFC) a partir da produção de alumínio.

A participação no EU ETS é obrigatória para empresas nestes setores, mas.

em alguns setores, apenas plantas acima de um determinado tamanho são incluídas. Algumas pequenas instalações podem ser excluídas se os governos implementarem medidas fiscais ou outras medidas que reduzirão suas emissões em um valor equivalente no setor de aviação; até 2016, o EU ETS se aplica apenas a vôos entre aeroportos situados no Espaço Económico Europeu (EEE).

Entregando reduções de emissões.

O EU ETS provou que colocar um preço no carbono e comercializá-lo pode funcionar. As emissões das instalações do regime estão a diminuir como previsto - cerca de 5% em comparação com o início da fase 3 (2013) (ver dados de 2015).

Em 2020, as emissões dos setores abrangidos pelo sistema serão 21% menores do que em 2005.

Desenvolvendo o mercado de carbono.

Criado em 2005, o EU ETS é o primeiro e maior sistema internacional de comércio de emissões do mundo, respondendo por mais de três quartos do comércio internacional de carbono.

O EU ETS também está inspirando o desenvolvimento do comércio de emissões em outros países e regiões. A UE pretende ligar o EU ETS a outros sistemas compatíveis.

Legislação principal do EU ETS.

30/04/2014 - Versão consolidada da Directiva 2003/87 / CE do Parlamento Europeu e do Conselho, relativa à criação de um regime de comércio de licenças de emissão de gases com efeito de estufa na Comunidade e que altera a Directiva 96/61 / CE do Conselho 23/04/2009 - Diretiva 2009/29 / CE do Parlamento Europeu e do Conselho que altera a Diretiva 2003/87 / CE no sentido de melhorar e tornar extensivo o regime de comércio de licenças de emissão de gases com efeito de estufa da Comunidade 19/11/2008 - Diretiva 2008/101 / CE do o Parlamento Europeu e o Conselho que altera a Directiva 2003/87 / CE de modo a incluir as actividades da aviação no regime de comércio de licenças de emissão de gases com efeito de estufa na Comunidade 27/10/2004 - Directiva 2004/101 / CE do Parlamento Europeu e do Conselho o Conselho que altera a Directiva 2003/87 / CE, relativa à criação de um regime de comércio de licenças de emissão de gases com efeito de estufa na Comunidade, no âmbito dos mecanismos de projecto do Protocolo de Quioto 13/10/2003 - Directiva 2003/87 / CE do Parlamento Europeu e do Conselho ncil que estabelece um regime de comércio de licenças de emissão de gases com efeito de estufa na Comunidade e altera a Directiva 96/61 / CE do Conselho.

Relatórios do mercado de carbono.

23/11/2017 - COM (2017) 693 - Relatório sobre o funcionamento do mercado europeu do carbono 01/02/2017 - COM (2017) 48 - Relatório sobre o funcionamento do mercado europeu do carbono 18/11/2015 - COM ( 2015) 576 - Relatório sobre o funcionamento do mercado europeu do carbono 14/11/2012 - COM (2012) 652 - A situação do mercado europeu do carbono em 2012.

Revisão do EU ETS para a fase 3.

04/02/2011 - Conclusões do Conselho Europeu de 4 de fevereiro de 2011 (ver conclusões 23 e 24) 18/03/2010 - Orientações sobre a interpretação do anexo I da Diretiva RCLE-UE (excluindo atividades de aviação) 18/03/2010 - Orientação documento para identificação dos geradores de electricidade 06/04/2009 - Comunicado de imprensa do Conselho sobre a adopção do pacote clima-energia 12/12/2008 - Conclusões da Presidência do Conselho Europeu (11 e 12 de Dezembro de 2008) 12/12/2008 - Conselho Europeu Declaração sobre a utilização das receitas dos leilões 23/01/2008 - Proposta de Directiva do Parlamento Europeu e do Conselho que altera a Directiva 2003/87 / CE no sentido de melhorar e alargar o sistema de comércio de licenças de emissão de gases com efeito de estufa da Comunidade 23 / 01/2008 - Documento de trabalho dos serviços da Comissão - Documento de acompanhamento da proposta de diretiva do Parlamento Europeu e do Conselho que altera a Diretiva 2003/87 / CE no sentido de melhorar e alargar o sistema de comércio de licenças de emissão de gases com efeito de estufa - Avaliação de impacto.

Implementação.

04/07/2013 - Projecto de Regulamento Alterado relativo à determinação dos direitos creditórios internacionais 05/06/2013 - Projecto de Regulamento sobre a determinação dos direitos creditórios internacionais 05/05/2013 Regulamento (UE) n. º 389/2013 da Comissão, de 2 de maio de 2013, que cria um Registo da União nos termos do à Diretiva 2003/87 / CE do Parlamento Europeu e do Conselho, Decisões n. º 280/2004 / CE e n. º 406/2009 / CE do Parlamento Europeu e do Conselho e que revoga os Regulamentos (UE) n. º 920/2010 da Comissão e N. ° 1193/2011 Texto relevante para efeitos do EEE 18/11/2011 - Regulamento da Comissão que estabelece um Registo da União para o período de comércio com início em 1 de janeiro de 2013 e os períodos de comércio subsequentes do regime de comércio de emissões da União nos termos da Diretiva 2003/87 / CE Parlamento Europeu e do Conselho e Decisão 280/2004 / CE do Parlamento Europeu e do Conselho e que altera os Regulamentos (CE) n. º 2216/2004 e (UE) n. º 920/2010 - ainda não publicados no Jornal Oficial 07 / 10/2010 - Regulamento da Comissão (UE) no 920/2010 relativa a um sistema de registos normalizado e protegido, em conformidade com a Directiva 2003/87 / CE do Parlamento Europeu e do Conselho e a Decisão no 280/2004 / CE do Parlamento Europeu e do Conselho - versão não incluindo as alterações introduzidas pelo Regulamento de 18 de novembro de 2011 08/10/2008 - Regulamento (CE) n. o 994/2008 da Comissão relativo a um sistema de registos normalizado e protegido, nos termos da Diretiva 2003/87 / CE do Parlamento Europeu e do Conselho e Decisão n. º 280/2004 / CE do Parlamento Europeu e do Conselho - versão aplicável até 31 de Dezembro de 2011 26/10/2007 - Decisão Misto do Comité Misto do EEE n. º 146/2007, que liga o RCLE-UE à Noruega, à Islândia e ao Liechtenstein 13/11 / 2006 - Decisão 2006/780 / CE da Comissão, relativa à redução da duplicação das emissões de gases com efeito de estufa no âmbito do regime comunitário de comércio de licenças de emissão no âmbito do Protocolo de Quioto, nos termos da Directiva 2003/87 / CE do Parlamento Europeu e do Conselho (n sob nº C (2006) 5362) 21/12/2004 - Versão consolidada do Regulamento (CE) nº 2216/2004 da Comissão para um sistema de registos normalizado e protegido, com a redacção que lhe foi dada pelo Regulamento (CE) nº 916/2007 da Comissão, de 31 de Julho 2007, Regulamento (CE) n. o 994/2008 da Comissão, de 8 de Outubro de 2008, e Regulamento (UE) n. o 920/2010 da Comissão, de 7 de Outubro de 2010 - versão sem alterações introduzidas pelo Regulamento de 18 de Novembro de 2011.

Aplicação do IVA.

História da Legislação da Directiva 2003/87 / CE.

Trabalhar antes da proposta da Comissão.

08/02/2000 - COM (2000) 87 - Livro Verde sobre comércio de emissões de gases com efeito de estufa na União Europeia Mandato e resultados do Grupo de Trabalho 1 da ECCP: Mecanismos flexíveis 04/09/2001 - Resumo Resumido do Presidente da reunião de consulta das partes interessadas (com a indústria ONG ambientais e ambientais 19/05/1999 - COM (1999) 230 - Preparação da aplicação do Protocolo de Quioto 03/06/1998 - COM (1998) 353 - Alterações climáticas - Rumo a uma estratégia pós-Quioto da UE Âmbito do RCLE UE : 07/2007 - Pequenas Instalações dentro do Sistema de Comércio de Emissões da UE 10/2006 - Inclusão de atividades e gases adicionais no Sistema de Comércio de Emissões da UE Maior harmonização e maior previsibilidade: 12/2006 - A abordagem para novos entrantes e encerramentos 10/2006 - Leilão de licenças de emissão de CO2 na EU ETS 10/2006 - Harmonização de metodologias de alocação 12/2006 - Relatório sobre a competitividade internacional Grupo de trabalho da ECCP sobre o comércio de emissões na revisão do EU ETS 15/06/2007 - Relatório final da 4ª reunião Ligação em Sistemas de Comércio de Emissões em Terceiros Países 22/05/2007 - Relatório final da 3ª reunião sobre Harmonização Adicional e Previsibilidade Aumentada 26/04/2007 - Relatório Final da 2ª reunião sobre Cumprimento e Cumprimento Robustos 09/03/2007 - Relatório final da primeira reunião sobre o âmbito da directiva.

Proposta da Comissão de Outubro de 2001.

22/01/2002 - Não-documento sobre sinergias entre a proposta de comércio de emissões da CE (COM (2001) 581) e a Directiva IPPC 23/10/2001 - COM (2001) 581 - Proposta de directiva-quadro relativa ao comércio de emissões de gases com efeito de estufa na Comunidade Europeia.

Reacção da Comissão à leitura da proposta no Conselho e no Parlamento (incluindo a posição comum do Conselho)

18/07/2003 - COM (2003) 463 - Parecer da Comissão sobre as alterações do Parlamento Europeu à posição comum do Conselho respeitante à proposta de directiva do Parlamento Europeu e do Conselho 20/06/2003 - COM (2003) 364 - Comunicação da Comissão ao Parlamento Europeu relativa à posição comum do Conselho sobre a adopção de uma directiva que estabelece um regime de comércio de licenças de emissão de gases com efeito de estufa na Comunidade e altera a Directiva 96/61 / CE 18/03/2003 - Posição Comum ) 28.2003 - Posição Comum do Conselho sobre a adopção de uma directiva que estabelece um regime de comércio de licenças de emissão de gases com efeito de estufa na Comunidade e altera a Directiva 96/61 / CE do Conselho 27/11/2002 - COM (2002) 680 - Proposta alterada de directiva do Parlamento Europeu e do Conselho que estabelece um regime de comércio de licenças de emissão de gases com efeito de estufa na Comunidade e altera a Directiva 96/61 / CE do Conselho.

Abra todas as perguntas.

Perguntas e Respostas sobre o Sistema de Comércio de Emissões da UE revisado (dezembro de 2008)

Qual é o objetivo do comércio de emissões?

O objetivo do Sistema de Comércio de Emissões da UE (EU ETS) é ajudar os Estados Membros da UE a cumprir seus compromissos de limitar ou reduzir as emissões de gases de efeito estufa de maneira econômica. Permitir que as empresas participantes comprem ou vendam licenças de emissão significa que os cortes de emissões podem ser alcançados pelo menos pelo custo.

O EU ETS é a pedra angular da estratégia da UE para combater as alterações climáticas. É o primeiro sistema internacional de comércio de emissões de CO 2 no mundo e está em funcionamento desde 2005. A partir de 1 de Janeiro de 2008, aplica-se não só aos 27 Estados-Membros da UE, mas também aos outros três membros do Espaço Económico Europeu. - Noruega, Islândia e Liechtenstein. Actualmente, abrange mais de 10 000 instalações nos sectores da energia e da indústria, que são colectivamente responsáveis ​​por quase metade das emissões de CO 2 da UE e por 40% das suas emissões totais de gases com efeito de estufa. Uma emenda à Diretiva EU ETS, acordada em julho de 2008, trará o setor da aviação para o sistema a partir de 2012.

Como funciona o comércio de emissões?

O EU ETS é um sistema de limite e comércio, ou seja, ele limita o nível geral de emissões permitidas, mas, dentro desse limite, permite que os participantes do sistema comprem e vendam licenças conforme necessário. Essas permissões são a "moeda" de negociação comum no coração do sistema. Uma licença concede ao titular o direito de emitir uma tonelada de CO 2 ou a quantidade equivalente de outro gás com efeito de estufa. O teto do número total de permissões cria escassez no mercado.

No primeiro e segundo período de comércio ao abrigo do regime, os Estados-Membros tiveram de elaborar planos nacionais de atribuição (NAP) que determinam o nível total de emissões do RCLE e o número de licenças de emissão que cada instalação recebe no seu país. No final de cada ano, as instalações devem devolver licenças equivalentes às suas emissões. As empresas que mantêm suas emissões abaixo do nível de suas permissões podem vender seus excedentes de licenças. Aqueles que enfrentam dificuldades em manter suas emissões alinhadas com seus subsídios têm uma escolha entre tomar medidas para reduzir suas próprias emissões - como investir em tecnologia mais eficiente ou usar fontes de energia menos intensivas em carbono - ou comprar as permissões extras necessárias no mercado. , Ou uma combinação de ambos. Tais escolhas são provavelmente determinadas por custos relativos. Dessa forma, as emissões são reduzidas onde quer que seja mais econômico fazê-lo.

Há quanto tempo o EU ETS está operando?

O EU ETS foi lançado em 1 de janeiro de 2005. O primeiro período de comércio durou três anos até o final de 2007 e foi uma fase de 'aprender fazendo' para se preparar para o segundo período de comércio crucial. O segundo período de comércio teve início em 1 de janeiro de 2008 e dura cinco anos até o final de 2012. A importância do segundo período de comércio decorre do fato de coincidir com o primeiro período de compromisso do Protocolo de Kyoto, durante o qual a UE e outras os países industrializados devem cumprir suas metas para limitar ou reduzir as emissões de gases de efeito estufa. Para o segundo período de comércio, as emissões do RCLE-UE foram limitadas em cerca de 6,5% abaixo dos níveis de 2005 para ajudar a garantir que a UE como um todo, e os Estados-Membros individualmente, cumpram os seus compromissos de Quioto.

Quais são as principais lições aprendidas com a experiência até agora?

O EU ETS colocou um preço no carbono e provou que o comércio de emissões de gases de efeito estufa funciona. O primeiro período de comércio estabeleceu com sucesso o comércio livre de licenças de emissão em toda a UE, criou a infraestrutura necessária e desenvolveu um mercado dinâmico de carbono. Os benefícios ambientais da primeira fase podem ser limitados devido à atribuição excessiva de licenças em alguns Estados-Membros e alguns sectores, devido principalmente a uma dependência das projecções das emissões antes de os dados das emissões verificadas serem disponibilizados no âmbito do RCLE-UE. Quando a publicação dos dados de emissões verificadas para 2005 destacou essa “superalocação”, o mercado reagiu como seria esperado, baixando o preço de mercado das permissões. A disponibilidade de dados de emissões verificadas permitiu à Comissão assegurar que o limite para as dotações nacionais na segunda fase seja estabelecido a um nível que resulte em reduções reais das emissões.

Para além de sublinhar a necessidade de dados verificados, a experiência até à data demonstrou que uma maior harmonização no âmbito do RCLE-UE é imperativa para garantir que a UE atinja os seus objetivos de redução de emissões pelo menor custo e com distorções de concorrência mínimas. A necessidade de mais harmonização é mais clara no que diz respeito ao modo como é estabelecido o limite para as licenças de emissão globais.

Os dois primeiros períodos de comércio mostram também que os métodos nacionais amplamente divergentes de atribuição de licenças a instalações ameaçam a concorrência leal no mercado interno. Além disso, é necessária uma maior harmonização, clarificação e aperfeiçoamento no que diz respeito ao âmbito do sistema, ao acesso a créditos de projectos de redução de emissões fora da UE, às condições de ligação do RCLE-UE aos sistemas de comércio de emissões noutros locais e à monitorização, verificação e requisitos de relatórios.

Quais são as principais mudanças no EU ETS e a partir de quando elas serão aplicadas?

As alterações de projeto acordadas serão aplicadas a partir do terceiro período de comércio, ou seja, janeiro de 2013. Embora o trabalho preparatório seja iniciado imediatamente, as regras aplicáveis ​​não serão alteradas até janeiro de 2013 para garantir que a estabilidade regulatória seja mantida.

O EU ETS no terceiro período será um sistema mais eficiente, mais harmonizado e mais justo.

O aumento da eficiência é conseguido através de um período comercial mais longo (8 anos em vez de 5 anos), um limite de emissões robusto e decrescente anual (redução de 21% em 2020 comparado a 2005) e um aumento substancial na quantidade de leilões. 4% na fase 2 para mais da metade na fase 3).

Foi harmonizada mais harmonização em muitos domínios, incluindo no que diz respeito à fixação de limites (limite máximo a nível da UE em vez dos limites nacionais nas fases 1 e 2) e às regras para a atribuição gratuita a título transitório.

A equidade do sistema foi substancialmente aumentada pela passagem para regras de atribuição de licenças de emissão em toda a UE para as instalações industriais e pela introdução de um mecanismo de redistribuição que permite aos novos Estados-Membros leiloar mais licenças.

Como o texto final se compara à proposta inicial da Comissão?

As metas climáticas e energéticas acordadas pelo Conselho Europeu da Primavera de 2007 foram mantidas e a arquitectura global da proposta da Comissão sobre o RCLE-UE permanece intacta. Ou seja, haverá um limite máximo a nível da UE sobre o número de licenças de emissão e este limite diminuirá anualmente ao longo de uma linha de tendência linear, que continuará para além do final do terceiro período de comércio (2013-2020). A principal diferença em relação à proposta é que o leilão de licenças será introduzido gradualmente.

Quais são as principais alterações em relação à proposta da Comissão?

Em resumo, as principais alterações feitas na proposta são as seguintes:

Alguns Estados-Membros podem beneficiar de uma derrogação facultativa e temporária à regra segundo a qual não devem ser atribuídos licenças de emissão a geradores de eletricidade a partir de 2013. Esta opção de derrogação está à disposição dos Estados-Membros que preencham determinadas condições relacionadas com a interconexão da sua eletricidade. rede, quota de um único combustível fóssil na produção de electricidade e PIB / capita em relação à média da UE-27. Além disso, o montante de licenças gratuitas que um Estado-Membro pode atribuir às centrais eléctricas está limitado a 70% das emissões de dióxido de carbono das instalações pertinentes na fase 1 e diminui nos anos seguintes. Além disso, a atribuição a título gratuito na fase 3 só pode ser concedida a centrais eléctricas em funcionamento ou em construção, o mais tardar no final de 2008. Ver resposta à pergunta 15 abaixo. A directiva conterá mais pormenores sobre os critérios a utilizar para determinar os sectores ou subsectores considerados expostos a um risco significativo de fuga de carbono e uma data anterior de publicação da lista da Comissão sobre esses sectores (31 de Dezembro). 2009). Além disso, sujeito a revisão quando for alcançado um acordo internacional satisfatório, as instalações em todas as indústrias expostas receberão 100% de licenças gratuitas na medida em que usem a tecnologia mais eficiente. A alocação gratuita à indústria é limitada à participação das emissões dessas indústrias no total de emissões em 2005 a 2007. O número total de permissões alocadas gratuitamente a instalações em setores industriais declinará anualmente de acordo com o declínio do limite de emissões. Os Estados-Membros podem igualmente compensar certas instalações por custos de CO 2 repercutidos nos preços da electricidade se os custos do CO 2 os pudessem expor ao risco de fuga de carbono. A Comissão comprometeu-se a alterar as orientações comunitárias em matéria de auxílios estatais a favor do ambiente. Veja a resposta à questão 15 abaixo. O nível de leilões de licenças para a indústria não exposta aumentará de forma linear, como proposto pela Comissão, mas, em vez de atingir 100% até 2020, atingirá 70%, tendo em vista atingir 100% até 2027. Tal como previsto Na proposta da Comissão, 10% dos subsídios para leilão serão redistribuídos dos Estados Membros com alta renda per capita para aqueles com baixa renda per capita, a fim de fortalecer a capacidade financeira destes últimos de investir em tecnologias amigáveis ​​ao clima. Foi adicionada uma provisão para outro mecanismo redistributivo de 2% das licenças de emissão em leilão, a fim de ter em conta os Estados-Membros que, em 2005, conseguiram uma redução de pelo menos 20% das emissões de gases com efeito de estufa em comparação com o ano de referência estabelecido pelo Protocolo de Quioto. A percentagem de receitas leiloadas que os Estados-Membros devem utilizar para combater e adaptar-se às alterações climáticas, principalmente na UE, mas também nos países em desenvolvimento, é aumentada de 20% para 50%. O texto prevê um complemento ao nível de uso permitido de créditos de IC / MDL no cenário de 20% para operadores existentes que receberam os menores orçamentos para importar e usar tais créditos em relação a alocações e acesso a créditos no período. 2008-2012. Novos setores, novos entrantes nos períodos 2013-2020 e 2008-2012 também poderão usar créditos. O montante total de créditos que poderão ser utilizados não excederá, no entanto, 50% da redução entre 2008 e 2020. Com base numa redução de emissões mais rigorosa no contexto de um acordo internacional satisfatório, a Comissão poderá permitir acesso adicional a RCE e URE. para os operadores do regime comunitário. Veja a resposta à questão 20 abaixo. O produto do leilão de 300 milhões de permissões da reserva de novos operadores será usado para apoiar até 12 projetos e projetos de demonstração de captura e armazenamento de carbono, demonstrando tecnologias inovadoras de energia renovável. Várias condições estão associadas a este mecanismo de financiamento. Veja a resposta à questão 30 abaixo. A possibilidade de optar por pequenas instalações de combustão, desde que sujeitas a medidas equivalentes, foi alargada a todas as pequenas instalações independentemente da actividade, o limiar de emissões aumentou de 10.000 para 25.000 toneladas de CO 2 por ano e o limiar de capacidade que instalações de combustão tem que cumprir, além disso foi elevado de 25MW para 35MW. Com estes limiares aumentados, a percentagem de emissões abrangidas que potencialmente seriam excluídas do sistema de comércio de emissões torna-se significativa e, consequentemente, foi adicionada uma provisão para permitir uma redução correspondente do limite de licenças a nível da UE.

Ainda haverá planos nacionais de alocação (NAPs)?

Não. Nos seus PAN nos primeiros (2005-2007) e no segundo (2008-2012) períodos de comércio, os Estados-Membros determinaram a quantidade total de licenças a emitir - o limite máximo - e como estas seriam atribuídas às instalações em causa. Esta abordagem gerou diferenças significativas nas regras de alocação, criando um incentivo para que cada Estado-Membro favoreça o seu próprio setor e tenha levado a uma grande complexidade.

A partir do terceiro período de comércio, haverá um limite único a nível da UE e as licenças serão atribuídas com base em regras harmonizadas. Os planos nacionais de atribuição não serão, portanto, mais necessários.

Como será determinado o limite de emissões na fase 3?

As regras para o cálculo do limite a nível da UE são as seguintes:

A partir de 2013, o número total de licenças diminuirá anualmente de maneira linear. O ponto de partida desta linha é a quantidade total média de licenças (fase 2 limite) a ser emitida pelos Estados Membros para o período 2008-12, ajustada para refletir o escopo ampliado do sistema a partir de 2013, bem como quaisquer instalações pequenas que os Países Membros Estados optaram por excluir. O fator linear pelo qual a quantidade anual deve diminuir é de 1,74% em relação ao limite da fase 2.

O ponto de partida para determinar o fator linear de 1,74% é a redução geral de 20% dos gases de efeito estufa em relação a 1990, o que equivale a uma redução de 14% em relação a 2005. No entanto, uma redução maior é exigida do EU ETS porque é mais barato reduzir as emissões nos sectores do RCLE. A divisão que minimiza o custo total de redução é:

uma redução de 21% nas emissões do setor RCLE-UE em relação a 2005 até 2020; uma redução de cerca de 10% em relação a 2005 para os sectores não abrangidos pelo RCLE-UE.

A redução de 21% em 2020 resulta em um teto ETS em 2020 de um máximo de 1720 milhões de permissões e implica um limite médio de 3ª fase (2013 a 2020) de cerca de 1846 milhões de permissões e uma redução de 11% em comparação com o limite da fase 2.

Todos os números absolutos indicados correspondem à cobertura no início do segundo período de negociação e, portanto, não levam em conta a aviação, que será adicionada em 2012, e outros setores que serão adicionados na fase 3.

Os valores finais para os limites anuais de emissões na fase 3 serão determinados e publicados pela Comissão até 30 de Setembro de 2010.

Como será determinado o limite de emissões além da fase 3?

O fator linear de 1,74% usado para determinar o limite da fase 3 continuará a ser aplicado além do final do período de comércio em 2020 e determinará o limite para o quarto período de comércio (2021 a 2028) e além. Pode ser revisto até 2025, o mais tardar. De fato, reduções significativas de emissão de 60% -80% em relação a 1990 serão necessárias até 2050 para alcançar o objetivo estratégico de limitar o aumento da temperatura média global a não mais que 2 ° C acima dos níveis pré-industriais.

Um limite de licenças de emissão para toda a UE será determinado para cada ano. Isto reduzirá a flexibilidade das instalações em causa?

Não, a flexibilidade para instalações não será reduzida de forma alguma. Em qualquer ano, as licenças de emissão a serem leiloadas e distribuídas devem ser emitidas pelas autoridades competentes até 28 de fevereiro. A última data para os operadores devolverem licenças é 30 de abril do ano seguinte ao ano em que as emissões ocorreram. Assim, os operadores recebem as permissões para o ano atual antes de terem que entregar as permissões para cobrir suas emissões do ano anterior. As tolerâncias permanecem válidas durante todo o período de negociação e quaisquer provisões excedentes podem agora ser "depositadas" para uso em períodos de negociações subseqüentes. Nesse aspecto, nada mudará.

O sistema permanecerá baseado em períodos de negociação, mas o terceiro período de negociação durará oito anos, de 2013 a 2020, em oposição a cinco anos para a segunda fase, de 2008 a 2012.

Para o segundo período de comércio, os Estados-Membros decidiram geralmente atribuir quantidades totais iguais de licenças para cada ano. A redução linear a cada ano a partir de 2013 corresponderá melhor às tendências esperadas de emissões no período.

Quais são os números provisórios do limite anual do RCLE para o período de 2013 a 2020?

Os valores iniciais de limite anual são os seguintes:

Estes valores baseiam-se no âmbito do RCLE, conforme aplicável na fase 2 (2008 a 2012), e nas decisões da Comissão relativas aos planos nacionais de atribuição da fase 2, que ascendem a 2083 milhões de toneladas. Esses números serão ajustados por vários motivos. Em primeiro lugar, será feito um ajustamento para ter em conta as extensões do âmbito na fase 2, desde que os Estados-Membros confirmem e verifiquem as suas emissões resultantes dessas extensões. Em segundo lugar, o ajustamento será feito no que diz respeito a novas extensões do âmbito do RCLE no terceiro período de comércio. Em terceiro lugar, qualquer exclusão de pequenas instalações levará a uma redução correspondente da tampa. Em quarto lugar, os números não levam em conta a inclusão da aviação, nem das emissões da Noruega, da Islândia e do Liechtenstein.

As licenças serão alocadas gratuitamente?

Sim. As instalações industriais receberão alocação gratuita transitória. E nos Estados-Membros elegíveis para a derrogação opcional, as centrais eléctricas podem, se o Estado-Membro assim o decidir, receber também licenças gratuitas. Estima-se que pelo menos metade dos subsídios disponíveis a partir de 2013 será leiloada.

Embora a grande maioria das licenças tenha sido atribuída gratuitamente a instalações no primeiro e no segundo período de comércio, a Comissão propôs que o leilão das licenças se tornasse o princípio básico da atribuição. Isso ocorre porque os leilões garantem melhor a eficiência, transparência e simplicidade do sistema e criam o maior incentivo para investimentos em uma economia de baixo carbono. Ele está em conformidade com o princípio do poluidor-pagador e evita lucros inesperados para certos setores que repassam o custo nocional de licenças para seus clientes, apesar de recebê-los gratuitamente.

Como as permissões serão distribuídas gratuitamente?

Até 31 de Dezembro de 2010, a Comissão adoptará regras a nível da UE, que serão desenvolvidas no âmbito de um procedimento de comité ("comitologia"). Estas regras harmonizarão plenamente as dotações e, por conseguinte, todas as empresas da UE com actividades idênticas ou similares estarão sujeitas às mesmas regras. As regras garantirão, na medida do possível, que a alocação promova tecnologias eficientes em termos de carbono. As regras adotadas estabelecem que, na medida do possível, as alocações devem se basear nos chamados benchmarks, por exemplo, um número de concessões por quantidade de produção histórica. Tais regras recompensam os operadores que tomaram medidas precoces para reduzir os gases de efeito estufa, refletem melhor o princípio do poluidor-pagador e dão incentivos mais fortes para reduzir as emissões, já que as alocações não dependeriam mais das emissões históricas. Todas as alocações devem ser determinadas antes do início do terceiro período de negociação e nenhum ajuste ex post será permitido.

Quais instalações receberão alocações gratuitas e quais não serão? Como os impactos negativos na competitividade serão evitados?

Tendo em conta a sua capacidade de transmitir o aumento do custo das licenças de emissão, o leilão completo é a regra a partir de 2013 para os geradores de eletricidade. Contudo, os Estados-Membros que preenchem determinadas condições relativas à sua interligação ou à sua quota de combustíveis fósseis na produção de electricidade e ao PIB per capita em relação à média da UE-27 têm a opção de se desviar temporariamente desta regra no que diz respeito às centrais existentes. A taxa de leilão em 2013 deve ser de pelo menos 30% em relação às emissões no primeiro período e aumentar progressivamente para 100% até ao ano de 2020. Se a opção for aplicada, o Estado-Membro deve comprometer-se a investir na melhoria e modernização da infra-estrutura, em tecnologias limpas e na diversificação de seu mix de energia e fontes de suprimento por um montante na medida do possível igual ao valor de mercado da alocação gratuita.

Noutros sectores, as dotações a título gratuito serão progressivamente eliminadas a partir de 2013, com os Estados-Membros a iniciarem em 20% os leilões em 2013, aumentando para 70% os leilões em 2020, tendo em vista atingir 100% em 2027. No entanto, uma excepção ser feita para instalações em setores que estão expostos a um risco significativo de 'vazamento de carbono'. Este risco poderia ocorrer se o EU ETS aumentasse tanto os custos de produção que as empresas decidissem transferir a produção para áreas fora da UE que não estão sujeitas a restrições de emissões comparáveis. A Comissão determinará os sectores em causa até 31 de Dezembro de 2009. Para o efeito, a Comissão avaliará, inter alia, se os custos de produção adicionais diretos e indiretos induzidos pela aplicação da Diretiva RCLE como proporção do valor acrescentado bruto excedem 5% e se o valor total das suas exportações e importações dividido pelo valor total do seu volume de negócios e importações é superior a 10%. Se o resultado para qualquer um desses critérios exceder 30%, o setor também seria considerado exposto a um risco significativo de fuga de carbono. As instalações nesses setores receberiam 100% de sua participação na quantidade total anual de licenças gratuitas. A quota das emissões destas indústrias é determinada em relação às emissões totais do RCLE em 2005 a 2007.

Os custos de CO 2 repassados ​​nos preços da eletricidade também poderiam expor certas instalações ao risco de vazamento de carbono. A fim de evitar esse risco, os Estados-Membros podem conceder uma indemnização por esses custos. Na ausência de um acordo internacional sobre alterações climáticas, a Comissão comprometeu-se a alterar as orientações comunitárias em matéria de auxílios estatais a favor do ambiente.

Sob um acordo internacional que garante que os concorrentes em outras partes do mundo tenham um custo comparável, o risco de vazamento de carbono pode ser insignificante. Por conseguinte, até 30 de Junho de 2010, a Comissão procederá a uma avaliação aprofundada da situação da indústria com utilização intensiva de energia e do risco de fuga de carbono, à luz do resultado das negociações internacionais e tendo também em conta quaisquer obrigações sectoriais vinculativas. acordos que podem ter sido concluídos. O relatório será acompanhado de quaisquer propostas consideradas adequadas. Estas poderiam potencialmente incluir a manutenção ou o ajustamento da proporção de licenças recebidas gratuitamente a instalações industriais que estão particularmente expostas à concorrência global ou incluindo importadores dos produtos em causa no RCLE.

Quem organizará os leilões e como eles serão realizados?

