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17.5.2011 Official
Journal
of
the
European
Union L
130/1
II
(Non-legislative acts)
DECISIONS
COMMISSION DECISION
of 27 April 2011
determining transitional Union-wide rules for harmonised free allocation of emission allowances
pursuant to Article 10a of Directive 2003/87/EC of the European Parliament and of the Council
(notified under document C(2011) 2772)
(2011/278/EU)
THE EUROPEAN COMMISSION,
EU in the years 2007-2008. The benchmarks should be
calculated for products rather than for inputs, in order to
maximise greenhouse gas emissions reductions and
energy efficiency savings throughout each production
Having regard to the Treaty of the Functioning of the European
process of the sector or the sub-sector concerned.
Union,
(3)
In order to establish the benchmarks, the Commission
Having regard to Directive 2003/87/EC of the European
has consulted the relevant stakeholders, including the
Parliament and of the Council of 13 October 2003 establishing
sectors and sub-sectors concerned. Information
a scheme for greenhouse gas emission allowance trading within
necessary for setting the benchmarks, installation data
the Community and amending Council Directive 96/61/EC ( 1 ),
on the production, emissions and energy use, was
and in particular Article 10a thereof,
collected as of February 2009 from industry associations,
Member States, publicly and commercially available
sources and through a survey asking installations to
Whereas:
participate.

(1) Article
10a
of
the
Directive
requires
that
the
Community- (4)
To the extent feasible, the Commission has developed
wide and fully-harmonised implementing measures for
benchmarks for products, as well as intermediate
the allocation of free emission allowances should, to
products that are traded between installations, produced
the extent feasible, determine ex-ante benchmarks so as
from activities listed in Annex I to Directive 2003/87/EC.
to ensure that the free allocation of emission allowances
In principle, for each product one benchmark should be
takes place in a manner that provides incentives for
defined. Where a product is a direct substitute of another
reductions in greenhouse gas emissions and energy
product, both should be covered by the same product
efficient techniques, by taking account of the most
benchmark and the related product definition.
efficient techniques, substitutes, alternative production
processes, high efficiency cogeneration, efficient energy
recovery of waste gases, use of biomass and capture
and storage of carbon dioxide, where such facilities are
(5) The
Commission
considered
that
setting
a
benchmark
for
available, and should not provide incentives to increase
a product was feasible where, taking into account the
emissions. Allocations must be fixed prior to the trading
complexity of the production processes, product defi
period so as to enable the market to function properly.
nitions and classifications were available that allow for
verification of production data and a uniform application
of the product benchmark across the Union for the
purposes of allocating emission allowances. No differ
(2) In
defining
the
principles
for
setting ex-ante benchmarks
entiation was made on the basis of geography or on
in individual sectors or sub-sectors, the starting point
the basis of technologies, raw materials or fuels used,
should be the average performance of the 10 % most
so as not to distort comparative advantages in carbon
efficient installations in a sector or sub-sector in the
efficiency across the Union economy, and to enhance
harmonisation of the transitional free allocation of
( 1 ) OJ L 275, 25.10.2003, p. 32.
emission allowances.

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L 130/2
EN
Official Journal of the European Union
17.5.2011
(6) The
benchmark
values
should
cover
all
production-
the Commission provided guidance on quality and verifi
related direct emissions, including emissions related to
cation criteria for benchmarking data for the EU-ETS.
the production of measurable heat used for production,
Second, to complement the data collection by
regardless of whether the measurable heat was produced
European sector associations, consultants on behalf of
on-site or by another installation. Emissions related to
the European Commission collected data from instal
the production of electricity and to the export of
lations not covered by industry’s data and also
measurable heat, including avoided emissions of alter
competent authorities of Member States provided data
native heat or electricity production in cases of
and analyses.
exothermic processes or the production of electricity
without direct emissions, were deducted when setting
the benchmark values. In case the deduction of
emissions related to the export of measurable heat was
not feasible, this heat should not be eligible for the free
allocation of emission allowances.
(9) To
ensure
that
the
benchmark
values
are
based
on

correct and compliant data, the Commission, supported
by consultants, carried out in-depth compliance checks of
the sector rule books as well as plausibility checks of the
starting point values derived from the data. As indicated
in the guidance on quality and verification, data has been
(7)
In order to ensure that benchmarks lead to reductions in
verified to the extent necessary by independent verifiers.
greenhouse gas emissions, for some production processes
in which direct emissions eligible for the free allocation
of emission allowances and indirect emissions from elec
tricity production not eligible for free allocation on the
basis of Directive 2003/87/EC are to a certain extent
(10) Where
several
products
are
produced
in
one
installation
interchangeable, the total emissions including indirect
and an assignment of emissions to the individual
emissions related to the production of electricity have
products has not been regarded feasible, only single
been considered for the determination of the
product installations have been covered by the data
benchmark values to ensure a level playing field for
collection and included in the benchmark setting. This
fuel and electro-intensive installations. For the purpose
concerns the product benchmarks for lime, dolime,
of the allocation of emission allowances on the basis
bottles and jars of colourless glass, bottles and jars of
of the benchmarks concerned, only the share of the
coloured glass, facing bricks, pavers, spray-dried powder,
direct emissions in the total emissions should be taken
uncoated fine paper, tissue, testliner and fluting, uncoated
into account in order to avoid providing free allocation
carton board as well as coated carton board. To increase
of emission allowances for emissions related to elec
the significance and check the plausibility of the results,
tricity.
the values for the average performance of the 10 % most
efficient installations have been compared against
literature on most efficient techniques.
(8) For
the
determination
of
benchmark
values,
the
Commission has used as a starting point the arithmetic
average of the greenhouse gas performance of the 10 %
(11) In case no data or no data collected in compliance with
most greenhouse gas efficient installations in 2007 and
the benchmarking methodology has been available,
2008 for which data has been collected. In addition, the
information on present levels of emissions and
Commission has in accordance with Article 10a(1) of
consumptions and on most efficient techniques, mainly
Directive 2003/87/EC analysed for all sectors for which
derived from the Reference Documents on Best Available
a product benchmark is provided for in Annex I, on the
Techniques (BREF) established in accordance with
basis of additional information received from several
Directive 2008/1/EC of the European Parliament and of
sources and on the basis of a dedicated study analysing
the Council of 15 January 2008 concerning integrated
most efficient techniques and reduction potentials at
pollution prevention and control ( 1 ) has been used to
European and international level, whether these starting
derive benchmark values. In particular, due to a lack of
points sufficiently reflect the most efficient techniques,
data on the treatment of waste gases, heat exports and
substitutes, alternative production processes, high effi
electricity production, the values for the product
ciency cogeneration, efficient energy recovery of waste
benchmarks for coke and hot metal have been derived
gases, use of biomass and capture and storage of
from calculations of direct and indirect emissions based
carbon dioxide, where such facilities are available. Data
on information on relevant energy flows provided by the
used for determining the benchmark values has been
relevant BREF and default emission factors set out in
collected from a wide range of sources in order to
Commission Decision 2007/589/EC of 18 July 2007
cover a maximum of installations producing a bench
establishing guidelines for the monitoring and reporting
marked product in the years 2007 and 2008. First,
of greenhouse gas emissions pursuant to Directive
data on the greenhouse gas performance of ETS instal
2003/87/EC of the European Parliament and of the
lations producing benchmarked products has been
Council ( 2 ). For the product benchmark for sintered ore,
collected by or on behalf of the respective European
sector associations based on defined rules, so-called
( 1 ) OJ L 24, 29.1.2008, p. 8.
‘sector rule books’. As reference for these rule books,
( 2 ) OJ L 229, 31.8.2007, p. 1.

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EN
17.5.2011 Official
Journal
of
the
European
Union L
130/3
data has also been corrected based on relevant energy
Member States, each installation should be divided into
flows provided by the relevant BREF, taking into account
sub-installations where required. Member States should
the combustion of waste gases in the sector.
ensure that emissions are correctly attributed to the
relevant sub-installations and that there are no overlaps
between sub-installations.
(12) Where
deriving
a
product
benchmark
was
not
feasible,
but greenhouse gases eligible for the free allocation of
emission allowances occur, those allowances should be
allocated on the basis of generic fallback approaches. A
hierarchy of three fallback approaches has been
(15) Member States should ensure that data collected from the
developed in order to maximise greenhouse gas
operators and used for allocation purposes is complete,
emission reductions and energy savings for at least
consistent and presents the highest achievable accuracy.
parts of the production processes concerned. The heat
It should be verified by an independent verifier so as to
benchmark is applicable for heat consumption
ensure that the free allocation of emission allowances is
processes where a measurable heat carrier is used. The
based on solid and reliable data. This decision should
fuel benchmark is applicable where non-measurable heat
provide for specific minimum requirements for data
is consumed. The heat and fuel benchmark values have
collection and verification to facilitate a harmonised
been derived based upon the principles of transparency
and consistent application of the allocation rules.
and simplicity, using the reference efficiency of a widely
available fuel that can be regarded as second-best in
terms of greenhouse gas efficiency, considering energy
efficient techniques. For process emissions, emission
allowances should be allocated on the basis of historical
emissions. In order to ensure that the free allocation of
(16) The
amount
of
allowances
to
be
allocated
free
of
charge
emission allowances for such emissions provides
to incumbent installations should be based on historical
sufficient incentives for reductions in greenhouse gas
production data. In order to ensure that the reference
emissions and to avoid any difference in treatment of
period is as far as possible representative of industry
process emissions that are allocated on the basis of
cycles, covers a relevant period where good quality data
historical emissions and those within the system
is available and reduces the impact of special circum
boundaries of a product benchmark, the historical
stances, such as temporary closure of installations, the
activity level of each installation should be multiplied
historical activity levels have been based on the median
by a factor equal to 0,9700 to determine the number
production during the period from 1 January 2005 to
of free emission allowances.
31 December 2008, or, where it is higher, on the median
production during the period from 1 January 2009 to
31 December 2010. It is also appropriate to take account
of any significant capacity change that has taken place in
the relevant period. For new entrants, the determination
(13) From
2013
onwards,
all
free
allocations
pursuant
to
of activity levels should be based on standard capacity
Article 10a of Directive 2003/87/EC should be done in
utilisation based on sector-specific information or on
accordance with these rules. To give effect to the transi
installation-specific capacity utilisation.
tional system provided for by Article 10a(11) of Directive
2003/87/EC, according to which the free allocation of
emission allowances should decrease from 80 % of the
amount that corresponded to the allowances to be
allocated in 2013 to 30 % of this amount in 2020
with a view to reaching no free allocation in 2027, the
factors set out in Annex VI apply. Where a sector or sub-
(17) The
information collected by Member States should
sector has been put on the list determined by
facilitate the application of this Decision by competent
Commission Decision 2010/2/EU of 24 December
authorities and by the Commission.
2009 determining, pursuant to Directive 2003/87/EC
of the European Parliament and of the Council, a list
of sectors and subsectors which are deemed to be
exposed to a significant risk of carbon leakage ( 1 ), these
factors do not apply. Allocations under this Decision will
be taken into account in determining future lists of
(18) In
order
to
avoid
any
distortion
of
competition
and
to
sectors or sub-sectors deemed to be exposed to a
ensure an orderly functioning of the carbon market,
significant risk of carbon leakage.
Member States should ensure that when determining
the allocation of individual installations no double
counting and no double allocation takes place. In this
context, Member States should pay particular attention
to cases where a benchmarked product is produced in
(14) To facilitate the data collection from operators and the
more than one installation, where more than one bench
calculation of the emission allowances to be allocated by
marked product is produced in the same installation or
where intermediate products are exchanged across instal
( 1 ) OJ L 1, 5.1.2010, p. 10.
lation boundaries.

