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12.5.2014
EN
Official Journal of the European Union
L 137/9
COUNCIL DECISION 2014/265/CFSP
of 12 May 2014
amending Decision 2014/145/CFSP concerning restrictive measures in respect of actions undermining or threatening the territorial integrity, sovereignty and independence of Ukraine
THE COUNCIL OF THE EUROPEAN UNION,
Having regard to the Treaty on European Union, and in particular Article 29 thereof,
Whereas:
(1)
On 17 March 2014, the Council adopted Decision 2014/145/CFSP (1).
(2)
In view of the gravity of the situation in Ukraine, the restrictions on admission and the freezing of funds and economic resources should apply to natural persons responsible for, actively supporting or implementing, actions or policies which undermine or threaten the territorial integrity, sovereignty and independence of Ukraine, or stability or security in Ukraine, or which obstruct the work of international organisations in Ukraine, and natural or legal persons, entities or bodies associated with them, or legal persons, entities or bodies in Crimea or Sevastopol whose ownership has been transferred contrary to Ukrainian law, or legal persons, entities or bodies which have benefited from such a transfer. The beneficiaries of the transfer of ownership are to be understood as legal persons, entities or bodies that have become the owners of assets transferred contrary to Ukrainian law following the annexation of Crimea and Sevastopol.
(3)
In addition, the Council considers that additional persons and entities should be added to the list of persons, entities and bodies subject to restrictive measures as set out in the Annex to Decision 2014/145/CFSP.
(4)
Further action by the Union is needed in order to implement certain measures.
(5)
Decision 2014/145/CFSP should therefore be amended accordingly,
HAS ADOPTED THIS DECISION:
Article 1
Decision 2014/145/CFSP is hereby amended as follows:
(1)
Article 1(1) is replaced by the following:
‘1. Member States shall take the necessary measures to prevent the entry into, or transit through, their territories of the natural persons responsible for, actively supporting or implementing, actions or policies which undermine or threaten the territorial integrity, sovereignty and independence of Ukraine, or stability or security in Ukraine, or which obstruct the work of international organisations in Ukraine, and of natural persons associated with them, as listed in the Annex.’.
(2)
Article 2(1) is replaced by the following:
‘1. All funds and economic resources belonging to, owned, held or controlled by natural persons responsible for, actively supporting or implementing, actions or policies which undermine or threaten the territorial integrity, sovereignty and independence of Ukraine, or stability or security in Ukraine, or which obstruct the work of international organisations in Ukraine, and natural or legal persons, entities or bodies associated with them, or legal persons, entities or bodies in Crimea or Sevastopol whose ownership has been transferred contrary to Ukrainian law, or legal persons, entities or bodies which have benefited from such a transfer, as listed in the Annex, shall be frozen.’.
(3)
Article 3(1) is replaced by the following:
‘1. The Council, acting by unanimity upon a proposal by a Member State or the High Representative of the Union for Foreign Affairs and Security Policy, shall decide to establish and amend the list in the Annex.’.
Article 2
The persons and entities listed in the Annex to this Decision shall be added to the list set out in the Annex to Decision 2014/145/CFSP.
Article 3
This Decision shall enter into force on the date of its publication in the Official Journal of the European Union.
Done at Brussels, 12 May 2014.
For the Council
The President
C. ASHTON
(1) Council Decision 2014/145/CFSP of 17 March 2014 concerning restrictive measures in respect of actions undermining or threatening the territorial integrity, sovereignty and independence of Ukraine (OJ L 78, 17.3.2014, p. 16).
ANNEX
List of persons and entities referred to in Article 2.
Name
Identifying information
Reasons
Date of listing
1.
Vyacheslav Viktorovich VOLODIN
Born 4 February 1964 in Alekseevka, Saratov region.
First Deputy Chief of Staff of the Presidential Administration of Russia. Responsible for overseeing the political integration of the annexed Ukrainian region of Crimea into the Russian Federation.
12.5.2014
2.
Vladimir SHAMANOV
Born 15.02.1954 in Barnaul.
Commander of the Russian Airborne Troops, Colonel-General. In his senior position holds responsibility for the deployment of Russian airborne forces in Crimea.
12.5.2014
3.
Vladimir Nikolaevich PLIGIN
Born 19.05.1960 in Ignatovo, Vologodsk Oblast, USSR.
Chair of the Duma Constitutional Law Committee. Responsible for facilitating the adoption of legislation on the annexation of Crimea and Sevastopol into the Russian Federation.
12.5.2014
4.
Petr Grigorievich JAROSH
Acting Head of the Federal Migration Service office for Crimea. Responsible for the systematic and expedited issuance of Russian passports for the residents of Crimea.
12.5.2014
5.
Oleg Grigorievich KOZYURA
Born 19.12.1962 in Zaporozhye
Acting Head of the Federal Migration Service office for Sevastopol. Responsible for the systematic and expedited issuance of Russian passports for the residents of Crimea.
12.5.2014
6.
Viacheslav PONOMARIOV
Self-declared mayor of Slaviansk. Ponomarev called on Vladimir Putin to send in Russian troops to protect the city and later asked him to supply weapons. Ponomarev's men are involved in kidnappings (they captured Ukrainian reporter Irma Krat and Simon Ostrovsky, a reporter for Vice News, both were later released, they detained military observers under OSCE Vienna Document).
12.5.2014
7.
Igor Mykolaiovych BEZLER
Born in 1965
One of the leaders of self-proclaimed militia of Horlivka. He took control of the Security Service of Ukraine's Office in Donetsk region building and afterwards seized the Ministry of Internal Affairs' district station in the town of Horlivka. He has links to Ihor Strielkov under which command he was involved in the murder of Peoples' Deputy of the Horlivka's Municipal Council Volodymyr Rybak according to the SBU.
12.5.2014
8.
Igor KAKIDZYANOV
One of the leaders of armed forces of the self-proclaimed ‘Donetsk People's Republic’. The aim of the forces is to ‘protect the people of Donetsk People's Republic and territorial integrity of the republic’ according to Pushylin, one of the leaders of the ‘Donetsk People's Republic’.
12.5.2014
9.
Oleg TSARIOV
Member of the Rada. Publicly called for the creation of the Federal Republic of Novorossia, composed of South Eastern Ukrainian regions.
12.5.2014
10.
Roman LYAGIN
Head of the ‘Donetsk People's Republic’ Central Electoral Commission. Actively organised the referendum on 11 May on the self-determination of the ‘Donetsk People's Republic’.
12.5.2014
11.
Aleksandr MALYKHIN
Head of the ‘Lugansk People's Republic’ Central Electoral Commission. Actively organised the referendum on 11 May on the self-determination of the ‘Lugansk People's Republic’.
12.5.2014
12.
Natalia Vladimirovna POKLONSKAYA
Born 18.03.1980 in Eupatoria.
Prosecutor of Crimea. Actively implementing Russia's annexation of Crimea.
12.5.2014
13.
Igor Sergeievich SHEVCHENKO
Acting Prosecutor of Sevastopol. Actively implementing Russia's annexation of Sevastopol.
12.5.2014
Entities:
Name
Identifying information
Reasons
Date of listing
1.
PJSC CHERNOMORNEFTEGAZ
On 17.03.2014 the ‘Parliament of Crimea’ adopted a resolution declaring the appropriation of assets belonging to Chernomorneftegaz enterprise on behalf of the ‘Republic of Crimea’. The enterprise is thus effectively confiscated by the Crimean ‘authorities’.
12.5.2014
2.
FEODOSIA
On 17.03.2014 the ‘Parliament of Crimea’ adopted a resolution declaring the appropriation of assets belonging to Feodosia enterprise on behalf of the ‘Republic of Crimea’. The enterprise is thus effectively confiscated by the Crimean ‘authorities’.
12.5.2014 |
11.3.2014
EN
Official Journal of the European Union
L 70/20
COMMISSION DIRECTIVE 2014/38/EU
of 10 March 2014
amending Annex III to Directive 2008/57/EC of the European Parliament and of the Council as far as noise pollution is concerned
(Text with EEA relevance)
THE EUROPEAN COMMISSION,
Having regard to the Treaty on the Functioning of the European Union,
Having regard to Directive 2008/57/EC of the European Parliament and of the Council of 17 June 2008 on the interoperability of the rail system within the Community (1), and in particular Article 30(3) thereof,
Whereas:
(1)
More stringent national requirements relating to noise of new and upgraded rolling stock should be avoided as this would negatively affect interoperability of the railway system. Therefore Commission Decisions 2008/232/EC (2) and 2011/229/EU (3) adopted under Directive 2008/57/EC set maximum levels of noise for new high-speed and conventional rolling stock.
(2)
Point 1.4.4 of Annex III of Directive 2008/57/EC provides that operation of the rail system must respect existing regulations on noise pollution. This essential requirement is necessary to specify the basic noise parameters as set out in points 4.2.1, 4.2.2 and 4.2.3 of the Annex to Decision 2011/229/EU and in points 4.2.6.5.2, 4.2.6.5.3, 4.2.6.5.4 and 4.2.7.6 of the Annex to Decision 2008/232/EC.
(3)
Point 1.4.4 of Annex III to Directive 2008/57/EC refers to existing regulations which are not further specified. Therefore, in order to avoid ambiguity and stipulate the intended general objective of this Directive in relation to noise, that point should be amended.