Os Estados-Membros serão responsáveis ​​por garantir que os direitos atribuídos a eles sejam leiloados. Cada Estado-Membro tem de decidir se deseja desenvolver a sua própria infra-estrutura e plataforma de leilão ou se pretende cooperar com outros Estados-Membros para desenvolver soluções regionais ou a nível da UE. A distribuição dos direitos de leilão aos Estados-Membros baseia-se largamente nas emissões na fase 1 do RCLE UE, mas uma parte dos direitos será redistribuída dos Estados-Membros mais ricos para os mais pobres, para ter em conta o PIB mais baixo per capita e as perspectivas mais elevadas para crescimento e emissões entre os últimos. Ainda assim, 10% dos direitos de leilão de permissões serão redistribuídos dos Estados Membros com alta renda per capita para aqueles com baixa renda per capita, a fim de fortalecer a capacidade financeira destes últimos de investir em tecnologias amigáveis ​​ao clima. No entanto, foi acrescentada uma provisão para outro mecanismo redistributivo de 2% para ter em conta os Estados-Membros que, em 2005, tinham conseguido uma redução de pelo menos 20% nas emissões de gases com efeito de estufa em comparação com o ano de referência estabelecido pelo Protocolo de Quioto. Nove Estados-Membros beneficiam desta disposição.

Qualquer leilão deve respeitar as regras do mercado interno e, por conseguinte, deve estar aberto a qualquer potencial comprador em condições não discriminatórias. Até 30 de Junho de 2010, a Comissão adoptará um regulamento (através do procedimento de comitologia) que fornecerá as regras e condições adequadas para garantir leilões eficientes e coordenados sem perturbar o mercado de licenças.

Quantas licenças serão leiloadas por cada Estado-Membro e como é esse montante determinado?

Todas as licenças que não são atribuídas gratuitamente serão leiloadas. Um total de 88% das licenças de emissão a leiloar por cada Estado-Membro é distribuído com base na quota-parte do Estado-Membro nas emissões históricas do RCLE-UE. Para fins de solidariedade e crescimento, 12% da quantidade total é distribuída de forma a levar em conta o PIB per capita e as conquistas do Protocolo de Kyoto.

Quais setores e gases são cobertos a partir de 2013?

O ETS abrange instalações que executam atividades especificadas. Desde o início, cobria, acima de certos limites de capacidade, usinas e outras usinas de combustão, refinarias de petróleo, fornos de coque, usinas siderúrgicas e fábricas de cimento, vidro, cal, tijolos, cerâmica, celulose, papel e cartão. Quanto aos gases de efeito estufa, atualmente cobre apenas as emissões de dióxido de carbono, com exceção da Holanda, que optou pelas emissões de óxido nitroso.

A partir de 2013, o escopo do ETS será estendido para incluir também outros setores e gases de efeito estufa. As emissões de CO 2 provenientes de petroquímicos, amônia e alumínio serão incluídas, assim como as emissões de N 2 O da produção de ácido nítrico, adípico e glicoico e perfluorocarbonos do setor de alumínio. A captura, transporte e armazenamento geológico de todas as emissões de gases de efeito estufa também serão cobertos. Estes sectores receberão licenças de emissão a título gratuito, de acordo com as regras da UE, à semelhança de outros sectores industriais já abrangidos.

A partir de 2012, a aviação também será incluída no EU ETS.

Pequenas instalações serão excluídas do escopo?

Um grande número de instalações que emitem quantidades relativamente baixas de CO 2 são actualmente abrangidas pelo RCLE e foram levantadas preocupações sobre a relação custo-eficácia da sua inclusão. A partir de 2013, os Estados-Membros poderão retirar essas instalações do RCLE em determinadas condições. As instalações em causa são aquelas cujas emissões comunicadas foram inferiores a 25 000 toneladas de equivalente CO 2 em cada um dos 3 anos anteriores ao ano de aplicação. Para instalações de combustão, aplica-se um limite de capacidade adicional de 35 MW. Além disso, os Estados-Membros têm a possibilidade de excluir instalações operadas por hospitais. As instalações só podem ser excluídas do RCLE se forem abrangidas por medidas que permitam uma contribuição equivalente para as reduções de emissões.

Quantos créditos de emissão de países terceiros serão permitidos?

Para o segundo período de comércio, os Estados-Membros permitiram que os seus operadores utilizassem quantidades significativas de créditos gerados por projetos de redução de emissões realizados em países terceiros para cobrir parte das suas emissões da mesma maneira que utilizam licenças do RCLE. A directiva revista alarga os direitos de utilização destes créditos para o terceiro período de comércio e permite utilizar uma quantidade adicional limitada de forma a que a utilização global dos créditos seja limitada a 50% das reduções a nível da UE durante o período de 2008-2008. 2020 Para as instalações existentes, e excluindo novos setores dentro do escopo, isso representará um nível total de acesso de aproximadamente 1,6 bilhão de créditos no período 2008-2020. Na prática, isto significa que os operadores existentes poderão usar créditos até um mínimo de 11% da sua alocação durante o período 2008-2012, enquanto um reforço está previsto para operadores com a menor soma de alocação gratuita e uso permitido créditos no período 2008-2012. Novos setores e novos entrantes no terceiro período de comercialização terão um acesso mínimo garantido de 4,5% de suas emissões verificadas durante o período 2013-2020. Para o setor de aviação, o acesso mínimo será de 1,5%. As percentagens exactas serão determinadas através da comitologia.

Esses projetos devem ser reconhecidos oficialmente sob o mecanismo de Implementação Conjunta (JI) do Protocolo de Quioto (abrangendo projetos executados em países com uma meta de redução de emissões sob o Protocolo) ou Mecanismo de Desenvolvimento Limpo (MDL) (para projetos realizados em países em desenvolvimento). Créditos de projetos da JI são conhecidos como Unidades de Redução de Emissões (ERUs), enquanto os projetos de MDL são chamados Reduções Certificadas de Emissão (CERs).

No lado da qualidade, apenas os créditos de tipos de projetos elegíveis para utilização no regime de comércio da UE durante o período 2008-2012 serão aceites no período 2013-2020. Além disso, a partir de 1 de janeiro de 2013, podem ser aplicadas medidas para restringir a utilização de créditos específicos de tipos de projetos. Tal mecanismo de controle de qualidade é necessário para assegurar a integridade ambiental e econômica de futuros tipos de projetos.

Para criar uma maior flexibilidade, e na ausência de um acordo internacional concluído até 31 de dezembro de 2009, os créditos poderiam ser utilizados em conformidade com os acordos celebrados com países terceiros. O uso desses créditos, no entanto, não deve aumentar o número total além de 50% das reduções exigidas. Tais acordos não seriam necessários para novos projetos iniciados a partir de 2013 nos países menos desenvolvidos.

Com base em uma redução de emissões mais rigorosa no contexto de um acordo internacional satisfatório, o acesso adicional a créditos poderia ser permitido, assim como o uso de tipos adicionais de créditos de projetos ou outros mecanismos criados sob o acordo internacional. No entanto, uma vez alcançado um acordo internacional, a partir de janeiro de 2013, apenas os créditos provenientes de projetos em países terceiros que tenham ratificado o acordo ou de tipos adicionais de projetos aprovados pela Comissão serão elegíveis para utilização no regime comunitário.

Será possível usar créditos de "sumidouros" de carbono como florestas?

Não. Antes de fazer sua proposta, a Comissão analisou a possibilidade de permitir créditos de certos tipos de projetos de uso da terra, mudança no uso da terra e florestas (“LULUCF”) que absorvem carbono da atmosfera. Concluiu que isso poderia comprometer a integridade ambiental do EU ETS, pelas seguintes razões:

Os projetos LULUCF não podem entregar fisicamente reduções permanentes de emissões. Foram desenvolvidas soluções insuficientes para lidar com as incertezas, a não permanência do armazenamento de carbono e os problemas potenciais de "vazamento" de emissões decorrentes de tais projetos. A natureza temporária e reversível de tais atividades colocaria riscos consideráveis ​​em um sistema comercial baseado na empresa e imporia grandes riscos de responsabilidade aos Estados Membros. A inclusão de projetos LULUCF no ETS exigiria uma qualidade de monitoramento e relatórios comparáveis ​​ao monitoramento e relatórios de emissões de instalações atualmente cobertas pelo sistema. Isso não está disponível no momento e é provável que incorra em custos que reduziriam substancialmente a atratividade da inclusão de tais projetos. A simplicidade, transparência e previsibilidade do ETS seriam consideravelmente reduzidas. Além disso, a enorme quantidade de créditos potenciais que entram no sistema poderia prejudicar o funcionamento do mercado de carbono, a menos que seu papel fosse limitado, em cujo caso seus benefícios potenciais se tornariam marginais.

A Comissão, o Conselho e o Parlamento Europeu consideram que a desflorestação global pode ser melhor tratada através de outros instrumentos. Por exemplo, o uso de parte dos lucros provenientes do leilão de licenças no EU ETS poderia gerar meios adicionais para investir em atividades LULUCF dentro e fora da UE, e pode fornecer um modelo para expansão futura. A este respeito, a Comissão propôs a criação do Mecanismo Global para o Carbono Florestal, que seria um sistema baseado no desempenho para financiar reduções nos níveis de desmatamento nos países em desenvolvimento.

Além dos já mencionados, existem outros créditos que poderiam ser utilizados no ETS revisado?

Sim. Os projectos nos Estados-Membros da UE que reduzem as emissões de gases com efeito de estufa não abrangidos pelo RCLE podem emitir créditos. Estes projectos comunitários deverão ser geridos de acordo com as disposições comuns da UE estabelecidas pela Comissão, a fim de serem comercializáveis ​​em todo o sistema. Tais disposições seriam adotadas apenas para projetos que não podem ser realizados através da inclusão no ETS. As disposições procurarão assegurar que os créditos de projectos comunitários não resultem em dupla contagem de reduções de emissões nem impeçam outras medidas políticas de redução de emissões não abrangidas pelo RCLE e que sejam baseadas em regras simples e facilmente administráveis.

Existem medidas para garantir que o preço das licenças não caia drasticamente durante o terceiro período de comércio?

Uma estrutura regulatória estável e previsível é vital para a estabilidade do mercado. A directiva revista torna o quadro regulamentar o mais previsível possível, a fim de reforçar a estabilidade e excluir a volatilidade induzida pelas políticas. Importantes elementos a este respeito são a determinação do limite de emissões na Diretiva bem antes do início do período de comércio, um fator de redução linear para o limite de emissões que continua a aplicar-se também para além de 2020 e a extensão do período de comércio de 5 a 8 anos. A queda acentuada no preço das licenças durante o primeiro período de negociação deveu-se à sobre-atribuição de licenças que não puderam ser “depositadas” para uso no segundo período de comércio. Para o segundo período de negociação e para os períodos subsequentes, os Estados-Membros são obrigados a permitir o pagamento de licenças de um período para o seguinte, pelo que não se prevê que o final de um período de comércio tenha qualquer impacto no preço.

Uma nova disposição será aplicada a partir de 2013 em caso de flutuações de preço excessivas no mercado de licenças. Se, durante mais de seis meses consecutivos, o preço de licenças for superior a três vezes o preço médio das licenças durante os dois anos anteriores no mercado europeu, a Comissão convocará uma reunião com os Estados-Membros. Se se verificar que a evolução dos preços não corresponde aos fundamentos do mercado, a Comissão pode autorizar os Estados-Membros a antecipar a venda em leilão de uma parte da quantidade a leiloar ou autorizá-la a leiloar até 25% das licenças restantes. na nova reserva de novos operadores.

O preço das permissões é determinado pela oferta e demanda e reflete fatores fundamentais como crescimento econômico, preços de combustível, chuva e vento (disponibilidade de energia renovável) e temperatura (demanda por aquecimento e resfriamento) etc. Um grau de incerteza é inevitável para tais fatores. . Os mercados, no entanto, permitem que os participantes protejam os riscos que podem resultar de alterações nos preços das licenças.

Há alguma provisão para vincular o EU ETS a outros sistemas de comércio de emissões?

Sim. Um dos principais meios para reduzir as emissões de maneira mais econômica é aprimorar e desenvolver ainda mais o mercado global de carbono. A Comissão considera que o RCLE UE é um importante alicerce para o desenvolvimento de uma rede global de sistemas de comércio de emissões. A ligação de outros sistemas nacionais ou regionais de comércio de emissões de limite e comércio ao EU ETS pode criar um mercado maior, reduzindo potencialmente o custo agregado de redução das emissões de gases com efeito de estufa. A maior liquidez e a menor volatilidade de preços que isso acarretaria melhorariam o funcionamento dos mercados de permissões de emissão. Isso pode levar a uma rede global de sistemas de negociação em que os participantes, incluindo pessoas jurídicas, podem comprar permissões de emissão para cumprir seus respectivos compromissos de redução.

A UE está empenhada em trabalhar com a nova Administração dos EUA para construir um mercado de carbono transatlântico e de fato global para atuar como o motor de um esforço internacional concertado para combater a mudança climática.

Embora a Diretiva original permita vincular o EU ETS a outros países industrializados que ratificaram o Protocolo de Quioto, as novas regras permitem a ligação com qualquer país ou entidade administrativa (como um estado ou grupo de estados sob um sistema federal) que estabeleceu um sistema de limitação e comércio obrigatório compatível, cujos elementos de design não prejudicariam a integridade ambiental do EU ETS. Onde tais sistemas limitam as emissões absolutas, haveria reconhecimento mútuo das permissões emitidas por eles e pelo EU ETS.

O que é um registro da comunidade e como funciona?

Os registros são bancos de dados eletrônicos padronizados que garantem a contabilização exata da emissão, posse, transferência e cancelamento de permissões de emissão. Como signatária do Protocolo de Quioto, a Comunidade é também obrigada a manter um registo. Este é o Registo Comunitário, distinto dos registos dos Estados-Membros. As licenças concedidas a partir de 1 de janeiro de 2013 serão conservadas no registo comunitário e não nos registos nacionais.

Haverá alguma mudança nos requisitos de monitoramento, relatório e verificação?

A Comissão adotará um novo regulamento (através do procedimento de comitologia) até 31 de dezembro de 2011, que rege a monitorização e a comunicação das emissões decorrentes das atividades enumeradas no anexo I da diretiva. Um regulamento separado relativo à verificação dos relatórios de emissões e à acreditação dos verificadores deve especificar as condições para a acreditação, o reconhecimento mútuo e o cancelamento da acreditação para os verificadores, bem como para a supervisão e a análise pelos pares, conforme adequado.

Que provisão será feita para novos entrantes no mercado?

Cinco por cento da quantidade total de licenças serão colocadas em uma reserva para novas instalações ou companhias aéreas que entrem no sistema após 2013 (“novos entrantes”). As alocações dessa reserva devem espelhar as alocações para as instalações existentes correspondentes.

Uma parte da reserva para novos entrantes, no valor de 300 milhões de licenças, será disponibilizada para apoiar os investimentos em até 12 projetos de demonstração usando tecnologia de captura e armazenamento de carbono e projetos de demonstração usando tecnologias inovadoras de energia renovável. Deve haver uma distribuição geográfica justa dos projetos.

Em princípio, quaisquer licenças remanescentes na reserva serão distribuídas aos Estados-Membros para efeitos de leilão. A chave de repartição deve ter em conta o nível em que as instalações dos Estados-Membros beneficiaram desta reserva.

O que foi acordado no que diz respeito ao financiamento dos projectos de demonstração de captura e armazenamento de 12 carbono solicitados por um anterior Conselho Europeu?

A Comissão do Ambiente do Parlamento Europeu apresentou uma alteração à Directiva RCLE da UE, que prevê a reserva de licenças na nova reserva para cofinanciar até 12 projectos de demonstração, tal como solicitado pelo Conselho Europeu na Primavera de 2007. Esta alteração foi posteriormente adoptada. estendido para incluir também tecnologias inovadoras de energia renovável que ainda não são comercialmente viáveis. Os projetos devem ser selecionados com base em critérios objetivos e transparentes que incluam requisitos para a partilha de conhecimentos. O apoio deve ser concedido a partir do produto destas licenças através dos Estados-Membros e deve ser complementar de um co-financiamento substancial pelo operador da instalação. Nenhum projecto receberá apoio através deste mecanismo que exceda 15% do número total de licenças (ou seja, 45 milhões de licenças) disponíveis para este fim. O Estado-Membro pode também optar por co-financiar o projecto, mas, em qualquer caso, transferirá o valor de mercado das licenças atribuídas ao operador, que não receberá quaisquer licenças.

Um total de 300 milhões de licenças será, portanto, reservado até 2015 para este fim.

Qual é o papel de um acordo internacional e seu impacto potencial no EU ETS?

Quando for alcançado um acordo internacional, a Comissão apresentará ao Parlamento Europeu e ao Conselho um relatório de avaliação da natureza das medidas acordadas no acordo internacional e respectivas implicações, em especial no que se refere ao risco de fuga de carbono. Com base neste relatório, a Comissão adoptará uma proposta legislativa que altere a presente directiva, conforme adequado.

Para os efeitos sobre o uso de créditos dos projetos de Implementação Conjunta e Mecanismo de Desenvolvimento Limpo, consulte a resposta à questão 20.

Quais são os próximos passos?

Os Estados-Membros devem pôr em vigor os instrumentos jurídicos necessários para dar cumprimento a determinadas disposições da directiva revista até 31 de Dezembro de 2009. Trata-se da recolha de dados de emissões devidamente justificados e verificados de instalações que só serão abrangidas pelo RCLE-UE a partir de 2013. e as listas nacionais de instalações e a atribuição a cada uma delas. Para as restantes disposições, as disposições legislativas, regulamentares e administrativas nacionais apenas têm de estar prontas até 31 de dezembro de 2012.

A Comissão já iniciou o trabalho de implementação. Por exemplo, a coleta e análise de dados para uso em relação ao vazamento de carbono está em andamento (lista de setores até o final de 2009). Estão ainda em curso trabalhos para preparar o regulamento relativo à calendarização, administração e outros aspectos do leilão (até Junho de 2010), as regras de atribuição harmonizadas (final de 2010) e os dois regulamentos sobre monitorização e comunicação de emissões e verificação de emissões e acreditação de emissões. verificadores (final de 2011).

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DIRECTIVA 2003/87 / CE DO PARLAMENTO EUROPEU E DO CONSELHO.

de 13 de Outubro de 2003.

estabelece um regime de comércio de licenças de emissão de gases com efeito de estufa na Comunidade e altera a Directiva 96/61 / CE do Conselho.

(JO L 275 de 25.10.2003, p. 32)

DIRECTIVA 2003/87 / CE DO PARLAMENTO EUROPEU E DO CONSELHO.

de 13 de Outubro de 2003.

estabelece um regime de comércio de licenças de emissão de gases com efeito de estufa na Comunidade e altera a Directiva 96/61 / CE do Conselho.

(Texto relevante para efeitos do EEE)

O PARLAMENTO EUROPEU EO CONSELHO DA UNIÃO EUROPEIA,

Tendo em conta o Tratado que institui a Comunidade Europeia e, nomeadamente, o no 1 do seu artigo 175.o,

Tendo em conta a proposta da Comissão (1),

Tendo em conta o parecer do Comité Económico e Social Europeu (2),

Tendo em conta o parecer do Comité das Regiões (3),

Deliberando de acordo com o procedimento estabelecido no artigo 251.º do Tratado (4),

O Livro Verde sobre o comércio de emissões de gases com efeito de estufa na União Europeia lançou um debate em toda a Europa sobre a adequação e o possível funcionamento do comércio de emissões de gases com efeito de estufa na União Europeia. O Programa Europeu para as Alterações Climáticas analisou as políticas e medidas comunitárias através de um processo que envolveu intervenientes múltiplos, incluindo um regime de comércio de direitos de emissão de gases com efeito de estufa na Comunidade (o regime comunitário) baseado no Livro Verde. Nas suas conclusões de 8 de Março de 2001, o Conselho reconheceu a especial importância do Programa Europeu para as Alterações Climáticas e do trabalho baseado no Livro Verde e sublinhou a necessidade urgente de uma acção concreta a nível comunitário.

O sexto programa comunitário de acção em matéria de ambiente, estabelecido pela Decisão no 1600/2002 / CE do Parlamento Europeu e do Conselho (5), identifica as alterações climáticas como uma prioridade de acção e prevê o estabelecimento de um regime de comércio de emissões à escala comunitária até 2005. Esse programa reconhece que a Comunidade está empenhada em alcançar uma redução de 8% nas emissões de gases com efeito de estufa até 2008 para 2012 em comparação com os níveis de 1990 e que, a longo prazo, as emissões globais de gases com efeito de estufa terão de ser reduzidas em aproximadamente 70%. % em comparação com os níveis de 1990.

O objectivo último da Convenção-Quadro das Nações Unidas sobre Alterações Climáticas, aprovado pela Decisão 94/69 / CE do Conselho, de 15 de Dezembro de 1993, relativa à conclusão da Convenção-Quadro das Nações Unidas sobre as Alterações Climáticas (6), consiste em estabilizar as emissões de gases com efeito de estufa. concentrações de gases na atmosfera a um nível que impeça interferências antrópicas perigosas no sistema climático.

Uma vez em vigor, o Protocolo de Quioto, aprovado pela Decisão 2002/358 / CE do Conselho, de 25 de Abril de 2002, relativa à aprovação, em nome da Comunidade Europeia, do Protocolo de Quioto à Convenção-Quadro das Nações Unidas sobre as Alterações Climáticas e o cumprimento conjunto dos compromissos a este respeito (7) comprometerá a Comunidade e os seus Estados-Membros a reduzir as suas emissões antropogénicas agregadas de gases com efeito de estufa enumeradas no Anexo A do Protocolo em 8% em relação aos níveis de 1990 no período de 2008 a 2012.

A Comunidade e os seus Estados-Membros acordaram em cumprir os seus compromissos no sentido de reduzir as emissões antropogénicas de gases com efeito de estufa ao abrigo do Protocolo de Quioto conjuntamente, em conformidade com a Decisão 2002/358 / CE. A presente directiva visa contribuir para o cumprimento mais eficaz dos compromissos da Comunidade Europeia e dos seus Estados-Membros, através de um mercado europeu eficiente de licenças de emissão de gases com efeito de estufa, com a menor diminuição possível do desenvolvimento económico e do emprego.

A Decisão 93/389 / CEE do Conselho, de 24 de Junho de 1993, relativa a um mecanismo de vigilância das emissões comunitárias de CO 2 e de outros gases com efeito de estufa (8) estabeleceu um mecanismo de vigilância das emissões de gases com efeito de estufa e avalia os progressos no cumprimento dos compromissos relativos a essas emissões. Este mecanismo ajudará os Estados-Membros a determinar a quantidade total de licenças a atribuir.

As disposições comunitárias relativas à atribuição de licenças pelos Estados-Membros são necessárias para contribuir para preservar a integridade do mercado interno e evitar distorções da concorrência.

Os Estados-Membros devem ter em conta, quando atribuem licenças, o potencial das actividades dos processos industriais para reduzir as emissões.

Os Estados-Membros podem prever que apenas concedam licenças válidas por um período de cinco anos com início em 2008 às pessoas em relação às licenças anuladas, correspondentes às reduções de emissões efetuadas por essas pessoas no respetivo território nacional durante um período de três anos com início em 2005.

A partir do referido período de cinco anos, as transferências de licenças para outro Estado-Membro implicarão ajustamentos correspondentes das unidades de quantidade atribuída ao abrigo do Protocolo de Quioto.

Os Estados-Membros devem assegurar que os operadores de certas actividades especificadas detenham uma licença de emissão de gases com efeito de estufa e controlem e comuniquem as suas emissões de gases com efeito de estufa especificadas em relação a essas actividades.

Os Estados-Membros devem estabelecer regras relativas às sanções aplicáveis ​​às infracções à presente directiva e garantir a sua aplicação. Essas sanções devem ser eficazes, proporcionadas e dissuasivas.

A fim de garantir a transparência, o público deverá ter acesso às informações relativas à atribuição de licenças e aos resultados da monitorização das emissões, sob reserva apenas das restrições previstas na Directiva 2003/4 / CE do Parlamento Europeu e do Conselho, de. 28 de Janeiro de 2003, relativo ao acesso do público às informações sobre ambiente (9).

Os Estados-Membros devem apresentar um relatório sobre a aplicação da presente directiva, elaborado com base na Directiva 91/692 / CEE do Conselho, de 23 de Dezembro de 1991, relativa à normalização e racionalização dos relatórios sobre a aplicação de certas directivas relativas ao ambiente (10).

A inclusão de instalações suplementares no regime comunitário deverá obedecer às disposições da presente directiva e a cobertura do regime comunitário poderá ser alargada às emissões de gases com efeito de estufa que não o dióxido de carbono, nomeadamente das actividades relativas ao alumínio e às substâncias químicas. .

A presente directiva não obsta a que os Estados-Membros mantenham ou estabeleçam regimes comerciais nacionais que regulem as emissões de gases com efeito de estufa de outras actividades para além das enumeradas no anexo I ou incluídas no regime comunitário, ou de instalações temporariamente excluídas do regime comunitário.

Os Estados-Membros podem participar no comércio internacional de licenças de emissão como Partes no Protocolo de Quioto com qualquer outra Parte incluída no Anexo B do mesmo.

A ligação do regime comunitário aos regimes de comércio de licenças de emissão de gases com efeito de estufa em países terceiros aumentará a rentabilidade da realização do objectivo comunitário de redução de emissões estabelecido na Decisão 2002/358 / CE relativa ao cumprimento conjunto dos compromissos.

Mecanismos baseados em projetos, incluindo a Implementação Conjunta (IC) e o Mecanismo de Desenvolvimento Limpo (MDL), são importantes para alcançar os objetivos de reduzir as emissões globais de gases de efeito estufa e aumentar o funcionamento econômico do sistema comunitário. Em conformidade com as disposições pertinentes do Protocolo de Quioto e dos Acordos de Marraquexe, a utilização dos mecanismos deve ser complementar à ação interna e a ação interna constituirá, assim, um elemento significativo do esforço realizado.

Esta directiva incentivará a utilização de tecnologias mais eficientes do ponto de vista energético, incluindo a tecnologia combinada de calor e energia, produzindo menos emissões por unidade de produção, enquanto a futura directiva do Parlamento Europeu e do Conselho relativa à promoção da cogeração baseada na procura de calor útil no mercado interno da energia promoverá especificamente a tecnologia combinada de calor e energia.

A Directiva 96/61 / CE do Conselho, de 24 de Setembro de 1996, relativa à prevenção e controlo integrados da poluição (11), estabelece um quadro geral de prevenção e controlo da poluição através do qual podem ser emitidas licenças de emissão de gases com efeito de estufa. A Directiva 96/61 / CE deve ser alterada para garantir que não sejam fixados valores-limite de emissão para emissões directas de gases com efeito de estufa de uma instalação sujeita à presente directiva e que os Estados-Membros possam optar por não impor requisitos relativos à eficiência energética em unidades de combustão ou outras unidades que emitam dióxido de carbono no local, sem prejuízo de quaisquer outros requisitos previstos na Directiva 96/61 / CE.

Esta directiva é compatível com a Convenção-Quadro das Nações Unidas sobre as Alterações Climáticas e o Protocolo de Quioto. Deve ser revista à luz da evolução nesse contexto e ter em conta a experiência na sua implementação e os progressos alcançados na monitorização das emissões de gases com efeito de estufa.

O comércio de licenças de emissão deve fazer parte de um pacote abrangente e coerente de políticas e medidas implementadas a nível dos Estados-Membros e da Comunidade. Sem prejuízo da aplicação dos artigos 87.oe 88.o do Tratado, sempre que as actividades sejam abrangidas pelo regime comunitário, os Estados-Membros podem considerar as implicações das políticas regulamentares, fiscais ou outras que prossigam os mesmos objectivos. A revisão da directiva deve considerar em que medida estes objectivos foram alcançados.

O instrumento de tributação pode ser uma política nacional para limitar emissões de instalações temporariamente excluídas.

As políticas e medidas devem ser implementadas a nível dos Estados-Membros e da Comunidade em todos os sectores da economia da União Europeia, e não apenas nos sectores da indústria e da energia, a fim de gerar reduções substanciais das emissões. A Comissão deverá, em particular, considerar políticas e medidas a nível comunitário para que o sector dos transportes contribua de forma substancial para a Comunidade e os seus Estados-Membros no cumprimento das suas obrigações em matéria de alterações climáticas no âmbito do Protocolo de Quioto.

Não obstante o potencial multifacetado dos mecanismos baseados no mercado, a estratégia da União Europeia para a atenuação das alterações climáticas deve basear-se no equilíbrio entre o regime comunitário e outros tipos de acções comunitárias, nacionais e internacionais.

A presente directiva respeita os direitos fundamentais e observa os princípios reconhecidos, nomeadamente, na Carta dos Direitos Fundamentais da União Europeia.

As medidas necessárias à execução da presente directiva deverão ser aprovadas nos termos da Decisão 1999/468 / CE do Conselho, de 28 de Junho de 1999, que fixa as regras de exercício das competências de execução atribuídas à Comissão (12).

Como os critérios (1), (5) e (7) do Anexo III não podem ser alterados através do procedimento de comitologia, as alterações relativas a períodos posteriores a 2012 só devem ser feitas por co-decisão.

Dado que o objectivo da acção proposta, o estabelecimento de um regime comunitário, não pode ser suficientemente realizado pelos Estados-Membros, individualmente, e pode, devido à escala e aos efeitos da acção proposta, ser melhor alcançado a nível comunitário, a Comunidade pode Adoptar medidas, em conformidade com o princípio da subsidiariedade consagrado no artigo 5.º do Tratado. Em conformidade com o princípio da proporcionalidade consagrado no mesmo artigo, a presente directiva não excede o necessário para atingir aquele objectivo,

ADOPTARAM A PRESENTE DIRECTIVA:

A presente directiva estabelece um regime de comércio de licenças de emissão de gases com efeito de estufa na Comunidade (a seguir designado «regime comunitário»), a fim de promover reduções das emissões de gases com efeito de estufa de uma forma rentável e economicamente eficiente.

Esta directiva prevê também que as reduções das emissões de gases com efeito de estufa sejam aumentadas de modo a contribuir para os níveis de reduções considerados cientificamente necessários para evitar alterações climáticas perigosas.

A presente directiva estabelece igualmente disposições para avaliar e aplicar uma autorização comunitária de redução mais rigorosa, superior a 20%, a aplicar após a aprovação pela Comunidade de um acordo internacional sobre alterações climáticas que leve a reduções das emissões de gases com efeito de estufa superiores às exigidas no artigo 9º. no compromisso de 30% aprovado pelo Conselho Europeu de Março de 2007.

1. A presente directiva é aplicável às emissões provenientes das actividades enumeradas no anexo I e aos gases com efeito de estufa enumerados no anexo II.

2. A presente directiva é aplicável sem prejuízo de quaisquer requisitos previstos na Directiva 96/61 / CE.

3. A aplicação da presente directiva ao aeroporto de Gibraltar entende-se sem prejuízo das respectivas posições jurídicas do Reino de Espanha e do Reino Unido no que respeita ao diferendo sobre a soberania do território em que o aeroporto se encontra situado.

Para efeitos da presente directiva, aplicam-se as seguintes definições:

a) «Subsídio temporário», o subsídio de emissão de uma tonelada de equivalente dióxido de carbono durante um período determinado, que só é válido para efeitos do cumprimento dos requisitos da presente directiva e é transferível em conformidade com as disposições da presente directiva;

b) «Emissões», a libertação de gases com efeito de estufa para a atmosfera a partir de fontes numa instalação ou a libertação de uma aeronave que exerça uma das actividades de aviação enumeradas no anexo I dos gases especificados para essa actividade;

c) «Gases com efeito de estufa», os gases enumerados no anexo II e outros constituintes gasosos da atmosfera, tanto naturais como antropogénicos, que absorvem e reemitem a radiação infravermelha;

d) «Título de emissão de gases com efeito de estufa», a licença emitida em conformidade com os artigos 5.º e 6.º;

e) «Instalação», uma unidade técnica fixa em que são exercidas uma ou mais actividades enumeradas no anexo I e quaisquer outras actividades directamente associadas que tenham uma conexão técnica com as actividades exercidas nesse sítio e que possam ter efeitos sobre as emissões. e poluição;

f) «Operador», qualquer pessoa que explore ou controle uma instalação ou, quando tal esteja previsto na legislação nacional, em quem tenha sido delegado poder económico decisivo sobre o funcionamento técnico da instalação;

g) «Pessoa», qualquer pessoa singular ou colectiva;

h) «Novo operador»:

- qualquer instalação que execute uma ou mais das actividades indicadas no anexo I, que tenha obtido uma licença de emissão de gases com efeito de estufa pela primeira vez após 30 de Junho de 2011,

- qualquer instalação que desenvolva uma actividade incluída pela primeira vez no regime comunitário nos termos do no 1 ou do no 2 do artigo 24.o, ou.