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L 130/4
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Official Journal of the European Union
17.5.2011
(19) To ensure that the emissions trading system delivers
(23) In
order
to
take
account
of
additional
greenhouse
gas
reductions over time, Directive 2003/87/EC provides
emissions not reflected in the data for determining the
for the Union-wide quantity of allowances to decrease
benchmark values for some installations, in particular
in a linear manner. As this decreasing Union-wide
methane emissions, and to ensure that the allocation of
quantity is taken into account for determining the
free emission allowances on the basis of the product
maximum annual amount of allowances pursuant to
benchmark takes into account the greenhouse gas effi
Article 10a(5) of Directive 2003/87/EC, all free
ciency of the processes and does not provide incentives
emission allowances allocated on the basis of this
to increase emissions, the individual data points of the
Decision to installations not covered by this maximum
installations on the benchmark curve for nitric acid have
annual amount referred to in Article 10a(5) should be
been corrected on the basis of information on the
adjusted in the same linear manner as the Union-wide
average of these emissions provided by industry and of
quantity of allowances, using the year 2013 as a
information derived from the BREF. The product
reference.
benchmark for nitric acid reflects this correction.
(20) The uniform cross-sectoral correction factor that is
applicable in each year of the period from 2013 to
(24) In
order
to
take
into
account
differences
in
refinery
2020 to installations that are not identified as electricity
configurations, the product benchmark for the refinery
generators, and that are not new entrants, pursuant to
sector should be based on the ‘CO 2 weighted tonne’
Article 10a(5) of Directive 2003/87/EC, should be
(hereinafter ‘CWT’) approach. Thereby the single
determined on the basis of the preliminary total annual
product of the refinery is the CWT and its production
amount of emission allowances allocated free of charge
has been calculated on the basis of defined generic
over the period from 2013 to 2020 calculated for these
process units each of which has been weighted with an
installations pursuant to this Decision, including the
emission factor relative to crude distillation, denoted as
installations that might be excluded according to
the CWT factor and representative of the CO 2 emission
Article 27 of that Directive. This amount of free
intensity at an average level of energy efficiency, for the
emission allowances allocated in each year of the
same standard fuel type for each process unit for
period should be compared with the annual amount of
combustion, and for average process emissions of the
allowances that is calculated in accordance with
process unit. On this basis, the data points used for
Article 10a(5) of Directive 2003/87/EC for installations
setting the product benchmark have been derived by
that are not electricity generator or new entrants, taking
comparing the actual emissions to the total CWT of
into account the relevant share of the annual
each refinery. The free allocation of emission allowances
Community-wide total quantity, as determined pursuant
to refineries is then corrected to exclude electricity use
to Article 9 of that Directive, and the relevant amount of
and production in order to be consistent with
emissions that are only included in the Union scheme
Article 10a(1) of Directive 2003/87/EC.
from 2013 onwards.
(21) Where
measurable
heat
is
exchanged
between
two
or
(25) Given
the
wide
range
of
product
qualities
that
can
be
more installations, the free allocation of emission
achieved, the product benchmarks for lime and dolime
allowances should be based on the heat consumption
refer to a standard composition concerning calcium
of an installation and take account of the risk of
oxide and magnesium oxide. Regarding combustion
carbon leakage. Thus, to ensure that the number of
emissions data for specific combustion emissions of the
free emission allowances to be allocated is independent
production of these standard products has been used
from the heat supply structure, emission allowances
based on Decision 2007/589/EC.
should be allocated to the heat consumer.
(22) To enhance the significance of the available data on the
(26) Whereas several product benchmarks, such as the
greenhouse gas performance of the installations covered
ammonia and soda ash benchmarks, assume that all
by the Union scheme, the product benchmarks for
CO 2 resulting from the production processes is emitted
sulphite pulp, thermo-mechanical pulp and mechanical
to the atmosphere, emissions should be monitored and
pulp as well as for recovered paper are based on BREF
reported in accordance with the regulation for the moni
information on most efficient techniques reflecting the
toring and reporting of emissions from the activities
use of fossil start-up fuels, the use of fossil fuels (for
listed in Annex I, to be adopted by 31 December
sulphite pulp, thermo-mechanical and mechanical pulp)
2011 pursuant to Article 14(1) of Directive
and of thermal energy (for recovered paper). The product
2003/87/EC, assuming that all CO 2 produced during
benchmark for newsprint has also been based on most
these production processes was emitted to the
efficient techniques reflecting the use of thermal energy
atmosphere, irrespective of any potential use of the
to derive a significant benchmark value.
CO 2 as feedstock in chemical production processes.

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EN
17.5.2011 Official
Journal
of
the
European
Union L
130/5
(27) The
steam
cracking
benchmark
does
not
cover
the
so-
production of heat outside the system boundaries of a
called supplemental feed, high value chemicals that are
benchmarked process as defined in Annex I, related
not produced in the main process as well as the related
emissions should be taken into account by means of
emissions, but, where applicable, supplemental feed
allocating additional emission allowances on the basis
should be considered for the free allocation of emission
of the heat or fuel benchmark. In the light of the
allowances using specific emission factors.
general principle that no emission allowances should be
allocated for free in respect of any electricity production,
to avoid undue distortions of competition on the
markets for electricity supplied to industrial installations
(28) In order to ensure a level playing field for the production
and taking into account the inherent carbon price in
of aromatics in refineries and in chemical plants, the free
electricity, it is appropriate that, where waste gases are
allocation of emission allowances for aromatics should
exported from the production process outside the system
be based on the CWT approach and the benchmark value
boundaries of the relevant product benchmark and
of the refineries product benchmark should be applied.
combusted for the production of electricity, no additional
allowances are allocated beyond the share of the carbon
content of the waste gas accounted for in the relevant
(29) Considering that in the production of vinyl chloride
product benchmark.
monomer, hydrogen is used to some extent as fuel
substituting conventional fuels such as natural gas, thus
reducing the direct emissions of the combusting process,
but considering also that the use of hydrogen as a
(33) The product benchmarks also take account of the
feedstock is preferable in terms of total greenhouse gas
historical emissions from flaring of waste gases related
efficiency, the vinyl chloride monomer benchmark
to the production of a given product and fuel used for
accounts for the fuel use of hydrogen as if it was
safety flaring should be considered fuel used for the
natural gas.
production of non-measurable heat in order to take
account of the compulsory nature of these flares.
(30) In order to ensure a level playing field for the production
of hydrogen and synthesis gas in refineries and in
(34) Substantial
investment
efforts
are
necessary
to
combat
chemical plants, the benchmark for these products
climate change and to reduce the carbon intensity of
should be based on the CWT approach and the
economies. This Decision should therefore be applied
benchmark value of the refineries benchmark. Both
in a manner to foster investment in clean technologies
product benchmarks refer to a defined volumetric
in each sector and sub-sector. In accordance with
concentration of hydrogen.
Directive 2003/87/EC, other policies and measures may
in the future supplement this goal and encourage the
effective use of allowances in order to generate
substantial investments in more energy-efficient tech
(31) Given
that
full
auctioning
should
be
the
rule
from
2013
onwards for the power sector, taking into account its
nologies. In particular, if the final annual amount of
ability to pass on the increased cost of carbon dioxide,
allowances allocated free of charge for all incumbent
and that no free allocation should be made in respect of
installations determined in accordance with this
any electricity production, except for transitional free
Decision falls significantly below the maximum annual
allocation for the modernisation of electricity generation
amount of allowances referred to in Article 10a(5) of
and electricity produced from waste gases, this Decision
Directive 2003/87/EC, an amendment to this Decision
should not cover the free allocation of emission
could provide incentives for further reductions in
allowances related to the production or consumption
greenhouse gas emissions in accordance with
of electricity. Nevertheless, according to Article 10a(6)
Article 10a(1) of Directive 2003/87/EC by allocating
of Directive 2003/87/EC, sectors or subsectors deemed
allowances to installations capable of implementing inno
to be exposed to a significant risk of carbon leakage may
vative technologies that further reduce greenhouse gas
be compensated for costs related to greenhouse gas
emissions.
emissions passed on in electricity prices by financial
measures adopted by Member States in accordance with
state aid rules applicable and to be adopted by the
Commission in this area.
(35) Investments in significant capacity extensions giving
access to the reserve for new entrants provided for in
Article 10a(7) of Directive 2003/87/EC should be unam
biguous and of a certain scale in order to avoid an early
(32) It
is
also
appropriate
that
the
product
benchmarks
take
depletion of the reserve of emission allowances created
account of the efficient energy recovery of waste gases
for new entrants, to avoid distortions of competition, to
and emissions related to their use. To this end, for the
avoid any undue administrative burden and to ensure
determination of the benchmark values for products of
equal treatment of installations across Member States. It
which the production generates waste gases, the carbon
is therefore appropriate to define the threshold for a
content of these waste gases has been taken into account
significant capacity change by 10 % of the installation’s
to a large extent. Where waste gases are exported from
installed capacity and require that the change in the
the production process outside the system boundaries of
installed capacity triggers a significantly higher or lower
the relevant product benchmark and combusted for the
activity level of the installation concerned. However,

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Official Journal of the European Union
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incremental capacity extensions or reductions should be
exception of transitional free allocation of emission allowances
taken into account when assessing whether this threshold
for the modernisation of electricity generation pursuant to
is reached.
Article 10c of Directive 2003/87/EC.
(36) Considering
the
limited
number
of
allowances
in
the
Article 3
reserve for new entrants, it is appropriate to assess,
when a considerable amount of these allowances is
Definitions
issued to new entrants, whether a fair and equitable
For the purposes of this Decision, the following definitions shall
access to the remaining allowances in this reserve is
apply:
guaranteed. In the light of the outcome of this
assessment, the possibility for a queuing system may be
provided. The design and the definition of the eligibility
(a) ‘incumbent installation’ means any installation carrying out
criteria of such a system should take account of different
one or more activities listed in Annex I to Directive
permitting practices in Member States, avoid any misuse
2003/87/EC or an activity included in the Union scheme
and not provide incentives to reserve allowances over an
for the first time in accordance with Article 24 of that
unreasonable period of time.
Directive which:
(37) To
ensure
that
no
emission
allowances
are
allocated
free
(i) obtained a greenhouse gas emission permit before
of charge to an installation that has ceased its operations,
30 June 2011; or
this Decision should provide for measures defining such
installations and prohibiting the issuance of allowances,
(ii) is in fact operating, obtained all relevant environmental
unless it can be established that the installation will
permits, including a permit provided for in Directive
resume its operations within a specified and reasonable
2008/1/EC where applicable, by 30 June 2011 and
amount of time.
fulfilled by 30 June 2011 all other criteria defined in
the national legal order of the Member State concerned
(38) In
order
to
adapt
the
number
of
emission
allowances
to
on the basis of which the installation would have been
be allocated to an installation having partially ceased
entitled to receive the greenhouse gas permit;
operations, specific thresholds comparing the reduced
activity level to the initial activity level have been
defined. The number of emission allowances to be
(b) ‘product benchmark sub-installation’ means inputs, outputs
allocated should then be adjusted accordingly as of the
and corresponding emissions relating to the production of
year following the year during which the installation
a product for which a benchmark has been set in Annex I;
partially ceased operations. Where such an installation
again reaches an activity level above the thresholds, the
(c) ‘heat benchmark sub-installation’ means inputs, outputs
initial number of emission allowances to be allocated
and corresponding emissions not covered by a product
should be partly or even fully be reinstated depending
benchmark sub-installation relating to the production, the
of the installation’s level of operation.
import from an installation or other entity covered by the
Union scheme, or both, of measurable heat which is:
(39) Where applicable, account has been taken of the
guidance on interpretation of Annex I to Directive
— consumed within the installation’s boundaries for the
2003/87/EC.
production of products, for the production of mech
anical energy other than used for the production of
(40) The
measures provided for in this Decision are in
electricity, for heating or cooling with the exception
accordance with the opinion of the Climate Change
of the consumption for the production of electricity, or
Committee,
— exported to an installation or other entity not covered
HAS ADOPTED THIS DECISION:
by the Union scheme with the exception of the export
for the production of electricity;
CHAPTER I
GENERAL PROVISIONS
(d) ‘fuel benchmark sub-installation’ means inputs, outputs and
corresponding emissions not covered by a product
Article 1
benchmark sub-installation relating to the production of
Subject matter
non-measurable heat by fuel combustion consumed for
the production of products, for the production of me-
This Decision lays down transitional Union-wide rules for the
chanical energy other than used for the production of elec
harmonised free allocation of emission allowances under
tricity, for heating or cooling with the exception of the
Directive 2003/87/EC from 2013 onwards.
consumption for the production of electricity, including
safety flaring;
Article 2
Scope
(e) ‘measurable heat’ means a net heat flow transported
through identifiable pipelines or ducts using a heat
This Decision shall apply to the free allocation of emission
transfer medium, such as, in particular, steam, hot air,
allowances under Chapter III (stationary installations) of
water, oil, liquid metals and salts, for which a heat meter
Directive 2003/87/EC in trading periods from 2013 with the
is or could be installed;