(4)
The measures provided for in this Directive are in accordance with the opinion of the Committee established pursuant to Article 29(1) of Directive 2008/57/EC,
HAS ADOPTED THIS DIRECTIVE:
Article 1
Point 1.4.4 of Annex III to Directive 2008/57/EC is replaced by the following:
‘1.4.4.
The design and operation of the rail system must not lead to an inadmissible level of noise generated by it:
—
in areas close to railway infrastructure, as defined in Article 3 of Directive 2012/34/EU, and
—
in the driver’s cab.’.
Article 2
1. Member States shall bring into force the laws, regulations and administrative provisions necessary to comply with this Directive by 1 January 2015 at the latest. They shall forthwith communicate to the Commission the text of those provisions.
When Member States adopt those provisions, they shall contain a reference to this Directive or be accompanied by such a reference on the occasion of their official publication. Member States shall determine how such reference is to be made.
2. Member States shall communicate to the Commission the text of the main provisions of national law which they adopt in the field covered by this Directive.
3. The obligations for transposition and implementation of this Directive shall not apply to the Republic of Cyprus and the Republic of Malta for as long as no railway system is established within their territories.
Article 3
This Directive shall enter into force on the twentieth day following that of its publication in the Official Journal of the European Union.
Article 4
This Directive is addressed to the Member States.
Done at Brussels, 10 March 2014.
For the Commission
The President
José Manuel BARROSO
(1) OJ L 191, 18.7.2008, p. 1.
(2) Commission Decision 2008/232/EC of 21 February 2008 concerning a technical specification for interoperability relating to the rolling stock sub-system of the trans-European high-speed rail system (OJ L 84, 26.3.2008, p. 132).
(3) Commission Decision 2011/229/EU of 4 April 2011 concerning the technical specifications of interoperability relating to the subsystem ‘rolling stock – noise’ of the trans-European conventional rail system (OJ L 99, 13.4.2011, p. 1). |
19.12.2014
EN
Official Journal of the European Union
L 365/152
COUNCIL DECISION 2014/933/CFSP
of 18 December 2014
amending Decision 2014/386/CFSP concerning restrictive measures in response to the illegal annexation of Crimea and Sevastopol
THE COUNCIL OF THE EUROPEAN UNION,
Having regard to the Treaty on European Union, and in particular Article 29 thereof,
Whereas:
(1)
On 23 June 2014, the Council adopted Decision 2014/386/CFSP. (1)
(2)
In view of the continued illegal annexation of Crimea and Sevastopol, the Council considers that measures should be taken to further restrict investment in Crimea and Sevastopol.
(3)
The investment prohibitions in this Decision and the restrictions on trading in goods and technology for use in certain sectors in Crimea or Sevastopol should apply to entities having their registered office, central administration or principal place of business in Crimea or Sevastopol, their subsidiaries or affiliates under their control in Crimea or Sevastopol, as well as branches and other entities operating in Crimea or Sevastopol.
(4)
In addition, trade in goods and technology for use in certain sectors in Crimea or Sevastopol should be restricted. For the purposes of this Decision, the place of use of goods and technology should be determined on the basis of an assessment of objective elements, including, but not limited to, the destination of the shipment, the postal codes of delivery, any indication on the place of consumption and documented indication by the importer. The notion of place of use should apply to goods or technology that are used continuously in Crimea or Sevastopol.
(5)
Services in the sectors of transport, telecommunications, energy or the prospection, exploration and production of oil, gas and mineral resources, as well as services related to tourism activities in Crimea or Sevastopol, including in the maritime sector should be prohibited.
(6)
The prohibitions and restrictions in this Decision cannot be construed as prohibiting or restricting the transit through the territory of Crimea or Sevastopol performed by natural or legal persons or entities of the Union.
(7)
The prohibitions and restrictions in this Decision do not apply to the conduct of legitimate business with entities outside Crimea or Sevastopol that operate within Crimea or Sevastopol where there are no reasonable grounds to determine that the related goods or services are for use in Crimea or Sevastopol or where the related investments are not destined to enterprises or any subsidiary or affiliate under their control in Crimea or Sevastopol.
(8)
Further action by the Union is needed in order to implement certain measures.
(9)
Decision 2014/386/CFSP should be amended accordingly,
HAS ADOPTED THIS DECISION:
Article 1
Decision 2014/386/CFSP is hereby amended as follows:
(1)
Articles 4a to 4e are replaced by the following:
‘Article 4a
1. The following shall be prohibited:
(a)
the acquisition or extension of a participation in real estate in Crimea or Sevastopol;
(b)
the acquisition or extension of a participation in entities in Crimea or Sevastopol, including the acquisition in full of such entities and the acquisition of shares, and other securities of a participating nature;
(c)
the granting of any financing to entities in Crimea or Sevastopol or for the documented purpose of financing entities in Crimea or Sevastopol;
(d)
the creation of any joint venture with entities in Crimea or Sevastopol;
(e)
the provision of investment services directly related to the activities referred to in points (a) to (d).
The prohibitions and restrictions in this Article do not apply to the conduct of legitimate business with entities outside Crimea or Sevastopol where the related investments are not destined to entities in Crimea or Sevastopol.
2. The prohibitions in paragraph 1 shall:
(a)
be without prejudice to the execution of an obligation from contracts concluded before 20 December 2014;
(b)
not prevent the extension of a participation, if such extension is an obligation under a contract concluded before 20 December 2014.
3. It shall be prohibited to participate, knowingly or intentionally, in activities the object or effect of which is to circumvent the prohibitions referred to in paragraph 1.
Article 4b
1. It shall be prohibited to sell, supply, transfer, or export goods and technology by nationals of Member States, or from the territories of Member States, or using vessels or aircraft under the jurisdiction of Member States, whether or not originating in their territories,
(a)
to entities in Crimea or Sevastopol, or
(b)
for use in Crimea or Sevastopol,
in the following sectors:
(i)
transport;
(ii)
telecommunications;
(iii)
energy;
(iv)
the prospection, exploration and production of oil, gas and mineral resources.
2. The provision of:
(a)
technical assistance or training and other services related to the goods and technology in the sectors referred to in paragraph 1;
(b)
financing or financial assistance for any sale, supply, transfer or export of goods and technology in the sectors referred to in paragraph 1 or for the provision of related technical assistance or training,
shall be prohibited.
3. The prohibitions in paragraph 1 and paragraph 2, when related to point (b) of paragraph 1, do not apply where there are no reasonable grounds to determine that the goods and technology or the services under paragraph 2 are to be used in Crimea or Sevastopol.
4. The prohibitions in paragraphs 1 and 2 shall be without prejudice to the execution, until 21 March 2015 of contracts concluded before 20 December 2014, or ancillary contracts necessary for the execution of such contracts.
5. It shall be prohibited to participate, knowingly or intentionally, in activities the object or effect of which is to circumvent the prohibitions referred to in paragraphs 1 and 2.
6. The Union shall take the necessary measures in order to determine the relevant items to be covered by this Article.
Article 4c
1. It shall be prohibited to provide technical assistance, or brokering, construction or engineering services directly relating to infrastructure in Crimea or Sevastopol in the sectors referred to in Article 4b(1), independently of the origin of the goods and technology.
2. The prohibitions in paragraph 1 shall be without prejudice to the execution, until 21 March 2015 of contracts concluded before 20 December 2014, or ancillary contracts necessary for the execution of such contracts.
3. It shall be prohibited to participate, knowingly or intentionally, in activities the object or effect of which is to circumvent the prohibitions referred to in paragraphs 1 and 2.
Article 4d
1. The competent authorities may grant an authorisation in relation to the activities referred to in Article 4a(1), Article 4b(2) and Article 4c(1) and to the goods and technology referred to in Article 4b(1), provided that they are:
(a)
necessary for official purposes of consular missions or international organisations enjoying immunities in accordance with international law located in Crimea or Sevastopol; or
(b)
related to projects exclusively in support of hospitals or other public health institutions providing medical services or civilian education facilities located in Crimea or Sevastopol.
2. The competent authorities may also grant, under such terms and conditions as they deem appropriate, an authorisation for a transaction in relation to the activities referred to in Article 4a(1), provided that the transaction is for the purpose of maintenance in order to ensure safety of existing infrastructure.
3. The competent authorities may also grant an authorisation in relation to the goods and technology referred to in Article 4b(1) and to the activities referred to in Article 4b(2) and Article 4c, where the sale, supply, transfer or export of the items or the carrying out of those activities is necessary for the urgent prevention or mitigation of an event likely to have a serious and significant impact on human health and safety, including the safety of existing infrastructure, or the environment. In duly justified cases of emergency, the sale, supply, transfer or export may proceed without prior authorisation provided that the exporter notifies the competent authority within five working days after the sale, supply, transfer or export has taken place, providing detail about the relevant justification for the sale, supply, transfer or export without prior authorisation.
The Commission and the Members States shall inform each other of the measures taken under this paragraph and share any other relevant information at their disposal.
Article 4e
1. It shall be prohibited to provide services directly related to tourism activities in Crimea or Sevastopol, by nationals of Member States, or from the territories of Member States, or using vessels or aircraft under the jurisdiction of Member States.
2. It shall be prohibited for any ship providing cruise services, to enter into or call at any port situated in the Crimean Peninsula.