- qualquer instalação que execute uma ou mais das actividades indicadas no anexo I ou uma actividade incluída no regime comunitário nos termos do no 1 ou no 2 do artigo 24.o, que tenha sofrido uma extensão significativa após 30 de Junho de 2011, apenas em no que diz respeito a esta extensão;

i) «Público», uma ou mais pessoas e, em conformidade com a legislação ou práticas nacionais, associações, organizações ou grupos de pessoas;

j) «Tonelada de equivalente dióxido de carbono», uma tonelada métrica de dióxido de carbono (CO 2) ou uma quantidade de qualquer outro gás com efeito de estufa referido no anexo II com um potencial de aquecimento global equivalente;

k) «Parte do Anexo I», uma Parte incluída no Anexo I da Convenção-Quadro das Nações Unidas sobre as Alterações Climáticas (CQNUAC) que ratificou o Protocolo de Quioto, conforme especificado no n. º 7 do artigo 1.º do Protocolo de Quioto;

l) «Actividade de projecto», uma actividade de projecto aprovada por uma ou mais Partes do Anexo I nos termos do artigo 6.º ou do artigo 12.º do Protocolo de Quioto e das decisões adoptadas nos termos da UNFCCC ou do Protocolo de Quioto;

m) «Unidade de redução das emissões» ou «URE», uma unidade emitida em conformidade com o artigo 6.º do Protocolo de Quioto e as decisões adotadas nos termos da CQNUAC ou do Protocolo de Quioto;

n) «Redução certificada de emissões» ou «CER», uma unidade emitida nos termos do artigo 12.º do Protocolo de Quioto e as decisões adotadas nos termos da CQNUAC ou do Protocolo de Quioto;

o) «Operador de aeronave», a pessoa que explora uma aeronave quando efectua uma actividade de aviação enumerada no anexo I ou, se essa pessoa não for conhecida ou não for identificada pelo proprietário da aeronave, o proprietário da aeronave ;

p) «Operador de transportes aéreos comerciais», um operador que, mediante remuneração, presta serviços de transporte aéreo regulares ou não regulares ao público para o transporte de passageiros, carga ou correio;

q) «Estado-Membro responsável», o Estado-Membro responsável pela administração do regime comunitário em relação a um operador de aeronaves em conformidade com o artigo 18.º-A;

r) "Emissões atribuídas pela aviação", as emissões de todos os voos abrangidos pelas actividades de aviação enumeradas no Anexo I que partem de um aeródromo situado no território de um Estado-Membro e das que chegam a um aeródromo de um país terceiro;

s) «Emissões históricas da aviação», a média das emissões anuais dos anos civis de 2004, 2005 e 2006 provenientes de aeronaves que exercem uma das actividades de aviação enumeradas no Anexo I;

t) «Combustão», qualquer oxidação de combustíveis, independentemente da forma como o calor, a energia eléctrica ou mecânica produzida por este processo é utilizada e quaisquer outras actividades directamente associadas, incluindo a depuração de efluentes gasosos;

u) «Gerador de electricidade», uma instalação que, a partir de 1 de Janeiro de 2005, tenha produzido electricidade para venda a terceiros e na qual não seja efectuada nenhuma actividade enumerada no anexo I para além da «combustão de combustíveis».

As disposições do presente capítulo são aplicáveis ​​à atribuição e concessão de licenças de emissão a actividades de aviação enumeradas no anexo I.

Até 2 de Agosto de 2009, a Comissão elabora, pelo procedimento de regulamentação a que se refere o no 2 do artigo 23.o, orientações sobre a interpretação pormenorizada das actividades de aviação enumeradas no anexo I.

Quantidade total de licenças para aviação.

1. Para o período compreendido entre 1 de janeiro de 2012 e 31 de dezembro de 2012, a quantidade total de licenças de emissão a atribuir aos operadores de aeronaves será equivalente a 97% das emissões históricas da aviação.

2. Para o período referido no ►M4 artigo 13.o, n. o 1 ◄, com início em 1 de janeiro de 2013 e, na ausência de quaisquer alterações na sequência da revisão a que se refere o artigo 30.o, n. o 4, para cada período subsequente, a quantidade total As licenças a atribuir aos operadores de aeronaves devem equivaler a 95% das emissões históricas da aviação multiplicadas pelo número de anos do período.

Esta percentagem pode ser revista no âmbito da revisão geral da presente directiva.

3. A Comissão procede à revisão da quantidade total de licenças de emissão a atribuir aos operadores de aeronaves nos termos do no 4 do artigo 30.o

4. Até 2 de Agosto de 2009, a Comissão deve decidir sobre as emissões históricas da aviação, com base nos melhores dados disponíveis, incluindo estimativas baseadas nas informações de tráfego reais. Essa decisão será examinada no comité referido no no 1 do artigo 23.o

Método de atribuição de licenças para aviação através de leilão.

1. No período referido no no 1 do artigo 3.oC, 15% das licenças são leiloadas.

2. A partir de 1 de janeiro de 2013, 15% das licenças são leiloadas. Esta percentagem pode ser aumentada no âmbito da revisão geral da presente directiva.

3. É adoptado um regulamento com disposições pormenorizadas para a venda pelos Estados-Membros de licenças que não devam ser emitidas gratuitamente em conformidade com os n. ºs 1 e 2 do presente artigo ou com o n. º 8 do artigo 3.º-F. O número de licenças de emissão a leiloar em cada período por cada Estado-Membro deve ser proporcional à sua parte das emissões aeronáuticas atribuídas a todos os Estados-Membros no ano de referência comunicado nos termos do n. º 3 do artigo 14.º e verificadas nos termos do artigo 15.º. No período referido no no 1 do artigo 3.oC, o ano de referência é 2010 e para cada período subsequente referido no artigo 3.oC o ano de referência é o ano civil que termina 24 meses antes do início do período a que o leilão diz respeito.

O referido regulamento, que tem por objecto alterar elementos não essenciais da presente directiva, completando-a, deve ser aprovado em conformidade com o procedimento de regulamentação com controlo referido no n. º 3 do artigo 23.º.

4. Compete aos Estados-Membros determinar a utilização das receitas geradas pela venda em leilão das licenças. Essas receitas devem ser utilizadas para combater as alterações climáticas na UE e nos países terceiros, nomeadamente para reduzir as emissões de gases com efeito de estufa, adaptar-se aos impactos das alterações climáticas na UE e nos países terceiros, especialmente os países em desenvolvimento, para financiar a investigação eo desenvolvimento. mitigação e adaptação, nomeadamente nos domínios da aeronáutica e do transporte aéreo, para reduzir as emissões através do transporte com baixas emissões e para cobrir os custos de administração do regime comunitário. O produto do leilão também deve ser usado para financiar contribuições ao Fundo Global de Eficiência Energética e Energia Renovável e medidas para evitar o desmatamento.

Os Estados-Membros informarão a Comissão das medidas tomadas em aplicação do presente número.

5. As informações fornecidas à Comissão por força da presente directiva não dispensam os Estados-Membros da obrigação de notificação estabelecida no no 3 do artigo 88.o do Tratado.

Atribuição e emissão de licenças para operadores de aeronaves.

1. Para cada um dos períodos referidos no artigo 3.º-C, cada operador de aeronaves pode solicitar a atribuição de licenças de emissão a atribuir gratuitamente. Pode ser apresentado um pedido submetendo à autoridade competente do Estado-Membro responsável os dados relativos às toneladas-quilómetro verificadas para as actividades de aviação enumeradas no anexo I realizadas por esse operador de aeronaves para o ano de monitorização. Para efeitos do presente artigo, o ano de monitorização é o ano civil que termina 24 meses antes do início do período a que se refere, em conformidade com os anexos IV e V ou, em relação ao período referido no n. º 1 do artigo 3.º-C. 2010. Todos os pedidos devem ser apresentados pelo menos 21 meses antes do início do período a que se referem ou, em relação ao período referido no artigo 3.o-C, n. o 1, até 31 de Março de 2011.

2. Pelo menos 18 meses antes do início do período a que se refere o pedido ou, em relação ao período referido no artigo 3.º-C, n. º 1, até 30 de Junho de 2011, os Estados-Membros devem apresentar à Comissão os pedidos recebidos nos termos do n. º 1. .

3. Pelo menos 15 meses antes do início de cada um dos períodos referidos no n. º 2 do artigo 3.º-C ou, em relação ao período referido no n. º 1 do artigo 3.º-C, até 30 de Setembro de 2011, a Comissão deve calcular e adoptar uma decisão. Fora:

a) A quantidade total de licenças de emissão a atribuir durante esse período, em conformidade com o artigo 3.º-C;

b) O número de licenças de emissão para venda em leilão nesse período, em conformidade com o artigo 3.o - D;

c) O número de licenças na reserva especial para operadores de aeronaves nesse período, em conformidade com o n. º 1 do artigo 3.º-F;

d) O número de licenças de emissão a atribuir gratuitamente nesse período, subtraindo o número de licenças referido nas alíneas b) ec) da quantidade total de licenças de emissão decididas ao abrigo da alínea a); e.

e) O valor de referência a utilizar para atribuir licenças de emissão a título gratuito aos operadores de aeronaves cujos pedidos tenham sido apresentados à Comissão nos termos do no 2.

O valor de referência referido na alínea e), expresso em licenças por tonelada-quilómetro, é calculado dividindo o número de licenças referido na alínea d) pela soma dos dados relativos às toneladas-quilómetro incluídos nas candidaturas apresentadas à Comissão. nos termos do n. º 2.

4. No prazo de três meses a contar da data em que a Comissão adopta uma decisão ao abrigo do n. º 3, cada Estado-Membro responsável calcula e publica:

a) A atribuição total das licenças de emissão para o período a cada um dos operadores de aeronaves cujo pedido tenha apresentado à Comissão em conformidade com o n. º 2, calculado multiplicando os dados relativos às toneladas-quilómetro incluídos no pedido pelo parâmetro de referência referido no n. º 3; ); e.

b) A atribuição de licenças a cada operador de aeronave para cada ano, que será determinada dividindo a sua atribuição total de licenças durante o período calculado ao abrigo da alínea a) pelo número de anos no período em que o operador de aeronave está a realizar uma actividade da aviação enumerada no anexo I.

5. Até 28 de Fevereiro de 2012 e até 28 de Fevereiro de cada ano subsequente, a autoridade competente do Estado-Membro responsável deve emitir para cada operador de aeronave o número de licenças atribuído a esse operador de aeronave para esse ano ao abrigo do presente artigo ou do artigo 3.º-F.

Reserva especial para determinados operadores de aeronaves.

1. Em cada um dos períodos referidos no no 2 do artigo 3.oC, 3% da quantidade total de licenças de emissão a atribuir serão colocados numa reserva especial para os operadores de aeronaves:

a) Que iniciem uma atividade de aviação abrangida pelo anexo I após o ano de monitorização para o qual foram apresentados dados relativos às toneladas-quilómetro ao abrigo do artigo 3.o-E, n. o 1, relativamente ao período referido no artigo 3.o-C, n. o 2; ou.

b) cujos dados relativos às toneladas-quilómetro aumentam anualmente em mais de 18% entre o ano de monitorização para o qual foram apresentados dados relativos às toneladas-quilómetro ao abrigo do n. º 1 do artigo 3.º-E por um período referido no n. º 2 do artigo 3.º-C; o segundo ano civil desse período;

e cuja actividade ao abrigo da alínea a), ou actividade adicional ao abrigo da alínea b), não seja, no todo ou em parte, uma continuação de uma actividade de aviação anteriormente realizada por outro operador de aeronaves.

2. Um operador de aeronave elegível nos termos do n. º 1 pode solicitar a atribuição de licenças de emissão a título gratuito na reserva especial, apresentando um pedido à autoridade competente do Estado-Membro responsável. Qualquer pedido deve ser apresentado até 30 de Junho do terceiro ano do período referido no no 2 do artigo 3.oC a que se refere.

Uma atribuição a um operador de aeronave nos termos do n. º 1, alínea b), não deve exceder 1 000 000 de licenças.

3. Um pedido nos termos do n. º 2 deve:

a) Incluir os dados relativos às toneladas-quilómetro verificadas em conformidade com os Anexos IV e V, para as actividades de aviação enumeradas no Anexo I realizadas pelo operador de aeronaves no segundo ano civil do período referido no n. º 2 do artigo 3.º-C. ;

b) Fornecer provas de que os critérios de elegibilidade previstos no n. o 1 foram cumpridos; e.

c) No caso de operadores de aeronaves abrangidos pela alínea b) do n. º 1, declarar:

i) O aumento percentual, em toneladas-quilómetro, efectuado por esse operador de aeronave entre o ano de monitorização para o qual foram apresentados dados relativos às toneladas-quilómetro ao abrigo do n. º 1 do artigo 3.º-E, por um período referido no n. º 2 do artigo 3.º-C e o segundo calendário; ano desse período;

ii) O crescimento absoluto, em toneladas-quilómetro, efectuado por esse operador de aeronave entre o ano de monitorização para o qual foram apresentados dados relativos às toneladas-quilómetro ao abrigo do n. º 1 do artigo 3.º-E relativamente ao período referido no n. º 2 do artigo 3.º-C; ano desse período; e.

iii) o crescimento absoluto, em toneladas-quilómetro, efectuado pelo operador da aeronave entre o ano de monitorização para o qual foram apresentados dados relativos às toneladas-quilómetro ao abrigo do no 1 do artigo 3.oE, no que respeita ao período referido no no 2 do artigo 3.oC; ano desse período que exceda a percentagem especificada no n. º 1, alínea b).

4. O mais tardar seis meses a contar do termo do prazo para apresentação de um pedido ao abrigo do n. o 2, os Estados-Membros devem apresentar os pedidos recebidos ao abrigo desse número à Comissão.

5. O mais tardar 12 meses a contar do prazo para apresentação de um pedido ao abrigo do n. º 2, a Comissão deve decidir que o índice de referência deve ser utilizado para atribuir licenças de emissão a operadores de aeronaves cujos pedidos tenham sido apresentados à Comissão nos termos do n. º 4.

Sob reserva do disposto no n. º 6, o valor de referência é calculado dividindo o número de licenças na reserva especial pela soma:

a) Os dados relativos às toneladas-quilómetro para os operadores de aeronaves abrangidos pelo n. º 1, alínea a), incluídos nos pedidos apresentados à Comissão nos termos da alínea a) do n. º 3 e do n. º 4; e.

b) O crescimento absoluto em toneladas-quilómetro superior à percentagem especificada no n. º 1, alínea b), para os operadores de aeronaves abrangidos pela alínea b) do n. º 1 incluídos em pedidos apresentados à Comissão em conformidade com os n. ºs 3, alínea c), subalínea iii) e 4; .

6. O valor de referência referido no n. º 5 não deve resultar numa atribuição anual por tonelada-quilómetro superior à atribuição anual por tonelada-quilómetro aos operadores de aeronaves nos termos do n. º 4 do artigo 3.º-E.

7. No prazo de três meses a contar da data em que a Comissão adopta uma decisão ao abrigo do no 5, cada Estado-Membro responsável calcula e publica:

a) A atribuição de licenças da reserva especial a cada um dos operadores de aeronaves cujo pedido tenha apresentado à Comissão em conformidade com o no 4. Esta atribuição será calculada multiplicando o valor de referência referido no no 5 por:

i) no caso de um operador de aeronaves abrangido pela alínea a) do no 1, os dados relativos às toneladas-quilómetro incluídos no pedido apresentado à Comissão nos termos do no 3, alínea a), e no no 4;

ii) no caso de um operador de aeronaves abrangido pela alínea b) do no 1, o crescimento absoluto em toneladas-quilómetro superior à percentagem indicada na alínea b) do no 1 incluída no pedido apresentado à Comissão nos termos do no 3, alínea c) ( iii) e 4; e.

b) A atribuição de licenças de emissão a cada operador de aeronave para cada ano, que será determinada dividindo a sua atribuição de licenças de emissão ao abrigo da alínea a) pelo número de anos civis completos que subsistam no período referido no n. º 2 do artigo 3.º-C. qual a alocação está relacionada.

8. Quaisquer licenças não atribuídas na reserva especial serão leiloadas pelos Estados-Membros.

9. A Comissão pode estabelecer regras pormenorizadas para o funcionamento da reserva especial prevista no presente artigo, incluindo a avaliação da conformidade com os critérios de elegibilidade previstos no n. º 1. Essas medidas, que têm por objecto alterar elementos não essenciais da presente directiva, completando-a, são adopted in accordance with the regulatory procedure with scrutiny referred to in Article 23(3).

Monitoring and reporting plans.

The administering Member State shall ensure that each aircraft operator submits to the competent authority in that Member State a monitoring plan setting out measures to monitor and report emissions and tonne-kilometre data for the purpose of an application under Article 3e and that such plans are approved by the competent authority in accordance with ►M4 the regulation referred to in Article 14 ◄ .

The provisions of this Chapter shall apply to greenhouse gas emissions permits and the allocation and issue of allowances in respect of activities listed in Annex I other than aviation activities.

Greenhouse gas emissions permits.

Member States shall ensure that, from 1 January 2005, no installation carries out any activity listed in Annex I resulting in emissions specified in relation to that activity unless its operator holds a permit issued by a competent authority in accordance with Articles 5 and 6, or the installation is excluded from the Community scheme pursuant to Article 27. This shall also apply to installations opted in under Article 24.

Applications for greenhouse gas emissions permits.

An application to the competent authority for a greenhouse gas emissions permit shall include a description of:

(a) the installation and its activities including the technology used;

(b) the raw and auxiliary materials, the use of which is likely to lead to emissions of gases listed in Annex I;

(c) the sources of emissions of gases listed in Annex I from the installation; e.

(d) the measures planned to monitor and report emissions in accordance with the regulation referred to in Article 14.

The application shall also include a non-technical summary of the details referred to in the first subparagraph.

Conditions for and contents of the greenhouse gas emissions permit.

1. The competent authority shall issue a greenhouse gas emissions permit granting authorisation to emit greenhouse gases from all or part of an installation if it is satisfied that the operator is capable of monitoring and reporting emissions.

A greenhouse gas emissions permit may cover one or more installations on the same site operated by the same operator.

The competent authority shall, at least every five years, review the greenhouse gas emissions permit and make any amendments as are appropriate.

2. Greenhouse gas emissions permits shall contain the following:

(a) the name and address of the operator;

(b) a description of the activities and emissions from the installation;

(c) a monitoring plan that fulfils the requirements under the regulation referred to in Article 14. Member States may allow operators to update monitoring plans without changing the permit. Operators shall submit any updated monitoring plans to the competent authority for approval;

(d) reporting requirements; e.

(e) an obligation to surrender allowances, other than allowances issued under Chapter II, equal to the total emissions of the installation in each calendar year, as verified in accordance with Article 15, within four months following the end of that year.

Changes relating to installations.

The operator shall inform the competent authority of any planned changes to the nature or functioning of the installation, or any extension or significant reduction of its capacity, which may require updating the greenhouse gas emissions permit. Where appropriate, the competent authority shall update the permit. Where there is a change in the identity of the installation's operator, the competent authority shall update the permit to include the name and address of the new operator.

Coordination with Directive 96/61/EC.

Member States shall take the necessary measures to ensure that, where installations carry out activities that are included in Annex I to Directive 96/61/EC, the conditions of, and procedure for, the issue of a greenhouse gas emissions permit are coordinated with those for the permit provided for in that Directive. The requirements of Articles 5, 6 and 7 of this Directive may be integrated into the procedures provided for in Directive 96/61/EC.

Community-wide quantity of allowances.

The Community-wide quantity of allowances issued each year starting in 2013 shall decrease in a linear manner beginning from the mid-point of the period from 2008 to 2012. The quantity shall decrease by a linear factor of 1,74 % compared to the average annual total quantity of allowances issued by Member States in accordance with the Commission Decisions on their national allocation plans for the period from 2008 to 2012. ►A1 The Community-wide quantity of allowances will be increased as a result of Croatia's accession only by the quantity of allowances that Croatia shall auction pursuant to Article 10(1). ◄

The Commission shall, by 30 June 2010, publish the absolute Community-wide quantity of allowances for 2013, based on the total quantities of allowances issued or to be issued by the Member States in accordance with the Commission Decisions on their national allocation plans for the period from 2008 to 2012.

The Commission shall review the linear factor and submit a proposal, where appropriate, to the European Parliament and to the Council as from 2020, with a view to the adoption of a decision by 2025.

Adjustment of the Community-wide quantity of allowances.

1. In respect of installations that were included in the Community scheme during the period from 2008 to 2012 pursuant to Article 24(1), the quantity of allowances to be issued from 1 January 2013 shall be adjusted to reflect the average annual quantity of allowances issued in respect of those installations during the period of their inclusion, adjusted by the linear factor referred to in Article 9.

2. In respect of installations carrying out activities listed in Annex I, which are only included in the Community scheme from 2013 onwards, Member States shall ensure that the operators of such installations submit to the relevant competent authority duly substantiated and independently verified emissions data in order for them to be taken into account for the adjustment of the Community-wide quantity of allowances to be issued.

Any such data shall be submitted, by 30 April 2010, to the relevant competent authority in accordance with the provisions adopted pursuant to Article 14(1).

If the data submitted are duly substantiated, the competent authority shall notify the Commission thereof by 30 June 2010 and the quantity of allowances to be issued, adjusted by the linear factor referred to in Article 9, shall be adjusted accordingly. In the case of installations emitting greenhouse gases other than CO 2 , the competent authority may notify a lower amount of emissions according to the emission reduction potential of those installations.

3. The Commission shall publish the adjusted quantities referred to in paragraphs 1 and 2 by 30 September 2010.

4. In respect of installations which are excluded from the Community scheme in accordance with Article 27, the Community-wide quantity of allowances to be issued from 1 January 2013 shall be adjusted downwards to reflect the average annual verified emissions of those installations in the period from 2008 to 2010, adjusted by the linear factor referred to in Article 9.

Auctioning of allowances.

1. From 2013 onwards, Member States shall auction all allowances which are not allocated free of charge in accordance with Article 10a and 10c. By 31 December 2010, the Commission shall determine and publish the estimated amount of allowances to be auctioned.

2. The total quantity of allowances to be auctioned by each Member State shall be composed as follows:

(a) 88 % of the total quantity of allowances to be auctioned being distributed amongst Member States in shares that are identical to the share of verified emissions under the Community scheme for 2005 or the average of the period from 2005 to 2007, whichever one is the highest, of the Member State concerned;

(b) 10 % of the total quantity of allowances to be auctioned being distributed amongst certain Member States for the purpose of solidarity and growth within the Community, thereby increasing the amount of allowances that those Member States auction under point (a) by the percentages specified in Annex IIa; e.

(c) 2 % of the total quantity of allowances to be auctioned being distributed amongst Member States the greenhouse gas emissions of which were, in 2005, at least 20 % below their emissions in the base year applicable to them under the Kyoto Protocol. The distribution of this percentage amongst the Member States concerned is set out in Annex IIb.

For the purposes of point (a), in respect of Member States which did not participate in the Community scheme in 2005, their share shall be calculated using their verified emissions under the Community scheme in 2007.

If necessary, the percentages referred to in points (b) and (c) shall be adapted in a proportional manner to ensure that the distribution is 10 % and 2 % respectively.

3. Member States shall determine the use of revenues generated from the auctioning of allowances. At least 50 % of the revenues generated from the auctioning of allowances referred to in paragraph 2, including all revenues from the auctioning referred to in paragraph 2, points (b) and (c), or the equivalent in financial value of these revenues, should be used for one or more of the following:

(a) to reduce greenhouse gas emissions, including by contributing to the Global Energy Efficiency and Renewable Energy Fund and to the Adaptation Fund as made operational by the Poznan Conference on Climate Change (COP 14 and COP/MOP 4), to adapt to the impacts of climate change and to fund research and development as well as demonstration projects for reducing emissions and for adaptation to climate change, including participation in initiatives within the framework of the European Strategic Energy Technology Plan and the European Technology Platforms;

(b) to develop renewable energies to meet the commitment of the Community to using 20 % renewable energies by 2020, as well as to develop other technologies contributing to the transition to a safe and sustainable low-carbon economy and to help meet the commitment of the Community to increase energy efficiency by 20 % by 2020;

(c) measures to avoid deforestation and increase afforestation and reforestation in developing countries that have ratified the international agreement on climate change, to transfer technologies and to facilitate adaptation to the adverse effects of climate change in these countries;

(d) forestry sequestration in the Community;

(e) the environmentally safe capture and geological storage of CO 2 , in particular from solid fossil fuel power stations and a range of industrial sectors and subsectors, including in third countries;

(f) to encourage a shift to low-emission and public forms of transport;

(g) to finance research and development in energy efficiency and clean technologies in the sectors covered by this Directive;

(h) measures intended to increase energy efficiency and insulation or to provide financial support in order to address social aspects in lower and middle income households;

(i) to cover administrative expenses of the management of the Community scheme.

Member States shall be deemed to have fulfilled the provisions of this paragraph if they have in place and implement fiscal or financial support policies, including in particular in developing countries, or domestic regulatory policies, which leverage financial support, established for the purposes set out in the first subparagraph and which have a value equivalent to at least 50 % of the revenues generated from the auctioning of allowances referred to in paragraph 2, including all revenues from the auctioning referred to in paragraph 2, points (b) and (c).

Member States shall inform the Commission as to the use of revenues and the actions taken pursuant to this paragraph in their reports submitted under Decision No 280/2004/EC.

4. By 30 June 2010, the Commission shall adopt a regulation on timing, administration and other aspects of auctioning to ensure that it is conducted in an open, transparent, harmonised and non-discriminatory manner. To this end, the process should be predictable, in particular as regards the timing and sequencing of auctions and the estimated volumes of allowances to be made available. ►M5 Where an assessment shows for the individual industrial sectors that no significant impact on sectors or subsectors exposed to a significant risk of carbon leakage is to be expected, the Commission may, in exceptional circumstances, adapt the timetable for the period referred to in Article 13(1) beginning on 1 January 2013 so as to ensure the orderly functioning of the market. The Commission shall make no more than one such adaptation for a maximum number of 900 million allowances. ◄

Auctions shall be designed to ensure that:

(a) operators, and in particular any SMEs covered by the Community scheme, have full, fair and equitable access;

(b) all participants have access to the same information at the same time and that participants do not undermine the operation of the auction;

(c) the organisation and participation in auctions is cost-efficient and undue administrative costs are avoided; e.

(d) access to allowances is granted for small emitters.

That measure, designed to amend non-essential elements of this Directive by supplementing it, shall be adopted in accordance with the regulatory procedure with scrutiny referred to in Article 23(3).

Member States shall report on the proper implementation of the auctioning rules for each auction, in particular with respect to fair and open access, transparency, price formation and technical and operational aspects. These reports shall be submitted within one month of the auction concerned and shall be published on the Commission's website.

5. The Commission shall monitor the functioning of the European carbon market. Each year, it shall submit a report to the European Parliament and to the Council on the functioning of the carbon market including the implementation of the auctions, liquidity and the volumes traded. If necessary, Member States shall ensure that any relevant information is submitted to the Commission at least two months before the Commission adopts the report.

Transitional Community-wide rules for harmonised free allocation.

1. By 31 December 2010, the Commission shall adopt Community-wide and fully-harmonised implementing measures for the allocation of the allowances referred to in paragraphs 4, 5, 7 and 12, including any necessary provisions for a harmonised application of paragraph 19.

Those measures, designed to amend non-essential elements of this Directive by supplementing it, shall be adopted in accordance with the regulatory procedure with scrutiny referred to in Article 23(3).

The measures referred to in the first subparagraph shall, to the extent feasible, determine Community-wide ex-ante benchmarks so as to ensure that allocation takes place in a manner that provides incentives for reductions in greenhouse gas emissions and energy efficient techniques, by taking account of the most efficient techniques, substitutes, alternative production processes, high efficiency cogeneration, efficient energy recovery of waste gases, use of biomass and capture and storage of CO 2 , where such facilities are available, and shall not provide incentives to increase emissions. No free allocation shall be made in respect of any electricity production, except for cases falling within Article 10c and electricity produced from waste gases.

For each sector and subsector, in principle, the benchmark shall be calculated for products rather than for inputs, in order to maximise greenhouse gas emissions reductions and energy efficiency savings throughout each production process of the sector or the subsector concerned.

In defining the principles for setting ex-ante benchmarks in individual sectors and subsectors, the Commission shall consult the relevant stakeholders, including the sectors and subsectors concerned.

The Commission shall, upon the approval by the Community of an international agreement on climate change leading to mandatory reductions of greenhouse gas emissions comparable to those of the Community, review those measures to provide that free allocation is only to take place where this is fully justified in the light of that agreement.

2. In defining the principles for setting ex-ante benchmarks in individual sectors or subsectors, the starting point shall be the average performance of the 10 % most efficient installations in a sector or subsector in the Community in the years 2007-2008. The Commission shall consult the relevant stakeholders, including the sectors and subsectors concerned.

The regulations pursuant to Articles 14 and 15 shall provide for harmonised rules on monitoring, reporting and verification of production-related greenhouse gas emissions with a view to determining the ex-ante benchmarks.

3. Subject to paragraphs 4 and 8, and notwithstanding Article 10c, no free allocation shall be given to electricity generators, to installations for the capture of CO 2 , to pipelines for transport of CO 2 or to CO 2 storage sites.

4. Free allocation shall be given to district heating as well as to high efficiency cogeneration, as defined by Directive 2004/8/EC, for economically justifiable demand, in respect of the production of heating or cooling. In each year subsequent to 2013, the total allocation to such installations in respect of the production of that heat shall be adjusted by the linear factor referred to in Article 9.

5. The maximum annual amount of allowances that is the basis for calculating allocations to installations which are not covered by paragraph 3 and are not new entrants shall not exceed the sum of:

(a) the annual Community-wide total quantity, as determined pursuant to Article 9, multiplied by the share of emissions from installations not covered by paragraph 3 in the total average verified emissions, in the period from 2005 to 2007, from installations covered by the Community scheme in the period from 2008 to 2012; e.

(b) the total average annual verified emissions from installations in the period from 2005 to 2007 which are only included in the Community scheme from 2013 onwards and are not covered by paragraph 3, adjusted by the linear factor, as referred to in Article 9.

A uniform cross-sectoral correction factor shall be applied if necessary.

6. Member States may also adopt financial measures in favour of sectors or subsectors determined to be exposed to a significant risk of carbon leakage due to costs relating to greenhouse gas emissions passed on in electricity prices, in order to compensate for those costs and where such financial measures are in accordance with state aid rules applicable and to be adopted in this area.

Those measures shall be based on ex-ante benchmarks of the indirect emissions of CO 2 per unit of production. The ex-ante benchmarks shall be calculated for a given sector or subsector as the product of the electricity consumption per unit of production corresponding to the most efficient available technologies and of the CO 2 emissions of the relevant European electricity production mix.

7. Five percent of the Community-wide quantity of allowances determined in accordance with Articles 9 and 9a over the period from 2013 to 2020 shall be set aside for new entrants, as the maximum that may be allocated to new entrants in accordance with the rules adopted pursuant to paragraph 1 of this Article. Allowances in this Community-wide reserve that are neither allocated to new entrants nor used pursuant to paragraph 8, 9 or 10 of this Article over the period from 2013 to 2020 shall be auctioned by the Member States, taking into account the level to which installations in Member States have benefited from this reserve, in accordance with Article 10(2) and, for detailed arrangements and timing, Article 10(4), and the relevant implementing provisions.

Allocations shall be adjusted by the linear factor referred to in Article 9.

No free allocation shall be made in respect of any electricity production by new entrants.

By 31 December 2010, the Commission shall adopt harmonised rules for the application of the definition of ‘new entrant’, in particular in relation to the definition of ‘significant extensions’.

Those measures, designed to amend non-essential elements of this Directive by supplementing it, shall be adopted in accordance with the regulatory procedure with scrutiny referred to in Article 23(3).

8. Up to 300 million allowances in the new entrants' reserve shall be available until 31 December 2015 to help stimulate the construction and operation of up to 12 commercial demonstration projects that aim at the environmentally safe capture and geological storage (CCS) of CO 2 as well as demonstration projects of innovative renewable energy technologies, in the territory of the Union.

The allowances shall be made available for support for demonstration projects that provide for the development, in geographically balanced locations, of a wide range of CCS and innovative renewable energy technologies that are not yet commercially viable. Their award shall be dependent upon the verified avoidance of CO 2 emissions.

Projects shall be selected on the basis of objective and transparent criteria that include requirements for knowledge-sharing. Those criteria and the measures shall be adopted in accordance with the regulatory procedure with scrutiny referred to in Article 23(3), and shall be made available to the public.

Allowances shall be set aside for the projects that meet the criteria referred to in the third subparagraph. Support for these projects shall be given via Member States and shall be complementary to substantial co-financing by the operator of the installation. They could also be co-financed by the Member State concerned, as well as by other instruments. No project shall receive support via the mechanism under this paragraph that exceeds 15 % of the total number of allowances available for this purpose. These allowances shall be taken into account under paragraph 7.