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17.5.2011 Official
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of
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European
Union L
130/7
(f) ‘heat meter’ means a heat meter within the meaning of
in an additional allocation of emission allowances of
Annex MI-004 to Directive 2004/22/EC of the European
more than 50 000 allowances per year representing at
Parliament and of the Council ( 1 ) or any other device to
least 5 % of the preliminary annual number of
measure and record the amount of heat energy produced
emission allowances allocated free of charge for this
based upon flow volumes and temperatures;
sub -installation before the change;
(g) ‘non-measurable heat’ means all heat other than measurable
heat;
(j) ‘significant capacity reduction’ means one or more iden
tifiable physical changes leading to a significant decrease
(h) ‘process emissions sub-installation’ means greenhouse gas
in a sub-installation’s initial installed capacity and its
emissions listed in Annex I to Directive 2003/87/EC other
activity level of the magnitude considered to constitute a
than carbon dioxide, which occur outside the system
significant capacity extension;
boundaries of a product benchmark listed in Annex I, or
carbon dioxide emissions, which occur outside the system
boundaries of a product benchmark listed in Annex I, as a
(k) ‘significant capacity change’ means either a significant
result of any of the following activities and emissions
capacity extension or a significant capacity reduction;
stemming from the combustion of incompletely oxidised
carbon produced as a result of the following activities for
the purpose of the production of measurable heat, non-
measurable heat or electricity provided that emissions
(l) ‘added capacity’ means the difference between the initial
that would have occurred from the combustion of an
installed capacity of a sub-installation and the installed
amount of natural gas, equivalent to the technically
capacity of that same sub-installation after having had a
usable energy content of the combusted incompletely
significant extension determined on the basis of the
oxidised carbon, are subtracted:
average of the 2 highest monthly production volumes
within the first 6 months following the start of changed
(i) the chemical or electrolytic reduction of metal
operation;
compounds in ores, concentrates and secondary
materials;
(m) ‘reduced capacity’ means the difference between the initial
(ii) the removal of impurities from metals and metal
installed capacity of a sub-installation and the installed
compounds;
capacity of that same sub-installation after having had a
significant capacity reduction determined on the basis of
the average of the 2 highest monthly production volumes
(iii) the decomposition of carbonates, excluding those for
within the first 6 months following the start of changed
flue gas scrubbing;
operation;
(iv) chemical syntheses where the carbon bearing material
participates in the reaction, for a primary purpose
other than the generation of heat;
(n) ‘start of normal operation’ means the verified and approved
first day of a continuous 90-day period, or, where the usual
production cycle in the sector concerned does not foresee
(v) the use of carbon containing additives or raw materials
continuous production, the first day of a 90-day period
for a primary purpose other than the generation of
split in sector-specific production cycles, during which
heat;
the installation operates at least at 40 % of the capacity
that the equipment is designed to accommodate taking
(vi) the chemical or electrolytic reduction of metalloid
into account, where appropriate, the installation-specific
oxides or non-metal oxides such as silicon oxides
operating conditions;
and phosphates;
(i) ‘significant capacity extension’ means a significant increase
(o) ‘start of changed operation’ means the verified and
in a sub-installation’s initial installed capacity whereby all
approved first day of a continuous 90-day period, or,
of the following occur:
where the usual production cycle in the sector concerned
does not foresee continuous production, the first day of a
(i) one or more identifiable physical changes relating to
90-day period split in sector-specific production cycles,
its technical configuration and functioning other than
during which the changed sub-installation operates at
the mere replacement of an existing production line
least at 40 % of the capacity that the equipment is
take place; and
designed to accommodate taking into account, where
appropriate, the sub-installation-specific operating
(ii) the sub-installation can be operated at a capacity that
conditions;
is at least 10 % higher compared to the initial installed
capacity of the sub-installation before the change; or
(p) ‘safety flaring’ means the combustion of pilot fuels and
(iii) the sub-installation to which the physical changes
highly fluctuating amounts of process or residual gases in
relate has a significantly higher activity level resulting
a unit open to atmospheric disturbances which is explicitly
required for safety reasons by relevant permits for the
( 1 ) OJ L 135, 30.4.2004, p. 1.
installation;

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L 130/8
EN
Official Journal of the European Union
17.5.2011
(q) ‘private household’ means a residential unit in which
Article 6
persons make arrangements, individually or in groups, for
providing themselves with measurable heat;
Division into sub-installations
1. For
the
purposes
of
this
Decision,
Member
States
shall
divide each installation eligible for the free allocation of
(r) ‘verifier’ means a competent, independent, person or verifi
emission allowances under Article 10a of Directive 2003/87/EC
cation body with responsibility for performing and
into one or more of the following sub-installations, as required:
reporting on the verification process, in accordance with
the detailed requirements established by the Member State
pursuant to Annex V to Directive 2003/87/EC;
(a) a product benchmark sub-installation;
(s) ‘reasonable assurance’ means a high but not absolute level
(b) a heat benchmark sub-installation;
of assurance, expressed positively in the verification
opinion, whether the data subject to verification is free
from material misstatement;
(c) a fuel benchmark sub-installation;
(d) a process emissions sub-installation.
(t) ‘level of assurance’ means the degree to which the verifier is
confident in the verification conclusions that it has been
proved whether or not the data submitted for an instal
Sub-installations shall correspond, to the extent possible, to
lation is free from material misstatement;
physical parts of the installation.
(u) ‘material misstatement’ means a substantial misstatement
For heat benchmark sub-installations, fuel benchmark sub-
(omissions, misrepresentations and errors, not considering
installations and process emissions sub-installations, Member
the permissible uncertainty) in the data submitted that,
States shall clearly distinguish on the basis of NACE and
according to the professional judgment of the verifier,
Prodcom codes between whether or not the relevant process
could affect subsequent use of the data by the competent
serves a sector or subsector deemed to be exposed to a
authority in the calculation of the allocation of emission
significant risk of carbon leakage as determined by Decision
allowances.
2010/2/EU.
Where an installation included in the Union scheme has
Article 4
produced and exported measurable heat to an installation or
Competent authority and rounding
other entity not included in the Union scheme, Member States
shall consider that the relevant process of the heat benchmark
1. Member
States
shall
make
the
appropriate
administrative sub-installation for this heat does not serve a sector or
arrangements, including designation of the competent authority
subsector deemed to be exposed to a significant risk of
or authorities in accordance with Article 18 of Directive
carbon leakage as determined by Decision 2010/2/EU unless
2003/87/EC, for the implementation of the rules of this
the competent authority is satisfied that the consumer of the
Decision.
measurable heat belongs to a sector or subsector deemed to be
exposed to a significant risk of carbon leakage as determined by
Decision 2010/2/EU.
2. All
calculations
relating
to
a
number
of
allowances
carried
out in accordance with this Decision shall be rounded up to the
nearest allowance.
2.
The sum of the inputs, outputs and emissions of each sub-
installation shall not exceed the inputs, outputs and total
emissions of the installation.
CHAPTER II
INCUMBENT INSTALLATIONS
Article 7
Article 5
Baseline data collection
Identification of installations
1. For
each
incumbent
installation
eligible
for
the
free
allo
cation of emission allowances under Article 10a of Directive
1. Each
Member
State
shall
identify
all
installations
in
its 2003/87/EC, including installations that are operated only occa
territory and eligible for free allocation under Article 10a of
sionally, in particular, installations that are kept in reserve or on
Directive 2003/87/EC.
standby and installations operating on a seasonal schedule,
Member States shall, for all years of the period from
1 January 2005 to 31 December 2008, or 1 January 2009 to
2. Each
Member
State
shall
also
identify
all
heat
producing 31 December 2010 where applicable, during which the
electricity generators and small installations, which may be
installation has been operating, collect from the operator all
excluded from the Union scheme pursuant to Article 27 of
relevant information and data regarding each parameter listed
Directive 2003/87/EC.
in Annex IV.

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EN
17.5.2011 Official
Journal
of
the
European
Union L
130/9
2. Member
States
shall
collect
data
for
each
sub-installation Member States may require the operator to use an electronic
separately. If necessary, Member States may require the operator
template or specify a file format for submission of the data.
to submit more data.
However, Member States shall accept an operator’s use of any
electronic template or file format specification published by the
Commission for the purpose of data collection under this
Article, unless the Member State’s template or file format spec
Where 95
% of the inputs, outputs and corresponding
ification requires at least input of the same data.
emissions of the heat benchmark sub-installation, of the fuel
benchmark sub-installation or of the process emissions sub-
installation, serve sectors or subsectors deemed to be exposed
6. Inputs,
outputs
and
corresponding
emissions
for
which
to a significant risk of carbon leakage as determined by
only data for the installation as a whole is available, shall be
Decision 2010/2/EU or where 95 % of the inputs, outputs
proportionally attributed to the relevant sub-installations, as
and corresponding emissions of the heat benchmark sub-instal
follows:
lation, of the fuel benchmark sub-installation or of the process
emissions sub-installation serve sectors or subsectors not
deemed to be exposed to a significant risk of carbon leakage,
Member States may exempt the operator from providing data
(a) where different products are produced one after the other in
allowing for the distinction in terms of carbon leakage
the same production line, inputs, outputs and corresponding
exposure.
emissions shall be attributed sequentially based on the usage
time per year for each sub-installation;
3. Member
States
shall
require
the
operator
to
submit
the (b) where it is not possible to attribute inputs, outputs and
initial installed capacity of each product benchmark sub-instal
corresponding emissions according to point (a), they shall
lation, determined as follows:
be attributed based on the mass or volume of individual
products produced or estimates based on the ratio of free
reaction enthalpies of the chemical reactions involved or
based on another suitable distribution key that is corrob
(a) in principle, the initial installed capacity shall be the average
orated by a sound scientific methodology.
of the 2 highest monthly production volumes in the period
from 1 January 2005 to 31 December 2008 assuming that
the sub-installation has been operating at this load 720
7. Member
States
shall
require
operators
to
submit
complete
hours per month for 12 months per year;
and consistent data and to ensure that there are no overlaps
between sub-installations and no double counting. Member
States shall, in particular, ensure that operators exercise due
diligence and submit data that presents highest achievable
(b) Where it is not possible to determine the initial installed
accuracy so as to enable reasonable assurance of the integrity
capacity according to point (a), an experimental verification
of data.
of the sub-installation’s capacity under the supervision of a
verifier shall take place in order to ensure that the
parameters used are typical for the sector concerned and
To this end, Member States shall ensure that each operator also
that the results of the experimental verification are repre
submits a methodology report containing, in particular, a
sentative.
description of the installation, the compilation methodology
applied, different data sources, calculation steps and, where
applicable, assumptions made and the methodology applied to
attribute emissions to the relevant sub-installations in
4. Where
a
sub-installation
has
had
a
significant
capacity accordance with paragraph 6. Member States may order the
change between 1 January 2005 and 30 June 2011, Member
operator to demonstrate the accuracy and completeness of the
States shall require the operator to submit in addition to the
data provided.
initial installed capacity of that sub-installation, determined in
accordance with paragraph 3, until the start of changed
operation, the added or, where applicable, the reduced
8. Where
data
is
missing,
Member
States
shall
require
the
capacity as well as the installed capacity of the sub-installation
operator to duly justify any lack of data.
after having had a significant capacity change determined on the
basis of the average of the 2 highest monthly production
volumes within the first 6 months following the start of
changed operation. Member States shall consider this installed
Member States shall require the operator to substitute all
capacity of the sub-installation after having had a significant
missing data with conservative estimates, in particular, based
capacity change as the sub-installation’s initial installed
on best industry practice, recent scientific and technical
capacity when assessing any further significant capacity change.
knowledge before or, at the latest, during verification by the
verifier.
5. Member
States
shall
obtain,
record
and
document
data
in
Where data are partly available, conservative estimate means
a manner that enables an appropriate use of it by the
that the value extrapolated shall be not more than 90 % of
competent authority.
the value obtained by using the data available.