The Union shall take the necessary measures in order to determine the relevant ports to be covered by this paragraph.
3. The prohibition in paragraph 2 shall not apply when a ship enters or calls at one of the ports situated in the Crimean Peninsula for reasons of maritime safety in cases of emergency. The competent authority shall be informed of the relevant entry into or call at the port within five working days.
4. The prohibitions set out in paragraph 1 shall be without prejudice to the execution, until 21 March 2015, of contracts concluded before 20 December 2014, or ancillary contracts necessary for the execution of such contracts.
5. It shall be prohibited to participate, knowingly or intentionally, in activities the object or effect of which is to circumvent the prohibitions referred to in paragraph 1.’
(2)
Articles 4f and 4g are deleted.
Article 2
This Decision shall enter into force on the day following the date of its publication in the Official Journal of the European Union.
Done at Brussels, 18 December 2014.
For the Council
The President
S. GOZI
(1) OJ L 183, 24.6.2014, p. 70. |
11.7.2014
EN
Official Journal of the European Union
L 203/23
COMMISSION IMPLEMENTING REGULATION (EU) No 749/2014
of 30 June 2014
on structure, format, submission processes and review of information reported by Member States pursuant to Regulation (EU) No 525/2013 of the European Parliament and of the Council
THE EUROPEAN COMMISSION,
Having regard to the Treaty on the Functioning of the European Union,
Having regard to Regulation (EU) No 525/2013 of the European Parliament and of the Council of 21 May 2013 on a mechanism for monitoring and reporting greenhouse gas emissions and for reporting other information at national and Union level relevant to climate change and repealing Decision No 280/2004/EC (1), and in particular Articles 7(7), 7(8), 8(2), 12(3), 17(4) and 19(5) thereof,
Whereas:
(1)
The information reported to the Commission pursuant to Regulation (EU) No 525/2013 is necessary to enable the assessment of the actual progress towards meeting the Union's and the Member States' commitments relating to the limitation or reduction of all greenhouse gas emissions under the United Nations Framework Convention on Climate Change (UNFCCC) approved by Council Decision 94/69/EC (2), its Kyoto Protocol approved by Council Decision 2002/358/EC (3) and the set of Union legal acts, adopted in 2009, collectively referred to as the ‘Climate and Energy Package’. It also enables the preparation of annual reports by the Union in accordance with the obligations under the UNFCCC and the Kyoto Protocol.
(2)
Decision 19/CMP.1 of the Conference of the Parties to the UNFCCC serving as the meeting of the Parties to the Kyoto Protocol lays down the guidelines for national greenhouse gas inventory systems the Parties to the Convention should apply. In Decision 24/CP.19 of the Conference of the Parties to the UNFCCC on the revision of the UNFCCC reporting guidelines on annual inventories for Parties included in Annex I to the UNFCCC, the Conference of the Parties to the UNFCCC agreed on the use by the Parties to the UNFCCC of the 2006 Intergovernmental Panel on Climate Change (IPCC) Guidelines for National Greenhouse gas inventories, the use of new IPCC global warming potential values and revised common reporting format tables as included in an Annex to that Decision.
(3)
Following the replacement of Decision No 280/2004/EC (4) by Regulation (EU) No 525/2013, Commission Decision No 2005/166/EC (5) laying down rules implementing Decision 280/2004/EC needs to be updated in order to take into account the changes in the internationally agreed guidelines and to ensure uniform conditions for the implementation of those provisions that are new in the Regulation (EU) No 525/2013 as compared to Decision 280/2004/EC. Such uniform implementing provisions should cover the reporting of greenhouse gas inventories, approximated greenhouse gas inventories, information on systems for policies and measures and projections, the use of auctioning revenue and project credits and for the purposes of Decision No 529/2013/EU of the European Parliament and of the Council (6). Given the number of changes that are necessary to Decision No 2005/166/EC it is appropriate to repeal and replace it.
(4)
To ensure that compliance with Decision No 406/2009/EC of the European Parliament and of the Council (7) is assessed in a credible, consistent, transparent and timely manner, Regulation (EU) No 525/2013 sets up at Union level a review process of the greenhouse gas inventories submitted by the Member States. It is necessary to determine the timing and steps for the conduct of the comprehensive and annual reviews of Member States' greenhouse gas inventories to ensure the timely and effective implementation of the review process.
(5)
Commission Delegated Regulation (EU) No C(2014) 1539 (8) establishes substantive requirements for the Union inventory system to fulfil the obligations set out in Decision 19/CMP.1 of the Conference of the Parties to the UNFCCC serving as the meeting of the Parties to the Kyoto Protocol. To ensure the timely and effective implementation of the obligations, it is necessary to lay down timescales for cooperation and coordination between the Commission and the Member States in preparing the Union greenhouse gas inventory report.
(6)
To ensure legal certainty concerning the reporting obligations of the Union and of the Member States upon expiration of the additional period for fulfilling commitments of the Kyoto Protocol, the effects of Articles 18, 19 and 24 of Decision No 2005/166/EC should be maintained.
(7)
The measures provided for in this Regulation are in accordance with the opinion of the Climate Change Committee,
HAS ADOPTED THIS REGULATION:
CHAPTER I
SUBJECT MATTER AND DEFINITIONS
Article 1
Subject matter
This Regulation establishes rules implementing Regulation (EU) No 525/2013 as regards the following:
(a)
Member States' reporting of greenhouse gas inventories, approximated greenhouse gas inventories and of information on policies and measures and projections, on the use of auctioning revenue and of project credits pursuant to Articles 7, 8, 12, 13, 14, and 17 of Regulation (EU) No 525/2013;
(b)
Member States' reporting for the purposes of Decision No 529/2013/EU;
(c)
the timing and steps for the conduct of the comprehensive and annual reviews of Member States' greenhouse gas inventories pursuant to Article 19 of Regulation (EU) No 525/2013;
(d)
timescales for the cooperation and coordination between the Commission and the Member States in preparing the Union greenhouse gas inventory report.
Article 2
Definitions
For the purposes of this Regulation, the following definitions shall apply:
(1)
‘common reporting format table’ means a table for information on anthropogenic greenhouse gas emissions by sources and removals by sinks included in Annex II to Decision 24/CP.19 of the Conference of the Parties to the United Nations Framework Convention on Climate Change (UNFCCC) (Decision 24/CP.19) and in the Annex to Decision 6/CMP.9 of the Conference of the Parties to the UNFCCC serving as the meeting of the Parties to the Kyoto Protocol;
(2)
‘reference approach’ means the reference approach by the Intergovernmental Panel on Climate Change (IPCC), as contained in the 2006 IPCC Guidelines for National Greenhouse Gas Inventories as applicable pursuant to Article 6 of Delegated Regulation (EU) No C(2014) 1539.
(3)
‘approach 1’ means the basic method included in the 2006 IPCC Guidelines or the 2003 IPCC Good Practice Guidelines;
(4)
‘key category’ means a category which has a significant influence on a Member State's or the Union's total inventory of greenhouse gases in terms of the absolute level of emissions and removals, the trend in emissions and removals, or uncertainty in emissions and removals;
(5)
‘sectoral approach’ means the IPCC sectoral approach, as contained in the 2006 IPCC Guidelines.
CHAPTER II
REPORTING BY MEMBER STATES
Article 3
General rules for reporting greenhouse gas inventories
1. Member States shall report the information referred to in Article 7(1) to (5) of Regulation (EU) No 525/2013 to the Commission with a copy to the European Environment Agency by completing, in accordance with Article 6 of Delegated Regulation (EU) No C(2014) 1539 and with the rules provided for in this Regulation:
(a)
the common reporting format tables by providing a complete set of spread sheets or Extensible Markup Language (XML) files, depending on the availability of the appropriate software, and covering that Member State's geographical scope under Regulation (EU) No 525/2013;
(b)
the standard electronic format for reporting Kyoto Protocol units and the related reporting instructions as adopted by the Conference of the Parties to the UNFCCC serving as the meeting of the Parties to the Kyoto Protocol;
(c)
the Annexes I to VIII and X to XV to this Regulation.
2. The complete national inventory report referred to in Article 7(3) of Regulation (EU) No 525/2013 shall be drafted based on the structure set out in the Appendix to the UNFCCC reporting guidelines on annual greenhouse gas inventories as included in Annex I to Decision 24/CP.19 and following the rules provided for in this Regulation.
Article 4
Reporting in the National Inventory Report or in an annex to the National Inventory Report
1. Member States shall include the information and the tabular formats required by Articles 6, 7, 9 to 16 in the National Inventory Report or in a separate annex to the National Inventory Report, as specified in Annex I.
2. Where Member States may choose whether the information and the tabular formats to be reported are included in the National Inventory Report or in a separate annex to the National Inventory Report, Member States shall clearly indicate where the information is provided by completing Annex I.
Article 5
Processes for reporting
Member States shall use the ReportNet tools of the European Environment Agency, provided pursuant to Regulation (EC) No 401/2009 of the European Parliament and of the Council (9), for the submission of the information under Articles 4, 5, 7, 8, 12 to 17 of Regulation (EU) No 525/2013.