9. Lithuania, which, pursuant to Article 1 of Protocol No 4 on the Ignalina nuclear power plant in Lithuania, annexed to the 2003 Act of Accession, has committed to the closure of unit 2 of the Ignalina Nuclear Power Plant by 31 December 2009, may, if the total verified emissions of Lithuania in the period from 2013 to 2015 within the Community scheme exceed the sum of the free allowances issued to installations in Lithuania for electricity production emissions in that period and three-eighths of the allowances to be auctioned by Lithuania for the period from 2013 to 2020, claim allowances from the new entrants reserve for auctioning in accordance with the regulation referred to in Article 10(4). The maximum amount of such allowances shall be equivalent to the excess emissions in that period to the extent that this excess is due to increased emissions from electricity generation, minus any quantity by which allocations in that Member State in the period from 2008 to 2012 exceeded verified emissions within the Community scheme in Lithuania during that period. Any such allowances shall be taken into account under paragraph 7.

10. Any Member State with an electricity network which is interconnected with Lithuania and which, in 2007, imported more than 15 % of its domestic electricity consumption from Lithuania for its own consumption, and where emissions have increased due to investment in new electricity generation, may apply paragraph 9 mutatis mutandis under the conditions set out in that paragraph.

11. Subject to Article 10b, the amount of allowances allocated free of charge under paragraphs 4 to 7 of this Article in 2013 shall be 80 % of the quantity determined in accordance with the measures referred to in paragraph 1. Thereafter the free allocation shall decrease each year by equal amounts resulting in 30 % free allocation in 2020, with a view to reaching no free allocation in 2027.

12. Subject to Article 10b, in 2013 and in each subsequent year up to 2020, installations in sectors or subsectors which are exposed to a significant risk of carbon leakage shall be allocated, pursuant to paragraph 1, allowances free of charge at 100 % of the quantity determined in accordance with the measures referred to in paragraph 1.

13. By 31 December 2009 and every five years thereafter, after discussion in the European Council, the Commission shall determine a list of the sectors or subsectors referred to in paragraph 12 on the basis of the criteria referred to in paragraphs 14 to 17.

Every year the Commission may, at its own initiative or at the request of a Member State, add a sector or subsector to the list referred to in the first subparagraph if it can be demonstrated, in an analytical report, that this sector or subsector satisfies the criteria in paragraphs 14 to 17, following a change that has a substantial impact on the sector’s or subsector’s activities.

For the purpose of implementing this Article, the Commission shall consult the Member States, the sectors or subsectors concerned and other relevant stakeholders.

Those measures, designed to amend non-essential elements of this Directive by supplementing it, shall be adopted in accordance with the regulatory procedure with scrutiny referred to in Article 23(3).

14. In order to determine the sectors or subsectors referred to in paragraph 12, the Commission shall assess, at Community level, the extent to which it is possible for the sector or subsector concerned, at the relevant level of disaggregation, to pass on the direct cost of the required allowances and the indirect costs from higher electricity prices resulting from the implementation of this Directive into product prices without significant loss of market share to less carbon efficient installations outside the Community. These assessments shall be based on an average carbon price according to the Commission’s impact assessment accompanying the package of implementation measures for the EU’s objectives on climate change and renewable energy for 2020 and, if available, trade, production and value added data from the three most recent years for each sector or subsector.

15. A sector or subsector shall be deemed to be exposed to a significant risk of carbon leakage if:

(a) the sum of direct and indirect additional costs induced by the implementation of this Directive would lead to a substantial increase of production costs, calculated as a proportion of the gross value added, of at least 5 %; e.

(b) the intensity of trade with third countries, defined as the ratio between the total value of exports to third countries plus the value of imports from third countries and the total market size for the Community (annual turnover plus total imports from third countries), is above 10 %.

16. Notwithstanding paragraph 15, a sector or subsector is also deemed to be exposed to a significant risk of carbon leakage if:

(a) the sum of direct and indirect additional costs induced by the implementation of this Directive would lead to a particularly high increase of production costs, calculated as a proportion of the gross value added, of at least 30 %; ou.

(b) the intensity of trade with third countries, defined as the ratio between the total value of exports to third countries plus the value of imports from third countries and the total market size for the Community (annual turnover plus total imports from third countries), is above 30 %.

17. The list referred to in paragraph 13 may be supplemented after completion of a qualitative assessment, taking into account, where the relevant data are available, the following criteria:

(a) the extent to which it is possible for individual installations in the sector or subsector concerned to reduce emission levels or electricity consumption, including, as appropriate, the increase in production costs that the related investment may entail, for instance on the basis of the most efficient techniques;

(b) current and projected market characteristics, including when trade exposure or direct and indirect cost increase rates are close to one of the thresholds mentioned in paragraph 16;

(c) profit margins as a potential indicator of long-run investment or relocation decisions.

18. The list referred to in paragraph 13 shall be determined after taking into account, where the relevant data are available, the following:

(a) the extent to which third countries, representing a decisive share of global production of products in sectors or subsectors deemed to be at risk of carbon leakage, firmly commit to reducing greenhouse gas emissions in the relevant sectors or subsectors to an extent comparable to that of the Community and within the same time-frame; e.

(b) the extent to which the carbon efficiency of installations located in these countries is comparable to that of the Community.

19. No free allocation shall be given to an installation that has ceased its operations, unless the operator demonstrates to the competent authority that this installation will resume production within a specified and reasonable time. Installations for which the greenhouse gas emissions permit has expired or has been withdrawn and installations for which the operation or resumption of operation is technically impossible shall be considered to have ceased operations.

20. The Commission shall, as part of the measures adopted under paragraph 1, include measures for defining installations that partially cease to operate or significantly reduce their capacity, and measures for adapting, as appropriate, the level of free allocations given to them accordingly.

Measures to support certain energy-intensive industries in the event of carbon leakage.

1. By 30 June 2010, the Commission shall, in the light of the outcome of the international negotiations and the extent to which these lead to global greenhouse gas emission reductions, and after consulting with all relevant social partners, submit to the European Parliament and to the Council an analytical report assessing the situation with regard to energy-intensive sectors or subsectors that have been determined to be exposed to significant risks of carbon leakage. This shall be accompanied by any appropriate proposals, which may include:

(a) adjustment of the proportion of allowances received free of charge by those sectors or subsectors under Article 10a;

(b) inclusion in the Community scheme of importers of products which are produced by the sectors or subsectors determined in accordance with Article 10a;

(c) assessment of the impact of carbon leakage on Member States’ energy security, in particular where the electricity connections with the rest of the Union are insufficient and where there are electricity connections with third countries, and appropriate measures in this regard.

Any binding sectoral agreements which lead to global greenhouse gas emissions reductions of the magnitude required to effectively address climate change, and which are monitorable, verifiable and subject to mandatory enforcement arrangements shall also be taken into account when considering what measures are appropriate.

2. The Commission shall assess, by 31 March 2011, whether the decisions made regarding the proportion of allowances received free of charge by sectors or subsectors in accordance with paragraph 1, including the effect of setting ex-ante benchmarks in accordance with Article 10a(2), are likely to significantly affect the quantity of allowances to be auctioned by Member States in accordance with Article 10(2)(b), compared to a scenario with full auctioning for all sectors in 2020. It shall, if appropriate, submit adequate proposals to the European Parliament and to the Council, taking into account the possible distributional effects of such proposals.

Option for transitional free allocation for the modernisation of electricity generation.

1. By derogation from Article 10a(1) to (5), Member States may give a transitional free allocation to installations for electricity production in operation by 31 December 2008 or to installations for electricity production for which the investment process was physically initiated by the same date, provided that one of the following conditions is met:

(a) in 2007, the national electricity network was not directly or indirectly connected to the network interconnected system operated by the Union for the Coordination of Transmission of Electricity (UCTE);

(b) in 2007, the national electricity network was only directly or indirectly connected to the network operated by UCTE through a single line with a capacity of less than 400 MW; ou.

(c) in 2006, more than 30 % of electricity was produced from a single fossil fuel, and the GDP per capita at market price did not exceed 50 % of the average GDP per capita at market price of the Community.

The Member State concerned shall submit to the Commission a national plan that provides for investments in retrofitting and upgrading of the infrastructure and clean technologies. The national plan shall also provide for the diversification of their energy mix and sources of supply for an amount equivalent, to the extent possible, to the market value of the free allocation with respect to the intended investments, while taking into account the need to limit as far as possible directly linked price increases. The Member State concerned shall submit to the Commission, every year, a report on investments made in upgrading infrastructure and clean technologies. Investment undertaken from 25 June 2009 may be counted for this purpose.

2. Transitional free allocations shall be deducted from the quantity of allowances that the respective Member State would otherwise auction pursuant to Article 10(2). In 2013, the total transitional free allocation shall not exceed 70 % of the annual average verified emissions in 2005-2007 from such electricity generators for the amount corresponding to the gross final national consumption of the Member State concerned and shall gradually decrease, resulting in no free allocation in 2020. For those Member States which did not participate in the Community scheme in 2005, the relevant emissions shall be calculated using their verified Community scheme emissions under the Community scheme in 2007.

The Member State concerned may determine that the allowances allocated pursuant to this Article may only be used by the operator of the installation concerned for surrendering allowances pursuant to Article 12(3) with respect to emissions of the same installation during the year for which the allowances are allocated.

3. Allocations to operators shall be based on the allocation under the verified emissions in 2005-2007 or an ex-ante efficiency benchmark based on the weighted average of emission levels of most greenhouse gas efficient electricity production covered by the Community scheme for installations using different fuels. The weighting may reflect the shares of the different fuels in electricity production in the Member State concerned. The Commission shall, in accordance with the regulatory procedure referred to in Article 23(2), provide guidance to ensure that the allocation methodology avoids undue distortions of competition and minimises negative impacts on the incentives to reduce emissions.

4. Any Member State applying this Article shall require benefiting electricity generators and network operators to report every 12 months on the implementation of their investments referred to in the national plan. Member States shall report on this to the Commission and shall make such reports public.

5. Any Member State that intends to allocate allowances on the basis of this Article shall, by 30 September 2011, submit to the Commission an application containing the proposed allocation methodology and individual allocations. An application shall contain:

(a) evidence that the Member State meets at least one of the conditions set out in paragraph 1;

(b) a list of the installations covered by the application and the amount of allowances to be allocated to each installation in accordance with paragraph 3 and the Commission guidance;

(c) the national plan referred to in the second subparagraph of paragraph 1;

(d) monitoring and enforcement provisions with respect to the intended investments pursuant to the national plan;

(e) information showing that the allocations do not create undue distortions of competition.

6. The Commission shall assess the application taking into account the elements set out in paragraph 5 and may reject the application, or any aspect thereof, within six months of receiving the relevant information.

7. Two years before the end of the period during which a Member State may give transitional free allocation to installations for electricity production in operation by 31 December 2008, the Commission shall assess the progress made in the implementation of the national plan. If the Commission considers, on request of the Member State concerned, that there is a need for a possible extension of that period, it may submit to the European Parliament and to the Council appropriate proposals, including the conditions that would have to be met in the case of an extension of that period.

National implementation measures.

1. Each Member State shall publish and submit to the Commission, by 30 September 2011, the list of installations covered by this Directive in its territory and any free allocation to each installation in its territory calculated in accordance with the rules referred to in Article 10a(1) and Article 10c.

2. By 28 February of each year, the competent authorities shall issue the quantity of allowances that are to be allocated for that year, calculated in accordance with Articles 10, 10a and 10c.

3. Member States may not issue allowances free of charge under paragraph 2 to installations whose inscription in the list referred to in paragraph 1 has been rejected by the Commission.

PROVISIONS APPLYING TO AVIATION AND STATIONARY INSTALLATIONS.

Use of CERs and ERUs from project activities in the Community scheme before the entry into force of an international agreement on climate change.

1. Without prejudice to the application of Article 28(3) and (4), paragraphs 2 to 7 of this Article shall apply.

2. To the extent that the levels of CER and ERU use, allowed to operators or aircraft operators by Member States for the period from 2008 to 2012, have not been used up or an entitlement to use credits is granted under paragraph 8, operators may request the competent authority to issue allowances to them valid from 2013 onwards in exchange for CERs and ERUs issued in respect of emission reductions up until 2012 from project types which were eligible for use in the Community scheme during the period from 2008 to 2012.

Until 31 March 2015, the competent authority shall make such an exchange on request.

3. To the extent that the levels of CER and ERU use, allowed to operators or aircraft operators by Member States for the period from 2008 to 2012, have not been used up or an entitlement to use credits is granted under paragraph 8, competent authorities shall allow operators to exchange CERs and ERUs from projects that were registered before 2013 issued in respect of emission reductions from 2013 onwards for allowances valid from 2013 onwards.

The first subparagraph shall apply to CERs and ERUs for all project types which were eligible for use in the Community scheme during the period from 2008 to 2012.

4. To the extent that the levels of CER and ERU use, allowed to operators or aircraft operators by Member States for the period from 2008 to 2012, have not been used up or an entitlement to use credits is granted under paragraph 8, competent authorities shall allow operators to exchange CERs issued in respect of emission reductions from 2013 onwards for allowances from new projects started from 2013 onwards in LDCs.

The first subparagraph shall apply to CERs for all project types which were eligible for use in the Community scheme during the period from 2008 to 2012, until those countries have ratified a relevant agreement with the Community or until 2020, whichever is the earlier.

5. To the extent that the levels of CER and ERU use, allowed to operators or aircraft operators by Member States for the period from 2008 to 2012, have not been used up or an entitlement to use credits is granted under paragraph 8 and in the event that the negotiations on an international agreement on climate change are not concluded by 31 December 2009, credits from projects or other emission reducing activities may be used in the Community scheme in accordance with agreements concluded with third countries, specifying levels of use. In accordance with such agreements, operators shall be able to use credits from project activities in those third countries to comply with their obligations under the Community scheme.

6. Any agreements referred to in paragraph 5 shall provide for the use of credits in the Community scheme from project types which were eligible for use in the Community scheme during the period from 2008 to 2012, including renewable energy or energy efficiency technologies which promote technological transfer and sustainable development. Any such agreement may also provide for the use of credits from projects where the baseline used is below the level of free allocation under the measures referred to in Article 10a or below the levels required by Community legislation.

7. Once an international agreement on climate change has been reached, only credits from projects from third countries which have ratified that agreement shall be accepted in the Community scheme from 1 January 2013.

8. All existing operators shall be allowed to use credits during the period from 2008 to 2020 up to either the amount allowed to them during the period from 2008 to 2012, or to an amount corresponding to a percentage, which shall not be set below 11 %, of their allocation during the period from 2008 to 2012, whichever is the highest.

Operators shall be able to use credits beyond the 11 % provided for in the first subparagraph, up to an amount which results in their combined free allocation in the period from 2008 to 2012 and overall project credits entitlement equal to a certain percentage of their verified emissions in the period from 2005 to 2007.

New entrants, including new entrants in the period from 2008 to 2012 which received neither free allocation nor an entitlement to use CERs and ERUs in the period from 2008-2012, and new sectors shall be able to use credits up to an amount corresponding to a percentage, which shall not be set below 4,5 %, of their verified emissions during the period from 2013 to 2020. Aircraft operators shall be able to use credits up to an amount corresponding to a percentage, which shall not be set below 1,5 %, of their verified emissions during the period from 2013 to 2020.

Measures shall be adopted to specify the exact percentages which shall apply under the first, second and third subparagraphs. At least one-third of the additional amount which is to be distributed to existing operators beyond the first percentage referred to in the first subparagraph shall be distributed to the operators which had the lowest level of combined average free allocation and project credit use in the period from 2008 to 2012.

Those measures shall ensure that the overall use of credits allowed does not exceed 50 % of the Community-wide reductions below the 2005 levels of the existing sectors under the Community scheme over the period from 2008 to 2020 and 50 % of the Community-wide reductions below the 2005 levels of new sectors and aviation over the period from the date of their inclusion in the Community scheme to 2020.

Those measures, designed to amend non-essential elements of this Directive by supplementing it, shall be adopted in accordance with the regulatory procedure with scrutiny referred to in Article 23(3).

9. From 1 January 2013, measures may be applied to restrict the use of specific credits from project types.

Those measures shall also set the date from which the use of credits under paragraphs 1 to 4 shall be in accordance with these measures. That date shall be, at the earliest, six months from the adoption of the measures or, at the latest, three years from their adoption.

Those measures, designed to amend non-essential elements of this Directive by supplementing it, shall be adopted in accordance with the regulatory procedure with scrutiny referred to in Article 23(3). The Commission shall consider submitting to the Committee a draft of the measures to be taken where a Member State so requests.

1. Member States shall take all necessary measures to ensure that baselines for project activities, as defined by subsequent decisions adopted under the UNFCCC or the Kyoto Protocol, undertaken in countries having signed a Treaty of Accession with the Union fully comply with the acquis communautaire , including the temporary derogations set out in that Treaty of Accession.

The Community and its Member States shall only authorise project activities where all project participants have headquarters either in a country that has concluded the international agreement relating to such projects or in a country or sub-federal or regional entity which is linked to the Community scheme pursuant to Article 25.

2. Except as provided for in paragraphs 3 and 4, Member States hosting project activities shall ensure that no ERUs or CERs are issued for reductions or limitations of greenhouse gas emissions from ►M2 activities ◄ falling within the scope of this Directive.

3. Until 31 December 2012, for JI and CDM project activities which reduce or limit directly the emissions of an installation falling within the scope of this Directive, ERUs and CERs may be issued only if an equal number of allowances is cancelled by the operator of that installation.

4. Until 31 December 2012, for JI and CDM project activities which reduce or limit indirectly the emission level of installations falling within the scope of this Directive, ERUs and CERs may be issued only if an equal number of allowances is cancelled from the national registry of the Member State of the ERUs’ or CERs’ origin.

5. A Member State that authorises private or public entities to participate in project activities shall remain responsible for the fulfilment of its obligations under the UNFCCC and the Kyoto Protocol and shall ensure that such participation is consistent with the relevant guidelines, modalities and procedures adopted pursuant to the UNFCCC or the Kyoto Protocol.

6. In the case of hydroelectric power production project activities with a generating capacity exceeding 20 MW, Member States shall, when approving such project activities, ensure that relevant international criteria and guidelines, including those contained in the World Commission on Dams November 2000 Report ‘Dams and Development — A New Framework for Decision-Making’, will be respected during the development of such project activities.

7. Provisions for the implementation of paragraphs 3 and 4, particularly in respect of the avoidance of double counting, shall be adopted by the Commission in accordance with the regulatory procedure referred to in Article 23(2). The Commission shall adopt provisions for the implementation of paragraph 5 of this Article where the host party meets all eligibility requirements for JI project activities. Those measures, designed to amend non-essential elements of this Directive, by supplementing it, shall be adopted in accordance with the regulatory procedure with scrutiny referred to in Article 23(3).

Transfer, surrender and cancellation of allowances.

1. Member States shall ensure that allowances can be transferred between:

(a) persons within the Community;

(b) persons within the Community and persons in third countries, where such allowances are recognised in accordance with the procedure referred to in Article 25 without restrictions other than those contained in, or adopted pursuant to, this Directive.

1a. The Commission shall, by 31 December 2010, examine whether the market for emissions allowances is sufficiently protected from insider dealing or market manipulation and, if appropriate, shall bring forward proposals to ensure such protection. The relevant provisions of Directive 2003/6/EC of the European Parliament and of the Council of 28 January 2003 on insider dealing and market manipulation (market abuse) ( 13 ) may be used with any appropriate adjustments needed to apply them to trade in commodities.

2. Member States shall ensure that allowances issued by a competent authority of another Member State are recognised for the purpose ►M2 of meeting an aircraft operator’s obligations under paragraph 2a or ◄ of meeting an operator's obligations under paragraph 3.

2a. Administering Member States shall ensure that, by 30 April each year, each aircraft operator surrenders a number of allowances equal to the total emissions during the preceding calendar year from aviation activities listed in Annex I for which it is the aircraft operator, as verified in accordance with Article 15. Member States shall ensure that allowances surrendered in accordance with this paragraph are subsequently cancelled.

3. Member States shall ensure that, by 30 April each year, the operator of each installation surrenders a number of allowances, other than allowances issued under Chapter II, equal to the total emissions from that installation during the preceding calendar year as verified in accordance with Article 15, and that these are subsequently cancelled.

3a. An obligation to surrender allowances shall not arise in respect of emissions verified as captured and transported for permanent storage to a facility for which a permit is in force in accordance with Directive 2009/31/EC of the European Parliament and of the Council of 23 April 2009 on the geological storage of carbon dioxide ( 14 ).

4. Member States shall take the necessary steps to ensure that allowances will be cancelled at any time at the request of the person holding them.

5. Paragraphs 1 and 2 apply without prejudice to Article 10c.

Validity of allowances.

1. Allowances issued from 1 January 2013 onwards shall be valid for emissions during periods of eight years beginning on 1 January 2013.

2. Four months after the beginning of each period referred to in paragraph 1, allowances which are no longer valid and have not been surrendered and cancelled in accordance with Article 12 shall be cancelled by the competent authority.

Member States shall issue allowances to persons for the current period to replace any allowances held by them which are cancelled in accordance with the first subparagraph.

Monitoring and reporting of emissions.

1. By 31 December 2011, the Commission shall adopt a regulation for the monitoring and reporting of emissions and, where relevant, activity data, from the activities listed in Annex I, for the monitoring and reporting of tonne-kilometre data for the purpose of an application under Articles 3e or 3f, which shall be based on the principles for monitoring and reporting set out in Annex IV and shall specify the global warming potential of each greenhouse gas in the requirements for monitoring and reporting emissions for that gas.

That measure, designed to amend non-essential elements of this Directive by supplementing it, shall be adopted in accordance with the regulatory procedure with scrutiny referred to in Article 23(3).

2. The regulation referred to in paragraph 1 shall take into account the most accurate and up-to-date scientific evidence available, in particular from the IPCC, and may also specify requirements for operators to report on emissions associated with the production of goods produced by energy intensive industries which may be subject to international competition. That regulation may also specify requirements for this information to be verified independently.

Those requirements may include reporting on levels of emissions from electricity generation covered by the Community scheme associated with the production of such goods.

3. Member States shall ensure that each operator of an installation or an aircraft operator monitors and reports the emissions from that installation during each calendar year, or, from 1 January 2010, the aircraft which it operates, to the competent authority after the end of that year in accordance with the regulation referred to in paragraph 1.

4. The regulation referred to in paragraph 1 may include requirements on the use of automated systems and data exchange formats to harmonise communication on the monitoring plan, the annual emission report and the verification activities between the operator, the verifier and competent authorities.

Verification and accreditation.

Member States shall ensure that the reports submitted by operators and aircraft operators pursuant to Article 14(3) are verified in accordance with the criteria set out in Annex V and any detailed provisions adopted by the Commission in accordance with this Article, and that the competent authority is informed thereof.

Member States shall ensure that an operator or aircraft operator whose report has not been verified as satisfactory in accordance with the criteria set out in Annex V and any detailed provisions adopted by the Commission in accordance with this Article by 31 March each year for emissions during the preceding year cannot make further transfers of allowances until a report from that operator or aircraft operator has been verified as satisfactory.

The Commission may adopt detailed provisions for the verification of reports submitted by aircraft operators pursuant to Article 14(3) and applications under Articles 3e and 3f, including the verification procedures to be used by verifiers, in accordance with the regulatory procedure referred to in Article 23(2).

By 31 December 2011, the Commission shall adopt a regulation for the verification of emission reports based on the principles set out in Annex V and for the accreditation and supervision of verifiers. It shall specify conditions for the accreditation and withdrawal of accreditation, for mutual recognition and peer evaluation of accreditation bodies, as appropriate.

That measure, designed to amend non-essential elements of this Directive by supplementing it, shall be adopted in accordance with the regulatory procedure with scrutiny referred to in Article 23(3).

Disclosure of information and professional secrecy.

Member States and the Commission shall ensure that all decisions and reports relating to the quantity and allocation of allowances and to the monitoring, reporting and verification of emissions are immediately disclosed in an orderly manner ensuring non-discriminatory access.

Information covered by professional secrecy may not be disclosed to any other person or authority except by virtue of the applicable laws, regulations or administrative provisions.

1. Member States shall lay down the rules on penalties applicable to infringements of the national provisions adopted pursuant to this Directive and shall take all measures necessary to ensure that such rules are implemented. The penalties provided for must be effective, proportionate and dissuasive. Member States shall notify these provisions to the Commission ►M2 —————31 December 2003————— ◄ and shall notify it without delay of any subsequent amendment affecting them.

2. Member States shall ensure publication of the names of operators and aircraft operators who are in breach of requirements to surrender sufficient allowances under this Directive.

3. Member States shall ensure that any operator or aircraft operator who does not surrender sufficient allowances by 30 April of each year to cover its emissions during the preceding year shall be held liable for the payment of an excess emissions penalty. The excess emissions penalty shall be EUR 100 for each tonne of carbon dioxide equivalent emitted for which the operator or aircraft operator has not surrendered allowances. Payment of the excess emissions penalty shall not release the operator or aircraft operator from the obligation to surrender an amount of allowances equal to those excess emissions when surrendering allowances in relation to the following calendar year.

4. The excess emissions penalty relating to allowances issued from 1 January 2013 onwards shall increase in accordance with the European index of consumer prices.

5. In the event that an aircraft operator fails to comply with the requirements of this Directive and where other enforcement measures have failed to ensure compliance, its administering Member State may request the Commission to decide on the imposition of an operating ban on the aircraft operator concerned.

6. Any request by an administering Member State under paragraph 5 shall include:

(a) evidence that the aircraft operator has not complied with its obligations under this Directive;

(b) details of the enforcement action which has been taken by that Member State;

(c) a justification for the imposition of an operating ban at Community level; e.

(d) a recommendation for the scope of an operating ban at Community level and any conditions that should be applied.

7. When requests such as those referred to in paragraph 5 are addressed to the Commission, the Commission shall inform the other Member States through their representatives on the Committee referred to in Article 23(1) in accordance with the Committee’s Rules of Procedure.

8. The adoption of a decision following a request pursuant to paragraph 5 shall be preceded, when appropriate and practicable, by consultations with the authorities responsible for regulatory oversight of the aircraft operator concerned. Whenever possible, consultations shall be held jointly by the Commission and the Member States.

9. When the Commission is considering whether to adopt a decision following a request pursuant to paragraph 5, it shall disclose to the aircraft operator concerned the essential facts and considerations which form the basis for such decision. The aircraft operator concerned shall be given an opportunity to submit written comments to the Commission within 10 working days from the date of disclosure.

10. At the request of a Member State, the Commission may, in accordance with the regulatory procedure referred to in Article 23(2), adopt a decision to impose an operating ban on the aircraft operator concerned.

11. Each Member State shall enforce, within its territory, any decisions adopted under paragraph 10. It shall inform the Commission of any measures taken to implement such decisions.

12. Where appropriate, detailed rules shall be established in respect of the procedures referred to in this Article. Those measures, designed to amend non-essential elements of this Directive by supplementing it, shall be adopted in accordance with the regulatory procedure with scrutiny referred to in Article 23(3).

Acesso a informação.

Decisions relating to the allocation of allowances, information on project activities in which a Member State participates or authorises private or public entities to participate, and the reports of emissions required under the greenhouse gas emissions permit and held by the competent authority, shall be made available to the public in accordance with Directive 2003/4/EC.

Member States shall make the appropriate administrative arrangements, including the designation of the appropriate competent authority or authorities, for the implementation of the rules of this Directive. Where more than one competent authority is designated, the work of these authorities undertaken pursuant to this Directive must be coordinated.

Member States shall in particular ensure coordination between their designated focal point for approving project activities pursuant to Article 6 (1)(a) of the Kyoto Protocol and their designated national authority for the implementation of Article 12 of the Kyoto Protocol respectively designated in accordance with subsequent decisions adopted under the UNFCCC or the Kyoto Protocol.

Administering Member State.

1. The administering Member State in respect of an aircraft operator shall be:

(a) in the case of an aircraft operator with a valid operating licence granted by a Member State in accordance with the provisions of Council Regulation (EEC) No 2407/92 of 23 July 1992 on licensing of air carriers ( 15 ), the Member State which granted the operating licence in respect of that aircraft operator; e.

(b) in all other cases, the Member State with the greatest estimated attributed aviation emissions from flights performed by that aircraft operator in the base year.

2. Where in the first two years of any period referred to in Article 3c, none of the attributed aviation emissions from flights performed by an aircraft operator falling within paragraph 1(b) of this Article are attributed to its administering Member State, the aircraft operator shall be transferred to another administering Member State in respect of the next period. The new administering Member State shall be the Member State with the greatest estimated attributed aviation emissions from flights performed by that aircraft operator during the first two years of the previous period.

3. Based on the best available information, the Commission shall:

(a) before 1 February 2009, publish a list of aircraft operators which performed an aviation activity listed in Annex I on or after 1 January 2006 specifying the administering Member State for each aircraft operator in accordance with paragraph 1; e.

(b) before 1 February of each subsequent year, update the list to include aircraft operators which have subsequently performed an aviation activity listed in Annex I.

4. The Commission may, in accordance with the regulatory procedure referred to in Article 23(2), develop guidelines relating to the administration of aircraft operators under this Directive by administering Member States.

5. For the purposes of paragraph 1, ‘base year’ means, in relation to an aircraft operator which started operating in the Community after 1 January 2006, the first calendar year of operation, and in all other cases, the calendar year starting on 1 January 2006.

Assistance from Eurocontrol.

For the purposes of carrying out its obligations under Articles 3c(4) and 18a, the Commission may request the assistance of Eurocontrol or another relevant organisation and may conclude to that effect any appropriate agreements with those organisations.

1. Allowances issued from 1 January 2012 onwards shall be held in the Community registry for the execution of processes pertaining to the maintenance of the holding accounts opened in the Member State and the allocation, surrender and cancellation of allowances under the Commission Regulation referred to in paragraph 3.

Each Member State shall be able to fulfil the execution of authorised operations under the UNFCCC or the Kyoto Protocol.

2. Any person may hold allowances. The registry shall be accessible to the public and shall contain separate accounts to record the allowances held by each person to whom and from whom allowances are issued or transferred.

3. In order to implement this Directive, the Commission shall adopt a Regulation for a standardised and secured system of registries in the form of standardised electronic databases containing common data elements to track the issue, holding, transfer and cancellation of allowances, to provide for public access and confidentiality as appropriate and to ensure that there are no transfers which are incompatible with the obligations resulting from the Kyoto Protocol. That Regulation shall also include provisions concerning the use and identification of CERs and ERUs in the Community scheme and the monitoring of the level of such use. That measure, designed to amend non-essential elements of this Directive by supplementing it, shall be adopted in accordance with the regulatory procedure with scrutiny referred to in Article 23(3).

4. The Regulation referred to in paragraph 3 shall contain appropriate modalities for the Community registry to undertake transactions and other operations to implement arrangements referred to in Article 25(1b). That Regulation shall also include processes for the change and incident management for the Community registry with regard to issues in paragraph 1 of this Article. It shall contain appropriate modalities for the Community registry to ensure that initiatives of the Member States pertaining to efficiency improvement, administrative cost management and quality control measures are possible.

1. The Commission shall designate a Central Administrator to maintain an independent transaction log recording the issue, transfer and cancellation of allowances.

2. The Central Administrator shall conduct an automated check on each transaction in registries through the independent transaction log to ensure there are no irregularities in the issue, transfer and cancellation of allowances.

3. If irregularities are identified through the automated check, the Central Administrator shall inform the Member State or Member States concerned who shall not register the transactions in question or any further transactions relating to the allowances concerned until the irregularities have been resolved.

Reporting by Member States.

1. Each year the Member States shall submit to the Commission a report on the application of this Directive. ►M4 That report shall pay particular attention to the arrangements for the allocation of allowances, the operation of registries, the application of the implementing measures on monitoring and reporting, verification and accreditation and issues relating to compliance with this Directive and on the fiscal treatment of allowances, if any. ◄ The first report shall be sent to the Commission by 30 June 2005. The report shall be drawn up on the basis of a questionnaire or outline drafted by the Commission in accordance with the procedure laid down in Article 6 of Directive 91/692/EEC. The questionnaire or outline shall be sent to Member States at least six months before the deadline for the submission of the first report.

2. On the basis of the reports referred to in paragraph 1, the Commission shall publish a report on the application of this Directive within three months of receiving the reports from the Member States.

3. The Commission shall organise an exchange of information between the competent authorities of the Member States concerning developments relating to issues of allocation, the use of ERUs and CERs in the Community scheme, the operation of registries, monitoring, reporting, verification, accreditation, information technology, and compliance with this Directive.

Support of capacity-building activities.

In accordance with the UNFCCC, the Kyoto Protocol and any subsequent decision adopted for their implementation, the Commission and the Member States shall endeavour to support capacity-building activities in developing countries and countries with economies in transition in order to help them take full advantage of JI and the CDM in a manner that supports their sustainable development strategies and to facilitate the engagement of entities in JI and CDM project development and implementation.

Amendments to the Annexes.

The Annexes to this Directive, with the exception of Annexes I, IIa and IIb, may be amended in the light of the reports provided for in Article 21 and of the experience of the application of this Directive. Annexes IV and V may be amended in order to improve the monitoring, reporting and verification of emissions.