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L 130/10
EN
Official Journal of the European Union
17.5.2011
Where no data on measurable heat flows for the heat
(i) the reported parameters are free of inconsistencies;
benchmark sub-installation is available, a proxy value may be
derived from the corresponding energy input multiplied by the
measured efficiency of the heat production as verified by a
verifier. In case no such efficiency data is available, a
(ii) the collection of the parameters has been carried out in
reference efficiency of 70 % shall be applied on the corre
accordance with applicable standards or guidance;
sponding energy input of the production of measurable heat.
(iii) the relevant records of the installation are complete and
9. Upon
request,
each
Member
State
shall
make
the
data
consistent;
collected on the basis of paragraph 1 to 6 available to the
Commission.
(c) the verifier has commenced the verification process with a
strategic analysis of all relevant activities carried out in the
Article 8
installation and has an overview of all the activities and
their significance for allocation purposes;
Verification
1. In the process of collecting data in accordance with
Article 7, Member States shall only accept data that has been
(d) the verifier has taken account of the information contained
verified as satisfactory by a verifier. The verification process
in the greenhouse gas emissions permit or other relevant
shall relate to the methodology report and the reported
environmental permits, such as the permit provided for in
parameters referred to in Article 7 and Annex IV. The verifi
Directive 2008/1/EC, in particular when assessing the initial
cation shall address the reliability, credibility and accuracy of the
installed capacity of sub-installations;
data provided by the operator and shall come to a verification
opinion that states with reasonable assurance whether the data
submitted is free from material misstatements.
(e) the verifier has analysed the inherent risks and control risks
related to the scope and complexity of the operator’s
activities and related to allocation parameters, which could
2. Member
States
shall
ensure
that
the
verifier
is
independent
lead to material misstatements and has drawn up a verifi
of the operator, carries out his activities in a sound and
cation plan following this risk analysis;
objective professional manner, and understands each of the
following:
(f) the verifier has conducted a site visit, when appropriate, to
(a) the provisions of this Decision, as well as relevant standards
inspect the operation of meters and monitoring systems,
and guidance;
conduct interviews, and collect sufficient information and
evidence. If the verifier has deemed a site visit is not appro
priate, he should be able to fully justify his decision to an
appropriate authority;
(b) the legislative, regulatory, and administrative requirements
relevant to the activities being verified;
(g) the verifier has carried out the verification plan by gathering
data in accordance with the defined sampling methods,
(c) the generation of all information related to each parameter
walkthrough tests, document reviews, analytical procedures
or source of emissions in the installation, in particular,
and data review procedures, including any relevant addi
relating to the collection, measurement, calculation and
tional evidence, upon which the verifier’s verification
reporting of the data.
opinion will be based;
3. In addition to the requirements set out in Decision
(h) the verifier has requested the operator to provide any
2007/589/EC, Member States shall ensure that all of the
missing data or complete missing sections of audit trails,
following minimum requirements are met:
explain variations in parameters or emissions data, or revise
calculations, or adjust reported data;
(a) the verifier has planned and performed the verification with
an attitude of professional scepticism recognising that
circumstances may exist that cause the information and
(i) the verifier has prepared an internal verification report. The
data submitted to be materially misstated;
verification report shall record evidence showing that the
strategic analysis, the risk analysis and the verification
plan has been performed in full, and provide sufficient
information to support verification opinions. The internal
(b) the verifier has only validated reported parameters
verification report shall as well facilitate a potential
determined with a high degree of certainty. A high degree
evaluation of the audit by the competent authority, and
of certainty requires the operator to show that:
accreditation body;

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EN
17.5.2011 Official
Journal
of
the
European
Union L
130/11
(j) the verifier has made a judgment with respect to whether
4. The
fuel-related
historical
activity
level
shall
refer
to
the
the reported parameters contain any material misstatement
median annual historical consumption of fuels used for the
and whether there are other issues relevant for the verifi
production of non-measurable heat consumed for the
cation opinion based on the findings contained in the
production of products, for the production of mechanical
internal verification report;
energy other than used for the production of electricity, for
heating or cooling with the exception of the consumption for
the production of electricity, including safety flaring, during the
(k) the verifier has presented the verification methodology, his
baseline period expressed as terajoule per year.
findings and verification opinion in a verification report,
addressed to the operator, to be submitted by the
operator with the methodology report and the reported
5. For
process
emissions,
which
occurred
in
relation
with
the
parameters to the competent authority.
production of products in the installation concerned during the
baseline period referred to in paragraph 1, the process-related
historical activity level shall refer to the median annual historical
4. Member
States
shall
not
allocate
emission
allowances
free process emissions expressed as tonnes of carbon dioxide
of charge to an installation where data relating to this instal
equivalent.
lation has not been verified as satisfactory.
6. For the purposes of the determination of the median
Member States may only decide to allocate emission allowances
values referred to in paragraphs 1 to 5 only calendar years
free of charge to an installation where data relating to this
during which the installation has been operating for at least 1
installation has not been verified as satisfactory, if they are
day shall be taken into account.
satisfied that the data gaps leading to the verifier’s judgment
are due to exceptional and unforeseeable circumstances that
could not have been avoided even if all due care had been
If the installation has been operating less than 2 calendar years
exercised and that are beyond the control of the operator of
during the relevant baseline period, the historical activity levels
the installation concerned, in particular because of circum
shall be calculated on the basis of the initial installed capacity
stances such as natural disasters, war, threats of war, terrorist
determined in accordance with the methodology set out in
acts, revolution, riot, sabotage or acts of vandalism.
Article 7(3) of each sub-installation multiplied by the relevant
capacity utilisation factor determined in accordance with
Article 18(2).
5. Upon
verification,
Member
States
shall,
in
particular,
ensure that there are no overlaps between sub-installations
and no double counting.
7. By way of derogation from paragraph 2, Member States
shall determine the product-related historical activity level for
products to which the product benchmarks referred to in
Article 9
Annex III apply on the basis of the median annual historical
Historical activity level
production according to the formulas set out in this same
Annex.
1. For incumbent installations, Member States shall
determine historical activity levels of each installation for the
baseline period from 1 January 2005 to 31 December 2008, or,
8. Incumbent
installations
that
are
operated
only
occa
where they are higher, for the baseline period from 1 January
sionally, including, in particular, installations that are kept in
2009 to 31 December 2010, on the basis of the data collected
reserve or on standby and installations operating on a seasonal
under Article 7.
schedule and that have not been operating for at least 1 day in
a given calendar year during the baseline period, shall be taken
into account when determining the median values referred to in
2. The
product-related
historical
activity
level
shall,
for
each paragraph 1, where all of the following conditions are met:
product for which a product benchmark has been determined as
referred to in Annex I, refer to the median annual historical
production of this product in the installation concerned during
the baseline period.
(a) it is clearly demonstrated that the installation is used occa
sionally, in particular, operated regularly as standby or
reserve capacity or operated regularly following a seasonal
schedule;
3. The
heat-related
historical
activity
level
shall
refer
to
the
median annual historical import from an installation covered by
the Union scheme, production, or both, during the baseline
period, of measurable heat consumed within the installation’s
(b) the installation is covered by a greenhouse gas emissions
boundaries for the production of products, for the production
permit and by all other relevant permits required in the
of mechanical energy other than used for the production of
national legal order of the Member State to operate the
electricity, for heating or cooling with the exception of the
installation;
consumption for the production of electricity, or exported to
installations or other entity not covered by the Union scheme
with the exception of the export for the production of elec
(c) it is technically possible to start operation on short notice
tricity expressed as terajoule per year.
and maintenance is carried out on a regular basis.

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L 130/12
EN
Official Journal of the European Union
17.5.2011
9. Where
an
incumbent
installation
has
had
a
significant
(iii) the process emissions sub-installation, the preliminary
capacity extension or a significant reduction of capacity
annual number of emission allowances allocated free of
between 1 January 2005 and 30 June 2011, the historical
charge for a given year shall correspond to the process-
activity levels of the installation concerned shall be the sum
related historical activity level multiplied by 0,9700.
of the median values determined in accordance with
paragraph 1 without the significant capacity change and the
historical activity levels of the added or reduced capacity.
3. To the extent that measurable heat is exported to private
households and the preliminary annual number of emission
The historical activity levels of the added or reduced capacity
allowances determined in accordance with paragraph 2(b),
shall be the difference between the initial installed capacities of
point (i), for 2013 is lower than the median annual historical
each sub-installation having had a significant capacity change
emissions related to the production of measurable heat exported
determined in accordance with Article 7(3) until the start of
to private households by that sub-installation in the period from
changed operation and the installed capacity after the significant
1 January 2005 to 31 December 2008, the preliminary annual
capacity change determined in accordance with Article 7(4)
number of emission allowances for 2013 shall be adjusted by
multiplied by the average historical capacity utilisation of the
the difference. In each of the years 2014 to 2020, the
installation concerned of the years prior to the start of changed
preliminary annual number of emission allowances determined
operation.
in accordance with paragraph 2(b), point (i), shall be adjusted to
the extent that the preliminary annual number of emission
allowances for that year is lower than a percentage of the
abovementioned median annual historical emissions. This
Article 10
percentage shall be 90 % in 2014 and decline by 10 percentage
Allocation at installation level
points each subsequent year.
1. Based
on
the
data
collected
in
accordance
with
Article
7,
Member States shall, for each year, calculate the number of
emission allowances allocated free of charge from 2013
4. For
the
purpose
of
implementing
Article
10a(11)
of
onwards to each incumbent installation on their territory in
Directive 2003/87/EC, the factors referred to in Annex VI
accordance with paragraphs 2 to 8.
shall be applied to the preliminary annual number of
emission allowances allocated free of charge determined for
each sub-installation pursuant to paragraph 2 of this Article
2. For
the
purpose
of
this
calculation,
Member
States
shall for the year concerned where the processes in those sub-instal
first determine the preliminary annual number of emission
lations serve sectors or subsectors deemed not to be exposed to
allowances allocated free of charge for each sub-installation
a significant risk of carbon leakage as determined by Decision
separately as follows:
2010/2/EU.
(a) for each product benchmark sub-installation, the
Where the processes in those sub-installations serve sectors or
preliminary annual number of emission allowances
subsectors deemed to be exposed to a significant risk of carbon
allocated free of charge for a given year shall correspond
leakage as determined by Decision 2010/2/EU, the factor to be
to the value of this product benchmark as referred to in
applied for the years 2013 and 2014 shall be 1. The sectors or
Annex I multiplied by the relevant product-related historical
subsectors for which the factor is 1 for the years 2015 to 2020
activity level;
shall be determined pursuant to Article 10a(13) of Directive
2003/87/EC.
(b) for:
5. Where at least 95 % of the historical activity level of the
heat benchmark sub-installation, of the fuel benchmark sub-
(i) the heat benchmark sub-installation, the preliminary
installation or of the process emissions sub-installation serve
annual number of emission allowances allocated free
sectors or subsectors deemed to be exposed to a significant
of charge for a given year shall correspond to the
risk of carbon leakage as determined by Decision 2010/2/EU,
value of the heat benchmark for measurable heat as
the sub-installation as a whole is deemed to be exposed to a
referred to in Annex I multiplied by the heat-related
significant risk of carbon leakage.
historical activity level for the consumption of
measurable heat;
Where at least 95 % of the historical activity level of the heat
(ii) the fuel benchmark sub-installation, the preliminary
benchmark sub-installation, of the fuel benchmark sub-instal
annual number of emission allowances allocated free
lation or of the process emissions sub-installation serve
of charge for a given year shall correspond to the
sectors or subsectors not deemed to be exposed to a significant
value of the fuel benchmark as referred to in Annex I
risk of carbon leakage as determined by Decision 2010/2/EU,
multiplied by the fuel-related historical activity level for
the sub-installation as a whole is not deemed to be exposed to a
the fuel consumed;
significant risk carbon leakage.