Article 6
Reporting on national inventory systems
1. Member States shall report the information on their national inventory systems referred to in Article 5(1) of Regulation (EU) No 525/2013 in textual format, specifying:
(a)
the name and contact information for the national entity with overall responsibility for the national inventory of the Member State;
(b)
the roles and responsibilities of various agencies and entities in relation to the inventory planning, preparation and management process, as well as the institutional, legal and procedural arrangements made to prepare the inventory;
(c)
a description of the process for collecting activity data, for selecting emission factors and methods, and for developing emission estimates;
(d)
a description of the approaches used and the results of key category identification;
(e)
a description of the processes which determine when recalculations of previously submitted inventory data are performed;
(f)
a description of the quality assurance and quality control plan, its implementation and the quality objectives established, and information on internal and external evaluation and review processes and their results in accordance with the guidelines for national systems set out in the Annex to Decision 19/CMP.1 of the Conference of the Parties to the UNFCCC serving as the meeting of the Parties to the Kyoto Protocol;
(g)
a description of the procedures for the official consideration and approval of the inventory.
2. Member States shall report a description of the arrangements made to ensure access of the competent inventory authorities to the information referred to in Article 5(2) of Regulation (EU) No 525/2013 including information on the organizations providing the information, the regular scheduling of the access to information, the level of disaggregation and completeness to which access is provided.
Article 7
Reporting on consistency of the reported data on air pollutants
1. Member States shall report textual information on the results of the checks referred to in Article 7(1)(m)(i) of Regulation (EU) No 525/2013 and on the consistency of the data pursuant to Article 7(1)(b) of Regulation (EU) No 525/2013 including:
(a)
a brief assessment whether the emissions estimates of carbon monoxide (CO), sulphur dioxide (SO2), nitrogen oxides (NOx) and volatile organic compounds, in inventories submitted by the Member State under Directive 2001/81/EC of the European Parliament and of the Council (10) and under the UNECE Convention on Long-range Transboundary Air Pollution are consistent with the corresponding emission estimates in greenhouse gas inventories under Regulation (EU) No 525/2013.
(b)
the submission dates of the reports under Directive 2001/81/EC and under the UNECE Convention on Long-range Transboundary Air Pollution that were compared with the inventory submission under Regulation (EU) No 525/2013.
2. Where the checks referred to in paragraph 1 of this Article result in differences of more than +/–5 % between the total emissions excluding Land Use, Land-Use Change and Forestry (LULUCF) for a particular air pollutant reported under Regulation (EU) No 525/2013 and respectively under Directive 2001/81/EC or the UNECE Convention on Long-range Transboundary Air Pollution for the year X-2, the Member State concerned shall report in accordance with the tabular format set out in Annex II to this Regulation in addition to the textual information pursuant to paragraph 1 of this Article for that air pollutant.
3. Member States may report only textual information if the difference of more than +/– 5 % referred to in paragraph 2 derives from correction of data errors, differences in geographical coverage or in scope of application in between the respective legal instruments.
Article 8
Reporting on recalculations
Member States shall report the reason for recalculations of the base year or period and of year X-3 referred to in Article 7(1)(e) of Regulation (EU) No 525/2013 in the tabular format set out in Annex III to this Regulation.
Article 9
Reporting on implementation of recommendations and adjustments
1. Under Article 7(1)(j) of Regulation (EU) No 525/2013, Member States shall report on the status of implementation of each adjustment and of each recommendation listed in the most recently published individual UNFCCC review report, including reasons for not implementing such a recommendation, in accordance with the tabular format specified in Annex IV to this Regulation.
2. Member States shall report on the status of implementation of each recommendation listed in the most recent review report pursuant to Article 35(2) in accordance with the tabular format specified in Annex IV.
Article 10
Reporting on consistency of reported emissions with data from the emissions trading scheme
1. Member States shall report the information referred to in Article 7(1)(k) of Regulation (EU) No 525/2013 in accordance with the tabular format set out in Annex V to this Regulation.
2. Member States shall report textual information on the results of the checks performed pursuant to Article 7(1)(l) of Regulation (EU) No 525/2013.
Article 11
Reporting on consistency of the data reported on fluorinated greenhouse gases
Member States shall report textual information on the results of the checks referred to in Article 7(1)(m)(ii) of Regulation (EU) No 525/2013 including:
(a)
a description of the checks performed by the Member State concerning the level of detail, the data sets and the submissions compared;
(b)
a description of the main results of the checks and explanations for the main inconsistencies;
(c)
information whether the data collected by operators under Article 3(6) of Regulation (EC) No 842/2006 (11) has been made use of and how;
(d)
where the checks have not been performed, an explanation of the reasons why the checks were not considered to be relevant.
Article 12
Reporting on consistency with energy data
1. Under Article 7(1)(m)(iii) of Regulation (EU) No 525/2013, Member States shall report textual information on the comparison between the reference approach calculated on the basis of the data included in the greenhouse gas inventory and the reference approach calculated on the basis of the data reported pursuant to Article 4 of Regulation (EC) No 1099/2008 of the European Parliament and of the Council (12) and Annex B to that Regulation.
2. Member States shall provide quantitative information and explanations for differences of more than +/– 2 % in the total national apparent fossil fuel consumption at aggregate level for all fossil fuel categories for the year X-2 in accordance with the tabular format set out in Annex VI.
Article 13
Reporting on changes in descriptions of national inventory systems or registries
Member States shall clearly state in the relevant chapters of the national inventory report if there have been no changes in the description of their national inventory systems or of their national registries referred to in Article 7(1)(n) and (o) of Regulation (EU) No 525/2013 since the previous submission of the national inventory report.
Article 14
Reporting on uncertainty and completeness
1. For the purposes of reporting on uncertainty under Article 7(1)(p) of Regulation (EU) No 525/2013, Member States shall report approach 1 uncertainty estimates for
(a)
emission levels and trends and
(b)
activity data and emission factors or other estimation parameters used at the appropriate category level using the tabular format set out in Annex VII to this Regulation.
2. The general assessment of completeness referred to in Article 7(1)(p) of Regulation (EU) No 525/2013 shall include:
(a)
an overview of the categories that have been reported as not estimated (NE), as defined in the UNFCCC reporting guidelines on annual greenhouse gas inventories included in Annex I to Decision 24/CP.19, and detailed explanations for the use of this notation key especially where the 2006 IPCC Guidelines for National Greenhouse Gas Inventories provide methods for estimation of greenhouse gases;
(b)
a description of the geographical coverage of the greenhouse gas inventory.
3. Where a Member State submits inventories with different geographical coverage under the UNFCCC and the Kyoto Protocol and under Regulation (EU) No 525/2013, that Member State shall provide a short description of the principles and methods applied to distinguish emissions and removals reported for the Union's territory from emissions and removals reported for non-Union territories when compiling the inventory for the Union's territory of the respective Member State.
Article 15
Reporting on other elements for the preparation of the Union greenhouse gas inventory report
1. To enable the preparation of the Union greenhouse gas inventory report as referred to in Article 7(1)(p) of Regulation (EU) No 525/2013, Member States shall report the information on the methods and emission factors used for those categories identified as Union key category in the relevant XML files and common reporting format tables.
2. For the purposes of paragraph 1, the Commission shall provide the list of most recent Union's key categories by 31 October of the year prior to the inventory submission.
3. Member States shall explain and interpret past emission trends and inter-annual variations at aggregate level in each sector including reference to the main drivers identified to have significant impacts on the trends. The focus shall lie on the explanation of changes in the most recent inventory year compared with 1990 and on explanations of significant inter-annual variations for the most recent years of reporting, in particular from year X-3 to year X-2.
Article 16
Reporting on major changes to methodological descriptions
By 15 March of each year, Member States shall report the major changes to the methodological descriptions in the national inventory report since its submission due on 15 April of the previous year, in the tabular format set out in Annex VIII.
Article 17
Reporting approximated greenhouse gas inventories
1. Member States shall report approximated greenhouse gas inventories as referred to in Article 8(1) of Regulation (EU) No 525/2013, in accordance with the common reporting format table — Summary table 2 as following:
(a)
at a level of disaggregation of source categories reflecting the activity data and methods available for the preparation of estimates for the year X-1;
(b)
excluding the total approximated CO2 equivalent emissions and removals from LULUCF;
(c)
adding two columns for reporting the split between emissions included in the scope of the Union's emissions trading scheme established by Directive 2003/87/EC of the European Parliament and of the Council (13) and emissions covered by Decision No 406/2009/EC by source category, where available.
2. Member States shall provide explanations including on main drivers for the trends in emissions reported in Summary table 2 compared to the inventory already reported. Such explanation shall reflect only the information available for the preparation of estimates for the year X-1.
Article 18
Timescales for cooperation and coordination in preparing the Union greenhouse gas inventory report
Member States and the Commission shall cooperate and coordinate in the preparation of the Union greenhouse gas inventory and of the Union inventory report and comply with the time-limits set out in Annex IX.
Article 19
Reporting on the determination of the assigned amount
Member States shall submit a report with the information necessary to facilitate the calculation of the joint assigned amount and the assigned amount of the Union pursuant to Article 3, paragraphs 7bis, 8 and 8bis of the Kyoto Protocol for the second commitment period in accordance with Annex I to Decision 2/CMP.8 related to that report, to the Commission three months prior to the time limit for submission of that report to the UNFCCC.