Those measures, designed to amend non-essential elements of this Directive, inter alia, by supplementing it, shall be adopted in accordance with the regulatory procedure with scrutiny referred to in Article 23(3).

1. The Commission shall be assisted by the committee instituted by Article 8 of Decision 93/389/EEC.

2. Where reference is made to this paragraph, Articles 5 and 7 of Decision 1999/468/EC shall apply, having regard to the provisions of Article 8 thereof.

The period laid down in Article 5(6) of Decision 1999/468/EC shall be set at three months.

3. Where reference is made to this paragraph, Article 5a(1) to (4) and Article 7 of Decision 1999/468/EC shall apply, having regard to the provisions of Article 8 thereof.

4. Where reference is made to this paragraph, Article 4 and 7 of Decision 1999/468/EC shall apply, having regard to the provisions of Article 8 thereof.

Procedures for unilateral inclusion of additional activities and gases.

1. From 2008, Member States may apply emission allowance trading in accordance with this Directive to activities and to greenhouse gases which are not listed in Annex I, taking into account all relevant criteria, in particular the effects on the internal market, potential distortions of competition, the environmental integrity of the Community scheme and the reliability of the planned monitoring and reporting system, provided that inclusion of such activities and greenhouse gases is approved by the Commission.

(a) in accordance with the regulatory procedure referred to in Article 23(2), if the inclusion refers to installations which are not covered by Annex I; ou.

(b) in accordance with the regulatory procedure with scrutiny referred to in Article 23(3), if the inclusion refers to activities and greenhouse gases which are not listed in Annex I. Those measures are designed to amend non-essential elements of this Directive by supplementing it.

2. When the inclusion of additional activities and gases is approved, the Commission may at the same time authorise the issue of additional allowances and may authorise other Member States to include such additional activities and gases.

3. On the initiative of the Commission or at the request of a Member State, a regulation may be adopted on the monitoring of, and reporting on, emissions concerning activities, installations and greenhouse gases which are not listed as a combination in Annex I, if that monitoring and reporting can be carried out with sufficient accuracy.

That measure, designed to amend non-essential elements of this Directive by supplementing it, shall be adopted in accordance with the regulatory procedure with scrutiny referred to in Article 23(3).

Harmonised rules for projects that reduce emissions.

1. In addition to the inclusions provided for in Article 24, implementing measures for issuing allowances or credits in respect of projects administered by Member States that reduce greenhouse gas emissions not covered by the Community scheme may be adopted.

Those measures, designed to amend non-essential elements of this Directive by supplementing it, shall be adopted in accordance with the regulatory procedure with scrutiny referred to in Article 23(3).

Any such measures shall not result in the double-counting of emission reductions nor impede the undertaking of other policy measures to reduce emissions not covered by the Community scheme. Measures shall only be adopted where inclusion is not possible in accordance with Article 24, and the next review of the Community scheme shall consider harmonising the coverage of those emissions across the Community.

2. Implementing measures that set out the details for crediting in respect of Community-level projects referred to in paragraph 1 may be adopted.

Those measures, designed to amend non-essential elements of this Directive by supplementing it, shall be adopted in accordance with the regulatory procedure with scrutiny referred to in Article 23(3).

3. A Member State can refuse to issue allowances or credits in respect of certain types of projects that reduce greenhouse gas emissions on its own territory.

Such projects will be executed on the basis of the agreement of the Member State in which the project takes place.

Links with other greenhouse gas emissions trading schemes.

1. Agreements should be concluded with third countries listed in Annex B to the Kyoto Protocol which have ratified the Protocol to provide for the mutual recognition of allowances between the Community scheme and other greenhouse gas emissions trading schemes in accordance with the rules set out in Article 300 of the Treaty.

1a. Agreements may be made to provide for the recognition of allowances between the Community scheme and compatible mandatory greenhouse gas emissions trading systems with absolute emissions caps established in any other country or in sub-federal or regional entities.

1b. Non-binding arrangements may be made with third countries or with sub-federal or regional entities to provide for administrative and technical coordination in relation to allowances in the Community scheme or other mandatory greenhouse gas emissions trading systems with absolute emissions caps.

2. Where an agreement referred to in paragraph 1 has been concluded, the Commission shall adopt any necessary provisions relating to the mutual recognition of allowances under that agreement. Those measures, designed to amend non-essential elements of this Directive, by supplementing it, shall be adopted in accordance with the regulatory procedure with scrutiny referred to in Article 23(3).

Third country measures to reduce the climate change impact of aviation.

1. Where a third country adopts measures for reducing the climate change impact of flights departing from that country which land in the Community, the Commission, after consulting with that third country, and with Member States within the Committee referred to in Article 23(1), shall consider options available in order to provide for optimal interaction between the Community scheme and that country’s measures.

Where necessary, the Commission may adopt amendments to provide for flights arriving from the third country concerned to be excluded from the aviation activities listed in Annex I or to provide for any other amendments to the aviation activities listed in Annex I which are required by an agreement pursuant to the fourth subparagraph. Those measures, designed to amend non-essential elements of this Directive, shall be adopted in accordance with the regulatory procedure with scrutiny referred to in Article 23(3).

The Commission may propose to the European Parliament and the Council any other amendments to this Directive.

The Commission may also, where appropriate, make recommendations to the Council in accordance with Article 300(1) of the Treaty to open negotiations with a view to concluding an agreement with the third country concerned.

2. The Community and its Member States shall continue to seek an agreement on global measures to reduce greenhouse gas emissions from aviation. In the light of any such agreement, the Commission shall consider whether amendments to this Directive as it applies to aircraft operators are necessary.

Amendment of Directive 96/61/EC.

In Article 9(3) of Directive 96/61/EC the following subparagraphs shall be added:

‘Where emissions of a greenhouse gas from an installation are specified in Annex I to Directive 2003/87/EC of the European Parliament and of the Council of 13 October 2003 establishing a scheme for greenhouse gas emission allowance trading within the Community and amending Council Directive 96/61/EC ( 16 ) in relation to an activity carried out in that installation, the permit shall not include an emission limit value for direct emissions of that gas unless it is necessary to ensure that no significant local pollution is caused.

For activities listed in Annex I to Directive 2003/87/EC, Member States may choose not to impose requirements relating to energy efficiency in respect of combustion units or other units emitting carbon dioxide on the site.

Where necessary, the competent authorities shall amend the permit as appropriate.

The three preceding subparagraphs shall not apply to installations temporarily excluded from the scheme for greenhouse gas emission allowance trading within the Community in accordance with Article 27 of Directive 2003/87/EC.

Exclusion of small installations subject to equivalent measures.

1. Following consultation with the operator, Member States may exclude from the Community scheme installations which have reported to the competent authority emissions of less than 25 000 tonnes of carbon dioxide equivalent and, where they carry out combustion activities, have a rated thermal input below 35 MW, excluding emissions from biomass, in each of the three years preceding the notification under point (a), and which are subject to measures that will achieve an equivalent contribution to emission reductions, if the Member State concerned complies with the following conditions:

(a) it notifies the Commission of each such installation, specifying the equivalent measures applying to that installation that will achieve an equivalent contribution to emission reductions that are in place, before the list of installations pursuant to Article 11(1) has to be submitted and at the latest when this list is submitted to the Commission;

(b) it confirms that monitoring arrangements are in place to assess whether any installation emits 25 000 tonnes or more of carbon dioxide equivalent, excluding emissions from biomass, in any one calendar year. Member States may allow simplified monitoring, reporting and verification measures for installations with average annual verified emissions between 2008 and 2010 which are below 5 000 tonnes a year, in accordance with Article 14;

(c) it confirms that if any installation emits 25 000 tonnes or more of carbon dioxide equivalent, excluding emissions from biomass, in any one calendar year or the measures applying to that installation that will achieve an equivalent contribution to emission reductions are no longer in place, the installation will be reintroduced into the Community scheme;

(d) it publishes the information referred to in points (a), (b) and (c) for public comment.

Hospitals may also be excluded if they undertake equivalent measures.

2. If, following a period of three months from the date of notification for public comment, the Commission does not object within a further period of six months, the exclusion shall be deemed approved.

Following the surrender of allowances in respect of the period during which the installation is in the Community scheme, the installation shall be excluded and the Member State shall no longer issue free allowances to the installation pursuant to Article 10a.

3. When an installation is reintroduced into the Community scheme pursuant to paragraph 1(c), any allowances issued pursuant to Article 10a shall be granted starting with the year of the reintroduction. Allowances issued to these installations shall be deducted from the quantity to be auctioned pursuant to Article 10(2) by the Member State in which the installation is situated.

Any such installation shall stay in the Community scheme for the rest of the trading period.

4. For installations which have not been included in the Community scheme during the period from 2008 to 2012, simplified requirements for monitoring, reporting and verification may be applied for determining emissions in the three years preceding the notification under paragraph 1 point (a).

Adjustments applicable upon the approval by the Community of an international agreement on climate change.

1. Within three months of the signature by the Community of an international agreement on climate change leading, by 2020, to mandatory reductions of greenhouse gas emissions exceeding 20 % compared to 1990 levels, as reflected in the 30 % reduction commitment as endorsed by the European Council of March 2007, the Commission shall submit a report assessing, in particular, the following elements:

(a) the nature of the measures agreed upon in the framework of the international negotiations as well as the commitments made by other developed countries to comparable emission reductions to those of the Community and the commitments made by economically more advanced developing countries to contributing adequately according to their responsibilities and respective capabilities;

(b) the implications of the international agreement on climate change, and consequently, options required at Community level, in order to move to the more ambitious 30 % reduction target in a balanced, transparent and equitable way, taking into account work under the Kyoto Protocol's first commitment period;

(c) the Community manufacturing industries' competitiveness in the context of carbon leakage risks;

(d) the impact of the international agreement on climate change on other Community economic sectors;

(e) the impact on the Community agriculture sector, including carbon leakage risks;

(f) the appropriate modalities for including emissions and removals related to land use, land use change and forestry in the Community;

(g) afforestation, reforestation, avoided deforestation and forest degradation in third countries in the event of the establishment of any internationally recognised system in this context;

(h) the need for additional Community policies and measures in view of the greenhouse gas reduction commitments of the Community' and of Member States.

2. On the basis of the report referred to in paragraph 1, the Commission shall, as appropriate, submit a legislative proposal to the European Parliament and to the Council amending this Directive pursuant to paragraph 1, with a view to the amending Directive entering into force upon the approval by the Community of the international agreement on climate change and in view of the emission reduction commitment to be implemented under that agreement.

The proposal shall be based upon the principles of transparency, economic efficiency and cost-effectiveness, as well as fairness and solidarity in the distribution of efforts between Member States.

3. The proposal shall allow, as appropriate, operators to use, in addition to the credits provided for in this Directive, CERs, ERUs or other approved credits from third countries which have ratified the international agreement on climate change.

4. The proposal shall also include, as appropriate, any other measures needed to help reach the mandatory reductions in accordance with paragraph 1 in a transparent, balanced and equitable way and, in particular, shall include implementing measures to provide for the use of additional types of project credits by operators in the Community scheme to those referred to in paragraphs 2 to 5 of Article 11a or the use by such operators of other mechanisms created under the international agreement on climate change, as appropriate.

5. The proposal shall include the appropriate transitional and suspensive measures pending the entry into force of the international agreement on climate change.

Derogations applicable in advance of the implementation by 2020 of an international agreement applying a single global market-based measure.

1. By way of derogation from Articles 12(2a), 14(3) and Article 16, Member States shall consider the requirements set out in those provisions to be satisfied and shall take no action against aircraft operators in respect of:

(a) all emissions from flights to and from aerodromes located in countries outside the European Economic Area (EEA) in each calendar year from 1 January 2013 to 31 December 2016;

(b) all emissions from flights between an aerodrome located in an outermost region within the meaning of Article 349 of the Treaty on the Functioning of the European Union (TFEU) and an aerodrome located in another region of the EEA in each calendar year from 1 January 2013 to 31 December 2016;

(c) the surrender of allowances, corresponding to verified 2013 emissions from flights between aerodromes located in States in the EEA, taking place by 30 April 2015 instead of 30 April 2014, and verified 2013 emissions for those flights being reported by 31 March 2015 instead of 31 March 2014.

For the purposes of Articles 11a, 12 and 14, the verified emissions from flights other than those referred to in the first subparagraph shall be considered to be the verified emissions of the aircraft operator.

2. By way of derogation from Article 3e(5) and Article 3f, an aircraft operator benefitting from the derogations provided for in points (a) and (b) of paragraph 1 of this Article shall be issued a number of free allowances reduced in proportion to the reduction of the surrender obligation provided for in those points.

By way of derogation from Article 3f(8), allowances that are not allocated, as a result of the application of the first subparagraph of this paragraph, shall be cancelled.

As regards activity in the period from 1 January 2013 to 31 December 2016, Member States shall publish the number of free aviation allowances allocated to each aircraft operator by 1 September 2014.

3. By way of derogation from Article 3d, Member States shall auction a number of aviation allowances reduced in proportion to the reduction in the total number of allowances issued.

4. By way of derogation from Article 3d(3), the number of allowances to be auctioned by each Member State in respect of the period from 1 January 2013 to 31 December 2016 shall be reduced to correspond to its share of attributed aviation emissions from flights which are not subject to the derogations provided for in points (a) and (b) of paragraph 1 of this Article.

5. By way of derogation from Article 3g, aircraft operators shall not be required to submit monitoring plans setting out measures to monitor and report emissions in respect of flights which are subject to the derogations provided for in points (a) and (b) of paragraph 1 of this Article.

6. By way of derogation from Articles 3g, 12, 15 and 18a, where an aircraft operator has total annual emissions lower than 25 000 tonnes CO 2 , its emissions shall be considered to be verified emissions if determined by using the small emitters tool approved under Commission Regulation (EU) No 606/2010 ( 17 ) and populated by Eurocontrol with data from its ETS support facility. Member States may implement simplified procedures for non-commercial aircraft operators as long as such procedures provide no less accuracy than the small emitters tool provides.

7. For the purposes of this Article, flights between aerodromes located in States of the EEA and countries that acceded to the Union in 2013 shall be considered to be flights between aerodromes located in States of the EEA.

8. The Commission shall regularly, and at least once a year, inform the European Parliament and the Council of the progress of the International Civil Aviation Organization (ICAO) negotiations as well as of its efforts to promote the international acceptance of market-based mechanisms among third countries. Following the 2016 ICAO Assembly, the Commission shall report to the European Parliament and to the Council on actions to implement an international agreement on a global market-based measure from 2020, that will reduce greenhouse gas emissions from aviation in a non-discriminatory manner, including on information, with regard to the use of revenues, submitted by Member States in accordance with Article 17 of Regulation (EU) No 525/2013.

In its report, the Commission shall consider, and, if appropriate, include proposals in reaction to, those developments on the appropriate scope for coverage of emissions from activity to and from aerodromes located in countries outside the EEA from 1 January 2017 onwards. In its report, the Commission shall also consider solutions to other issues that may arise in the application of paragraphs 1 to 4 of this Article, while preserving the equal treatment of all aircraft operators on the same route.

Report to ensure the better functioning of the carbon market.

If, on the basis of the regular reports on the carbon market referred to in Article 10(5), the Commission has evidence that the carbon market is not functioning properly, it shall submit a report to the European Parliament and to the Council. The report may be accompanied, if appropriate, by proposals aiming at increasing transparency of the carbon market and addressing measures to improve its functioning.

Measures in the event of excessive price fluctuations.

1. If, for more than six consecutive months, the allowance price is more than three times the average price of allowances during the two preceding years on the European carbon market, the Commission shall immediately convene a meeting of the Committee established by Article 9 of Decision No 280/2004/EC.

2. If the price evolution referred to in paragraph 1 does not correspond to changing market fundamentals, one of the following measures may be adopted, taking into account the degree of price evolution:

(a) a measure which allows Member States to bring forward the auctioning of a part of the quantity to be auctioned;

(b) a measure which allows Member States to auction up to 25 % of the remaining allowances in the new entrants reserve.

Those measures shall be adopted in accordance with the management procedure referred to in Article 23(4).

3. Any measure shall take utmost account of the reports submitted by the Commission to the European Parliament and to the Council pursuant to Article 29, as well as any other relevant information provided by Member States.

4. The arrangements for the application of these provisions shall be laid down in the regulation referred to in Article 10(4).

Review and further development.

1. On the basis of progress achieved in the monitoring of emissions of greenhouse gases, the Commission may make a proposal to the European Parliament and the Council by 31 December 2004 to amend Annex I to include other activities and emissions of other greenhouse gases listed in Annex II.

2. On the basis of experience of the application of this Directive and of progress achieved in the monitoring of emissions of greenhouse gases and in the light of developments in the international context, the Commission shall draw up a report on the application of this Directive, considering:

(a) how and whether Annex I should be amended to include other relevant sectors, inter alia the chemicals, aluminium and transport sectors, activities and emissions of other greenhouse gases listed in Annex II, with a view to further improving the economic efficiency of the scheme;

(b) the relationship of Community emission allowance trading with the international emissions trading that will start in 2008;

(c) further harmonisation of the method of allocation (including auctioning for the time after 2012) and of the criteria for national allocation plans referred to in Annex III;

(d) the use of credits from project activities, including the need for harmonisation of the allowed use of ERUs and CERs in the Community scheme;

(e) the relationship of emissions trading with other policies and measures implemented at Member State and Community level, including taxation, that pursue the same objectives;

(f) whether it is appropriate for there to be a single Community registry;

(g) the level of excess emissions penalties, taking into account, inter alia , inflation;

(h) the functioning of the allowance market, covering in particular any possible market disturbances;

(i) how to adapt the Community scheme to an enlarged European Union;

(k) the practicality of developing Community-wide benchmarks as a basis for allocation, taking into account the best available techniques and cost-benefit analysis;

(l) the impact of project mechanisms on host countries, particularly on their development objectives, whether JI and CDM hydroelectric power production project activities with a generating capacity exceeding 500 MW and having negative environmental or social impacts have been approved, and the future use of CERs or ERUs resulting from any such hydroelectric power production project activities in the Community scheme;

(m) the support for capacity-building efforts in developing countries and countries with economies in transition;

(n) the modalities and procedures for Member States' approval of domestic project activities and for the issuing of allowances in respect of emission reductions or limitations resulting from such activities from 2008;

(o) technical provisions relating to the temporary nature of credits and the limit of 1 % for eligibility for land use, land-use change and forestry project activities as established in Decision 17/CP.7, and provisions relating to the outcome of the evaluation of potential risks associated with the use of genetically modified organisms and potentially invasive alien species by afforestation and reforestation project activities, to allow operators to use CERs and ERUs resulting from land use, land-use change and forestry project activities in the Community scheme from 2008, in accordance with the decisions adopted pursuant to the UNFCCC or the Kyoto Protocol.

The Commission shall submit this report to the European Parliament and the Council by 30 June 2006, accompanied by proposals as appropriate.

3. In advance of each period referred to in Article 11(2), each Member State shall publish in its national allocation plan its intended use of ERUs and CERs and the percentage of the allocation to each installation up to which operators are allowed to use ERUs and CERs in the Community scheme for that period. The total use of ERUs and CERs shall be consistent with the relevant supplementarity obligations under the Kyoto Protocol and the UNFCCC and the decisions adopted thereunder.

Member States shall, in accordance with Article 3 of Decision No 280/2004/EC of the European Parliament and of the Council of 11 February 2004 concerning a mechanism for monitoring Community greenhouse gas emissions and for implementing the Kyoto Protocol ( 18 ), report to the Commission every two years on the extent to which domestic action actually constitutes a significant element of the efforts undertaken at national level, as well as the extent to which use of the project mechanisms is actually supplemental to domestic action, and the ratio between them, in accordance with the relevant provisions of the Kyoto Protocol and the decisions adopted thereunder. The Commission shall report on this in accordance with Article 5 of the said Decision. In the light of this report, the Commission shall, if appropriate, make legislative or other proposals to complement provisions adopted by Member States to ensure that use of the mechanisms is supplemental to domestic action within the Community.

4. By 1 December 2014 the Commission shall, on the basis of monitoring and experience of the application of this Directive, review the functioning of this Directive in relation to aviation activities in Annex I and may make proposals to the European Parliament and the Council pursuant to Article 251 of the Treaty as appropriate. The Commission shall give consideration in particular to:

(a) the implications and impacts of this Directive as regards the overall functioning of the Community scheme;

(b) the functioning of the aviation allowance market, covering in particular any possible market disturbances;

(c) the environmental effectiveness of the Community scheme and the extent by which the total quantity of allowances to be allocated to aircraft operators under Article 3c should be reduced in line with overall EU emissions reduction targets;

(d) the impact of the Community scheme on the aviation sector, including issues of competitiveness, taking into account in particular the effect of climate change policies implemented for aviation outside the EU;

(e) continuing with the special reserve for aircraft operators, taking into account the likely convergence of growth rates across the industry;

(f) the impact of the Community scheme on the structural dependency on aviation transport of islands, landlocked regions, peripheral regions and the outermost regions of the Community;

(g) whether a gateway system should be included to facilitate the trading of allowances between aircraft operators and operators of installations whilst ensuring that no transactions would result in a net transfer of allowances from aircraft operators to operators of installations;

(h) the implications of the exclusion thresholds as specified in Annex I in terms of certified maximum take-off mass and number of flights per year performed by an aircraft operator;

(i) the impact of the exemption from the Community scheme of certain flights performed in the framework of public service obligations imposed in accordance with Council Regulation (EEC) No 2408/92 of 23 July 1992 on access for Community air carriers to intra-Community air routes ( 19 );

(j) developments, including the potential for future developments, in the efficiency of aviation and in particular the progress towards meeting the Advisory Council for Aeronautics Research in Europe (ACARE) goal to develop and demonstrate technologies able to reduce fuel consumption by 50 % by 2020 and whether further measures to increase efficiency are necessary;

(k) developments in scientific understanding on the climate change impacts of contrails and cirrus clouds caused by aviation with a view to proposing effective mitigation measures.

The Commission shall then report to the European Parliament and the Council.

1. Member States shall bring into force the laws, regulations and administrative provisions necessary to comply with this Directive by 31 December 2003 at the latest. They shall forthwith inform the Commission thereof. The Commission shall notify the other Member States of these laws, regulations and administrative provisions.

When Member States adopt these measures, they shall contain a reference to this Directive or be accompanied by such a reference on the occasion of their official publication. The methods of making such reference shall be laid down by Member States.

2. Member States shall communicate to the Commission the text of the provisions of national law which they adopt in the field covered by this Directive. The Commission shall inform the other Member States thereof.

Entry into force.

This Directive shall enter into force on the day of its publication in the Official Journal of the European Union .

This Directive is addressed to the Member States.

CATEGORIES OF ACTIVITIES TO WHICH THIS DIRECTIVE APPLIES.

Installations or parts of installations used for research, development and testing of new products and processes and installations exclusively using biomass are not covered by this Directive.

The thresholds values given below generally refer to production capacities or outputs. Where several activities falling under the same category are carried out in the same installation, the capacities of such activities are added together.

When the total rated thermal input of an installation is calculated in order to decide upon its inclusion in the Community scheme, the rated thermal inputs of all technical units which are part of it, in which fuels are combusted within the installation, are added together. These units could include all types of boilers, burners, turbines, heaters, furnaces, incinerators, calciners, kilns, ovens, dryers, engines, fuel cells, chemical looping combustion units, flares, and thermal or catalytic post-combustion units. Units with a rated thermal input under 3 MW and units which use exclusively biomass shall not be taken into account for the purposes of this calculation. ‘Units using exclusively biomass’ includes units which use fossil fuels only during start-up or shut-down of the unit.

If a unit serves an activity for which the threshold is not expressed as total rated thermal input, the threshold of this activity shall take precedence for the decision about the inclusion in the Community scheme.

When the capacity threshold of any activity in this Annex is found to be exceeded in an installation, all units in which fuels are combusted, other than units for the incineration of hazardous or municipal waste, shall be included in the greenhouse gas emission permit.

From 1 January 2012 all flights which arrive at or depart from an aerodrome situated in the territory of a Member State to which the Treaty applies shall be included.

Combustion of fuels in installations with a total rated thermal input exceeding 20 MW (except in installations for the incineration of hazardous or municipal waste)

Refining of mineral oil.

Production of coke.

Metal ore (including sulphide ore) roasting or sintering, including pelletisation.

Production of pig iron or steel (primary or secondary fusion) including continuous casting, with a capacity exceeding 2,5 tonnes per hour.

Production or processing of ferrous metals (including ferro-alloys) where combustion units with a total rated thermal input exceeding 20 MW are operated. Processing includes, inter alia, rolling mills, re-heaters, annealing furnaces, smitheries, foundries, coating and pickling.

Production of primary aluminium.

Carbon dioxide and perfluorocarbons.

Production of secondary aluminium where combustion units with a total rated thermal input exceeding 20 MW are operated.

Production or processing of non-ferrous metals, including production of alloys, refining, foundry casting, etc., where combustion units with a total rated thermal input (including fuels used as reducing agents) exceeding 20 MW are operated.

Production of cement clinker in rotary kilns with a production capacity exceeding 500 tonnes per day or in other furnaces with a production capacity exceeding 50 tonnes per day.

Production of lime or calcination of dolomite or magnesite in rotary kilns or in other furnaces with a production capacity exceeding 50 tonnes per day.

Manufacture of glass including glass fibre with a melting capacity exceeding 20 tonnes per day.

Manufacture of ceramic products by firing, in particular roofing tiles, bricks, refractory bricks, tiles, stoneware or porcelain, with a production capacity exceeding 75 tonnes per day.

Manufacture of mineral wool insulation material using glass, rock or slag with a melting capacity exceeding 20 tonnes per day.

Drying or calcination of gypsum or production of plaster boards and other gypsum products, where combustion units with a total rated thermal input exceeding 20 MW are operated.

Production of pulp from timber or other fibrous materials.

Production of paper or cardboard with a production capacity exceeding 20 tonnes per day.

Production of carbon black involving the carbonisation of organic substances such as oils, tars, cracker and distillation residues, where combustion units with a total rated thermal input exceeding 20 MW are operated.

Production of nitric acid.

Carbon dioxide and nitrous oxide.

Production of adipic acid.

Carbon dioxide and nitrous oxide.

Production of glyoxal and glyoxylic acid.

Carbon dioxide and nitrous oxide.

Production of ammonia.

Production of bulk organic chemicals by cracking, reforming, partial or full oxidation or by similar processes, with a production capacity exceeding 100 tonnes per day.

Production of hydrogen (H 2 ) and synthesis gas by reforming or partial oxidation with a production capacity exceeding 25 tonnes per day.

Production of soda ash (Na 2 CO 3 ) and sodium bicarbonate (NaHCO 3 )

Capture of greenhouse gases from installations covered by this Directive for the purpose of transport and geological storage in a storage site permitted under Directive 2009/31/EC.

Transport of greenhouse gases by pipelines for geological storage in a storage site permitted under Directive 2009/31/EC.

Geological storage of greenhouse gases in a storage site permitted under Directive 2009/31/EC.

Flights which depart from or arrive in an aerodrome situated in the territory of a MemberState to which the Treaty applies.

This activity shall not include:

(a) flights performed exclusively for the transport, on official mission, of a reigning Monarch and his immediate family, Heads of State, Heads of Government and Government Ministers, of a country other than a Member State, where this is substantiated by an appropriate status indicator in the flight plan;

(b) military flights performed by military aircraft and customs and police flights;

(c) flights related to search and rescue, fire-fighting flights, humanitarian flights and emergency medical service flights authorised by the appropriate competent authority;

(d) any flights performed exclusively under visual flight rules as defined in Annex 2 to the Chicago Convention;

(e) flights terminating at the aerodrome from which the aircraft has taken off and during which no intermediate landing has been made;

(f) training flights performed exclusively for the purpose of obtaining a licence, or a rating in the case of cockpit flight crew where this is substantiated by an appropriate remark in the flight plan provided that the flight does not serve for the transport of passengers and/or cargo or for the positioning or ferrying of the aircraft;

(g) flights performed exclusively for the purpose of scientific research or for the purpose of checking, testing or certifying aircraft or equipment whether airborne or ground-based;

(h) flights performed by aircraft with a certified maximum take-off mass of less than 5 700 kg;

(i) flights performed in the framework of public service obligations imposed in accordance with Regulation (EEC) No 2408/92 on routes within outermost regions, as specified in Article 299(2) of the Treaty, or on routes where the capacity offered does not exceed 30 000 seats per year;

(j) flights which, but for this point, would fall within this activity, performed by a commercial air transport operator operating either:

— fewer than 243 flights per period for three consecutive four-month periods, or.

— flights with total annual emissions lower than 10 000 tonnes per year.

Flights performed exclusively for the transport, on official mission, of a reigning Monarch and his immediate family, Heads of State, Heads of Government and Government Ministers, of a MemberState may not be excluded under this point; e.

(k) from 1 January 2013 to 31 December 2020, flights which, but for this point, would fall within this activity, performed by a non-commercial aircraft operator operating flights with total annual emissions lower than 1 000 tonnes per year.

GREENHOUSE GASES REFERRED TO IN ARTICLES 3 AND 30.

Carbon dioxide (CO 2 )

Nitrous Oxide (N 2 O)

Sulphur Hexafluoride (SF 6 )

Increases in the percentage of allowances to be auctioned by Member States pursuant to Article 10(2)(a), for the purpose of Community solidarity and growth in order to reduce emissions and adapt to the effects of climate change.

Member State share.

DISTRIBUTION OF ALLOWANCES TO BE AUCTIONED BY MEMBER STATES PURSUANT TO ARTICLE 10(2)(c) REFLECTING EARLY EFFORTS OF SOME MEMBER STATES TO ACHIEVE 20 % REDUCTION OF GREENHOUSE GAS EMISSIONS.

Distribution of the 2 % against the Kyoto base in percentages.

PRINCIPLES FOR MONITORING AND REPORTING REFERRED TO IN ARTICLE 14(1)

PART A — Monitoring and reporting of emissions from stationary installations.

Monitoring of carbon dioxide emissions.

Emissions shall be monitored either by calculation or on the basis of measurement.

Calculations of emissions shall be performed using the formula:

Activity data × Emission factor × Oxidation factor.

Activity data (fuel used, production rate etc.) shall be monitored on the basis of supply data or measurement.

Accepted emission factors shall be used. Activity-specific emission factors are acceptable for all fuels. Default factors are acceptable for all fuels except non-commercial ones (waste fuels such as tyres and industrial process gases). Seam-specific defaults for coal, and EU-specific or producer country-specific defaults for natural gas shall be further elaborated. IPCC default values are acceptable for refinery products. The emission factor for biomass shall be zero.

If the emission factor does not take account of the fact that some of the carbon is not oxidised, then an additional oxidation factor shall be used. If activity-specific emission factors have been calculated and already take oxidation into account, then an oxidation factor need not be applied.

Default oxidation factors developed pursuant to Directive 96/61/EC shall be used, unless the operator can demonstrate that activity-specific factors are more accurate.

A separate calculation shall be made for each activity, installation and for each fuel.

Measurement of emissions shall use standardised or accepted methods, and shall be corroborated by a supporting calculation of emissions.

Monitoring of emissions of other greenhouse gases.

Standardised or accepted methods shall be used, developed by the Commission in collaboration with all relevant stakeholders. Those measures, designed to amend non-essential elements of this Directive, by supplementing it, shall be adopted in accordance with the regulatory procedure with scrutiny referred to in Article 23(3).

Reporting of emissions.

Each operator shall include the following information in the report for an installation:

A. Data identifying the installation, including:

— Name of the installation;

— Its address, including postcode and country;

— Type and number of Annex I activities carried out in the installation;

— Address, telephone, fax and email details for a contact person; e.

— Name of the owner of the installation, and of any parent company.

B. For each Annex I activity carried out on the site for which emissions are calculated:

— Total emissions; e.

C. For each Annex I activity carried out on the site for which emissions are measured:

— Information on the reliability of measurement methods; e.

D. For emissions from combustion, the report shall also include the oxidation factor, unless oxidation has already been taken into account in the development of an activity-specific emission factor.

Member States shall take measures to coordinate reporting requirements with any existing reporting requirements in order to minimise the reporting burden on businesses.

PART B — Monitoring and reporting of emissions from aviation activities.

Monitoring of carbon dioxide emissions.

Emissions shall be monitored by calculation. Emissions shall be calculated using the formula:

Fuel consumption × emission factor.

Fuel consumption shall include fuel consumed by the auxiliary power unit. Actual fuel consumption for each flight shall be used wherever possible and shall be calculated using the formula:

Amount of fuel contained in aircraft tanks once fuel uplift for the flight is complete – amount of fuel contained in aircraft tanks once fuel uplift for subsequent flight is complete + fuel uplift for that subsequent flight.