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EN
17.5.2011 Official
Journal
of
the
European
Union L
130/13
6. The
preliminary
annual
number
of
emission
allowances
Article 11
allocated free of charge for sub-installations that received
measurable heat from sub-installations producing products
Allocation in respect of steam cracking
covered by the nitric acid benchmarks referred to in Annex I
By way of derogation from Article 10(2)(a), the preliminary
shall be reduced by the annual historical consumption of that
annual number of emission allowances allocated free of
heat during the baseline period referred to in Article 9(1)
charge for a product benchmark sub-installation relating to
multiplied by the value of the heat benchmark for this
the production of high value chemicals (hereinafter ‘HVC’)
measurable heat as referred to in Annex I.
shall correspond to the value of the steam cracking product
benchmark referred to in Annex I multiplied by the historical
activity level determined in accordance with Annex III and
7. The preliminary
total annual amount of emission multiplied by the quotient of the total direct emissions
allowances allocated free of charge for each installation shall
including emissions from net imported heat over the baseline
be the sum of all sub-installations’ preliminary annual
period referred to in Article 9(1) of this Decision expressed as
numbers of emission allowances allocated free of charge
tonnes of carbon dioxide equivalent and the sum of these total
calculated in accordance with paragraphs 2, 3, 4, 5 and 6.
direct emissions and the relevant indirect emissions over the
baseline period referred to in Article 9(1) of this Decision
calculated in accordance with Article 14(2) To the result of
Where an installation encompasses sub-installations producing
this calculation, 1,78 tonnes of carbon dioxide per ton of
pulp (short fibre kraft pulp, long fibre kraft pulp, thermo-me-
hydrogen times the median historical production of hydrogen
chanical pulp and mechanical pulp, sulphite pulp or other pulp
from supplemental feed expressed in tons of hydrogen,
not covered by a product benchmark) exporting measurable
0,24 tonnes of carbon dioxide per ton of ethylene times the
heat to other technically connected sub-installations, the
median historical production of ethylene from supplemental
preliminary total amount of emission allowances allocated free
feed expressed in tons of ethylene and 0,16 tonnes of carbon
of charge shall, without prejudice to the preliminary annual
dioxide per ton of HVC times the median historical production
numbers of emission allowances allocated free of charge for
of other high value chemicals than hydrogen and ethylene from
other sub-installations of the installation concerned, only take
supplemental feed expressed in tons of HVC shall be added.
into account the preliminary annual number of emission
allowances allocated free of charge to the extent that pulp
products produced by this sub-installation are placed on the
market and not processed into paper in the same or other
Article 12
technically connected installations.
Allocation in respect of vinyl chloride monomer
By way of derogation from Article 10(2)(a), the preliminary
8. When
determining
the
preliminary
total
annual
amount
of annual number of emission allowances allocated free of
emission allowances allocated free of charge for each instal
charge for a sub-installation relating to the production of
lation, Member States shall ensure that emissions are not
vinyl chloride monomer (hereinafter ‘VCM’) shall correspond
double counted and that the allocation is not negative. In
to the value of the VCM benchmark multiplied by the historical
particular, where an intermediate product that is covered by a
activity level for VCM production expressed as tonnes and
product benchmark according to the definition of the respective
multiplied by the quotient of the direct emissions for the
system boundaries set out in Annex I is imported by an instal
production of VCM including emissions from net imported
lation, emissions shall not be double counted when determining
heat over the baseline period referred to in Article 9(1) of
the preliminary total annual amount of emission allowances
this Decision, calculated in accordance with Article 14(2),
allocated free of charge for both installations concerned.
expressed as tonnes of carbon dioxide equivalent and the sum
of these direct emissions and the hydrogen-related emissions for
the production of VCM over the baseline period referred to in
9. The
final
total
annual
amount
of
emission
allowances Article 9(1) of this Decision expressed as tonnes of carbon
allocated free of charge for each incumbent installation,
dioxide equivalent calculated on the basis of the historical
except for installations covered by Article 10a(3) of Directive
heat consumption stemming from hydrogen combustion
2003/87/EC, shall be the preliminary total annual amount of
expressed as terajoules (TJ) times 56,1 tonnes of carbon
emission allowances allocated free of charge for each installation
dioxide per TJ.
determined in accordance with paragraph 7 multiplied by the
cross-sectoral correction factor as determined in accordance
with Article 15(3).
Article 13
Heat flows between installations
For installations covered by Article 10a(3) of Directive
2003/87/EC and eligible for the allocation of free emission
Where a product-benchmark sub-installation encompasses
allowances, the final total annual amount of emission
measurable heat imported from an installation or other entity
allowances allocated free of charge shall correspond to the
not included in the Union scheme, the preliminary annual
preliminary total annual amount of emission allowances
number of emission allowances allocated free of charge for
allocated free of charge for each installation determined in
the product benchmark sub-installation concerned determined
accordance with paragraph 7 annually adjusted by the linear
pursuant to Article 10(2)(a) shall be reduced by the amount of
factor referred to in Article 10a(4) of Directive 2003/87/EC,
heat historically imported from an installation or other entity
using the preliminary total annual amount of emission
not included in the Union scheme in the year concerned
allowances allocated free of charge for the installation
multiplied by the value of the heat benchmark for measurable
concerned for 2013 as a reference.
heat set out in Annex I.

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L 130/14
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Official Journal of the European Union
17.5.2011
Article 14
(c) for each product benchmark sub-installation the initial
installed capacity together with the annual production
Exchangeability of fuel and electricity
volumes of the product concerned in the period 1 January
1. For
each
product
benchmark
sub-installation
referred
to
in
2005 to 31 December 2008;
Annex I with consideration of exchangeability of fuel and elec
tricity, the preliminary annual number of emission allowances
allocated free of charge shall correspond to the value of the
(d) for each installation and sub-installation information on
relevant product benchmark set out in Annex I multiplied by
whether or not it belongs to a sector or subsector
the product-related historical activity level and multiplied by the
deemed to be exposed to a significant risk of carbon
quotient of the total direct emissions including emissions from
leakage as determined by Decision 2010/2/EU;
net imported heat over the baseline period referred to in
Article 9(1) of this Decision expressed as tonnes of carbon
dioxide equivalent and the sum of these total direct emissions
and the relevant indirect emissions over the baseline period
(e) for each sub-installation the preliminary annual number of
referred to in Article 9(1) of this Decision.
emission allowances allocated free of charge over the period
from 2013 to 2020 as determined in accordance with
Article 10(2);
2. For the purposes of the calculation pursuant to paragraph
1, the relevant indirect emissions refer to the relevant electricity
(f) in addition to point (d), for sub-installations not serving a
consumption as specified in the definition of processes and
sector or subsector deemed to be exposed to a significant
emissions covered in Annex I during the baseline period
risk of carbon leakage as determined by Decision
referred to in Article 9(1) of this Decision expressed in
2010/2/EU, the preliminary annual numbers of emission
megawatt-hours for the production of the product concerned
allowances allocated free of charge over the period from
times 0,465 tonnes of carbon dioxide per megawatt-hour and
2013 to 2020 decreasing by equal amounts from 80 % of
expressed as tonnes of carbon dioxide.
the quantity in 2013 to 30 % in 2020 as determined in
accordance with Article 10(4);
For the purposes of the calculation pursuant to paragraph 1, the
emissions from net imported heat refer to the amount of
(g) for each installation the preliminary total annual amounts of
measurable heat for the production of the product concerned
emission allowances allocated free of charge over the period
imported from installations covered by the Union scheme
from 2013 to 2020 as determined in accordance with
during the baseline period referred to in Article 9(1) of this
Article 10(6).
Decision multiplied by the value of the heat benchmark as
referred to in Annex I.
The list shall also identify all heat producing electricity
generators, and small installations that may be excluded from
the Union scheme pursuant to Article 27 of Directive
CHAPTER III
2003/87/EC.
ALLOCATION DECISIONS
Article 15
3. Upon
receipt
of
the
list
referred
to
in
paragraph
1
of
this
National Implementation measures
Article, the Commission shall assess the inclusion of each instal
lation in the list and the related preliminary total annual
1. In
accordance
with
Article
11(1)
of
Directive
2003/87/EC, amounts of emission allowances allocated free of charge.
Member States shall submit to the Commission by
30 September 2011 a list of installations covered by Directive
2003/87/EC in their territory, including installations identified
After notification by all Member States of the preliminary total
pursuant to Article 5, using an electronic template provided by
annual amounts of emission allowances allocated free of charge
the Commission.
over the period from 2013 to 2020, the Commission shall
determine the uniform cross-sectoral correction factor as
referred to in Article 10a(5) of Directive 2003/87/EC. It shall
be determined by comparing the sum of the preliminary total
2. The list referred to in paragraph 1 shall for each
annual amounts of emission allowances allocated free of charge
incumbent installation contain, in particular:
to installations that are not electricity generators in each year
over the period from 2013 to 2020 without application of the
factors referred to in Annex VI with the annual amount of
allowances that is calculated in accordance with Article 10a(5)
(a) an identification of the installation and its boundaries using
of Directive 2003/87/EC for installations that are not electricity
the installation identification code in the CITL;
generator or new entrants, taking into account the relevant
share of the annual Union-wide total quantity, as determined
pursuant to Article 9 of that Directive, and the relevant amount
of emissions which are only included in the Union scheme from
(b) an identification of each sub-installation of an installation;
2013 onwards.

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17.5.2011 Official
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European
Union L
130/15
4. If
the
Commission
does
not
reject
an
installation’s 4. For
installations
referred
to
in
Article
3(h)
of
Directive
inscription on this list, including the corresponding preliminary
2003/87/EC, with the exception of installations that have had
total annual amounts of emission allowances allocated free of
a significant extension after 30 June 2011, Member States shall
charge for this installation, the Member State concerned shall
require the operator to determine the initial installed capacity
proceed to the determination of the final annual amount of
for each sub-installation according to the methodology set out
emission allowances allocated free of charge for each year
in Article 7(3) using the continuous 90-day period on the basis
over the period from 2013 to 2020 in accordance with
of which the start of normal operation is determined as a
Article 10(9) of this Decision.
reference. Member States shall approve this initial installed
capacity of each sub-installation before calculating the allocation
to the installation.
5. After
determination
of
the
final
annual
amount
for
all
incumbent installations in their territory, Member States shall
5. Member
States
shall
only
accept
data
submitted
pursuant
submit to the Commission a list of the final annual amounts of
to this Article that has been verified as satisfactory by a verifier,
emission allowances allocated free of charge over the period
in accordance with the requirements set out in Article 8, to
from 2013 to 2020 as determined in accordance with
ensure that reliable and correct data is reported.
Article 10(9).
Article 18
Article 16
Activity levels
Changes to carbon leakage exposure
1. For
installations
referred
to
in
Article
3(h)
of
Directive
Within 3 months of the adoption of the list referred to in
2003/87/EC, with the exception of installations that have had
Article 10a(13) of Directive 2003/87/EC for the years 2015
a significant extension after 30 June 2011, Member States shall
to 2020 or of the adoption of any addition to the list
determine activity levels of each installation as follows:
determined by Commission Decision 2010/2/EU for the years
2013 and 2014, each Member State shall revise the list referred
to in Article 15(1) of this Decision clearly indicating the
(a) the product-related activity level shall, for each product for
changes to the deemed carbon leakage exposure of installations
which a product benchmark has been determined as
and sub-installations and the related preliminary annual amount
referred to in Annex I, be the initial installed capacity for
of free allocation where applicable and submit that list to the
the production of this product of the installation concerned
Commission.
multiplied by the standard capacity utilisation factor;
CHAPTER IV
(b) the heat-related activity level shall be the initial installed
capacity for the import from installations covered by the
NEW ENTRANTS AND CLOSURES
Union scheme, production, or both, of measurable heat
consumed within the installation’s boundaries for the
Article 17
production of products, for the production of mechanical
Application for free allocation
energy other than used for the production of electricity, for
heating or cooling with the exception of the consumption
1. Upon
application
by
a
new
entrant,
Member
States
shall
for the production of electricity, or exported to an instal
determine on the basis of the present rules the amount of
lation or other entity not covered by the Union scheme
allowances to be allocated free of charge once the installation
with the exception of the export for the production of
concerned has started normal operation and its initial installed
electricity multiplied by the relevant capacity utilisation
capacity has been determined.
factor;
2. Member
States
shall
only
accept
applications
that
are (c) the fuel-related activity level shall be the initial installed
submitted to the competent authority within 1 year following
capacity for the consumption of fuels used for the
the start of normal operation of the installation or sub-instal
production of non-measurable heat consumed for the
lation concerned.
production of products, for the production of mechanical
energy other than used for the production of electricity, for
heating or cooling with the exception of the consumption
for the production of electricity, including safety flaring, of
the installation concerned multiplied by the relevant
3. Member
States
shall
divide
the
installation
concerned
in
capacity utilisation factor;
sub-installations in accordance with Article 6 of this Decision
and shall require the operator to submit together with the
application referred to in paragraph 1 all relevant information
and data regarding each parameter listed in Annex V for each
(d) the process emissions-related activity level shall be the initial
sub-installation separately to the competent authority. If
installed capacity for the production of process emissions of
necessary, Member States may require the operator to submit
the process unit multiplied by the relevant capacity utili
more disaggregated data.
sation factor.