Article 20
Reporting on national systems for policies and measures and projections
Member States shall report on national systems for policies and measures and projections referred to in Article 13(1)(a) of Regulation (EU) No 525/2013, including:
(a)
information concerning the relevant institutional, legal and procedural arrangements, including the designation of the appropriate national entity or entities entrusted with overall responsibility for the policy evaluation of the Member State concerned and for the projections of anthropogenic greenhouse gas emissions;
(b)
a description of relevant institutional, legal and procedural arrangements established within a Member State for evaluating policy and for making projections of anthropogenic greenhouse gas emissions by sources and removals by sinks;
(c)
a description of the relevant procedural arrangements and timescales to ensure the timeliness, transparency, accuracy, consistency, comparability and completeness of the information reported on policies and measures and the information reported on projections;
(d)
a description of the overall process for the collection and use of data, together with an assessment of whether consistent processes for collection and use of data are underpinning the evaluation of policies and measures and the making of projections as well as the different projected sectors in the making of projections;
(e)
a description of the process for selecting assumptions, methodologies and models for policy evaluation, and for making projections of anthropogenic greenhouse gas emissions;
(f)
a description of the quality assurance and quality control activities and of the sensitivity analysis for projections carried out.
Article 21
Reporting on updates to Member States' low-carbon development strategies
Member States shall report on updates of their low-carbon development strategies referred to in Article 13(1)(b) of Regulation (EU) No 525/2013, including information concerning:
(a)
the objective and a short description of the update carried out;
(b)
the legal status of the low-carbon development strategy and of its update;
(c)
the changes and expected impacts of the update on the implementation of the low-carbon development strategy;
(d)
the timeline and a description of the progress for the implementation of the low-carbon development strategy and of its update, and where available, an assessment of the projected costs and benefits associated with the update;
(e)
the manner in which the information is made available to the public pursuant to Article 4(3) of Regulation (EU) No 525/2013.
Article 22
Reporting on policies and measures
1. Member States shall report the information on policies and measures referred to in Article 13(1)(c), (d) and (e) of Regulation (EU) No 525/2013 in accordance with the tabular formats set out in Annex XI to this Regulation and using the reporting template provided and the submission process introduced by the Commission.
2. Member States shall report qualitative information regarding the links between the different policies and measures reported pursuant paragraph 1 and the way such policies and measures contribute to the different projection scenarios including an assessment of their contribution to the achievement of a low-carbon development strategy, in a textual format in addition to the tabular format referred to in paragraph 1.
Article 23
Reporting on projections
1. Member States shall report the information on projections of anthropogenic greenhouse gases emissions by sources and removals by sinks referred to in Article 14 of Regulation (EU) No 525/2013 in accordance with the tabular formats set out in Annex XII to this Regulation, using the reporting template provided and the submission process introduced by the Commission.
2. Member States shall provide additional information, in a textual format, regarding:
(a)
the results of the sensitivity analysis for the total reported greenhouse gas emissions, together with a brief explanation on which parameters were varied and how.
(b)
the results of the sensitivity analysis split on total emissions covered by Decision No 406/2009/EC, total emissions included in the scope of the Union's emissions trading scheme established by Directive 2003/87/EC and total LULUCF emissions when such information is available;
(c)
the year of inventory data (base year) and year of inventory report used as a starting point for the projections;
(d)
the methodologies used for the projections, including a brief description of models used and their sectoral, geographical and temporal coverage, references for further information on the models and information on key exogenous assumptions and parameters used.
3. Nine months before the time-limit for submission of a report on projections pursuant to Article 14(1) of Regulation (EC) No 525/2013 and in consultation with the Member States, the Commission shall recommend harmonised values for key supra-nationally determined parameters including carbon prices under emission trading scheme, international oil and coal import prices, with a view of ensuring consistency of the aggregated Union projections.
Article 24
Reporting on the use of auctioning revenues
Member States shall report the information on the use of auctioning revenues referred to in Article 17(1)(b) and (c) and Article 17(2) of Regulation (EU) No 525/2013 in accordance with the tabular formats set out in Annex XIII to this Regulation.
Article 25
Reporting on the project credits used for compliance with Decision No 406/2009/EC
Member States shall report the information on the project credits used for compliance with Decision No 406/2009/EC referred to in Article 17(1)(a) and (d) of Regulation (EU) No 525/2013 in accordance the tabular format set out in Annex XIV to this Regulation.
Article 26
Reporting on summary information on concluded transfers
1. Member States shall report the summary information on concluded transfers pursuant to Article 3(4) and (5) of Decision No 406/2009/EC in accordance with the tabular format set out in Annex XV to this Regulation.
2. The Commission services shall compile and make available electronically a report summarizing the information provided by Member States on annual basis. Such report shall provide only aggregated data and shall not disclose information from individual Member States on prices per unit of annual emission allocation.
CHAPTER III
UNION EXPERT REVIEW OF GREENHOUSE GAS EMISSIONS
Article 27
Organisation of the Reviews
1. In conducting the reviews referred to in Article 19(1) and (2) of Regulation (EU) No 525/2013 the Commission and the European Environment Agency shall be supported by a technical experts review team.
2. The European Environment Agency shall act as Secretariat for the reviews.
3. The Commission and the European Environment Agency shall select a sufficient number of review experts and covering the appropriate inventory sectors in order to ensure an adequate review of the greenhouse gas inventories concerned within the time period available.
4. The review experts selected pursuant to paragraph 3 shall have experience in the area of greenhouse gas inventories compilation and, preferably be active in greenhouse gas review processes.
5. A member of the technical experts review team who has contributed to the compilation of an individual Member State's greenhouse gas inventory, or who is a national of the Member State' whose inventory is concerned, shall not take part in the review of that inventory.
6. The Commission and the European Environment Agency shall strive to ensure that the review of greenhouse gas inventories is performed consistently across all Member States concerned and in an objective manner, in order to ensure a high quality of the resulting technical assessments.
7. The reviews shall be carried out as desk-based or centralized reviews.
8. The Secretariat may decide to organize:
(a)
a desk-based and centralized review in the same year;
(b)
an in-country visit in addition to the desk-based or centralized reviews upon recommendation of the technical experts review team and in consultation with the Member State concerned.
Article 28
Tasks of the Secretariat
The tasks of the Secretariat referred to in Article 27(2) shall include:
(a)
preparing the work plan for the review;
(b)
compiling and providing the information necessary for the work of the technical experts review team;
(c)
coordinating the review activities as set out in this Regulation, including the communication between the technical experts review team and the designated contact person or persons of the Member State under review, as well as making other practical arrangements;
(d)
confirming cases where Member State's greenhouse gas inventories present significant issues in the meaning of Article 31, in consultation with the Commission;
(e)
compiling and editing the final and interim review reports and communicating them to the Member State concerned and to the Commission.
Article 29
First step of the annual review
The checks to verify the transparency, accuracy, consistency, comparability and completeness of the information submitted referred to in Article 19(3)(a) of Regulation (EU) No 525/2013 may include:
(a)
an assessment whether all emission source categories and gases required under Regulation (EU) No 525/2013 are reported;
(b)
an assessment whether emissions data time series are consistent;
(c)
an assessment whether implied emission factors across Member States are comparable taking the IPCC default emission factors for different national circumstances into account;
(d)
an assessment of the use of ‘Not Estimated’ notation keys where IPCC tier 1 methodologies exist and where the use of the notation key is not justified in accordance with paragraph 37 of the UNFCCC reporting guidelines on annual greenhouse gas inventories as included in Annex I to Decision 24/CP.19;
(e)
an analysis of recalculations performed for the inventory submission, in particular if the recalculations are based on methodological changes;
(f)
a comparison of the verified emissions reported under the Union's Emissions Trading System with the greenhouse gas emissions reported pursuant to Article 7 of Regulation (EU) No 525/2013 with a view of identifying areas where the emission data and trends as submitted by the Member State under review deviate considerably from those of other Member States;
(g)
a comparison of the results of Eurostat's reference approach with the Member States' reference approach;
(h)
a comparison of the results of Eurostat's sectoral approach with the Member States' sectoral approach;
(i)
an assessment whether recommendations from earlier Union or UNFCCC reviews, not implemented by the Member State could lead to a technical correction;
(j)
an assessment whether there are potential overestimations or underestimations relating to a key category in a Member State's inventory.
Article 30
Trigger for the second step of the annual review
In the framework of the annual review, where the checks pursuant to Article 29 identify significant issues in the meaning of Article 31, at a Member State's request, in case of late submission of the inventory that prevents the carrying out of the first step review checks pursuant to the timeline as set out in Annex XVI or in case of a lack of response to the first step review results, the checks set out in Article 32 shall be carried out.
Article 31
Threshold of significance
1. Recommendations from earlier Union or UNFCCC reviews which have not been implemented shall constitute a significant issue under Article 19(4)(a) of Regulation No (EU) 525/2013 if the recommendation or question concern overestimates or underestimates of greenhouse gas inventory data which could lead to a technical correction and if that Member State has not provided satisfactory explanation for the lack of implementation of that recommendation.
2. An underestimate or overestimate of inventory data that amounts to below 0.05 per cent of a Member State's total national greenhouse gas emissions without LULUCF for the year of the inventory under review or that does not exceed 500 kt CO2 equivalent, whichever is smaller, shall not be considered a significant issue under Article 19(4)(b) of Regulation (EU) No 525/2013.