If actual fuel consumption data are not available, a standardised tiered method shall be used to estimate fuel consumption data based on best available information.

Default IPCC emission factors, taken from the 2006 IPCC Inventory Guidelines or subsequent updates of these Guidelines, shall be used unless activity-specific emission factors identified by independent accredited laboratories using accepted analytical methods are more accurate. The emission factor for biomass shall be zero.

A separate calculation shall be made for each flight and for each fuel.

Reporting of emissions.

Each aircraft operator shall include the following information in its report under Article 14(3):

A. Data identifying the aircraft operator, including:

— name of the aircraft operator,

— its administering Member State,

— its address, including postcode and country and, where different, its contact address in the administering Member State,

— the aircraft registration numbers and types of aircraft used in the period covered by the report to perform the aviation activities listed in Annex I for which it is the aircraft operator,

— the number and issuing authority of the air operator certificate and operating licence under which the aviation activities listed in Annex I for which it is the aircraft operator were performed,

— address, telephone, fax and e-mail details for a contact person, and.

— name of the aircraft owner.

B. For each type of fuel for which emissions are calculated:

— total aggregated emissions from all flights performed during the period covered by the report which fall within the aviation activities listed in Annex I for which it is the aircraft operator,

— aggregated emissions from:

— all flights performed during the period covered by the report which fall within the aviation activities listed in Annex I for which it is the aircraft operator and which departed from an aerodrome situated in the territory of a Member State and arrived at an aerodrome situated in the territory of the same Member State,

— all other flights performed during the period covered by the report which fall within the aviation activities listed in Annex I for which it is the aircraft operator,

— aggregated emissions from all flights performed during the period covered by the report which fall within the aviation activities listed in Annex I for which it is the aircraft operator and which:

— departed from each Member State, and.

— arrived in each Member State from a third country,

Monitoring of tonne-kilometre data for the purpose of Articles 3e and 3f.

For the purpose of applying for an allocation of allowances in accordance with Article 3e(1) or Article 3f(2), the amount of aviation activity shall be calculated in tonne-kilometres using the following formula:

tonne-kilometres = distance × payload.

‘distance’ means the great circle distance between the aerodrome of departure and the aerodrome of arrival plus an additional fixed factor of 95 km; e.

‘payload’ means the total mass of freight, mail and passengers carried.

For the purposes of calculating the payload:

— the number of passengers shall be the number of persons on-board excluding crew members,

— an aircraft operator may choose to apply either the actual or standard mass for passengers and checked baggage contained in its mass and balance documentation for the relevant flights or a default value of 100 kg for each passenger and his checked baggage.

Reporting of tonne-kilometre data for the purpose of Articles 3e and 3f.

Each aircraft operator shall include the following information in its application under Article 3e(1) or Article 3f(2):

A. Data identifying the aircraft operator, including:

— name of the aircraft operator,

— its administering Member State,

— its address, including postcode and country and, where different, its contact address in the administering Member State,

— the aircraft registration numbers and types of aircraft used during the year covered by the application to perform the aviation activities listed in Annex I for which it is the aircraft operator,

— the number and issuing authority of the air operator certificate and operating licence under which the aviation activities listed in Annex I for which it is the aircraft operator were performed,

— address, telephone, fax and e-mail details for a contact person, and.

— name of the aircraft owner.

B. Tonne-kilometre data:

— number of flights by aerodrome pair,

— number of passenger-kilometres by aerodrome pair,

— number of tonne-kilometres by aerodrome pair,

— chosen method for calculation of mass for passengers and checked baggage,

— total number of tonne-kilometres for all flights performed during the year to which the report relates falling within the aviation activities listed in Annex I for which it is the aircraft operator.

CRITERIA FOR VERIFICATION REFERRED TO IN ARTICLE 15.

PART A — Verification of emissions from stationary installations.

1. Emissions from each activity listed in Annex I shall be subject to verification.

2. The verification process shall include consideration of the report pursuant to Article 14(3) and of monitoring during the preceding year. It shall address the reliability, credibility and accuracy of monitoring systems and the reported data and information relating to emissions, in particular:

(a) the reported activity data and related measurements and calculations;

(b) the choice and the employment of emission factors;

(c) the calculations leading to the determination of the overall emissions; e.

(d) if measurement is used, the appropriateness of the choice and the employment of measuring methods.

3. Reported emissions may only be validated if reliable and credible data and information allow the emissions to be determined with a high degree of certainty. A high degree of certainty requires the operator to show that:

(a) the reported data is free of inconsistencies;

(b) the collection of the data has been carried out in accordance with the applicable scientific standards; e.

(c) the relevant records of the installation are complete and consistent.

4. The verifier shall be given access to all sites and information in relation to the subject of the verification.

5. The verifier shall take into account whether the installation is registered under the Community eco-management and audit scheme (EMAS).

6. The verification shall be based on a strategic analysis of all the activities carried out in the installation. This requires the verifier to have an overview of all the activities and their significance for emissions.

7. The verification of the information submitted shall, where appropriate, be carried out on the site of the installation. The verifier shall use spot-checks to determine the reliability of the reported data and information.

8. The verifier shall submit all the sources of emissions in the installation to an evaluation with regard to the reliability of the data of each source contributing to the overall emissions of the installation.

9. On the basis of this analysis the verifier shall explicitly identify those sources with a high risk of error and other aspects of the monitoring and reporting procedure which are likely to contribute to errors in the determination of the overall emissions. This especially involves the choice of the emission factors and the calculations necessary to determine the level of the emissions from individual sources. Particular attention shall be given to those sources with a high risk of error and the abovementioned aspects of the monitoring procedure.

10. The verifier shall take into consideration any effective risk control methods applied by the operator with a view to minimising the degree of uncertainty.

11. The verifier shall prepare a report on the validation process stating whether the report pursuant to Article 14(3) is satisfactory. This report shall specify all issues relevant to the work carried out. A statement that the report pursuant to Article 14(3) is satisfactory may be made if, in the opinion of the verifier, the total emissions are not materially misstated.

Minimum competency requirements for the verifier.

12. The verifier shall be independent of the operator, carry out his activities in a sound and objective professional manner, and understand:

(a) the provisions of this Directive, as well as relevant standards and guidance adopted by the Commission pursuant to Article 14(1);

(b) the legislative, regulatory, and administrative requirements relevant to the activities being verified; e.

(c) the generation of all information related to each source of emissions in the installation, in particular, relating to the collection, measurement, calculation and reporting of data.

PART B — Verification of emissions from aviation activities.

13. The general principles and methodology set out in this Annex shall apply to the verification of reports of emissions from flights falling within an aviation activity listed in Annex I.

Para este propósito:

(a) in paragraph 3, the reference to operator shall be read as if it were a reference to an aircraft operator, and in point (c) of that paragraph the reference to installation shall be read as if it were a reference to the aircraft used to perform the aviation activities covered by the report;

(b) in paragraph 5, the reference to installation shall be read as if it were a reference to the aircraft operator;

(c) in paragraph 6 the reference to activities carried out in the installation shall be read as a reference to aviation activities covered by the report carried out by the aircraft operator;

(d) in paragraph 7 the reference to the site of the installation shall be read as if it were a reference to the sites used by the aircraft operator to perform the aviation activities covered by the report;

(e) in paragraphs 8 and 9 the references to sources of emissions in the installation shall be read as if they were a reference to the aircraft for which the aircraft operator is responsible; e.

(f) in paragraphs 10 and 12 the references to operator shall be read as if they were a reference to an aircraft operator.

Additional provisions for the verification of aviation emission reports.

14. The verifier shall in particular ascertain that:

(a) all flights falling within an aviation activity listed in Annex I have been taken into account. In this task the verifier shall be assisted by timetable data and other data on the aircraft operator’s traffic including data from Eurocontrol requested by that operator;

(b) there is overall consistency between aggregated fuel consumption data and data on fuel purchased or otherwise supplied to the aircraft performing the aviation activity.

Additional provisions for the verification of tonne-kilometre data submitted for the purposes of Articles 3e and 3f.

15. The general principles and methodology for verifying emissions reports under Article 14(3) as set out in this Annex shall, where applicable, also apply correspondingly to the verification of aviation tonne-kilometre data.

16. The verifier shall in particular ascertain that only flights actually performed and falling within an aviation activity listed in Annex I for which the aircraft operator is responsible have been taken into account in that operator’s application under Articles 3e(1) and 3f(2). In this task the verifier shall be assisted by data on the aircraft operator’s traffic including data from Eurocontrol requested by that operator. In addition, the verifier shall ascertain that the payload reported by the aircraft operator corresponds to records on payloads kept by that operator for safety purposes.

( 1 ) OJ C 75 E, 26.3.2002, p. 33

( 2 ) OJ C 221, 17.9.2002, p. 27

( 3 ) OJ C 192, 12.8.2002, p. 59.

( 4 ) Opinion of the European Parliament of 10 October 2002 (not yet published in the Official Journal), Council Common Position of 18 March 2003 (OJ C 125 E, 27.5.2003, p. 72), Decision of the European Parliament of 2 July 2003 (not yet published in the Official Journal) and Council Decision of 22 July 2003.

( 5 ) OJ L 242, 10.9.2002, p. 1.

( 6 ) OJ L 33, 7.2.1994, p. 11

( 7 ) OJ L 130, 15.5.2002, p. 1.

( 8 ) OJ L 167, 9.7.1993, p. 31. Decision as amended by Decision 1999/296/EC (OJ L 117, 5.5.1999, p. 35).

( 9 ) OJ L 41, 14.2.2003, p. 26.

( 10 ) OJ L 377, 31.12.1991, p. 48

( 11 ) OJ L 257, 10.10.1996, p. 26.

( 12 ) OJ L 184, 17.7.1999, p. 23

( 13 ) OJ L 96, 12.4.2003, p. 16

( 14 ) OJ L 140, 5.6.2009, p. 114.

( 15 ) OJ L 240, 24.8.1992, p. 1.

( 16 ) OJ L 275, 25.10.2003, p. 32.’

( 17 ) Commission Regulation (EU) No 606/2010 of 9 July 2010 on the approval of a simplified tool developed by the European organisation for air safety navigation (Eurocontrol) to estimate the fuel consumption of certain small emitting aircraft operators (OJ L 175, 10.7.2010, p. 25).

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Document 32009L0029.

In force OJ L 140, 5.6.2009, p. 63–87 (BG, ES, CS, DA, DE, ET, EL, EN, FR, IT, LV, LT, HU, MT, NL, PL, PT, RO, SK, SL, FI, SV)

Special edition in Croatian: Chapter 15 Volume 030 P. 3 - 27.

Official Journal of the European Union.

DIRECTIVE 2009/29/EC OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL.

of 23 April 2009.

amending Directive 2003/87/EC so as to improve and extend the greenhouse gas emission allowance trading scheme of the Community.

(Text with EEA relevance)

THE EUROPEAN PARLIAMENT AND THE COUNCIL OF THE EUROPEAN UNION,

Having regard to the Treaty establishing the European Community, and in particular Article 175(1) thereof,

Having regard to the proposal from the Commission,

Having regard to the opinion of the European Economic and Social Committee ( 1 ),

Having regard to the opinion of the Committee of the Regions ( 2 ),

Acting in accordance with the procedure laid down in Article 251 of the Treaty ( 3 ),

Directive 2003/87/EC of the European Parliament and of the Council ( 4 ) establishes a scheme for greenhouse gas emission allowance trading within the Community (Community scheme) in order to promote reductions of greenhouse gas emissions in a cost-effective and economically efficient manner.

The ultimate objective of the United Nations Framework Convention on Climate Change (UNFCCC), which was approved on behalf of the European Community by Council Decision 94/69/EC ( 5 ), is to stabilise greenhouse gas concentrations in the atmosphere at a level that would prevent dangerous anthropogenic interference with the climate system. In order to meet that objective, the overall global annual mean surface temperature increase should not exceed 2 °C above pre-industrial levels. The latest Intergovernmental Panel on Climate Change (IPCC) Assessment Report shows that in order to reach that objective, global emissions of greenhouse gases must peak by 2020. This implies the increasing of efforts by the Community, the quick involvement of developed countries and encouraging the participation of developing countries in the emission reduction process.

The European Council of March 2007 made a firm commitment to reduce the overall greenhouse gas emissions of the Community by at least 20 % below 1990 levels by 2020, and by 30 % provided that other developed countries commit themselves to comparable emission reductions and economically more advanced developing countries contribute adequately according to their responsibilities and respective capabilities. By 2050, global greenhouse gas emissions should be reduced by at least 50 % below their 1990 levels. All sectors of the economy should contribute to achieving these emission reductions, including international maritime shipping and aviation. Aviation is contributing to these reductions through its inclusion in the Community scheme. In the event that no international agreement which includes international maritime emissions in its reduction targets through the International Maritime Organisation has been approved by the Member States or no such agreement through the UNFCCC has been approved by the Community by 31 December 2011, the Commission should make a proposal to include international maritime emissions according to harmonised modalities in the Community reduction commitment, with the aim of the proposed act entering into force by 2013. Such a proposal should minimise any negative impact on the Community’s competitiveness while taking into account the potential environmental benefits.

In its resolution of 31 January 2008 on the outcome of the Bali Conference on Climate Change (COP 13 and COP/MOP 3) ( 6 ), the European Parliament recalled its position that industrialised countries should commit to reducing their greenhouse gas emissions by at least 30 % by 2020 and by 60 to 80 % by 2050, compared to 1990 levels. Given that it anticipates a positive outcome to the COP 15 negotiations that will be held in Copenhagen in 2009, the European Union should begin to prepare tougher emission reduction targets for 2020 and beyond, and should seek to ensure that, after 2013, the Community scheme allows, if necessary, for more stringent emission caps, as part of the Union’s contribution to a future international agreement on climate change (hereinafter referred to as the international agreement on climate change).

In order to contribute to achieving those long-term objectives, it is appropriate to set out a predictable path according to which the emissions of installations covered by the Community scheme should be reduced. To achieve cost-effectively the commitment of the Community to at least a 20 % reduction in greenhouse gas emissions below 1990 levels, emission allowances allocated in respect of those installations should be 21 % below their 2005 emission levels by 2020.

In order to enhance the certainty and predictability of the Community scheme, provisions should be specified to increase the level of contribution of the Community scheme to achieving an overall reduction of more than 20 %, in particular in view of the European Council’s objective of a 30 % reduction by 2020 which is considered scientifically necessary to avoid dangerous climate change.

Once the Community and third countries conclude an international agreement on climate change in accordance with which appropriate global action will be taken beyond 2012, considerable support should be given to credit emission reductions made in those countries. In advance of such an agreement, greater certainty should none the less be provided regarding the continued use of credits from outside the Community.

While experience gathered during the first trading period shows the potential of the Community scheme and the finalisation of national allocation plans for the second trading period will deliver significant emission reductions by 2012, a review undertaken in 2007 has confirmed that a more harmonised emission trading system is imperative in order to better exploit the benefits of emission trading, to avoid distortions in the internal market and to facilitate the linking of emissions trading systems. Furthermore, more predictability should be ensured and the scope of the system should be extended by including new sectors and gases with a view to both reinforcing a carbon price signal necessary to trigger the necessary investments and by offering new abatement opportunities, which will lead to lower overall abatement costs and the increased efficiency of the system.

The definition of greenhouse gases should be aligned with the definition contained in the UNFCCC, and greater clarity should be given on the setting and updating of global warming potentials for individual greenhouse gases.

The Community scheme should be extended to other installations the emissions of which are capable of being monitored, reported and verified with the same level of accuracy as that which applies under the monitoring, reporting and verification requirements currently applicable.

Where equivalent measures to reduce greenhouse gas emissions, in particular taxation, are in place for small installations the emissions of which do not exceed a threshold of 25 000 tonnes of CO 2 equivalent per year, there should be a procedure enabling Member States to exclude such small installations from the emissions trading system for as long as those measures are applied. Hospitals may also be excluded if they undertake equivalent measures. This threshold offers the maximum gain, in relative terms, of reduction of administrative costs for each tonne of CO 2 equivalent excluded from the system, for reasons of administrative simplicity. As a consequence of the move from five-year allocation periods, and in order to increase certainty and predictability, provisions should be laid down regarding the frequency of revision of greenhouse gas emission permits. It is for Member States to propose measures applying to small installations which will achieve a contribution to emission reductions equivalent to those achieved by the Community scheme. Such measures could include taxation, agreements with industry and regulation. Taking into account the need to reduce unnecessary administrative burdens for smaller emitters, Member States may set up simplified procedures and measures to comply with this Directive.

Information on the application of this Directive should be easily accessible, in particular for small and medium-sized enterprises (SMEs).

The Community-wide quantity of allowances should decrease in a linear manner calculated from the mid-point of the period from 2008 to 2012, ensuring that the emissions trading system delivers gradual and predictable reductions of emissions over time. The annual decrease of allowances should be equal to 1,74 % of the allowances issued by Member States pursuant to Commission Decisions on Member States’ national allocation plans for the period from 2008 to 2012, so that the Community scheme contributes cost-effectively to achieving the commitment of the Community to an overall reduction in emissions of at least 20 % by 2020.

This contribution is equivalent to a reduction of emissions in 2020 in the Community scheme of 21 % below reported 2005 levels, including the effect of the increased scope from the period from 2005 to 2007 to the period from 2008 to 2012 and the 2005 emission figures for the trading sector used for the assessment of the Bulgarian and Romanian national allocation plans for the period from 2008 to 2012, leading to an issue of a maximum of 1 720 million allowances in 2020. Exact quantities of emissions will be calculated once Member States have issued allowances pursuant to Commission decisions on their national allocation plans for the period from 2008 to 2012, as the approval of allocations to some installations was contingent upon their emissions having been substantiated and verified. Once the issue of allowances for the period from 2008 to 2012 has taken place, the Commission will publish the Community-wide quantity of allowances. Adjustments should be made to the Community-wide quantity in relation to installations which are included in, or excluded from, the Community scheme during the period from 2008 to 2012 or from 2013 onwards.

The additional effort to be made by the Community economy requires, inter alia, that the revised Community scheme operate with the highest possible degree of economic efficiency and on the basis of fully harmonised conditions of allocation within the Community. Auctioning should therefore be the basic principle for allocation, as it is the simplest, and generally considered to be the most economically efficient, system. This should also eliminate windfall profits and put new entrants and economies growing faster than average on the same competitive footing as existing installations.

In order to maintain the environmental and administrative efficiency of the Community scheme, avoid distortions of competition and the early depletion of the new entrants reserve, the rules on new entrants should be harmonised so as to ensure that all Member States adopt the same approach, in particular in relation to the meaning of ‘significant extensions’ of installations. Provisions for the adoption of harmonised rules for the implementation of this Directive should therefore be included. In these rules, ‘significant extension’ should, wherever appropriate, be defined as an extension by at least 10 % of the installation’s existing installed capacity or a substantial increase in the emissions of the installation linked to the increase in the installed capacity. Allocation from the new entrants reserve should only take place in respect of the significant extension of the installation.

All Member States will need to make substantial investments to reduce the carbon intensity of their economies by 2020 and those Member States where income per capita is still significantly below the Community average and the economies of which are in the process of catching up with the richer Member States will need to make a significant effort to improve energy efficiency. The objectives of eliminating distortions to intra-Community competition and of ensuring the highest degree of economic efficiency in the transformation of the Community economy towards a safe and sustainable low-carbon economy make it inappropriate to treat economic sectors differently under the Community scheme in individual Member States. It is therefore necessary to develop other mechanisms to support the efforts of those Member States with relatively lower income per capita and higher growth prospects. 88 % of the total quantity of allowances to be auctioned should be distributed amongst Member States according to their relative share of emissions in the Community scheme for 2005 or the average of the period from 2005 to 2007, whichever one is the highest. 10 % of the total quantity should be distributed to the benefit of certain Member States for the purpose of solidarity and growth in the Community, to be used to reduce emissions and adapt to the effects of climate change. The distribution of this 10 % should take into account levels of income per capita in 2005 and the growth prospects of Member States, and be higher for Member States with low income levels per head and high growth prospects. Member States with an average level of income per capita that is more than 20 % higher than the average in the Community should contribute to this distribution, except where the direct costs of the overall package estimated in the Commission’s impact assessment accompanying the package of implementation measures for the EU’s objectives on climate change and renewable energy for 2020 exceed 0,7 % of GDP. A further 2 % of the total quantity of allowances to be auctioned should be distributed amongst Member States, the greenhouse gas emissions of which were, in 2005, at least 20 % below their emissions in the base year applicable to them under the Kyoto Protocol.

Given the considerable efforts necessary to combat climate change and to adapt to its inevitable effects, it is appropriate that at least 50 % of the proceeds from the auctioning of allowances should be used to reduce greenhouse gas emissions, to adapt to the impacts of climate change, to fund research and development for reducing emissions and adaptation, to develop renewable energies to meet the Union’s commitment to using 20 % renewable energies by 2020, to meet the commitment of the Community to increase energy efficiency by 20 % by 2020, to provide for the environmentally safe capture and geological storage of greenhouse gases, to contribute to the Global Energy Efficiency and Renewable Energy Fund and to the Adaptation Fund as made operational by the Poznan Conference on Climate Change (COP 14 and COP/MOP 4), to provide for measures to avoid deforestation and facilitate adaptation in developing countries, and to address social aspects such as possible increases in electricity prices in lower and middle income households. This proportion is significantly below the expected net revenues for public authorities from auctioning, taking into account potentially reduced income from corporate taxes. In addition, proceeds from the auctioning of allowances should be used to cover administrative expenses of the management of the Community scheme. This Directive should also include provisions on monitoring the use of funds from auctioning for these purposes. Providing information on the use of funds does not release Member States from the obligation laid down in Article 88(3) of the Treaty to notify certain national measures. This Directive does not prejudice the outcome of any future State aid procedures that may be undertaken in accordance with Articles 87 and 88 of the Treaty.

Consequently, full auctioning should be the rule from 2013 onwards for the power sector, taking into account its ability to pass on the increased cost of CO 2 , and no free allocation should be given for the capture and storage of CO 2 as the incentive for this arises from allowances not being required to be surrendered in respect of emissions which are stored. In order to avoid distortions of competition, electricity generators may receive free allowances for district heating and cooling and for heating and cooling produced through high-efficiency cogeneration as defined by Directive 2004/8/EC of the European Parliament and of the Council of 11 February 2004 on the promotion of cogeneration based on a useful heat demand in the internal energy market ( 7 ) where such heat produced by installations in other sectors would be given free allocations.

The main long-term incentive for the capture and storage of CO 2 and new renewable energy technologies is that allowances will not need to be surrendered for CO 2 emissions which are permanently stored or avoided. In addition, to accelerate the demonstration of the first commercial facilities and of innovative renewable energy technologies, allowances should be set aside from the new entrants reserve to provide a guaranteed reward for the first such facilities in the Union for tonnes of CO 2 stored or avoided on a sufficient scale, provided an agreement on knowledge-sharing is in place. The additional financing should apply to projects of sufficient scale, which are innovative in nature and which are significantly co-financed by the operator covering, in principle, more than half of the relevant investment cost, and taking into account the viability of the project.

For other sectors covered by the Community scheme, a transitional system should be put in place for which free allocation in 2013 would be 80 % of the amount that corresponded to the percentage of the overall Community-wide emissions throughout the period from 2005 to 2007 that those installations emitted as a proportion of the annual Community-wide total quantity of allowances. Thereafter, the free allocation should decrease each year by equal amounts resulting in 30 % free allocation in 2020, with a view to reaching no free allocation in 2027.

In order to ensure an orderly functioning of the carbon and electricity markets, the auctioning of allowances for the period from 2013 onwards should start by 2011 and be based on clear and objective principles defined well in advance.

Transitional free allocation to installations should be provided for through harmonised Community-wide rules (ex-ante benchmarks) in order to minimise distortions of competition with the Community. Those rules should take account of the most greenhouse gas and energy-efficient techniques, substitutes, alternative production processes, use of biomass, renewables and CO 2 capture and storage. Any such rules should not give incentives to increase emissions and should ensure that an increasing proportion of these allowances is auctioned. Allocations must be fixed prior to the trading period so as to enable the market to function properly. Those harmonised rules may also take into account emissions related to the use of combustible waste gases when the production of these waste gases cannot be avoided in the industrial process. In this respect, the rules may provide for allowances to be allocated for free to operators of installations combusting the waste gases concerned or to operators of the installations where these gases originate. They should also avoid undue distortions of competition on the markets for electricity and heating and cooling supplied to industrial installations. Furthermore, they should avoid undue distortions of competition between industrial activities carried out in installations operated by a single operator and production in out sourced installations. Those rules should apply to new entrants carrying out the same activities as existing installations receiving transitional free allocations. To avoid any distortion of competition within the internal market, no free allocation should be made in respect of the production of electricity by new entrants. Allowances which remain in the new entrants’ reserve in 2020 should be auctioned.

The Community will continue to take the lead in the negotiation of an ambitious international agreement on climate change that will achieve the objective of limiting global temperature increase to 2 °C and is encouraged by the progress made at the 13th Conference of the Parties to the UNFCCC, and 3rd Meeting of the Parties to the Kyoto Protocol, held in Bali, Indonesia from 3-14 December 2007 towards this objective. In the event that other developed countries and other major emitters of greenhouse gases do not participate in this international agreement, this could lead to an increase in greenhouse gas emissions in third countries where industry would not be subject to comparable carbon constraints (carbon leakage), and at the same time could put certain energy-intensive sectors and subsectors in the Community which are subject to international competition at an economic disadvantage. This could undermine the environmental integrity and benefit of actions by the Community. To address the risk of carbon leakage, the Community should allocate 100 % of allowances free of charge to sectors or subsectors meeting the relevant criteria. The definition of these sectors and subsectors and the measures required should be subject to reassessment to ensure that action is taken where necessary and to avoid overcompensation. For those specific sectors or subsectors where it can be duly substantiated that the risk of carbon leakage cannot be prevented otherwise, where electricity constitutes a high proportion of production costs and is produced efficiently, the action taken may take into account the electricity consumption in the production process, without changing the total quantity of allowances. The carbon leakage risk in these sectors or subsectors should be assessed, as a starting point, at a 3-digit level (NACE-3 code) or, where appropriate and where the relevant data are available, at a 4-digit level (NACE-4 code).

The Commission should therefore review the situation by 30 June 2010, consult with all relevant social partners, and, in the light of the outcome of the international negotiations, submit a report accompanied by any appropriate proposals. In this context, the Commission should identify which energy-intensive industry sectors or subsectors are likely to be subject to carbon leakage by 31 December 2009. It should base its analysis on the assessment of the inability of industries to pass on the cost of required allowances in product prices without significant loss of market share to installations outside the Community which do not take comparable action to reduce their emissions. Energy-intensive industries which are determined to be exposed to a significant risk of carbon leakage could receive a higher amount of free allocation or an effective carbon equalisation system could be introduced with a view to putting installations from the Community which are at significant risk of carbon leakage and those from third countries on a comparable footing. Such a system could apply requirements to importers that would be no less favourable than those applicable to installations within the Community, for example by requiring the surrender of allowances. Any action taken would need to be in conformity with the principles of the UNFCCC, in particular the principle of common but differentiated responsibilities and respective capabilities, taking into account the particular situation of least developed countries (LDCs). It would also need to be in conformity with the international obligations of the Community, including the obligations under the WTO agreement.

Discussions in the European Council concerning the determination of the sectors or subsectors exposed to a significant risk of carbon leakage are of an exceptional character and in no way affect the procedures for the exercise of the implementing powers conferred on the Commission under Article 202 of the Treaty.

Member States may deem it necessary to temporarily compensate certain installations which have been determined to be exposed to a significant risk of carbon leakage for costs related to greenhouse gas emissions passed on in electricity prices. Such support should only be granted where it is necessary and proportionate and should ensure that the Community scheme incentives to save energy and to stimulate a shift in demand from ‘grey’ to ‘green’ electricity are maintained.

In order to ensure equal conditions of competition within the Community, the use of credits for emission reductions outside the Community to be used by operators within the Community scheme should be harmonised. The Kyoto Protocol sets out quantified emission targets for developed countries for the period from 2008 to 2012, and provides for the creation of certified emission reductions (CERs) from clean development mechanism (CDM) projects and emission reduction units (ERUs) from joint implementation (JI) projects and their use by developed countries to meet part of these targets. While the Kyoto framework does not enable ERUs to be created from 2013 onwards without new quantified emission targets being in place for host countries, CDM credits can potentially continue to be generated. Once there is an international agreement on climate change, additional use of CERs and ERUs should be provided for, from countries which have ratified that agreement. In the absence of such an agreement, providing for further use of CERs and ERUs would undermine this incentive and make it more difficult to achieve the objectives of the Community regarding the increase of renewable energy use. The use of CERs and ERUs should be consistent with the goal set by the Community of generating 20 % of energy from renewable sources by 2020, and promoting energy efficiency, innovation and technological development. Where it is consistent with achieving these goals, the possibility should be foreseen to conclude agreements with third countries to provide incentives for reductions in emissions in these countries which bring about real, additional reductions in greenhouse gas emissions while stimulating innovation by companies established within the Community and technological development in third countries. Such agreements may be ratified by more than one country. Upon the approval by the Community of a satisfactory international agreement on climate change, access to credits from projects in third countries should be increased simultaneously with the increase in the level of emission reductions to be achieved through the Community scheme.

In order to provide predictability, operators should be provided with certainty about the possibility to use after 2012 CERs and ERUs up to the remainder of the level which they were allowed to use in the period from 2008 to 2012, from project types which were eligible for use in the Community scheme during the period from 2008 to 2012. As Member States cannot carry over CERs and ERUs held by operators between commitment periods under international agreements (‘banking’ of CERs and ERUs) before 2015, and only if Member States choose to allow the banking of those CERs and ERUs within the context of limited rights to bank such credits, this certainty should be provided by requiring Member States to allow operators to exchange such CERs and ERUs issued in respect of emission reductions before 2012 for allowances valid from 2013 onwards. However, as Member States should not be obliged to accept CERs and ERUs which it is not certain they will be able to use towards their existing international commitments, this requirement should not extend beyond 31 March 2015. Operators should be provided with the same certainty concerning such CERs issued from projects that have been established before 2013 in respect of emission reductions from 2013 onwards. It is important that credits from projects used by operators represent real, verifiable, additional and permanent emission reductions and have clear sustainable development benefits and no significant negative environmental or social impacts. A procedure should be established which allows for the exclusion of certain project types.

In the event of the conclusion of an international agreement on climate change being delayed, the possibility should be provided for to use credits from high-quality projects in the Community scheme through agreements with third countries. Such agreements, which may be bilateral or multilateral, could enable projects that generated ERUs until 2012 but are no longer able to do so under the Kyoto framework to continue to be recognised in the Community scheme.

LDCs are especially vulnerable to the effects of climate change, and are responsible only for a very low level of greenhouse gas emissions. Therefore, particular priority should be given to addressing the needs of LDCs when revenues generated from auctioning are used to facilitate developing countries’ adaptation to the impacts of climate change. Given that very few CDM projects have been established in those countries, it is appropriate to provide certainty on the acceptance of credits from projects started in LDCs after 2012, even in the absence of an international agreement on climate change, when these projects are clearly additional and contribute to sustainable development. This entitlement should apply to LDCs until 2020 provided that they have by then either ratified an international agreement on climate change or a bilateral or multilateral agreement with the Community.

Once an international agreement on climate change has been reached, additional credits of up to half of the additional reduction taking place in the Community scheme may be used, and high quality CDM credits from third countries should only be accepted in the Community scheme from 2013, once those countries have ratified the international agreement.

The Community and its Member States should only authorise project activities where all project participants have headquarters either in a country that has concluded the international agreement relating to such projects, so as to discourage ‘free-riding’ by companies in States which have not concluded an international agreement, except where those companies are based in third countries, or in sub-federal or regional entities which are linked to the Community scheme.

The fact that certain provisions of this Directive refer to the approval of an international agreement on climate change by the Community is without prejudice to the conclusion of that agreement also by the Member States.

In the light of experience, the provisions of the Community scheme relating to monitoring, reporting and verifying emissions should be improved.

The Union should work to establish an internationally recognised system for reducing deforestation and increasing afforestation and reforestation, supporting the objective, within the UNFCCC, of developing financing mechanisms, taking into account existing arrangements, as part of an effective, efficient, equitable and coherent financial architecture within the international agreement on climate change to be reached in the Copenhagen Conference on Climate Change (COP 15 and COP/MOP 5).

In order to clarify the coverage of all kinds of boilers, burners, turbines, heaters, furnaces, incinerators, calciners, kilns, ovens, dryers, engines, fuel cells, chemical looping combustion units, flares, and thermal or catalytic post-combustion units by Directive 2003/87/EC, a definition of ‘combustion’ should be added.