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L 130/16
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Official Journal of the European Union
17.5.2011
2. The
standard
capacity
utilisation
factor
referred
to
in
charge shall correspond to the value of the heat
paragraph 1(a) shall be determined and published by the
benchmark for this measurable heat as referred to in
Commission on the basis of the data collection carried out by
Annex I multiplied by the heat-related activity level;
Member States in accordance with Article 7 of this Decision.
For each product benchmark set out in Annex I, it shall be the
80-percentile of the average annual capacity utilisation factors
(c) for each fuel benchmark sub-installation, the preliminary
of all installations producing the product concerned. The
annual number of emission allowances allocated free of
average annual capacity utilisation factor of each installation
charge shall correspond to the value of the fuel
producing the product concerned shall correspond to the
benchmark as referred to in Annex I multiplied by the
average annual production of the period 2005 to 2008
fuel-related activity level;
divided by the initial installed capacity.
(d) for each process emissions sub-installation, the preliminary
The relevant capacity utilisation factor referred to in paragraphs
annual number of emission allowances allocated free of
1(b) to (d) shall be determined by Member States on the basis of
charge for a given year shall correspond to the process-
duly substantiated and independently verified information on
related activity level multiplied by 0,9700.
the installation’s intended normal operation, maintenance,
common production cycle, energy efficient techniques and
typical capacity utilisation in the sector concerned compared
to sector-specific information.
Articles 10(4) to (6) and (8), 11, 12, 13 and 14 of this Decision
shall apply mutatis mutandis to the calculation of the
preliminary annual number of emission allowances allocated
When determining the relevant capacity utilisation factor
free of charge.
referred to in paragraph 1(d) in accordance with the previous
sentence, Member States shall also take account of duly
substantiated and independently verified information on the
2. For
independently
verified
emissions
of
the
new
entrant
emission intensity of the input and greenhouse gas efficient
which occurred prior to the start of normal operation, addi
techniques.
tional allowances shall be allocated on the basis of historic
emissions expressed as tonnes of carbon dioxide equivalent.
3. For
installations
which
had
a
significant
capacity
extension
after 30 June 2011, Member States shall determine in
3. The preliminary
total annual amount of emission
accordance with paragraph 1 the activity levels only for the
allowances allocated free of charge shall be the sum of all
added capacity of the sub-installations to which the significant
sub-installations’ preliminary annual numbers of emission
capacity extension relates.
allowances allocated free of charge calculated in accordance
with paragraph 1 and the additional allowances referred to in
paragraph 2. The second sentence of Article 10(7) shall apply.
For installations which had a significant capacity reduction after
30 June 2011, Member States shall determine in accordance
with paragraph 1 the activity levels only for the reduced
4. Member States shall notify to the Commission without
capacity of the sub-installations to which the significant
delay the preliminary total annual amount of emission
capacity reduction relates.
allowances allocated free of charge. Emission allowances from
the new entrants reserve created pursuant to Article 10a(7) of
Directive 2003/87/EC shall be allocated on a first come, first
Article 19
served basis with regard to the receipt of this notification.
Allocation to new entrants
1. For the purposes of the allocation of emission allowances
The Commission may reject the preliminary total annual
to new entrants, with the exception of allocations to instal
amount of emission allowances allocated free of charge for
lations referred to in the third indent of Article 3(h) of
the installation concerned. If the Commission does not reject
Directive 2003/87/EC, Member States shall calculate the
this preliminary total annual amount of emission allowances
preliminary annual number of emission allowances allocated
allocated free of charge, the Member State concerned shall
free of charge as of the start of normal operation of the instal
proceed to the determination of the final annual amount of
lation for each sub-installation separately, as follows:
emission allowances allocated free of charge.
(a) for each product benchmark sub-installation, the
5. The
final
annual
amount
of
emission
allowances
allocated
preliminary annual number of emission allowances
free of charge shall correspond to the preliminary total annual
allocated free of charge for a given year shall correspond
amount of emission allowances allocated free of charge for each
to the value of that product benchmark multiplied by the
installation determined in accordance with paragraph 3 of this
product-related activity level;
Article annually adjusted by the linear reduction factor referred
to in Article 10a(7) of Directive 2003/87/EC, using the
preliminary total annual amount of emission allowances
(b) for each heat benchmark sub-installation, the preliminary
allocated free of charge for the installation concerned for
annual number of emission allowances allocated free of
2013 as a reference.

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EN
17.5.2011 Official
Journal
of
the
European
Union L
130/17
6. When
half
of
the
amount
of
allowances
set
aside
for
new emission allowances allocated free of charge for the sub-instal
entrants pursuant to Article 10a(7) of Directive 2003/87/EC,
lation concerned calculated in accordance with Article 19(1) in
notwithstanding the amount of allowances available pursuant
so far as the significant capacity reduction is concerned.
to Article 10a(8) of Directive 2003/87/EC, is issued or to be
issued until 2020 to new entrants, the Commission shall assess
whether a queuing system should be put in place to ensure that
Member States shall then determine the preliminary total annual
access to the reserve is managed in a fair way.
amount of the installation concerned according to the
methodology applied to determine the preliminary total
annual amount prior to the significant capacity reduction and
the final total annual amount of emission allowances allocated
free of charge to the installation concerned in accordance with
Article 20
Article 10(9).
Allocation as new entrant following a significant capacity
extension
3. The
allocation
to
the
installation
shall
be
adjusted
1. Where
an
installation
has
had
a
significant
capacity accordingly as of the year following the one during which the
extension after 30 June 2011, Member States shall, upon appli
capacity reduction took place or as of 2013, if the significant
cation by the operator and without prejudice to the allocation
capacity reduction took place before 1 January 2013.
to an installation pursuant to Article 10, determine on the basis
of the methodology set out in Article 19 the number of free
emission allowances to be allocated, in so far as the extension is
Article 22
concerned.
Cessation of operations of an installation
1. An installation is deemed to have ceased operations,
where any of the following conditions is met:
2. Member
States
shall
require
the
operator
to
submit
together with the application evidence demonstrating that the
(a) the greenhouse gas emissions permit, the permit in force in
criteria for a significant capacity extension have been met and
accordance with Directive 2008/1/EC or any other relevant
to provide the information referred to in Article 17(3) to
environmental permit has expired;
support any allocation decision. In particular, Member States
shall require the operator to submit the added capacity and
the installed capacity of the sub-installation after having had a
(b) the permits referred to under point (a) have been
significant capacity extension verified as satisfactory by a
withdrawn;
verifier, in accordance with the requirements set out in
Article 8. Member States shall consider this installed capacity
of the sub-installation after having had a significant capacity
(c) operation of the installation is technically impossible;
extension as the sub-installation’s initial installed capacity
when assessing any subsequent significant capacity change.
(d) the installation is not operating, but has been operating
before and it is technically impossible to resume operation;
Article 21
(e) the installation is not operating, but has been operating
Significant capacity reduction
before and the operator cannot establish that this instal
lation will resume operation at the latest within 6 months
1. Where
an
installation
has
had
a
significant
capacity
after having ceased operations. Member States may extent
reduction after 30 June 2011, Member States shall determine
this period up to a maximum of 18 months if the operator
the amount by which the number of allowances to be allocated
can establish that the installation cannot resume operation
for free is reduced, in so far as this reduction is concerned. To
within 6 months due to exceptional and unforeseeable
this end, the Member States shall require the operator to submit
circumstances that could not have been avoided even if
the reduced capacity and the installed capacity of the sub-instal
all due care had been exercised and that are beyond the
lation after having had a significant capacity reduction verified
control of the operator of the installation concerned, in
as satisfactory by a verifier, in accordance with the requirements
particular because of circumstances such as natural disasters,
set out in Article 8. Member States shall consider this installed
war, threats of war, terrorist acts, revolution, riot, sabotage
capacity of the sub-installation after having had a significant
or acts of vandalism.
capacity reduction as the sub-installation’s initial installed
capacity when assessing any subsequent significant capacity
change.
2. Paragraph
1(e)
shall
not
apply
to
installations
that
are
kept
in reserve or standby and installations that are operated on a
seasonal schedule, where all of the following conditions are
fulfilled:
2. Member
States
shall
reduce
the
preliminary
annual
number of emission allowances allocated free of charge for
(a) the operator holds a greenhouse gas emissions permit and
each sub-installation by the preliminary annual number of
all other relevant permits;

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L 130/18
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Official Journal of the European Union
17.5.2011
(b) it is technically possible to start operations without making
3. If the activity level of the sub-installation referred to in
physical changes to the installation;
paragraph 1 reaches an activity level of more than 50 %
compared to the initial activity level, the installation having
partially ceased operations shall receive the allowances initially
(c) regular maintenance is carried out.
allocated to it as of the year following the calendar year during
which the activity level exceeded the threshold of 50 %.
3. Where an installation has ceased operation, the Member
State concerned shall not issue emission allowances to this
4. If the activity level of the sub-installation referred to in
installation as of the year following the cessation of operations.
paragraph 1 reaches an activity level of more than 25 %
compared to the initial activity level, the installation having
partially ceased operations shall receive half of the allowances
4. Member States may suspend the issuance of the emission
initially allocated to it as of the year following the calendar year
allowances to installations referred to in paragraph 1(e) as long
during which the activity level exceeded the threshold of 25 %.
as it is not established that the installation will resume
operations.
Article 24
Changes to the operation of an installation
Article 23
1. Member
States
shall
ensure
that
all
relevant
information
Partial cessation of operations of an installation
about any planned or effective changes to the capacity, activity
1. An
installation
is
deemed
to
have
partially
ceased level and operation of an installation is submitted by the
operations, provided that one sub-installation, which
operator to the competent authority by 31 December of each
contributes to at least 30 % of the installation’s final annual
year.
amount of emission allowances allocated free of charge or to
the allocation of more than 50 000 allowances, reduces its
activity level in a given calendar year by at least 50 %
2. Where
there
is
a
change
to
an
installation’s
capacity,
compared to the activity level used for calculating the sub-
activity level or operation which has an impact on the instal
installation’s allocation in accordance with Article 9 or, where
lation’s allocation, Member States shall submit, using an elec
applicable, with Article 18 (hereinafter ‘initial activity level’).
tronic template provided by the Commission, all relevant
information, including the revised preliminary total annual
amount of emission allowances allocated free of charge for
2. The
allocation
of
emission
allowances
to
an
installation the installation concerned determined in accordance with this
that partially ceases operations shall be adjusted as of the year
Decision, to the Commission before determining the final total
following the year during which it partially ceased operations or
annual amount of emission allowances allocated free of charge.
as of 2013, if the partial cessation took place before 1 January
The Commission may reject the revised preliminary total annual
2013, as follows:
amount of emission allowances allocated free of charge for the
installation concerned.
if the activity level of the sub-installation referred to in
CHAPTER V
paragraph 1 is reduced by 50 % to 75 % compared to the
initial activity level, the sub-installation shall only receive half
FINAL PROVISION
of the initially allocated allowances;
Article 25
Addressees
if the activity level of the sub-installation referred to in
paragraph 1 is reduced by 75 % to 90 % compared to the
This Decision is addressed to the Member States.
initial activity level, the sub-installation shall only receive
25 % of the initially allocated allowances;
Done at Brussels, 27 April 2011.
if the activity level of the sub-installation referred to in
For the Commission
paragraph 1 is reduced by 90 % or more compared to the
initial activity level, no allowances shall be allocated free of
Connie HEDEGAARD
charge in respect of the sub-installation concerned.
Member of the Commission