Article 32
Second step of the annual review
1. The checks to identify cases where inventory data is prepared in a manner which is inconsistent with the UNFCCC guidance documentation or Union rules referred to in Article 19(3)(b) of Regulation (EU) No 525/2013 may include:
(a)
detailed examination of the inventory estimates including methodologies used by the Member State in the preparation of inventories;
(b)
detailed analysis of the Member State's implementation of recommendations related to improving inventory estimates as listed in its most recent UNFCCC annual review report made available to that Member State before the submission under review or in the final review report pursuant to Article 35(2) of this Regulation; where recommendations have not been implemented a detailed analysis of the justification provided by the Member State for not implementing them;
(c)
detailed assessment of the time series consistency of the greenhouse gas emissions estimates;
(d)
detailed assessment whether the recalculations made by a Member State in the given inventory submission as compared to the previous one are transparently reported and made in accordance with the 2006 IPCC Guidelines for National Greenhouse Gas Inventories;
(e)
follow-up on the results of the checks referred to in Article 29 of this Regulation and on any additional information submitted by the Member State under review in response to questions from the technical experts review team and other relevant checks.
2. A Member State that wishes to undergo the checks referred to in paragraph 1 upon request, shall notify the Commission by 31 October of the year preceding the year when the relevant review takes place.
Article 33
Comprehensive Review
1. The comprehensive review referred to in Article 19(1) of Regulation (EU) No 525/2013 shall include the checks pursuant to Articles 29 and 32 of this Regulation for the whole inventory.
2. The comprehensive review may include checks to identify whether problems identified for one Member State in the UNFCCC or Union reviews may also constitute a problem for other Member States.
Article 34
Technical corrections
1. A technical correction shall be deemed necessary in the meaning of Article 19(3)(c) of Regulation (EU) No 525/2013 if an underestimate or overestimate exceeds the threshold of significance pursuant to Article 31 of this Regulation. Only the technical corrections deemed necessary shall be included in the final review report referred to in Article 35(2) of this Regulation accompanied by evidence based justification.
2. Should a technical correction exceed the threshold of significance for at least one year of the inventory under review but not for all the years of the time series, the technical correction shall be calculated for all the other years under review in order to ensure time series consistency.
Article 35
Review Reports
1. By 20 April of every year with an annual review, the Secretariat shall inform the Member State concerned of any significant issues pursuant to Articles 30 and 31 by means of an interim review report. Such report shall address issues that have been raised no later than by 31 March.
2. The Secretariat shall inform the Member State concerned of the end of the review by means of a final review report as follows:
(a)
by 20 April in the case where no interim report was sent pursuant to paragraph 1;
(b)
by 30 June at the end of the second step of the annual review;
(c)
by 30 August at the end of the comprehensive review.
Article 36
Cooperation with Member States
1. Member States shall:
(a)
participate in all the steps of the review pursuant to the schedule as set in Annex XVI;
(b)
nominate a National contact point for the Union's review;
(c)
participate in and facilitate in close cooperation with the Secretariat the organisation of an in-country visit, if needed;
(d)
provide answers and additional information and comment on the review reports as relevant.
2. Upon request by the Member States, comments regarding the review findings shall be included in the final review report.
3. The Commission shall inform the Member States of the composition of the technical experts review team.
Article 37
Schedule for the reviews
The comprehensive and the annual reviews shall be carried out pursuant to the schedules set out in Annex XVI.
CHAPTER IV
REPORTING FOR THE PURPOSES OF DECISION No 529/2013/EU
Article 38
Avoidance of double reporting
To the extent that a Member State includes information in its national inventory report and in accordance with Article 3 of this Regulation that is required also pursuant to Decision No 529/2013/EU, that Member State shall be deemed to have complied with its respective reporting obligations under that Decision.
Article 39
Reporting requirements on systems for cropland management and grazing land management
1. To the extent that a Member State has not included information in its national inventory report as set out in Article 38 of this Regulation, it shall report textual information on the systems in place and being developed to estimate emissions and removals from cropland management or grazing land management as referred to in point (a) of the second subparagraph of Article 3(2) of Decision No 529/2013/EU including the following elements:
(a)
a description of the institutional, legal and procedural arrangements made in accordance with the requirements for national systems under the Kyoto Protocol as set out in the Annex to Decision 19/CMP.1 and in accordance with the requirements for national arrangements under the UNFCCC reporting guidelines for national greenhouse gas inventories as set out in Annex I to Decision 24/CP.19.
(b)
a description of the manner in which the systems implemented are consistent with the methodological requirements of the IPCC report ‘2013 Revised Supplementary Methods and Good Practice Guidance Arising from the Kyoto Protocol’, the ‘2006 IPCC Guidelines for National Greenhouse Gas Inventories’ and, as applicable, with the ‘2013 Supplement to 2006 IPCC Guidelines for National Greenhouse Gas Inventories: Wetlands’.
2. Member States shall submit the information set out in paragraph 1 as a separate report to the Commission pursuant to the following schedule:
(a)
the first report in the year 2016 for the reporting year 2014 including all developments starting with 1 January 2013,
(b)
the second report in the year 2017 for the reporting year 2015 and,
(c)
the third report in the year 2018 for the reporting year 2016.
3. Member States shall focus the information included in the reports subsequent to the first report on any changes and developments that have occurred for their systems compared with the information included in their previous report.
Article 40
Reporting requirements on annual estimates of emissions and removals from cropland management and grazing land management
1. Member States that did not elect cropland management or grazing land management under the Kyoto Protocol shall report initial, preliminary and non-binding annual estimates of emissions and removals from cropland management or grazing land management as referred in point (b) of the second subparagraph of Article 3(2) of Decision No 529/2013/EU by including information for the relevant base year or period specified in Annex VI to Decision No 529/2013/EU.
2. The first annual report shall be submitted in the year 2015 for the reporting year 2013.
3. Member States to which paragraph 1 of this Article applies shall submit final annual estimates of emissions and removals from cropland management or grazing land management pursuant to point (c) of the second subparagraph of Article 3(2) of Decision No 529/2013/EU for all reporting years for the period from 1 January 2013 to 31 December 2020, by including final information for the relevant base year or period specified in Annex VI to Decision No 529/2013/EU.
4. When providing the information specified in paragraphs 1 and 2 of this Article Member States shall comply with the following requirements:
(a)
complete all relevant common reporting format tables as included in the Annex to Decision 6/CMP.9 for the respective activity under the Kyoto Protocol for the second commitment period, including the cross-cutting tables on activity coverage, the land transition matrix and the information table on accounting, and
(b)
include explanatory information on methodologies and data used as required in the national inventory report in accordance with Decision 2/CMP.8 under the Kyoto Protocol and its Annex II.
Article 41
Specific reporting requirements
1. By derogation from Article 38 of this Regulation, where a Member State reports for its accounting obligation under the Kyoto Protocol information in accordance with the provisions on forest plantations set out in paragraphs 37 to 39 of the Annex to Decision 2/CMP.7, it shall submit for the purpose of its obligations under Decision No 529/2013/EU separate common reporting format tables for the activities of forest management and deforestation completed without the application of the provisions in paragraphs 37 to 39 of the Annex to Decision 2/CMP.7.
2. By derogation from Article 38 of this Regulation, where a Member State which did not elect cropland management or grazing land management under the Kyoto Protocol reports information on wetland drainage and rewetting for its accounting under that protocol and where that Member State applies Article 3(3) of Decision No 529/2013/EU, it shall submit separate common reporting format tables for those activities completed in accordance with that Decision.
Article 42
Submission of information
1. The information corresponding to the reporting requirements set out in Articles 39, 40 and 41 of this Regulation shall be submitted to the Commission as a separate annex to the national inventory report referred to in Article 7(3) of Regulation (EU) No 525/2013.
2. To the extent that Article 38 of this Regulation does not apply, for their reporting obligations pursuant to the first subparagraph of Article 3(2) and Article 3(3) of Decision No 529/2013/EU Member States shall report in accordance with Article 3 of this Regulation and include the corresponding information in the annex to the national inventory report referred to in Article 7(3) of Regulation (EU) No 525/2013.
Article 43
Reporting at the end of an accounting period
For the purposes of Article 7(2) of Regulation (EU) No 525/2013 Member States shall submit information in accordance with Article 3 of this Regulation and in accordance with the provisions set out in this Chapter.
CHAPTER V
TRANSITIONAL AND FINAL PROVISIONS
Article 44
Repeal and transitional provision
Decision No 2005/166/EC is repealed. The effects of Articles 18, 19 and 24 shall be maintained.
Article 45
Entry into force
This Regulation shall enter into force on the twentieth day following that of its publication in the Official Journal of the European Union.
This Regulation shall be binding in its entirety and directly applicable in all Member States.
Done at Brussels, 30 June 2014.
For the Commission
The President
José Manuel BARROSO
(1) OJ L 165, 18.6.2013, p. 13.
(2) Council Decision 94/69/EC of 15 December 1993 concerning the conclusion of the United Nations Framework Convention on Climate Change (OJ L 33, 7.2.1994, p. 11).
(3) Council Decision 2002/358/EC of 25 April 2002 concerning the approval, on behalf of the European Community, of the Kyoto Protocol to the United Nations Framework Convention on Climate Change and the joint fulfilment of commitments thereunder (OJ L 130, 15.5.2002, p. 1).