In order to ensure that allowances can be transferred between persons within the Community without any restriction, and to ensure that the Community scheme can be linked to emissions trading systems in third countries and sub-federal and regional entities, from January 2012 onwards, all allowances should be held in the Community registry established under Decision No 280/2004/EC of the European Parliament and of the Council of 11 February 2004 concerning a mechanism for monitoring Community greenhouse gas emissions and for implementing the Kyoto Protocol ( 8 ). This should be without prejudice to the maintenance of national registries for emissions not covered by the Community scheme. The Community registry should provide the same quality of services as national registries.

From 2013 onwards, the environmentally safe capture, transport and geological storage of CO 2 should be covered by the Community scheme in a harmonised manner.

Arrangements should be provided to enable the mutual recognition of allowances between the Community scheme and other mandatory greenhouse gas emissions trading systems capping absolute emissions established in any third country or sub-federal or regional entity.

Third countries neighbouring the Union should be encouraged to join the Community scheme if they comply with this Directive. The Commission should make every effort in negotiations with, and in the provision of financial and technical assistance to, candidate countries, potential candidate countries and countries covered by the European neighbourhood policy to promote this aim. This would facilitate technology and knowledge transfer to these countries, which is an important means of providing economic, environmental and social benefits to all.

This Directive should provide for agreements to be made for the recognition of allowances between the Community scheme and other mandatory greenhouse gas emissions trading systems with absolute emissions caps, which are compatible with the Community scheme taking into account the level of environmental ambition and the presence of a robust and comparable emissions monitoring, reporting and verification mechanism and compliance system.

Taking into account experience under the Community scheme, it should be possible to issue allowances in respect of projects that reduce greenhouse gas emissions, provided that these projects take place in accordance with harmonised rules adopted at Community level and these projects would not result in the double-counting of emission reductions or impede the extension of the scope of the Community scheme or the undertaking of other policy measures to reduce emissions not covered by the Community scheme.

The measures necessary for the implementation of this Directive should be adopted in accordance with Council Decision 1999/468/EC of 28 June 1999 laying down the procedures for the exercise of implementing powers conferred on the Commission ( 9 ).

In particular, the Commission should be empowered to adopt measures for the harmonisation of rules on the definition of ‘new entrant’, the auctioning of allowances, the transitional Community-wide allocation of allowances, the establishment of the criteria and modalities applicable to the selection of certain demonstration projects, the establishment of a list of sectors or subsectors which are exposed to a significant risk of carbon leakage, the use of credits, the monitoring, reporting and verification of emissions, the accreditation of verifiers, the implementation of harmonised rules for projects as well as the amendment of certain annexes. Since those measures are of general scope and are designed to amend non-essential elements of Directive 2003/87/EC, inter alia, by supplementing it with new non-essential elements, they must be adopted in accordance with the regulatory procedure with scrutiny provided for in Article 5a of Decision 1999/468/EC.

Directive 2003/87/EC should therefore be amended accordingly.

It is appropriate to provide for an early transposition of those provisions which prepare for the revised operation of the Community scheme from 2013 onwards.

In order to correctly complete the trading-period from 2008 to 2012, the provisions of Directive 2003/87/EC, as amended by Directive 2004/101/EC ( 10 ), Directive 2008/101/EC ( 11 ) and Regulation (EC) No 219/2009 ( 12 ), should continue to apply without affecting the possibility for the Commission to adopt the measures necessary for the revised operation of the Community scheme from 2013 onwards.

The application of this Directive is without prejudice to Articles 87 and 88 of the Treaty.

This Directive respects the fundamental rights and observes the principles recognised in particular by the Charter of Fundamental Rights of the European Union.

Since the objectives of this Directive cannot be sufficiently achieved by the Member States and can therefore, by reason of the scale and effects of this Directive be better achieved at Community level, the Community may adopt measures, in accordance with the principle of subsidiarity as set out in Article 5 of the Treaty. In accordance with the principle of proportionality, as set out in that Article, this Directive does not go beyond what is necessary in order to achieve those objectives.

In accordance with point 34 of the Interinstitutional Agreement on better lawmaking ( 13 ), Member States are encouraged to draw up, for themselves and in the interests of the Community, their own tables illustrating, as far as possible, the correlation between this Directive and the transposition measures, and to make them public,

HAVE ADOPTED THIS DIRECTIVE:

Amendments to Directive 2003/87/EC.

Directive 2003/87/EC is hereby amended as follows:

The following paragraphs shall be added to Article 1:

‘This Directive also provides for the reductions of greenhouse gas emissions to be increased so as to contribute to the levels of reductions that are considered scientifically necessary to avoid dangerous climate change.

This Directive also lays down provisions for assessing and implementing a stricter Community reduction commitment exceeding 20 %, to be applied upon the approval by the Community of an international agreement on climate change leading to greenhouse gas emission reductions exceeding those required in Article 9, as reflected in the 30 % commitment endorsed by the European Council of March 2007.’;

Article 3 shall be amended as follows:

point (c) shall be replaced by the following:

“greenhouse gases” means the gases listed in Annex II and other gaseous constituents of the atmosphere, both natural and anthropogenic, that absorb and re-emit infrared radiation;’;

point (h) shall be replaced by the following:

“new entrant” means:

any installation carrying out one or more of the activities indicated in Annex I, which has obtained a greenhouse gas emissions permit for the first time after 30 June 2011,

any installation carrying out an activity which is included in the Community scheme pursuant to Article 24(1) or (2) for the first time, or.

any installation carrying out one or more of the activities indicated in Annex I or an activity which is included in the Community scheme pursuant to Article 24(1) or (2), which has had a significant extension after 30 June 2011, only in so far as this extension is concerned.’;

The following points shall be added:

“combustion” means any oxidation of fuels, regardless of the way in which the heat, electrical or mechanical energy produced by this process is used, and any other directly associated activities, including waste gas scrubbing;

“electricity generator” means an installation that, on or after 1 January 2005, has produced electricity for sale to third parties, and in which no activity listed in Annex I is carried out other than the “combustion of fuels”.’;

In Article 3c(2), the word ‘Article 11(2)’ shall be replaced by ‘Article 13(1)’;

In Article 3g, the words ‘the guidelines adopted pursuant to Article 14’ shall be replaced by ‘the regulation referred to in Article 14’;

Article 4 shall be replaced by the following:

Greenhouse gas emissions permits.

Member States shall ensure that, from 1 January 2005, no installation carries out any activity listed in Annex I resulting in emissions specified in relation to that activity unless its operator holds a permit issued by a competent authority in accordance with Articles 5 and 6, or the installation is excluded from the Community scheme pursuant to Article 27. This shall also apply to installations opted in under Article 24.’;

Article 5(d) shall be replaced by the following:

the measures planned to monitor and report emissions in accordance with the regulation referred to in Article 14.’;

Article 6 shall be amended as follows:

In paragraph 1, the following subparagraph shall be added:

‘The competent authority shall, at least every five years, review the greenhouse gas emissions permit and make any amendments as are appropriate.’;

In paragraph 2, point (c) shall be replaced by the following:

a monitoring plan that fulfils the requirements under the regulation referred to in Article 14. Member States may allow operators to update monitoring plans without changing the permit. Operators shall submit any updated monitoring plans to the competent authority for approval.’;

Article 7 shall be replaced by the following:

Changes relating to installations.

The operator shall inform the competent authority of any planned changes to the nature or functioning of the installation, or any extension or significant reduction of its capacity, which may require updating the greenhouse gas emissions permit. Where appropriate, the competent authority shall update the permit. Where there is a change in the identity of the installation's operator, the competent authority shall update the permit to include the name and address of the new operator.’;

Article 9 shall be replaced by the following:

Community-wide quantity of allowances.

The Community-wide quantity of allowances issued each year starting in 2013 shall decrease in a linear manner beginning from the mid-point of the period from 2008 to 2012. The quantity shall decrease by a linear factor of 1,74 % compared to the average annual total quantity of allowances issued by Member States in accordance with the Commission Decisions on their national allocation plans for the period from 2008 to 2012.

The Commission shall, by 30 June 2010, publish the absolute Community-wide quantity of allowances for 2013, based on the total quantities of allowances issued or to be issued by the Member States in accordance with the Commission Decisions on their national allocation plans for the period from 2008 to 2012.

The Commission shall review the linear factor and submit a proposal, where appropriate, to the European Parliament and to the Council as from 2020, with a view to the adoption of a decision by 2025.’;

The following Article shall be inserted:

Adjustment of the Community-wide quantity of allowances.

1. In respect of installations that were included in the Community scheme during the period from 2008 to 2012 pursuant to Article 24(1), the quantity of allowances to be issued from 1 January 2013 shall be adjusted to reflect the average annual quantity of allowances issued in respect of those installations during the period of their inclusion, adjusted by the linear factor referred to in Article 9.

2. In respect of installations carrying out activities listed in Annex I, which are only included in the Community scheme from 2013 onwards, Member States shall ensure that the operators of such installations submit to the relevant competent authority duly substantiated and independently verified emissions data in order for them to be taken into account for the adjustment of the Community-wide quantity of allowances to be issued.

Any such data shall be submitted, by 30 April 2010, to the relevant competent authority in accordance with the provisions adopted pursuant to Article 14(1).

If the data submitted are duly substantiated, the competent authority shall notify the Commission thereof by 30 June 2010 and the quantity of allowances to be issued, adjusted by the linear factor referred to in Article 9, shall be adjusted accordingly. In the case of installations emitting greenhouse gases other than CO 2 , the competent authority may notify a lower amount of emissions according to the emission reduction potential of those installations.

3. The Commission shall publish the adjusted quantities referred to in paragraphs 1 and 2 by 30 September 2010.

4. In respect of installations which are excluded from the Community scheme in accordance with Article 27, the Community-wide quantity of allowances to be issued from 1 January 2013 shall be adjusted downwards to reflect the average annual verified emissions of those installations in the period from 2008 to 2010, adjusted by the linear factor referred to in Article 9.’;

Article 10 shall be replaced by the following:

Auctioning of allowances.

1. From 2013 onwards, Member States shall auction all allowances which are not allocated free of charge in accordance with Article 10a and 10c. By 31 December 2010, the Commission shall determine and publish the estimated amount of allowances to be auctioned.

2. The total quantity of allowances to be auctioned by each Member State shall be composed as follows:

88 % of the total quantity of allowances to be auctioned being distributed amongst Member States in shares that are identical to the share of verified emissions under the Community scheme for 2005 or the average of the period from 2005 to 2007, whichever one is the highest, of the Member State concerned;

10 % of the total quantity of allowances to be auctioned being distributed amongst certain Member States for the purpose of solidarity and growth within the Community, thereby increasing the amount of allowances that those Member States auction under point (a) by the percentages specified in Annex IIa; e.

2 % of the total quantity of allowances to be auctioned being distributed amongst Member States the greenhouse gas emissions of which were, in 2005, at least 20 % below their emissions in the base year applicable to them under the Kyoto Protocol. The distribution of this percentage amongst the Member States concerned is set out in Annex IIb.

For the purposes of point (a), in respect of Member States which did not participate in the Community scheme in 2005, their share shall be calculated using their verified emissions under the Community scheme in 2007.

If necessary, the percentages referred to in points (b) and (c) shall be adapted in a proportional manner to ensure that the distribution is 10 % and 2 % respectively.

3. Member States shall determine the use of revenues generated from the auctioning of allowances. At least 50 % of the revenues generated from the auctioning of allowances referred to in paragraph 2, including all revenues from the auctioning referred to in paragraph 2, points (b) and (c), or the equivalent in financial value of these revenues, should be used for one or more of the following:

to reduce greenhouse gas emissions, including by contributing to the Global Energy Efficiency and Renewable Energy Fund and to the Adaptation Fund as made operational by the Poznan Conference on Climate Change (COP 14 and COP/MOP 4), to adapt to the impacts of climate change and to fund research and development as well as demonstration projects for reducing emissions and for adaptation to climate change, including participation in initiatives within the framework of the European Strategic Energy Technology Plan and the European Technology Platforms;

to develop renewable energies to meet the commitment of the Community to using 20 % renewable energies by 2020, as well as to develop other technologies contributing to the transition to a safe and sustainable low-carbon economy and to help meet the commitment of the Community to increase energy efficiency by 20 % by 2020;

measures to avoid deforestation and increase afforestation and reforestation in developing countries that have ratified the international agreement on climate change, to transfer technologies and to facilitate adaptation to the adverse effects of climate change in these countries;

forestry sequestration in the Community;

the environmentally safe capture and geological storage of CO 2 , in particular from solid fossil fuel power stations and a range of industrial sectors and subsectors, including in third countries;

to encourage a shift to low-emission and public forms of transport;

to finance research and development in energy efficiency and clean technologies in the sectors covered by this Directive;

measures intended to increase energy efficiency and insulation or to provide financial support in order to address social aspects in lower and middle income households;

to cover administrative expenses of the management of the Community scheme.

Member States shall be deemed to have fulfilled the provisions of this paragraph if they have in place and implement fiscal or financial support policies, including in particular in developing countries, or domestic regulatory policies, which leverage financial support, established for the purposes set out in the first subparagraph and which have a value equivalent to at least 50 % of the revenues generated from the auctioning of allowances referred to in paragraph 2, including all revenues from the auctioning referred to in paragraph 2, points (b) and (c).

Member States shall inform the Commission as to the use of revenues and the actions taken pursuant to this paragraph in their reports submitted under Decision No 280/2004/EC.

4. By 30 June 2010, the Commission shall adopt a regulation on timing, administration and other aspects of auctioning to ensure that it is conducted in an open, transparent, harmonised and non-discriminatory manner. To this end, the process should be predictable, in particular as regards the timing and sequencing of auctions and the estimated volumes of allowances to be made available.

Auctions shall be designed to ensure that:

operators, and in particular any SMEs covered by the Community scheme, have full, fair and equitable access;

all participants have access to the same information at the same time and that participants do not undermine the operation of the auction;

the organisation and participation in auctions is cost-efficient and undue administrative costs are avoided; e.

access to allowances is granted for small emitters.

That measure, designed to amend non-essential elements of this Directive by supplementing it, shall be adopted in accordance with the regulatory procedure with scrutiny referred to in Article 23(3).

Member States shall report on the proper implementation of the auctioning rules for each auction, in particular with respect to fair and open access, transparency, price formation and technical and operational aspects. These reports shall be submitted within one month of the auction concerned and shall be published on the Commission's website.

5. The Commission shall monitor the functioning of the European carbon market. Each year, it shall submit a report to the European Parliament and to the Council on the functioning of the carbon market including the implementation of the auctions, liquidity and the volumes traded. If necessary, Member States shall ensure that any relevant information is submitted to the Commission at least two months before the Commission adopts the report.’;

The following Articles shall be inserted:

Transitional Community-wide rules for harmonised free allocation.

1. By 31 December 2010, the Commission shall adopt Community-wide and fully-harmonised implementing measures for the allocation of the allowances referred to in paragraphs 4, 5, 7 and 12, including any necessary provisions for a harmonised application of paragraph 19.

Those measures, designed to amend non-essential elements of this Directive by supplementing it, shall be adopted in accordance with the regulatory procedure with scrutiny referred to in Article 23(3).

The measures referred to in the first subparagraph shall, to the extent feasible, determine Community-wide ex-ante benchmarks so as to ensure that allocation takes place in a manner that provides incentives for reductions in greenhouse gas emissions and energy efficient techniques, by taking account of the most efficient techniques, substitutes, alternative production processes, high efficiency cogeneration, efficient energy recovery of waste gases, use of biomass and capture and storage of CO 2 , where such facilities are available, and shall not provide incentives to increase emissions. No free allocation shall be made in respect of any electricity production, except for cases falling within Article 10c and electricity produced from waste gases.

For each sector and subsector, in principle, the benchmark shall be calculated for products rather than for inputs, in order to maximise greenhouse gas emissions reductions and energy efficiency savings throughout each production process of the sector or the subsector concerned.

In defining the principles for setting ex-ante benchmarks in individual sectors and subsectors, the Commission shall consult the relevant stakeholders, including the sectors and subsectors concerned.

The Commission shall, upon the approval by the Community of an international agreement on climate change leading to mandatory reductions of greenhouse gas emissions comparable to those of the Community, review those measures to provide that free allocation is only to take place where this is fully justified in the light of that agreement.

2. In defining the principles for setting ex-ante benchmarks in individual sectors or subsectors, the starting point shall be the average performance of the 10 % most efficient installations in a sector or subsector in the Community in the years 2007-2008. The Commission shall consult the relevant stakeholders, including the sectors and subsectors concerned.

The regulations pursuant to Articles 14 and 15 shall provide for harmonised rules on monitoring, reporting and verification of production-related greenhouse gas emissions with a view to determining the ex-ante benchmarks.

3. Subject to paragraphs 4 and 8, and notwithstanding Article 10c, no free allocation shall be given to electricity generators, to installations for the capture of CO 2 , to pipelines for transport of CO 2 or to CO 2 storage sites.

4. Free allocation shall be given to district heating as well as to high efficiency cogeneration, as defined by Directive 2004/8/EC, for economically justifiable demand, in respect of the production of heating or cooling. In each year subsequent to 2013, the total allocation to such installations in respect of the production of that heat shall be adjusted by the linear factor referred to in Article 9.

5. The maximum annual amount of allowances that is the basis for calculating allocations to installations which are not covered by paragraph 3 and are not new entrants shall not exceed the sum of:

the annual Community-wide total quantity, as determined pursuant to Article 9, multiplied by the share of emissions from installations not covered by paragraph 3 in the total average verified emissions, in the period from 2005 to 2007, from installations covered by the Community scheme in the period from 2008 to 2012; e.

the total average annual verified emissions from installations in the period from 2005 to 2007 which are only included in the Community scheme from 2013 onwards and are not covered by paragraph 3, adjusted by the linear factor, as referred to in Article 9.

A uniform cross-sectoral correction factor shall be applied if necessary.

6. Member States may also adopt financial measures in favour of sectors or subsectors determined to be exposed to a significant risk of carbon leakage due to costs relating to greenhouse gas emissions passed on in electricity prices, in order to compensate for those costs and where such financial measures are in accordance with state aid rules applicable and to be adopted in this area.

Those measures shall be based on ex-ante benchmarks of the indirect emissions of CO 2 per unit of production. The ex-ante benchmarks shall be calculated for a given sector or subsector as the product of the electricity consumption per unit of production corresponding to the most efficient available technologies and of the CO 2 emissions of the relevant European electricity production mix.

7. Five percent of the Community-wide quantity of allowances determined in accordance with Articles 9 and 9a over the period from 2013 to 2020 shall be set aside for new entrants, as the maximum that may be allocated to new entrants in accordance with the rules adopted pursuant to paragraph 1 of this Article. Allowances in this Community-wide reserve that are neither allocated to new entrants nor used pursuant to paragraph 8, 9 or 10 of this Article over the period from 2013 to 2020 shall be auctioned by the Member States, taking into account the level to which installations in Member States have benefited from this reserve, in accordance with Article 10(2) and, for detailed arrangements and timing, Article 10(4), and the relevant implementing provisions.

Allocations shall be adjusted by the linear factor referred to in Article 9.

No free allocation shall be made in respect of any electricity production by new entrants.

By 31 December 2010, the Commission shall adopt harmonised rules for the application of the definition of “new entrant”, in particular in relation to the definition of “significant extensions”.

Those measures, designed to amend non-essential elements of this Directive by supplementing it, shall be adopted in accordance with the regulatory procedure with scrutiny referred to in Article 23(3).

8. Up to 300 million allowances in the new entrants' reserve shall be available until 31 December 2015 to help stimulate the construction and operation of up to 12 commercial demonstration projects that aim at the environmentally safe capture and geological storage (CCS) of CO 2 as well as demonstration projects of innovative renewable energy technologies, in the territory of the Union.

The allowances shall be made available for support for demonstration projects that provide for the development, in geographically balanced locations, of a wide range of CCS and innovative renewable energy technologies that are not yet commercially viable. Their award shall be dependent upon the verified avoidance of CO 2 emissions.

Projects shall be selected on the basis of objective and transparent criteria that include requirements for knowledge-sharing. Those criteria and the measures shall be adopted in accordance with the regulatory procedure with scrutiny referred to in Article 23(3), and shall be made available to the public.

Allowances shall be set aside for the projects that meet the criteria referred to in the third subparagraph. Support for these projects shall be given via Member States and shall be complementary to substantial co-financing by the operator of the installation. They could also be co-financed by the Member State concerned, as well as by other instruments. No project shall receive support via the mechanism under this paragraph that exceeds 15 % of the total number of allowances available for this purpose. These allowances shall be taken into account under paragraph 7.

9. Lithuania, which, pursuant to Article 1 of Protocol No 4 on the Ignalina nuclear power plant in Lithuania, annexed to the 2003 Act of Accession, has committed to the closure of unit 2 of the Ignalina Nuclear Power Plant by 31 December 2009, may, if the total verified emissions of Lithuania in the period from 2013 to 2015 within the Community scheme exceed the sum of the free allowances issued to installations in Lithuania for electricity production emissions in that period and three-eighths of the allowances to be auctioned by Lithuania for the period from 2013 to 2020, claim allowances from the new entrants reserve for auctioning in accordance with the regulation referred to in Article 10(4). The maximum amount of such allowances shall be equivalent to the excess emissions in that period to the extent that this excess is due to increased emissions from electricity generation, minus any quantity by which allocations in that Member State in the period from 2008 to 2012 exceeded verified emissions within the Community scheme in Lithuania during that period. Any such allowances shall be taken into account under paragraph 7.

10. Any Member State with an electricity network which is interconnected with Lithuania and which, in 2007, imported more than 15 % of its domestic electricity consumption from Lithuania for its own consumption, and where emissions have increased due to investment in new electricity generation, may apply paragraph 9 mutatis mutandis under the conditions set out in that paragraph.

11. Subject to Article 10b, the amount of allowances allocated free of charge under paragraphs 4 to 7 of this Article in 2013 shall be 80 % of the quantity determined in accordance with the measures referred to in paragraph 1. Thereafter the free allocation shall decrease each year by equal amounts resulting in 30 % free allocation in 2020, with a view to reaching no free allocation in 2027.

12. Subject to Article 10b, in 2013 and in each subsequent year up to 2020, installations in sectors or subsectors which are exposed to a significant risk of carbon leakage shall be allocated, pursuant to paragraph 1, allowances free of charge at 100 % of the quantity determined in accordance with the measures referred to in paragraph 1.

13. By 31 December 2009 and every five years thereafter, after discussion in the European Council, the Commission shall determine a list of the sectors or subsectors referred to in paragraph 12 on the basis of the criteria referred to in paragraphs 14 to 17.

Every year the Commission may, at its own initiative or at the request of a Member State, add a sector or subsector to the list referred to in the first subparagraph if it can be demonstrated, in an analytical report, that this sector or subsector satisfies the criteria in paragraphs 14 to 17, following a change that has a substantial impact on the sector’s or subsector’s activities.

For the purpose of implementing this Article, the Commission shall consult the Member States, the sectors or subsectors concerned and other relevant stakeholders.

Those measures, designed to amend non-essential elements of this Directive by supplementing it, shall be adopted in accordance with the regulatory procedure with scrutiny referred to in Article 23(3).

14. In order to determine the sectors or subsectors referred to in paragraph 12, the Commission shall assess, at Community level, the extent to which it is possible for the sector or subsector concerned, at the relevant level of disaggregation, to pass on the direct cost of the required allowances and the indirect costs from higher electricity prices resulting from the implementation of this Directive into product prices without significant loss of market share to less carbon efficient installations outside the Community. These assessments shall be based on an average carbon price according to the Commission’s impact assessment accompanying the package of implementation measures for the EU’s objectives on climate change and renewable energy for 2020 and, if available, trade, production and value added data from the three most recent years for each sector or subsector.

15. A sector or subsector shall be deemed to be exposed to a significant risk of carbon leakage if:

the sum of direct and indirect additional costs induced by the implementation of this Directive would lead to a substantial increase of production costs, calculated as a proportion of the gross value added, of at least 5 %; e.

the intensity of trade with third countries, defined as the ratio between the total value of exports to third countries plus the value of imports from third countries and the total market size for the Community (annual turnover plus total imports from third countries), is above 10 %.

16. Notwithstanding paragraph 15, a sector or subsector is also deemed to be exposed to a significant risk of carbon leakage if:

the sum of direct and indirect additional costs induced by the implementation of this Directive would lead to a particularly high increase of production costs, calculated as a proportion of the gross value added, of at least 30 %; ou.

the intensity of trade with third countries, defined as the ratio between the total value of exports to third countries plus the value of imports from third countries and the total market size for the Community (annual turnover plus total imports from third countries), is above 30 %.

17. The list referred to in paragraph 13 may be supplemented after completion of a qualitative assessment, taking into account, where the relevant data are available, the following criteria:

the extent to which it is possible for individual installations in the sector or subsector concerned to reduce emission levels or electricity consumption, including, as appropriate, the increase in production costs that the related investment may entail, for instance on the basis of the most efficient techniques;

current and projected market characteristics, including when trade exposure or direct and indirect cost increase rates are close to one of the thresholds mentioned in paragraph 16;

profit margins as a potential indicator of long-run investment or relocation decisions.

18. The list referred to in paragraph 13 shall be determined after taking into account, where the relevant data are available, the following:

the extent to which third countries, representing a decisive share of global production of products in sectors or subsectors deemed to be at risk of carbon leakage, firmly commit to reducing greenhouse gas emissions in the relevant sectors or subsectors to an extent comparable to that of the Community and within the same time-frame; e.

the extent to which the carbon efficiency of installations located in these countries is comparable to that of the Community.

19. No free allocation shall be given to an installation that has ceased its operations, unless the operator demonstrates to the competent authority that this installation will resume production within a specified and reasonable time. Installations for which the greenhouse gas emissions permit has expired or has been withdrawn and installations for which the operation or resumption of operation is technically impossible shall be considered to have ceased operations.

20. The Commission shall, as part of the measures adopted under paragraph 1, include measures for defining installations that partially cease to operate or significantly reduce their capacity, and measures for adapting, as appropriate, the level of free allocations given to them accordingly.

Measures to support certain energy-intensive industries in the event of carbon leakage.

1. By 30 June 2010, the Commission shall, in the light of the outcome of the international negotiations and the extent to which these lead to global greenhouse gas emission reductions, and after consulting with all relevant social partners, submit to the European Parliament and to the Council an analytical report assessing the situation with regard to energy-intensive sectors or subsectors that have been determined to be exposed to significant risks of carbon leakage. This shall be accompanied by any appropriate proposals, which may include:

adjustment of the proportion of allowances received free of charge by those sectors or subsectors under Article 10a;

inclusion in the Community scheme of importers of products which are produced by the sectors or subsectors determined in accordance with Article 10a;

assessment of the impact of carbon leakage on Member States’ energy security, in particular where the electricity connections with the rest of the Union are insufficient and where there are electricity connections with third countries, and appropriate measures in this regard.

Any binding sectoral agreements which lead to global greenhouse gas emissions reductions of the magnitude required to effectively address climate change, and which are monitorable, verifiable and subject to mandatory enforcement arrangements shall also be taken into account when considering what measures are appropriate.

2. The Commission shall assess, by 31 March 2011, whether the decisions made regarding the proportion of allowances received free of charge by sectors or subsectors in accordance with paragraph 1, including the effect of setting ex-ante benchmarks in accordance with Article 10a(2), are likely to significantly affect the quantity of allowances to be auctioned by Member States in accordance with Article 10(2)(b), compared to a scenario with full auctioning for all sectors in 2020. It shall, if appropriate, submit adequate proposals to the European Parliament and to the Council, taking into account the possible distributional effects of such proposals.

Option for transitional free allocation for the modernisation of electricity generation.

1. By derogation from Article 10a(1) to (5), Member States may give a transitional free allocation to installations for electricity production in operation by 31 December 2008 or to installations for electricity production for which the investment process was physically initiated by the same date, provided that one of the following conditions is met:

in 2007, the national electricity network was not directly or indirectly connected to the network interconnected system operated by the Union for the Coordination of Transmission of Electricity (UCTE);

in 2007, the national electricity network was only directly or indirectly connected to the network operated by UCTE through a single line with a capacity of less than 400 MW; ou.

in 2006, more than 30 % of electricity was produced from a single fossil fuel, and the GDP per capita at market price did not exceed 50 % of the average GDP per capita at market price of the Community.

The Member State concerned shall submit to the Commission a national plan that provides for investments in retrofitting and upgrading of the infrastructure and clean technologies. The national plan shall also provide for the diversification of their energy mix and sources of supply for an amount equivalent, to the extent possible, to the market value of the free allocation with respect to the intended investments, while taking into account the need to limit as far as possible directly linked price increases. The Member State concerned shall submit to the Commission, every year, a report on investments made in upgrading infrastructure and clean technologies. Investment undertaken from 25 June 2009 may be counted for this purpose.

2. Transitional free allocations shall be deducted from the quantity of allowances that the respective Member State would otherwise auction pursuant to Article 10(2). In 2013, the total transitional free allocation shall not exceed 70 % of the annual average verified emissions in 2005-2007 from such electricity generators for the amount corresponding to the gross final national consumption of the Member State concerned and shall gradually decrease, resulting in no free allocation in 2020. For those Member States which did not participate in the Community scheme in 2005, the relevant emissions shall be calculated using their verified Community scheme emissions under the Community scheme in 2007.

The Member State concerned may determine that the allowances allocated pursuant to this Article may only be used by the operator of the installation concerned for surrendering allowances pursuant to Article 12(3) with respect to emissions of the same installation during the year for which the allowances are allocated.

3. Allocations to operators shall be based on the allocation under the verified emissions in 2005-2007 or an ex-ante efficiency benchmark based on the weighted average of emission levels of most greenhouse gas efficient electricity production covered by the Community scheme for installations using different fuels. The weighting may reflect the shares of the different fuels in electricity production in the Member State concerned. The Commission shall, in accordance with the regulatory procedure referred to in Article 23(2), provide guidance to ensure that the allocation methodology avoids undue distortions of competition and minimises negative impacts on the incentives to reduce emissions.

4. Any Member State applying this Article shall require benefiting electricity generators and network operators to report every 12 months on the implementation of their investments referred to in the national plan. Member States shall report on this to the Commission and shall make such reports public.

5. Any Member State that intends to allocate allowances on the basis of this Article shall, by 30 September 2011, submit to the Commission an application containing the proposed allocation methodology and individual allocations. An application shall contain:

evidence that the Member State meets at least one of the conditions set out in paragraph 1;

a list of the installations covered by the application and the amount of allowances to be allocated to each installation in accordance with paragraph 3 and the Commission guidance;

the national plan referred to in the second subparagraph of paragraph 1;

monitoring and enforcement provisions with respect to the intended investments pursuant to the national plan;

information showing that the allocations do not create undue distortions of competition.

6. The Commission shall assess the application taking into account the elements set out in paragraph 5 and may reject the application, or any aspect thereof, within six months of receiving the relevant information.

7. Two years before the end of the period during which a Member State may give transitional free allocation to installations for electricity production in operation by 31 December 2008, the Commission shall assess the progress made in the implementation of the national plan. If the Commission considers, on request of the Member State concerned, that there is a need for a possible extension of that period, it may submit to the European Parliament and to the Council appropriate proposals, including the conditions that would have to be met in the case of an extension of that period.’;

Articles 11 and 11a shall be replaced by the following:

National implementation measures.

1. Each Member State shall publish and submit to the Commission, by 30 September 2011, the list of installations covered by this Directive in its territory and any free allocation to each installation in its territory calculated in accordance with the rules referred to in Article 10a(1) and Article 10c.

2. By 28 February of each year, the competent authorities shall issue the quantity of allowances that are to be allocated for that year, calculated in accordance with Articles 10, 10a and 10c.

3. Member States may not issue allowances free of charge under paragraph 2 to installations whose inscription in the list referred to in paragraph 1 has been rejected by the Commission.

Use of CERs and ERUs from project activities in the Community scheme before the entry into force of an international agreement on climate change.

1. Without prejudice to the application of Article 28(3) and (4), paragraphs 2 to 7 of this Article shall apply.

2. To the extent that the levels of CER and ERU use, allowed to operators or aircraft operators by Member States for the period from 2008 to 2012, have not been used up or an entitlement to use credits is granted under paragraph 8, operators may request the competent authority to issue allowances to them valid from 2013 onwards in exchange for CERs and ERUs issued in respect of emission reductions up until 2012 from project types which were eligible for use in the Community scheme during the period from 2008 to 2012.

Until 31 March 2015, the competent authority shall make such an exchange on request.

3. To the extent that the levels of CER and ERU use, allowed to operators or aircraft operators by Member States for the period from 2008 to 2012, have not been used up or an entitlement to use credits is granted under paragraph 8, competent authorities shall allow operators to exchange CERs and ERUs from projects that were registered before 2013 issued in respect of emission reductions from 2013 onwards for allowances valid from 2013 onwards.