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EN
17.5.2011 Official
Journal
of
the
European
Union L
130/19
ANNEX I
PRODUCT BENCHMARKS
1. Definition of product benchmarks and system boundaries without consideration of exchangeability of fuel
and electricity
Carbon leakage
exposure as
Product
determined by
Benchmark
benchmark
Definition of products covered
Definition of processes and emissions covered
(system boundaries)
Decision
value
2010/2/EU for (allowances/t)
the years 2013
and 2014
Coke Coke-oven
coke
(obtained
from
All processes directly or indirectly linked
yes 0,286
the carbonisation of coking to the process units coke ovens,
coal, at high temperature) or H 2 S/NH 3 incineration, coal preheating
gas-works coke (by-product of (defreezing), coke gas extractor, desul
gas-works plants) expressed as phurisation unit, distillation unit, steam
tons of dry coke. Lignite coke generation plant, pressure control in
is not covered by this batteries, biological water treatment,
benchmark
miscellaneous heating of by-products
and hydrogen separator are included.
Coke oven gas cleaning is included
Sintered
Agglomerated iron-bearing
All processes directly or indirectly linked
yes 0,171
ore
product containing iron ore to the process units sinter strand,
fines, fluxes and iron-
ignition, feedstock preparation units,
containing recycling materials hot screening unit, sinter cooling unit,
with the chemical and physical cold screening unit and steam generation
properties such as the level of unit are included
basicity, mechanical strength
and permeability required to
deliver iron and necessary flux
materials into iron ore
reduction processes
Hot metal Liquid iron saturated with All processes directly or indirectly linked
yes 1,328
carbon for further processing
to the process units blast furnace, hot
metal treatment units, blast furnace
blowers, blast furnace hot stoves, basic
oxygen furnace, secondary metallurgy
units, vacuum ladles, casting units
(including cutting), slag treatment unit,
burden preparation, BF gas treatment
unit, dedusting units, scrap pre-heating,
coal drying for PCI, vessels preheating
stands, casting ingots preheating stands,
compressed air production, dust
treatment unit (briquetting), sludge
treatment unit (briquetting), steam
injection in BF unit, steam generation
plant, converter BOF gas cooling and
miscellaneous are included

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L 130/20
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Official Journal of the European Union
17.5.2011
Carbon leakage
exposure as
Product
determined by
Benchmark
benchmark
Definition of products covered
Definition of processes and emissions covered
(system boundaries)
Decision
value
2010/2/EU for (allowances/t)
the years 2013
and 2014
Pre-bake
Anodes for aluminium elec All processes directly or indirectly linked
yes 0,324
anode
trolysis use consisting of to the production of pre-bake anodes are
petrol coke, pitch and included
normally recycled anodes,
which are formed to shape
specifically intended for a
particular smelter and baked
in anode baking ovens to
a temperature of around
1 150 °C
Aluminium unwrought non-alloy liquid All processes directly or indirectly linked
yes 1,514
aluminium from electrolysis
to the production step electrolysis are
included
Grey
Grey cement clinker as total All processes directly or indirectly linked
yes 0,766
cement
clinker produced
to the production of grey cement clinker
clinker
are included
White
White cement clinker for use as All processes directly or indirectly linked
yes 0,987
cement
main binding component in the to the production of white cement
clinker
formulation of materials such clinker are included
as joint filers, ceramic tile
adhesives, insulation, and
anchorage mortars, industrial
floor mortars, ready mixed
plaster, repair mortars, and
water-tight coatings with
maximum average contents of
0,4 mass-% Fe 2 O 3 , 0,003
mass-% Cr 2 O 3 and 0,03
mass-% Mn 2 O 3
Lime Quicklime:
calcium
oxide
(CaO)
All processes directly or indirectly linked
yes 0,954
produced by the decarbonation to the production of lime are included
of limestone (CaCO 3 ) as
‘standard pure’ lime with a
free CaO content of 94,5 %.
Lime produced and consumed
in the same installation for
purification processes is not
covered by this product
benchmark

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EN
17.5.2011 Official
Journal
of
the
European
Union L
130/21
Carbon leakage
exposure as
Product
determined by
Benchmark
benchmark
Definition of products covered
Definition of processes and emissions covered
(system boundaries)
Decision
value
2010/2/EU for (allowances/t)
the years 2013
and 2014
Dolime Dolime
or
calcined
dolomite
as
All processes directly or indirectly linked
yes 1,072
mixture of calcium and to the production of dolime are included
magnesium oxides produced
by the decarbonation of
dolomite (CaCO 3 .MgCO 3 ) with
a residual CO 2 exceeding
0,25 %, a free MgO content
between 25 % and 40 % and a
bulk density of the commercial
product below 3,05 g/cm 3 .
Dolime shall be expressed as
‘standard pure dolime’ quality
with a free CaO content of
57,4 % and a free MgO
content of 38,0 %
Sintered
Mixture of calcium and All processes directly or indirectly linked
yes 1,449
dolime
magnesium oxides used solely to the production of sintered dolime are
for the production of refractory included
bricks and other refractory
products with a minimum
bulk density of 3,05 g/cm 3
Float glass Float/ground/polish glass (as All processes directly or indirectly linked
yes 0,453
tons of glass exiting the lehr)
to the production steps melter, refiner,
working end, bath and lehr are included
Bottles and Bottles of colourless glass of a All processes directly or indirectly linked
yes 0,382
jars of
nominal capacity < 2,5 litres, to the production steps materials
colourless
for beverages and foodstuffs handling, melting, forming, downstream
glass
(excluding bottles covered with processing, packaging and ancillary
leather or composition leather; processes are included
infant’s feeding bottles) except
extra-white flint products with
an iron oxide content
expressed as percent Fe 2 O 3 by
weight lower than 0,03 % and
colour coordinates of L in the
range 100 to 87, of a in the
range 0 to – 5 and of b in
the range 0 to 3 (using the
CIELAB advocated by the
Commission internationale
d’éclairage) expressed as tons
of packed product

---

L 130/22
EN
Official Journal of the European Union
17.5.2011
Carbon leakage
exposure as
Product
determined by
Benchmark
benchmark
Definition of products covered
Definition of processes and emissions covered
(system boundaries)
Decision
value
2010/2/EU for (allowances/t)
the years 2013
and 2014
Bottles and Bottles of coloured glass of a All processes directly or indirectly linked
yes 0,306
jars of
nominal capacity < 2,5 litres, to the production steps materials
coloured
for beverages and foodstuffs handling, melting, forming, downstream
glass
(excluding bottles covered with processing, packaging and ancillary
leather or composition leather; processes are included
infant’s feeding bottles)
expressed as tons of packed
product
Continuous Melted glass for the production All processes directly or indirectly linked
yes 0,406
filament
of continuous filament glass to the production processes glass melting
glass fibre fibre products namely chopped in the furnaces and glass refining in the
products
strands, rovings, yarns and foreheaths are included. Downstream
staple glass fibre and mats processes to convert the fibres into
(expressed as tons of melted sellable products are not included in
glass exiting the foreheath).
this product benchmark
Mineral wool products for
thermal, acoustic and fire insu
lation are not included
Facing
Facing bricks with a density All processes directly or indirectly linked
no 0,139
bricks
> 1 000 kg/m 3 used for to the production processes raw material
masonry based on EN 771-1, preparation, component mixing, forming
excluding pavers, clinker bricks and shaping of ware, drying of ware,
and blue braised facing bricks
firing of ware, product finishing and
flue gas cleaning are included
Pavers Clay
bricks
used
for
flooring
All processes directly or indirectly linked
no 0,192
according to EN 1344
to the production processes raw material
preparation, component mixing, forming
and shaping of ware, drying of ware,
firing of ware, product finishing and
flue gas cleaning are included
Roof tiles Clay
roofing
tiles
as
defined
in
All processes directly or indirectly linked
no 0,144
EN 1304:2005 excluding blue to the production processes raw material
braised roof tiles and
preparation, component mixing, forming
accessories
and shaping of ware, drying of ware,
firing of ware, product finishing and
flue gas cleaning are included

---

EN
17.5.2011 Official
Journal
of
the
European
Union L
130/23
Carbon leakage
exposure as
Product
determined by
Benchmark
benchmark
Definition of products covered
Definition of processes and emissions covered
(system boundaries)
Decision
value
2010/2/EU for (allowances/t)
the years 2013
and 2014
Spray-dried Spray-dried powder for the All processes directly or indirectly linked
yes 0,076
powder
production of dry-pressed wall to the production of spray-dried powder
and floor tiles in tonnes of are included
powder produced
Plaster Plasters
consisting
of
calcined
All processes directly or indirectly linked
no 0,048
gypsum or calcium sulphate to the production steps milling, drying
(including for use in building, and calcining are included
for use in dressing woven
fabrics or surfacing paper, for
use in dentistry, for use in
land remediation), in tonnes of
stucco.
Alpha plaster is not covered by
this product benchmark
Dried
Dried secondary gypsum
All processes directly or indirectly linked
no 0,017
secondary
(synthetic gypsum produced as to the drying of secondary gypsum are
gypsum
a recycled by-product of the included
power industry or recycled
material from construction
waste and demolition)
expressed as tons of product
Short fibre Short fibre kraft pulp is a wood All processes which are part of the pulp
yes 0,12
kraft pulp
pulp produced by the sulphate production process (in particular the
chemical process using cooking pulp mill, recovery boiler, pulp drying
liquor, characterised by fibre section and lime kiln and connected
lengths of 1-1,5 mm, which is energy conversion units (boiler/CHP))
mainly used for products which are included. Other activities on site
require specific smoothness and that are not part of this process such
bulk, as tissue and printing as sawmilling activities, woodworking
paper, expressed as net activities, production of chemicals for
saleable production in Adt (Air sale, waste treatment (treating waste
Dried Tonnes)
onsite instead of offsite (drying,
pelletising, incinerating, landfilling), PCC
(precipitated calcium carbonate)
production, treatment of odorous gases,
and district heating are not included

---

L 130/24
EN
Official Journal of the European Union
17.5.2011
Carbon leakage
exposure as
Product
determined by
Benchmark
benchmark
Definition of products covered
Definition of processes and emissions covered
(system boundaries)
Decision
value
2010/2/EU for (allowances/t)
the years 2013
and 2014
Long fibre Long fibre kraft pulp is a wood All processes which are part of the pulp
yes 0,06
kraft pulp
pulp produced by the sulphate production process (in particular the
chemical process using cooking pulp mill, recovery boiler, pulp drying
liquor, characterised by fibre section and lime kiln and connected
lengths of 3-3,5 mm, which is energy conversion units (boiler/CHP))
mainly used for products for are included. Other activities on site
which strength is important, that are not part of this process such
as packaging paper, expressed as sawmilling activities, woodworking
as net saleable production in activities, production of chemicals for
Adt (Air Dried Tonnes)
sale, waste treatment (treating waste
onsite instead of offsite (drying,
pelletising, incinerating, landfilling), PCC
(precipitated calcium carbonate)
production, treatment of odorous gases,
and district heating are not included
Sulphite
Sulphite pulp produced by a All processes which are part of the pulp
yes 0,02
pulp,
specific pulp making process, production process (in particular the
thermo-
e.g. pulp produced by cooking pulp mill, recovery boiler, pulp drying
mechanical wood chips in a pressure vessel section and lime kiln and connected
and mech in the presence of bisulphite energy conversion units (boiler/CHP))
anical pulp liquor expressed as net are included. Other activities on site
saleable production in Adt. that are not part of this process such
Sulphite pulp can be either as sawmilling activities, woodworking
bleached or unbleached.
activities, production of chemicals for
sale, waste treatment (treating waste
Mechanical pulp grades: TMP onsite instead of offsite (drying,
(thermomechanical pulp) and pelletising, incinerating, landfilling), PCC
groundwood as net saleable (precipitated calcium carbonate)
production in Adt. Mechanical production, treatment of odorous gases,
pulp can be either bleached or and district heating are not included
unbleached.
Not covered by this group are
the smaller subgroups of semi
chemical pulp CTMP — chemi-
thermomechanical pulp and
dissolving pulp
Recovered
Pulps of fibres derived from All processes which are part of the
yes 0,039
paper pulp recovered (waste and scrap) production of pulp from recovered
paper or paperboard or of paper and connected energy conversion
other fibrous cellulosic
units (boiler/CHP)) are included. Other
material expressed as net activities on site that are not part of
saleable production in Adt
this process such as sawmilling activities,
woodworking activities, production of
chemicals for sale, waste treatment
(treating waste onsite instead of offsite
(drying, pelletising, incinerating, land
filling), PCC (precipitated calcium
carbonate) production, treatment of
odorous gases, and district heating are
not included