(4) Decision No 280/2004/EC of the European Parliament and of the Council of 11 February 2004 concerning a mechanism for monitoring Community greenhouse gas emissions and for implementing the Kyoto Protocol (OJ L 49, 19.2.2004, p. 1).
(5) Commission Decision No 2005/166/EC of 10 February 2005 laying down rules implementing Decision No 280/2004/EC of the European Parliament and of the Council concerning a mechanism for monitoring Community greenhouse gas emissions and for implementing the Kyoto Protocol (OJ L 55, 1.3.2005, p. 57).
(6) Decision No 529/2013/EU of the European Parliament and of the Council of 21 May 2013 on accounting rules on greenhouse gas emissions and removals resulting from activities relating to land use, land-use change and forestry and on information concerning actions relating to those activities (OJ L 165, 18.6.2013, p. 80).
(7) Decision No 406/2009/EC of the European Parliament and of the Council of 23 April 2009 on the effort of Member States to reduce their greenhouse gas emissions to meet the Community's greenhouse gas emission reduction commitments up to 2020 (OJ L 140, 5.6.2009, p. 136).
(8) Commission Delegated Regulation (EU) No C(2014) 1539 establishing substantive requirements for a Union inventory system and taking into account changes in the global warming potentials and internationally agreed inventory guidelines pursuant to Regulation (EU) No 525/2013 of the European Parliament and of the Council.
(9) Regulation (EC) No 401/2009 of the European Parliament and of the Council of 23 April 2009 on the European Environment Agency and the European Environment Information and Observation Network (OJ L 126, 21.5.2009, p. 13).
(10) Directive 2001/81/EC of the European Parliament and of the Council of 23 October 2001 on national emission ceilings for certain atmospheric pollutants (OJ L 309, 27.11.2001, p. 22).
(11) Regulation (EC) No 842/2006 of the European Parliament and of the Council of 17 May 2006 on certain fluorinated greenhouse gases (OJ L 161, 14.6.2006, p. 1).
(12) Regulation (EC) No 1099/2008 of the European Parliament and of the Council of 22 October 2008 on energy statistics (OJ L 304, 14.11.2008, p. 1).
(13) Directive 2003/87/EC of the European Parliament and of the Council of 13 October 2003 establishing a scheme for greenhouse gas emission allowance trading within the Community and amending Council Directive 96/61/EC (OJ L 275, 25.10.2003, p. 32).
ANNEX I
Overview table of reporting requirements and their submission
[Article of] This Regulation
Information to be provided in the National Inventory Report (NIR)
(tick)
Information to be provided in a separate annex to NIR
(tick)
Reference to chapter in the NIR or in separate annex
(specify)
Article 6 Reporting on national inventory systems
Obligatory
Not applicable
Article 7 Reporting on consistency of the reported data on air pollutants
Possible
Possible
If in the NIR: Chapter of the NIR on ‘quality assurance, quality control and verification plan’
Article 9(1) Reporting on implementation of recommendations and adjustments
Obligatory
Not applicable
Chapter of the NIR on recalculations and improvements
Article 9(2) Reporting on implementation of recommendations and adjustments
Not applicable
Obligatory
Article 10(1) Reporting on consistency of reported emissions with data from the emissions trading scheme
Not applicable
Obligatory
Article 10(2) Reporting on consistency of reported emissions with data from the emissions trading scheme
Possible
Possible
If in the NIR: In the relevant sections of the NIR
Article 11 Reporting on consistency of the data reported on fluorinated greenhouse gases
Not applicable
Obligatory
Article 12 Reporting on consistency with energy data
Possible
Possible
If in the NIR: In the relevant sections of the NIR
Article 13 Reporting on changes in descriptions of national inventory systems or registries
Obligatory
Not applicable
In the relevant chapters of the NIR
Article 14 Reporting on uncertainty and completeness
Obligatory
Not applicable
In the CRF Table 9 and in the respective chapters of the NIR
Article 15(1) Reporting on other elements for the preparation of the Union greenhouse gas inventory report
Obligatory
Not applicable
In the relevant chapters of the NIR
Article 15(3) Reporting on other elements for the preparation of the Union greenhouse gas inventory report
Obligatory
Not applicable
In the respective chapters of the NIR
Article 16 Reporting on major changes to methodological descriptions
Possible
Possible
If in the NIR: In the chapter on recalculations and improvements in the NIR
ANNEX II
Format for reporting information on consistency of the reported data on air pollutants pursuant to Article 7
Pollutant:
EMISSION CATEGORIES
Emissions for pollutant X reported in greenhouse gas (GHG) inventory (in kt)
Emissions for pollutant X reported under Directive 2001/81/EC (NEC), submission version X (in kt)
Absolute difference in kt (1)
Relative difference in % (2)
Emissions for pollutant X reported in the UNECE Convention on Long-range Transboundary Air Pollution (CLRTAP) inventory, submission version X (in kt)
Absolute difference in kt (1)
Relative difference in % (2)
Explanations for differences
Total (Net Emissions)
1.
Energy
A.
Fuel combustion (sectoral approach)
1.
Energy industries
2.
Manufacturing industries and construction
3.
Transport
4.
Other sectors
5.
Other
B.
Fugitive emissions from fuels
1.
Solid fuels
2.
Oil and natural gas and other emissions from energy production
2.
Industrial processes and product use
A.
Mineral industry
B.
Chemical industry
C.
Metal industry
D.
Non-energy products from fuels and solvent use
G.
Other product manufacture and use
H.
Other
3.
Agriculture
B.
Manure management
D.
Agricultural soils
F.
Field burning of agricultural residues
J.
Other
5.
Waste
A.
Solid waste isposal
B.
Biological treatment of solid waste
C.
Incineration and open burning of waste
D.
Wastewater treatment and discharge
E.
Other
6.
Other
(1) Emissions reported in GHG inventory minus emissions reported in NEC/CLRTAP inventory
(2) Difference in kt divided by emissions reported in GHG inventory
(3)
Data to be reported up to one decimal point for kt and % values
ANNEX III
Format for reporting on recalculations pursuant to Article 8
Recalculated Year
Per Gas: CO2, N2O, CH4
GREENHOUSE GAS SOURCE AND SINK CATEGORIES
Previous submission
(CO2-eq, kt)
Latest submission
(CO2-eq, kt)
Difference
(CO2-eq, kt)
Difference (1)
%
Impact of recalculation on total emissions excluding LULUCF (2)
%
Impact of recalculation on total emissions including LULUCF (3)
%
Explanation for recalculations
Total National Emissions and Removals
1.
Energy
A.
Fuel combustion activities
1.
Energy industries
2.
Manufacturing industries and construction
3.
Transport
4.
Other sectors
5.
Other
B.
Fugitive Emissions from Fuels
1.
Solid fuels
2.
Oil and natural gas
C.
CO2 transport and storage
2.
Industrial processes and product use
A.
Mineral industry
B.
Chemical industry
C.
Metal industry
D.
Non-energy products from fuels and solvent use
G.
Other product manufacture and use
H.
Other
3.
Agriculture
A.
Enteric fermentation
B.
Manure management
C.
Rice cultivation
D.
Agricultural soils
E.
Prescribed burning of savannahs
F.
Field burning of agricultural residues
G.
Liming
H.
Urea application
I.
Other carbon-containing fertilizer
J.
Other
4.
Land use, land-use change and forestry (net) (4)
A.
Forestland
B.
Cropland
C.
Grassland
D.
Wetlands
E.
Settlements
F.
Other land
G.
Harvested wood products
H.
Other
5.
Waste
A.
Solid waste disposal
B.
Biological treatment of solid waste
C.
Incineration and open burning of waste
D.
Wastewater treatment and discharge
E.
Other
6.
Other (As specified in summary 1.A)
Memo items:
International bunkers
Aviation
Navigation
Multilateral operations
CO2 emissions from biomass
CO2 captured
Long-term storage of C in waste disposal sites
Indirect N2O
Indirect CO2
F-gases: Total actual Emissions
Year
Per Gas:
PFCs, HFCs, SF6, unspecified mix of HFCs and PFCs, NF3
GREENHOUSE GAS SOURCE AND SINK CATEGORIES
Previous submission
(CO2-eq, kt)
Latest submission
(CO2-eq, kt)
Difference
(CO2-eq, kt)
Difference (1)
%
Impact of recalculation on total emissions excluding LULUCF (2)
%
Impact of recalculation on total emissions including LULUCF (3)
%
Explanation for recalculations
2.B.9.
Fluorochemical production
2.B.10.
Other
2.C.3.
Aluminium production
2.C.4
Magnesium production
2.C.7.
Other
2.E.1.
Integrated circuit or semiconductor
2.E.2.
TFT flat panel display
2.E.3.
Photovoltaics
2.E.4.
Heat transfer fluid
2.E.5.
Other (as specified in table 2(II))
2.F.1.
Refrigeration and air conditioning
2.F.2.
Foam blowing agents
2.F.3.
Fire protection
2.F.4.
Aerosols
2.F.5.
Solvents
2.F.6.
Other applications
2.G.1.
Electrical equipment
2.G.2.
SF6 and PFCs from other product use
2.G.4.
Other
2.H.
Other (Please specify:)
(1) To be estimated the percentage change due to recalculation with respect to the previous submission (percentage change = 100 x [(LS – PS)/PS], where LS = latest submission and PS = previous submission. All cases of recalculation of the estimate of the source/sink category must be addressed and explained in the NIR.