The first subparagraph shall apply to CERs and ERUs for all project types which were eligible for use in the Community scheme during the period from 2008 to 2012.

4. To the extent that the levels of CER and ERU use, allowed to operators or aircraft operators by Member States for the period from 2008 to 2012, have not been used up or an entitlement to use credits is granted under paragraph 8, competent authorities shall allow operators to exchange CERs issued in respect of emission reductions from 2013 onwards for allowances from new projects started from 2013 onwards in LDCs.

The first subparagraph shall apply to CERs for all project types which were eligible for use in the Community scheme during the period from 2008 to 2012, until those countries have ratified a relevant agreement with the Community or until 2020, whichever is the earlier.

5. To the extent that the levels of CER and ERU use, allowed to operators or aircraft operators by Member States for the period from 2008 to 2012, have not been used up or an entitlement to use credits is granted under paragraph 8 and in the event that the negotiations on an international agreement on climate change are not concluded by 31 December 2009, credits from projects or other emission reducing activities may be used in the Community scheme in accordance with agreements concluded with third countries, specifying levels of use. In accordance with such agreements, operators shall be able to use credits from project activities in those third countries to comply with their obligations under the Community scheme.

6. Any agreements referred to in paragraph 5 shall provide for the use of credits in the Community scheme from project types which were eligible for use in the Community scheme during the period from 2008 to 2012, including renewable energy or energy efficiency technologies which promote technological transfer and sustainable development. Any such agreement may also provide for the use of credits from projects where the baseline used is below the level of free allocation under the measures referred to in Article 10a or below the levels required by Community legislation.

7. Once an international agreement on climate change has been reached, only credits from projects from third countries which have ratified that agreement shall be accepted in the Community scheme from 1 January 2013.

8. All existing operators shall be allowed to use credits during the period from 2008 to 2020 up to either the amount allowed to them during the period from 2008 to 2012, or to an amount corresponding to a percentage, which shall not be set below 11 %, of their allocation during the period from 2008 to 2012, whichever is the highest.

Operators shall be able to use credits beyond the 11 % provided for in the first subparagraph, up to an amount which results in their combined free allocation in the period from 2008 to 2012 and overall project credits entitlement equal to a certain percentage of their verified emissions in the period from 2005 to 2007.

New entrants, including new entrants in the period from 2008 to 2012 which received neither free allocation nor an entitlement to use CERs and ERUs in the period from 2008-2012, and new sectors shall be able to use credits up to an amount corresponding to a percentage, which shall not be set below 4,5 %, of their verified emissions during the period from 2013 to 2020. Aircraft operators shall be able to use credits up to an amount corresponding to a percentage, which shall not be set below 1,5 %, of their verified emissions during the period from 2013 to 2020.

Measures shall be adopted to specify the exact percentages which shall apply under the first, second and third subparagraphs. At least one-third of the additional amount which is to be distributed to existing operators beyond the first percentage referred to in the first subparagraph shall be distributed to the operators which had the lowest level of combined average free allocation and project credit use in the period from 2008 to 2012.

Those measures shall ensure that the overall use of credits allowed does not exceed 50 % of the Community-wide reductions below the 2005 levels of the existing sectors under the Community scheme over the period from 2008 to 2020 and 50 % of the Community-wide reductions below the 2005 levels of new sectors and aviation over the period from the date of their inclusion in the Community scheme to 2020.

Those measures, designed to amend non-essential elements of this Directive by supplementing it, shall be adopted in accordance with the regulatory procedure with scrutiny referred to in Article 23(3).

9. From 1 January 2013, measures may be applied to restrict the use of specific credits from project types.

Those measures shall also set the date from which the use of credits under paragraphs 1 to 4 shall be in accordance with these measures. That date shall be, at the earliest, six months from the adoption of the measures or, at the latest, three years from their adoption.

Those measures, designed to amend non-essential elements of this Directive by supplementing it, shall be adopted in accordance with the regulatory procedure with scrutiny referred to in Article 23(3). The Commission shall consider submitting to the Committee a draft of the measures to be taken where a Member State so requests.’;

In Article 11b(1) the following subparagraph shall be added:

‘The Community and its Member States shall only authorise project activities where all project participants have headquarters either in a country that has concluded the international agreement relating to such projects or in a country or sub-federal or regional entity which is linked to the Community scheme pursuant to Article 25.’;

Article 12 shall be amended as follows:

the following paragraph shall be inserted:

‘1a. The Commission shall, by 31 December 2010, examine whether the market for emissions allowances is sufficiently protected from insider dealing or market manipulation and, if appropriate, shall bring forward proposals to ensure such protection. The relevant provisions of Directive 2003/6/EC of the European Parliament and of the Council of 28 January 2003 on insider dealing and market manipulation (market abuse) ( 14 ) may be used with any appropriate adjustments needed to apply them to trade in commodities.

the following paragraph shall be inserted:

‘3a. An obligation to surrender allowances shall not arise in respect of emissions verified as captured and transported for permanent storage to a facility for which a permit is in force in accordance with Directive 2009/31/EC of the European Parliament and of the Council of 23 April 2009 on the geological storage of carbon dioxide ( 15 ).

the following paragraph shall be added:

‘5. Paragraphs 1 and 2 apply without prejudice to Article 10c.’;

Article 13 shall be replaced by the following:

Validity of allowances.

1. Allowances issued from 1 January 2013 onwards shall be valid for emissions during periods of eight years beginning on 1 January 2013.

2. Four months after the beginning of each period referred to in paragraph 1, allowances which are no longer valid and have not been surrendered and cancelled in accordance with Article 12 shall be cancelled by the competent authority.

Member States shall issue allowances to persons for the current period to replace any allowances held by them which are cancelled in accordance with the first subparagraph.’;

Article 14 shall be replaced by the following:

Monitoring and reporting of emissions.

1. By 31 December 2011, the Commission shall adopt a regulation for the monitoring and reporting of emissions and, where relevant, activity data, from the activities listed in Annex I, for the monitoring and reporting of tonne-kilometre data for the purpose of an application under Articles 3e or 3f, which shall be based on the principles for monitoring and reporting set out in Annex IV and shall specify the global warming potential of each greenhouse gas in the requirements for monitoring and reporting emissions for that gas.

That measure, designed to amend non-essential elements of this Directive by supplementing it, shall be adopted in accordance with the regulatory procedure with scrutiny referred to in Article 23(3).

2. The regulation referred to in paragraph 1 shall take into account the most accurate and up-to-date scientific evidence available, in particular from the IPCC, and may also specify requirements for operators to report on emissions associated with the production of goods produced by energy intensive industries which may be subject to international competition. That regulation may also specify requirements for this information to be verified independently.

Those requirements may include reporting on levels of emissions from electricity generation covered by the Community scheme associated with the production of such goods.

3. Member States shall ensure that each operator of an installation or an aircraft operator monitors and reports the emissions from that installation during each calendar year, or, from 1 January 2010, the aircraft which it operates, to the competent authority after the end of that year in accordance with the regulation referred to in paragraph 1.

4. The regulation referred to in paragraph 1 may include requirements on the use of automated systems and data exchange formats to harmonise communication on the monitoring plan, the annual emission report and the verification activities between the operator, the verifier and competent authorities.’;

Article 15 shall be amended as follows:

the title shall be replaced by the following:

the following paragraphs shall be added:

‘By 31 December 2011, the Commission shall adopt a regulation for the verification of emission reports based on the principles set out in Annex V and for the accreditation and supervision of verifiers. It shall specify conditions for the accreditation and withdrawal of accreditation, for mutual recognition and peer evaluation of accreditation bodies, as appropriate.

That measure, designed to amend non-essential elements of this Directive by supplementing it, shall be adopted in accordance with the regulatory procedure with scrutiny referred to in Article 23(3).’;

The following Article shall be inserted:

Disclosure of information and professional secrecy.

Member States and the Commission shall ensure that all decisions and reports relating to the quantity and allocation of allowances and to the monitoring, reporting and verification of emissions are immediately disclosed in an orderly manner ensuring non-discriminatory access.

Information covered by professional secrecy may not be disclosed to any other person or authority except by virtue of the applicable laws, regulations or administrative provisions.’;

In Article 16, paragraph 4 shall be replaced by the following:

‘4. The excess emissions penalty relating to allowances issued from 1 January 2013 onwards shall increase in accordance with the European index of consumer prices.’;

Article 19 shall be amended as follows:

paragraph 1 shall be replaced by the following:

‘1. Allowances issued from 1 January 2012 onwards shall be held in the Community registry for the execution of processes pertaining to the maintenance of the holding accounts opened in the Member State and the allocation, surrender and cancellation of allowances under the Commission Regulation referred to in paragraph 3.

Each Member State shall be able to fulfil the execution of authorised operations under the UNFCCC or the Kyoto Protocol.’;

the following paragraph shall be added:

‘4. The Regulation referred to in paragraph 3 shall contain appropriate modalities for the Community registry to undertake transactions and other operations to implement arrangements referred to in Article 25(1b). That Regulation shall also include processes for the change and incident management for the Community registry with regard to issues in paragraph 1 of this Article. It shall contain appropriate modalities for the Community registry to ensure that initiatives of the Member States pertaining to efficiency improvement, administrative cost management and quality control measures are possible.’;

Article 21 shall be amended as follows:

in paragraph 1, the second sentence shall be replaced by the following:

‘That report shall pay particular attention to the arrangements for the allocation of allowances, the operation of registries, the application of the implementing measures on monitoring and reporting, verification and accreditation and issues relating to compliance with this Directive and on the fiscal treatment of allowances, if any.’;

paragraph 3 shall be replaced by the following:

‘3. The Commission shall organise an exchange of information between the competent authorities of the Member States concerning developments relating to issues of allocation, the use of ERUs and CERs in the Community scheme, the operation of registries, monitoring, reporting, verification, accreditation, information technology, and compliance with this Directive.’;

Article 22 shall be replaced by the following:

Amendments to the Annexes.

The Annexes to this Directive, with the exception of Annexes I, IIa and IIb, may be amended in the light of the reports provided for in Article 21 and of the experience of the application of this Directive. Annexes IV and V may be amended in order to improve the monitoring, reporting and verification of emissions.

Those measures, designed to amend non-essential elements of this Directive, inter alia, by supplementing it, shall be adopted in accordance with the regulatory procedure with scrutiny referred to in Article 23(3).’;

The following paragraph shall be added to Article 23:

‘4. Where reference is made to this paragraph, Article 4 and 7 of Decision 1999/468/CE shall apply, having regard to the provisions of Article 8 thereof.’;

Article 24 shall be replaced by the following:

Procedures for unilateral inclusion of additional activities and gases.

1. From 2008, Member States may apply emission allowance trading in accordance with this Directive to activities and to greenhouse gases which are not listed in Annex I, taking into account all relevant criteria, in particular the effects on the internal market, potential distortions of competition, the environmental integrity of the Community scheme and the reliability of the planned monitoring and reporting system, provided that inclusion of such activities and greenhouse gases is approved by the Commission.

in accordance with the regulatory procedure referred to in Article 23(2), if the inclusion refers to installations which are not covered by Annex I; ou.

in accordance with the regulatory procedure with scrutiny referred to in Article 23(3), if the inclusion refers to activities and greenhouse gases which are not listed in Annex I. Those measures are designed to amend non-essential elements of this Directive by supplementing it.

2. When the inclusion of additional activities and gases is approved, the Commission may at the same time authorise the issue of additional allowances and may authorise other Member States to include such additional activities and gases.

3. On the initiative of the Commission or at the request of a Member State, a regulation may be adopted on the monitoring of, and reporting on, emissions concerning activities, installations and greenhouse gases which are not listed as a combination in Annex I, if that monitoring and reporting can be carried out with sufficient accuracy.

That measure, designed to amend non-essential elements of this Directive by supplementing it, shall be adopted in accordance with the regulatory procedure with scrutiny referred to in Article 23(3).’;

The following Article shall be inserted:

Harmonised rules for projects that reduce emissions.

1. In addition to the inclusions provided for in Article 24, implementing measures for issuing allowances or credits in respect of projects administered by Member States that reduce greenhouse gas emissions not covered by the Community scheme may be adopted.

Those measures, designed to amend non-essential elements of this Directive by supplementing it, shall be adopted in accordance with the regulatory procedure with scrutiny referred to in Article 23(3).

Any such measures shall not result in the double-counting of emission reductions nor impede the undertaking of other policy measures to reduce emissions not covered by the Community scheme. Measures shall only be adopted where inclusion is not possible in accordance with Article 24, and the next review of the Community scheme shall consider harmonising the coverage of those emissions across the Community.

2. Implementing measures that set out the details for crediting in respect of Community-level projects referred to in paragraph 1 may be adopted.

Those measures, designed to amend non-essential elements of this Directive by supplementing it, shall be adopted in accordance with the regulatory procedure with scrutiny referred to in Article 23(3).

3. A Member State can refuse to issue allowances or credits in respect of certain types of projects that reduce greenhouse gas emissions on its own territory.

Such projects will be executed on the basis of the agreement of the Member State in which the project takes place.’;

In Article 25, the following paragraphs shall be inserted:

‘1a. Agreements may be made to provide for the recognition of allowances between the Community scheme and compatible mandatory greenhouse gas emissions trading systems with absolute emissions caps established in any other country or in sub-federal or regional entities.

1b. Non-binding arrangements may be made with third countries or with sub-federal or regional entities to provide for administrative and technical coordination in relation to allowances in the Community scheme or other mandatory greenhouse gas emissions trading systems with absolute emissions caps.’;

Articles 27, 28 and 29 shall be replaced by the following:

Exclusion of small installations subject to equivalent measures.

1. Following consultation with the operator, Member States may exclude from the Community scheme installations which have reported to the competent authority emissions of less than 25 000 tonnes of carbon dioxide equivalent and, where they carry out combustion activities, have a rated thermal input below 35 MW, excluding emissions from biomass, in each of the three years preceding the notification under point (a), and which are subject to measures that will achieve an equivalent contribution to emission reductions, if the Member State concerned complies with the following conditions:

it notifies the Commission of each such installation, specifying the equivalent measures applying to that installation that will achieve an equivalent contribution to emission reductions that are in place, before the list of installations pursuant to Article 11(1) has to be submitted and at the latest when this list is submitted to the Commission;

it confirms that monitoring arrangements are in place to assess whether any installation emits 25 000 tonnes or more of carbon dioxide equivalent, excluding emissions from biomass, in any one calendar year. Member States may allow simplified monitoring, reporting and verification measures for installations with average annual verified emissions between 2008 and 2010 which are below 5 000 tonnes a year, in accordance with Article 14;

it confirms that if any installation emits 25 000 tonnes or more of carbon dioxide equivalent, excluding emissions from biomass, in any one calendar year or the measures applying to that installation that will achieve an equivalent contribution to emission reductions are no longer in place, the installation will be reintroduced into the Community scheme;

it publishes the information referred to in points (a), (b) and (c) for public comment.

Hospitals may also be excluded if they undertake equivalent measures.

2. If, following a period of three months from the date of notification for public comment, the Commission does not object within a further period of six months, the exclusion shall be deemed approved.

Following the surrender of allowances in respect of the period during which the installation is in the Community scheme, the installation shall be excluded and the Member State shall no longer issue free allowances to the installation pursuant to Article 10a.

3. When an installation is reintroduced into the Community scheme pursuant to paragraph 1(c), any allowances issued pursuant to Article 10a shall be granted starting with the year of the reintroduction. Allowances issued to these installations shall be deducted from the quantity to be auctioned pursuant to Article 10(2) by the Member State in which the installation is situated.

Any such installation shall stay in the Community scheme for the rest of the trading period.

4. For installations which have not been included in the Community scheme during the period from 2008 to 2012, simplified requirements for monitoring, reporting and verification may be applied for determining emissions in the three years preceding the notification under paragraph 1 point (a).

Adjustments applicable upon the approval by the Community of an international agreement on climate change.

1. Within three months of the signature by the Community of an international agreement on climate change leading, by 2020, to mandatory reductions of greenhouse gas emissions exceeding 20 % compared to 1990 levels, as reflected in the 30 % reduction commitment as endorsed by the European Council of March 2007, the Commission shall submit a report assessing, in particular, the following elements:

the nature of the measures agreed upon in the framework of the international negotiations as well as the commitments made by other developed countries to comparable emission reductions to those of the Community and the commitments made by economically more advanced developing countries to contributing adequately according to their responsibilities and respective capabilities;

the implications of the international agreement on climate change, and consequently, options required at Community level, in order to move to the more ambitious 30 % reduction target in a balanced, transparent and equitable way, taking into account work under the Kyoto Protocol's first commitment period;

the Community manufacturing industries' competitiveness in the context of carbon leakage risks;

the impact of the international agreement on climate change on other Community economic sectors;

the impact on the Community agriculture sector, including carbon leakage risks;

the appropriate modalities for including emissions and removals related to land use, land use change and forestry in the Community;

afforestation, reforestation, avoided deforestation and forest degradation in third countries in the event of the establishment of any internationally recognised system in this context;

the need for additional Community policies and measures in view of the greenhouse gas reduction commitments of the Community' and of Member States.

2. On the basis of the report referred to in paragraph 1, the Commission shall, as appropriate, submit a legislative proposal to the European Parliament and to the Council amending this Directive pursuant to paragraph 1, with a view to the amending Directive entering into force upon the approval by the Community of the international agreement on climate change and in view of the emission reduction commitment to be implemented under that agreement.

The proposal shall be based upon the principles of transparency, economic efficiency and cost-effectiveness, as well as fairness and solidarity in the distribution of efforts between Member States.

3. The proposal shall allow, as appropriate, operators to use, in addition to the credits provided for in this Directive, CERs, ERUs or other approved credits from third countries which have ratified the international agreement on climate change.

4. The proposal shall also include, as appropriate, any other measures needed to help reach the mandatory reductions in accordance with paragraph 1 in a transparent, balanced and equitable way and, in particular, shall include implementing measures to provide for the use of additional types of project credits by operators in the Community scheme to those referred to in paragraphs 2 to 5 of Article 11a or the use by such operators of other mechanisms created under the international agreement on climate change, as appropriate.

5. The proposal shall include the appropriate transitional and suspensive measures pending the entry into force of the international agreement on climate change.

Report to ensure the better functioning of the carbon market.

If, on the basis of the regular reports on the carbon market referred to in Article 10(5), the Commission has evidence that the carbon market is not functioning properly, it shall submit a report to the European Parliament and to the Council. The report may be accompanied, if appropriate, by proposals aiming at increasing transparency of the carbon market and addressing measures to improve its functioning.’;

The following Article shall be inserted:

Measures in the event of excessive price fluctuations.

1. If, for more than six consecutive months, the allowance price is more than three times the average price of allowances during the two preceding years on the European carbon market, the Commission shall immediately convene a meeting of the Committee established by Article 9 of Decision No 280/2004/EC.

2. If the price evolution referred to in paragraph 1 does not correspond to changing market fundamentals, one of the following measures may be adopted, taking into account the degree of price evolution:

a measure which allows Member States to bring forward the auctioning of a part of the quantity to be auctioned;

a measure which allows Member States to auction up to 25 % of the remaining allowances in the new entrants reserve.

Those measures shall be adopted in accordance with the management procedure referred to in Article 23(4).

3. Any measure shall take utmost account of the reports submitted by the Commission to the European Parliament and to the Council pursuant to Article 29, as well as any other relevant information provided by Member States.

4. The arrangements for the application of these provisions shall be laid down in the regulation referred to in Article 10(4).’;

Annex I shall be replaced by the text appearing in Annex I to this Directive;

Annexes IIa and IIb shall be inserted as set out in Annex II to this Directive;

Annex III shall be deleted.

1. Member States shall bring into force the laws, regulations and administrative provisions necessary to comply with this Directive by 31 December 2012.

However, they shall bring into force the laws, regulations and administrative provisions necessary to comply with Article 9a(2) of Directive 2003/87/EC as inserted by Article 1(10) of this Directive and with Article 11 of Directive 2003/87/EC as amended by Article 1(13) of this Directive by 31 December 2009.

Member States shall apply the measures referred to in the first subparagraph from 1 January 2013. When Member States adopt the measures referred to in the first and second subparagraphs, those measures shall contain a reference to this Directive or shall be accompanied by such reference on the occasion of their official publication. The methods of making such reference shall be laid down by Member States.

2. Member States shall communicate to the Commission the text of the main provisions of national law which they adopt in the field covered by this Directive. The Commission shall inform the other Member States thereof.

The provisions of Directive 2003/87/EC, as amended by Directive 2004/101/EC, Directive 2008/101/EC and Regulation (EC) No 219/2009, shall continue to apply until 31 December 2012.

Entry into force.

This Directive shall enter into force on the 20th day following its publication in the Official Journal of the European Union .

This Directive is addressed to the Member States.

Done at Strasbourg, 23 April 2009.

For the European Parliament.

For the Council.

( 3 ) Opinion of the European Parliament of 17 December 2008 (not yet published in the Official Journal) and Council Decision of 6 April 2009.

( 10 ) Directive 2004/101/EC of the European Parliament and of the Council of 27 October 2004 amending Directive 2003/87/EC establishing a scheme for greenhouse gas emission allowance trading within the Community, in respect of the Kyoto Protocol’s project mechanisms (OJ L 338, 13.11.2004, p. 18).

( 11 ) Directive 2008/101/EC of the European Parliament and of the Council of 19 November 2008 amending Directive 2003/87/EC so as to include aviation activities in the scheme for greenhouse gas emission allowance trading within the Community (OJ L 8, 13.1.2009, p. 3).

( 12 ) Regulation (EC) No 219/2009 of the European Parliament and of the Council of 11 March 2009 adapting a number of instruments subject to the procedure referred to in Article 251 of the Treaty to Council Decision 1999/468/EC with regard to the regulatory procedure with scrutiny Adaptation to the regulatory procedure with scrutiny — Part Two (OJ L 87, 31.3.2009, p. 109).

Annex I to Directive 2003/87/EC shall be replaced by the following:

CATEGORIES OF ACTIVITIES TO WHICH THIS DIRECTIVE APPLIES.

1. Installations or parts of installations used for research, development and testing of new products and processes and installations exclusively using biomass are not covered by this Directive.

2. The thresholds values given below generally refer to production capacities or outputs. Where several activities falling under the same category are carried out in the same installation, the capacities of such activities are added together.

3. When the total rated thermal input of an installation is calculated in order to decide upon its inclusion in the Community scheme, the rated thermal inputs of all technical units which are part of it, in which fuels are combusted within the installation, are added together. These units could include all types of boilers, burners, turbines, heaters, furnaces, incinerators, calciners, kilns, ovens, dryers, engines, fuel cells, chemical looping combustion units, flares, and thermal or catalytic post-combustion units. Units with a rated thermal input under 3 MW and units which use exclusively biomass shall not be taken into account for the purposes of this calculation. “Units using exclusively biomass” includes units which use fossil fuels only during start-up or shut-down of the unit.

4. If a unit serves an activity for which the threshold is not expressed as total rated thermal input, the threshold of this activity shall take precedence for the decision about the inclusion in the Community scheme.

5. When the capacity threshold of any activity in this Annex is found to be exceeded in an installation, all units in which fuels are combusted, other than units for the incineration of hazardous or municipal waste, shall be included in the greenhouse gas emission permit.

6. From 1 January 2012 all flights which arrive at or depart from an aerodrome situated in the territory of a Member State to which the Treaty applies shall be included.

Combustion of fuels in installations with a total rated thermal input exceeding 20 MW (except in installations for the incineration of hazardous or municipal waste)

Refining of mineral oil.

Production of coke.

Metal ore (including sulphide ore) roasting or sintering, including pelletisation.

Production of pig iron or steel (primary or secondary fusion) including continuous casting, with a capacity exceeding 2,5 tonnes per hour.

Production or processing of ferrous metals (including ferro-alloys) where combustion units with a total rated thermal input exceeding 20 MW are operated. Processing includes, inter alia, rolling mills, re-heaters, annealing furnaces, smitheries, foundries, coating and pickling.

Production of primary aluminium.

Carbon dioxide and perfluorocarbons.

Production of secondary aluminium where combustion units with a total rated thermal input exceeding 20 MW are operated.

Production or processing of non-ferrous metals, including production of alloys, refining, foundry casting, etc., where combustion units with a total rated thermal input (including fuels used as reducing agents) exceeding 20 MW are operated.

Production of cement clinker in rotary kilns with a production capacity exceeding 500 tonnes per day or in other furnaces with a production capacity exceeding 50 tonnes per day.

Production of lime or calcination of dolomite or magnesite in rotary kilns or in other furnaces with a production capacity exceeding 50 tonnes per day.

Manufacture of glass including glass fibre with a melting capacity exceeding 20 tonnes per day.

Manufacture of ceramic products by firing, in particular roofing tiles, bricks, refractory bricks, tiles, stoneware or porcelain, with a production capacity exceeding 75 tonnes per day.

Manufacture of mineral wool insulation material using glass, rock or slag with a melting capacity exceeding 20 tonnes per day.

Drying or calcination of gypsum or production of plaster boards and other gypsum products, where combustion units with a total rated thermal input exceeding 20 MW are operated.

Production of pulp from timber or other fibrous materials.

Production of paper or cardboard with a production capacity exceeding 20 tonnes per day.

Production of carbon black involving the carbonisation of organic substances such as oils, tars, cracker and distillation residues, where combustion units with a total rated thermal input exceeding 20 MW are operated.

Production of nitric acid.

Carbon dioxide and nitrous oxide.

Production of adipic acid.

Carbon dioxide and nitrous oxide.

Production of glyoxal and glyoxylic acid.

Carbon dioxide and nitrous oxide.

Production of ammonia.

Production of bulk organic chemicals by cracking, reforming, partial or full oxidation or by similar processes, with a production capacity exceeding 100 tonnes per day.

Production of hydrogen (H 2 ) and synthesis gas by reforming or partial oxidation with a production capacity exceeding 25 tonnes per day.

Production of soda ash (Na 2 CO 3 ) and sodium bicarbonate (NaHCO 3 )

Capture of greenhouse gases from installations covered by this Directive for the purpose of transport and geological storage in a storage site permitted under Directive 2009/31/EC.

Transport of greenhouse gases by pipelines for geological storage in a storage site permitted under Directive 2009/31/EC.

Geological storage of greenhouse gases in a storage site permitted under Directive 2009/31/EC.

Flights which depart from or arrive in an aerodrome situated in the territory of a MemberState to which the Treaty applies.

This activity shall not include:

flights performed exclusively for the transport, on official mission, of a reigning Monarch and his immediate family, Heads of State, Heads of Government and Government Ministers, of a country other than a Member State, where this is substantiated by an appropriate status indicator in the flight plan;

military flights performed by military aircraft and customs and police flights;

flights related to search and rescue, fire-fighting flights, humanitarian flights and emergency medical service flights authorised by the appropriate competent authority;

any flights performed exclusively under visual flight rules as defined in Annex 2 to the Chicago Convention;

flights terminating at the aerodrome from which the aircraft has taken off and during which no intermediate landing has been made;

training flights performed exclusively for the purpose of obtaining a licence, or a rating in the case of cockpit flight crew where this is substantiated by an appropriate remark in the flight plan provided that the flight does not serve for the transport of passengers and/or cargo or for the positioning or ferrying of the aircraft;

flights performed exclusively for the purpose of scientific research or for the purpose of checking, testing or certifying aircraft or equipment whether airborne or ground-based;

flights performed by aircraft with a certified maximum take-off mass of less than 5 700 kg;

flights performed in the framework of public service obligations imposed in accordance with Regulation (EEC) No 2408/92 on routes within outermost regions, as specified in Article 299(2) of the Treaty, or on routes where the capacity offered does not exceed 30 000 seats per year; e.

flights which, but for this point, would fall within this activity, performed by a commercial air transport operator operating either:

fewer than 243 flights per period for three consecutive four-month periods, or.

flights with total annual emissions lower than 10 000 tonnes per year.

Flights performed exclusively for the transport, on official mission, of a reigning Monarch and his immediate family, Heads of State, Heads of Government and Government Ministers, of a MemberState may not be excluded under this point.’

The following Annexes shall be inserted as Annex IIa and Annex IIb to Directive 2003/87/EC:

Increases in the percentage of allowances to be auctioned by Member States pursuant to Article 10(2)(a), for the purpose of Community solidarity and growth in order to reduce emissions and adapt to the effects of climate change.

DISTRIBUTION OF ALLOWANCES TO BE AUCTIONED BY MEMBER STATES PURSUANT TO ARTICLE 10(2)(c) REFLECTING EARLY EFFORTS OF SOME MEMBER STATES TO ACHIEVE 20 % REDUCTION OF GREENHOUSE GAS EMISSIONS.

Distribution of the 2 % against the Kyoto base in percentages.

EU Emissions Trading System: landmark agreement between Parliament and Council delivers on EU's commitment to turn Paris Agreement into reality.

Brussels, 9 November 2017.

The European Parliament and Council have today reached a provisional agreement to revise the EU Emissions Trading System (EU ETS) for the period after 2020. This revision will contribute to put the EU on track to achieving a significant part of its commitment under the Paris Agreement to reduce greenhouse gas emissions by at least 40% by 2030.

Today's deal between Parliament and Council provides a clear outcome after more than two years of intensive negotiations, following the Commission's proposal to revise the EU ETS in July 2015.

Welcoming the political agreement, Commissioner for Climate Action and Energy Miguel Arias Cañete said: " Today's landmark deal demonstrates that the European Union is turning its Paris commitment and ambition into concrete action. By putting in place the necessary legislation to strengthen the EU Emissions Trading System and deliver on our climate objectives, Europe is once again leading the way in the fight against climate change. This legislation will make the European carbon-emissions market fit for purpose. I welcome in particular the robust carbon leakage regime that has been agreed and the measures further strengthening the Market Stability Reserve."

The EU Emissions Trading Scheme puts a cap on the carbon dioxide (CO2) emitted by more than 11,000 installations in the power sector and energy intensive industry through a market-based cap and trade system.

Building on the Commission's proposal, the main improvements agreed by Parliament and Council include:

Significant changes to the system in order to speed up emissions reductions and strengthen the Market Stability Reserve to speed up the reduction of the current oversupply of allowances on the carbon market; Additional safeguards to provide European industry with extra protection, if needed, against the risk of carbon leakage; Several support mechanisms to help the industry and the power sectors meet the innovation and investment challenges of the transition to a low-carbon economy.

Following the political agreement (a 'trilogue' negotiation between the European Parliament, the Council and the Commission), the text will have to be formally approved by the European Parliament and the Council. Once endorsed by both co-legislators, the revised EU ETS Directive will be published in the Official Journal of the Union and enters into force 20 days after publication.

EU ETS: legislation and research publications.

Use reference materials and access current regulations for the EU Emissions Trading System.

Last updated 20 March 2013 — see all updates.

Legislação.

Current UK regulations.

Previous legislation is available on the National Archives.

Legislação da UE.

All the EU legislation and guidance listed below is available on the European commission’s website:

Directions.

This Direction given by the Secretary of State for Energy and Climate Change has been made under section 40 of the Environment Act 1995 regarding the Union Registry:

DECC have published the following sets of directions from Ministers to their appropriate regulators.

These directions are required under our new 2012 EU ETS Regulations and came into force on 1 January 2013.

The following Direction given by the Secretary of State for Energy and Climate Change ( PDF , 20.1KB , 2 pages ) has been made under section 40 of the Environment Act 1995 regarding the serving of civil penalty notices under the Greenhouse Gas Emissions Trading Scheme Regulations 2005.

Determinations of the EU ETS carbon price.

This Determination is made by the Secretary of State for Energy and Climate Change under regulation 49 of the Greenhouse Gas Emissions Trading Scheme Regulations 2012.

This Determination is to enable the regulator to calculate a number of civil penalties for non-compliance with the EU ETS in 2014 (the 2013 carbon price is set by default in the Regulations).

For the following years, DECC will publish updated values in November each year ahead of the relevant compliance period.

Appeal determinations.

Previous appeals heard by The Secretary of State and determined under the Greenhouse Gas Emissions Trading Scheme Regulations 2005 can be viewed on the National Archives.

EU ETS research and publications.

Phase I: this includes compliance and results, independent reports on Phase I commissioned by the UK Government. Phase II: Compliance and results, Phase II emissions projections aviation research currently underway/planned research.

Phase III publications pre 2012 are available on the National Archive. Aviation publications from 2012 onwards will be available on this page shortly.

Evidence review of the EU ETS.

A literature review by Imperial Consultants considered the evidence on the effectiveness of the EU ETS in driving industrial abatement. This review broadly considered evidence on whether the EU ETS has driven abatement, which elements of the EU ETS drive abatement and how the EU ETS interacts with other policies. The report also identifies evidence gaps and suggests some directions for future research.

20 March 2013 A Direction given by the Secretary of State for Energy and Climate Change to the Environment Agency under section 40 of the Environment Act 1995 has been added. 22 January 2013 First published.

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