---

EN
17.5.2011 Official
Journal
of
the
European
Union L
130/25
Carbon leakage
exposure as
Product
determined by
Benchmark
benchmark
Definition of products covered
Definition of processes and emissions covered
(system boundaries)
Decision
value
2010/2/EU for (allowances/t)
the years 2013
and 2014
Newsprint Specific
paper
grade
(in
rolls
or All processes which are part of the paper
yes 0,298
sheets) expressed as net saleable production process (in particular paper
production in Adt used for or board machine and connected
printing newspapers produced energy conversion units (boiler/CHP)
from groundwood and/or and direct process fuel use) are
mechanical pulp or recycled included. Other activities on site that
fibres or any percentage of are not part of this process such as
combinations of these two. sawmilling activities, woodworking
Weights usually range from activities, production of chemicals for
40 to 52 g/m 2 but can be as sale, waste treatment (treating waste
high as 65 g/m 2 . Newsprint is onsite instead of offsite (drying,
machine-finished or slightly pelletising, incinerating, landfilling), PCC
calendered, white or slightly (precipitated calcium carbonate)
coloured and is used in reels production, treatment of odorous gases,
for letterpress, offset or flexo- and district heating are not included
printing
Uncoated
Uncoated fine paper, covering All processes which are part of the paper
yes 0,318
fine paper
both uncoated mechanical and production process (in particular paper
uncoated woodfree expressed as or board machine and connected
net saleable production in Adt: energy conversion units (boiler/CHP)
and direct process fuel use) are
1. Uncoated woodfree papers included. Other activities on site that
suitable for printing or are not part of this process such as
other graphic purposes sawmilling activities, woodworking
made from a variety of activities, production of chemicals for
mainly virgin fibre furnishes, sale, waste treatment (treating waste
with variable levels of onsite instead of offsite (drying,
mineral filler and a range pelletising, incinerating, landfilling), PCC
of finishing processes. This (precipitated calcium carbonate)
grade includes most office production, treatment of odorous gases,
papers, such as business and district heating are not included
forms, copier, computer,
stationery and book papers.
2. Uncoated mechanical papers
cover the specific paper
grades made from mech
anical pulp, used for
packaging or graphic
purposes/magazines
Coated fine Coated fine paper covering All processes which are part of the paper
yes 0,318
paper
both coated mechanical and production process (in particular paper
coated woodfree papers
or board machine and connected
expressed as net saleable energy conversion units (boiler/CHP)
production in Adt:
and direct process fuel use) are
included. Other activities on site that
1. Coated woodfree papers are not part of this process such as
made of fibres produced sawmilling activities, woodworking
mainly by a chemical activities, production of chemicals for
pulping process which are sale, waste treatment (treating waste
coated in process for onsite instead of offsite (drying,
different applications and pelletising, incinerating, landfilling), PCC

---

L 130/26
EN
Official Journal of the European Union
17.5.2011
Carbon leakage
exposure as
Product
determined by
Benchmark
benchmark
Definition of products covered
Definition of processes and emissions covered
(system boundaries)
Decision
value
2010/2/EU for (allowances/t)
the years 2013
and 2014
are also known as coated (precipitated calcium carbonate)
freesheet. This group focuses production, treatment of odorous gases,
mainly on publication
and district heating are not included
papers.
2. Coated mechanical papers
made from mechanical
pulp, used for graphic
purposes/magazines. The
group is also known as
coated groundwood
Tissue Tissue
papers
expressed
as
net
All processes which are part of the paper
yes 0,334
saleable production of parent production process (in particular paper
reel cover a wide range of or board machine and connected
tissue and other hygienic energy conversion units (boiler/CHP)
papers for use in households and direct process fuel use) are
or commercial and industrial included. Other activities on site that
premises such as toilet paper are not part of this process such as
and facial tissues, kitchen sawmilling activities, woodworking
towels, hand towels and activities, production of chemicals for
industrial wipes, the manu sale, waste treatment (treating waste
facture of baby nappies, onsite instead of offsite (drying,
sanitary towels, etc.
pelletising, incinerating, landfilling), PCC
TAD — Through Air Dried (precipitated calcium carbonate)
Tissue is not part of this group production, treatment of odorous gases,
and district heating are not included. The
conversion of parent reel weight to
finished products is not part of this
product benchmark
Testliner
Testliner and fluting expressed All processes which are part of the paper
yes 0,248
and fluting as net saleable production in production process (in particular paper
Adt:
or board machine and connected
energy conversion units (boiler/CHP)
1. Testliner covers types of and direct process fuel use) are
paperboard that meet
included. Other activities on site that
specific tests adopted by are not part of this process such as
the packaging industry to sawmilling activities, woodworking
qualify for use as the outer activities, production of chemicals for
facing layer for corrugated sale, waste treatment (treating waste
board, from which shipping onsite instead of offsite (drying,
containers are made.
pelletising, incinerating, landfilling), PCC
Testliner is made primarily (precipitated calcium carbonate)
from fibres obtained from production, treatment of odorous gases,
recycled fibres.
and district heating are not included
2. Fluting refers to the centre
segment of corrugated
shipping containers, being
faced with linerboard
(testliner/kraftliner) on both
sides. Fluting covers

---

EN
17.5.2011 Official
Journal
of
the
European
Union L
130/27
Carbon leakage
exposure as
Product
determined by
Benchmark
benchmark
Definition of products covered
Definition of processes and emissions covered
(system boundaries)
Decision
value
2010/2/EU for (allowances/t)
the years 2013
and 2014
mainly papers made from
recycled fibre but this
group also holds paperboard
that is made from chemical
and semi-chemical pulp
Uncoated
This benchmark covers a wide All processes which are part of the paper
yes 0,237
carton
range of uncoated products production process (in particular paper
board
(expressed as net saleable or board machine and connected
production in Adt) which may energy conversion units (boiler/CHP)
be single or multiply. Uncoated and direct process fuel use) are
carton board is mainly used for included. Other activities on site that
packaging applications which are not part of this process such as
the main needed characteristic sawmilling activities, woodworking
is strength and stiffness, and activities, production of chemicals for
for which the commercial sale, waste treatment (treating waste
aspects as information carrier onsite instead of offsite (drying,
are of a second order of pelletising, incinerating, landfilling), PCC
importance. Carton board is (precipitated calcium carbonate)
made from virgin and/or production, treatment of odorous gases,
recovered fibres, has good and district heating are not included
folding properties, stiffness and
scoring ability. It is mainly used
in cartons for consumer
products such as frozen food,
cosmetics and for liquid
containers; also known as
solid board, folding box board,
boxboard or carrier board or
core board
Coated
This benchmark covers a wide All processes which are part of the paper
yes 0,273
carton
range of coated products production process (in particular paper
board
(expressed as net saleable or board machine and connected
production in Adt) which may energy conversion units (boiler/CHP)
be single or multiply. Coated and direct process fuel use) are
carton board is mainly used included. Other activities on site that
for commercial applications are not part of this process such as
that need to bring commercial sawmilling activities, woodworking
information printed on the activities, production of chemicals for
packaging to the shelf in the sale, waste treatment (treating waste
store in applications such as onsite instead of offsite (drying,
food, pharma, cosmetics, and pelletising, incinerating, landfilling), PCC
other. Carton board is made (precipitated calcium carbonate)
from virgin and/or recovered production, treatment of odorous gases,
fibres, and has good folding and district heating are not included
properties, stiffness and
scoring ability. It is mainly

---

L 130/28
EN
Official Journal of the European Union
17.5.2011
Carbon leakage
exposure as
Product
determined by
Benchmark
benchmark
Definition of products covered
Definition of processes and emissions covered
(system boundaries)
Decision
value
2010/2/EU for (allowances/t)
the years 2013
and 2014
used in cartons for consumer
products such as frozen food,
cosmetics and for liquid
containers; also known as
solid board, folding box board,
boxboard or carrier board or
core board
Nitric acid Nitric acid (HNO 3 ), to be All processes directly or indirectly linked
yes 0,302
recorded in tons HNO 3 (100 %) to the production of the benchmarked
product as well as the N 2 O destruction
process are included except the
production of ammonia
Adipic acid Adipic acid to be recorded in All processes directly or indirectly linked
yes 2,79
tons of dry purified adipic to the production of the benchmarked
acid stored in silos or packed product as well as the N 2 O destruction
in (big)bags
process are included
Vinyl
Vinyl chloride (chloroethylene) All
processes
directly
or
indirectly
linked
yes 0,204
chloride
to the production steps direct chlor-
monomer
ination, oxychlorination and EDC
(VCM)
cracking to VCM are included
Phenol/
Sum of phenol, acetone and All processes directly or indirectly linked
yes 0,266
acetone
the by-product alpha-methyl to the production of phenol and acetone
styrene as total production
are included, in particular air
compression, hydroperoxidation, cumene
recovery from spent air, concentration
and cleavage, production fractionation
and purification, tar cracking, acet
ophenone recovery and purification,
AMS recovery for export, AMS
hydrogenation for ISB recycle, initial
waste water purification (first waste water
stripper), cooling water generation (e.g.
cooling towers), cooling water utilisation
(circulation pumps), flare and incin
erators (even if physically located OSB) as
well as any support fuel consumption
S-PVC Polyvinyl
chloride;
not
mixed
All processes directly or indirectly linked
yes 0,085
with any other substances to the production of S-PVC are included
consisting of PVC particles except the production of VCM
with a mean size between 50
and 200 μm
E-PVC Polyvinyl
chloride;
not
mixed
All processes directly or indirectly linked
yes 0,238
with any other substances to the production of E-PVC are included
consisting of PVC particles except the production of VCM
with a mean size between 0,1
and 3 μm

---

EN
17.5.2011 Official
Journal
of
the
European
Union L
130/29
Carbon leakage
exposure as
Product
determined by
Benchmark
benchmark
Definition of products covered
Definition of processes and emissions covered
(system boundaries)
Decision
value
2010/2/EU for (allowances/t)
the years 2013
and 2014
Soda ash Disodium
carbonate
as
total
All processes directly or indirectly linked
yes 0,843
gross production except dense to the process units brine purification,
soda ash obtained as by- limestone calcination and milk of lime
product in a caprolactam production, absorption of ammonia,
production network
precipitation of NaHCO 3 , filtration or
Separation of NaHCO 3 crystals from
mother liquor, decomposition of
NaHCO 3 to Na 2 CO 3 , recovery of
ammonia and densification or
production of dense soda ash are
included
If no other reference is given, all product benchmarks refer to 1 ton of product produced expressed as saleable (net)
production and to 100 % purity of the substance concerned.
All definitions of processes and emissions covered (system boundaries) include flares where they occur.
The carbon leakage exposure of the benchmarked products is based on Decision 2010/2/EU and is valid for 2013 and
2014. In respect of 2013 and 2014, further sectors might be added to this list by Commission Decision.
2. Definition of product benchmarks and system boundaries with consideration of exchangeability of fuel and
electricity
Carbon leakage
exposure as
Product
determined by
Benchmark
benchmark
Definition of products covered
Definition of processes and emissions covered
(system boundaries)
Decision
value
2010/2/EU for (allowances/t)
the years 2013
and 2014
Refinery
Mix of refinery products All processes of a refinery matching the
yes 0,0295
products
with more than 40
%
definition of one of the CWT process
light products (motor spirit units as well as ancillary non-process
(gasoline) including aviation facilities operating inside the refinery
spirit, spirit type (gasoline fence-line such as tankage, blending,
type) jet fuel, other light effluent treatment, etc. are included.
petroleum oils/light prep For the determination of indirect
arations, kerosene including emissions, the total electricity
kerosene type jet fuel, gas oils) consumption within the system
expressed as CO 2 weighted boundaries shall be considered
tonne (CWT)
EAF
Steel containing less than 8 % All processes directly or indirectly linked
yes 0,283
carbon
metallic alloying elements and to the process units electric arc furnace,
steel
tramp elements to such levels secondary metallurgy, casting and
limiting the use to those appli cutting, post-combustion unit, dedusting
cations where no high surface unit, vessels heating stands, casting
quality and processability is ingots preheating stands, scrap drying
required
and scrap preheating are included.
For the determination of indirect
emissions, the total electricity
consumption within the system
boundaries shall be considered

---

L 130/30
EN
Official Journal of the European Union
17.5.2011
Carbon leakage
exposure as
Product
determined by
Benchmark
benchmark
Definition of products covered
Definition of processes and emissions covered
(system boundaries)
Decision
value
2010/2/EU for (allowances/t)
the years 2013