(2) Total emissions refer to total aggregate GHG emissions expressed in terms of CO2 equivalent, excluding GHGs from the LULUCF sector. The impact of the recalculation on the total emissions is calculated as follows: impact of recalculation (%) = 100 x [(source (LS) — source (PS))/total emissions (LS)], where LS = latest submission, PS = previous submission.
(3) Total emissions refer to total aggregate GHG emissions expressed in terms of CO2 equivalent, including GHGs from the LULUCF sector. The impact of the recalculation on the total emissions is calculated as follows: impact of recalculation (%) = 100 x [(source (LS) — source (PS))/total emissions (LS)], where LS = latest submission, PS = previous submission.
(4) Net CO2 emissions/removals to be reported.
ANNEX IV
Format for reporting information on implementation of recommendations and adjustments pursuant to Article 9
CRF category/issue
Review recommendation
Review report/paragraph
MS response/status of implementation
Chapter/section in the NIR
ANNEX V
Format for reporting information on consistency of reported emissions with emissions trading scheme (ETS) data pursuant to Article 10
Allocation of verified emissions reported by installations and operators under Directive 2003/87/EC to source categories of the national greenhouse gas inventory
Member State
Reporting year:
Basis for data: verified ETS emissions and greenhouse gas emissions as reported in inventory submission for the year X-2
Total emissions (CO2-eq)
Greenhouse gas inventory emissions
[kt CO2eq] (3)
Verified emissions under Directive 2003/87/EC
[kt CO2eq] (3)
Ratio in %
(Verified emissions/inventory emissions) (3)
Comment (2)
Greenhouse gas emissions (total emissions without LULUCF for GHG inventory and without emissions from 1A3a Civil aviation, total emissions from installations under Article 3h of Directive 2003/87/EC)
CO2 emissions (total CO2 emissions without LULUCF for GHG inventory and without emissions from 1A3a Civil aviation, total emissions from installations under Article 3h of Directive 2003/87/EC)
Category (1)
CO2 emissions
Greenhouse gas inventory emissions
[kt] (3)
Verified emissions under Directive 2003/87/EC
[kt] (3)
Ratio in %
(Verified emissions/inventory emissions) (3)
Comment (2)
1.A
Fuel combustion activities, total
1.A
Fuel combustion activities, stationary combustion
1.A.1
Energy industries
1.A.1.a
Public electricity and heat production
1.A.1.b
Petroleum refining
1.A.1.c
Manufacture of solid fuels and other energy industries
Iron and steel (for GHG inventory combined CRF categories 1.A.2.a+ 2.C.1 + 1.A.1.c and other relevant CRF categories that include emissions from iron and steel (e.g. 1A1a, 1B1) (4))
1.A.2.
Manufacturing industries and construction
1.A.2.a
ron and steel
1.A.2.b
Non-ferrous metals
1.A.2.c
Chemicals
1.A.2.d
Pulp, paper and print
1.A.2.e
Food processing, beverages and tobacco
1.A.2.f
Non-metallic minerals
1.A.2.g
Other
1.A.3.
Transport
1.A.3.e
Other transportation (pipeline transport)
1.A.4
Other sectors
1.A.4.a
Commercial/Institutional
1.A.4.c
Agriculture/Forestry/Fisheries
1.B
Fugitive emissions from Fuels
1.C
CO2 Transport and storage
1.C.1
Transport of CO2
1.C.2
Injection and storage
1.C.3
Other
2.A
Mineral products
2.A.1
Cement production
2.A.2
Lime production
2.A.3
Glass production
2.A.4
Other process uses of carbonates
2.B
Chemical industry
2.B.1
Ammonia production
2.B.3
Adipic acid production (CO2)
2.B.4
Caprolactam, glyoxal and glyoxylic acid production
2.B.5
Carbide production
2.B.6
Titanium dioxide production
2.B.7
Soda ash production
2.B.8
Petrochemical and carbon black production
2.C
Metal production
2.C.1
Iron and steel production
2.C.2
Ferroalloys production
2.C.3
Aluminium production
2.C.4
Magnesium production
2.C.5
Lead production
2.C.6
Zinc production
2.C.7
Other metal production
Category (1)
N2O emissions
Greenhouse gas inventory emissions
[kt CO2eq] (3)
Verified emissions under Directive 2003/87/EC
[kt CO2eq] (3)
Ratio in %
(Verified emissions/inventory emissions) (3)
Comment (2)
2.B.2
Nitric acid production
2.B.3
Adipic acid production
2.B.4
Caprolactam, glyoxal and glyoxylic acid production
Category (1)
PFC emissions
Greenhouse gas inventory emissions
[kt CO2eq] (3)
Verified emissions under Directive 2003/87/EC
[kt CO2eq] (3)
Ratio in %
(Verified emissions/inventory emissions) (3)
Comment (2)
2.C.3
Aluminium production
(1) The allocation of verified emissions to disaggregated inventory categories at four digit level must be reported where such allocation of verified emissions is possible and emissions occur. The following notation keys should be used:
NO= not occurring
IE= included elsewhere
C= confidential
negligible= small amount of verified emissions may occur in respective CRF category, but amount is 5 % of the category
(2) The column comment should be used to give a brief summary of the checks performed and if a Member State wants to provide additional explanations with regard to the allocation reported.
(3) Data to be reported up to one decimal point for kt and % values
(4) To be filled on the basis of combined CRF categories pertaining to ‘Iron and Steel’, to be determined individually by each Member State; the stated formula is for illustration purposes only
Notation: x = reporting year
ANNEX VI
Format for reporting information on consistency with energy data pursuant to Article 12
FUEL TYPES
Apparent consumption reported in GHG inventory
Apparent consumption using data reported pursuant to Regulation (EC) No 1099/2008
Absolute difference (1)
Relative difference (2)
Explanations for differences
(TJ) (3)
(TJ) (3)
(TJ) (3)
% (3)
Liquid fossil
Primary fuels
Crude oil
Orimulsion
Natural gas liquids
Secondary fuels
Gasoline
Jet kerosene
Other kerosene
Shale oil
Gas/diesel oil
Residual fuel oil
Liquefied petroleum gases (LPG)
Ethane
Naptha
Bitumen
Lubricants
Petroleum coke
Refinery feedstocks
Other oil
Other liquid fossil
Liquid fossil totals
Solid fossil
Primary fuels
Anthracite
Coking coal
Other bituminous coal
Sub-bituminous coal
Lignite
Oil shale and tar sand
Secondary fuels
BKB and patent fuel
Coke oven/gas coke
Coal tar
Other solid fossil
Solid fossil totals
Gaseous fossil
Natural gas (dry)
Other gaseous fossil
Gaseous fossil totals
Waste (non-biomass fraction)
Other fossil fuels
Peat
Total
(1) Apparent consumption reported in GHG inventory minus apparent consumption using data reported pursuant to Regulation (EC) No 1099/2008
(2) Absolute difference divided by apparent consumption reported in GHG inventory
(3) Data to be reported up to one decimal point for kt and % values
ANNEX VII
Format for reporting information on uncertainty pursuant to Article 14
A
B
C
D
E
F
G
H
I
J
K
L
M
IPCC category
Gas
Base year emissions or removals
Year x emissions or removals
Activity data uncertainty
Emission factor/estimation parameter uncertainty
Combined uncertainty
Contribution to Variance by Category in Year x
Type A sensitivity
Type B sensitivity
Uncertainty in trend in national emissions introduced by emission factor/estimation parameter uncertainty
Uncertainty in trend in national emissions introduced by activity data uncertainty
Uncertainty introduced into the trend in total national emissions
Input data
Input data
Input data
Note A
Input data
Note A
Note B
I * F
Note C
J * E *
Note D
K2 + L2
Gg CO2 equivalent
Gg CO2 equivalent
%
%
%
%
%
%
%
%
E.g., 1.A.1. Energy industries fuel 1
CO2
E.g., 1.A.1. Energy industries fuel 2
CO2
Etc…
…
Total
Percentage uncertainty in total inventory:
Trend uncertainty:
Source: 2006 IPCC guidelines, Volume 1, Table 3.2 Approach 1 uncertainty calculation
ANNEX VIII
Format for reporting information on major changes to methodological descriptions pursuant to Article 16
GREENHOUSE GAS SOURCE AND SINK CATEGORIES
DESCRIPTION OF METHODS
RECALCULATIONS
REFERENCE
Please tick where the latest NIR includes major changes in methodological descriptions compared to the NIR of the previous year
Please tick where this is also reflected in recalculations compared to the previous years' CRF
If ticked please provide a reference to the relevant section or pages in the NIR and if applicable some more detailed information such as the sub-category or gas concerned for which the description was changed.
Total (Net Emissions)
1.
Energy
A.
Fuel Combustion (sectoral pproach)
1.
Energy industries
2.
Manufacturing industries and construction
3.
Transport
4.
Other sectors
5.
Other
B.
Fugitive emissions from fuels
1.
Solid fuels
2.
Oil and natural gas and other emissions from energy production
C.
CO2 transport and storage
2.
Industrial processes and product use
A.
Mineral industry
B.
Chemical industry
C.
Metal industry
D.
Non-energy products from fuels and solvent use
E.
Electronics industry
F.
Product uses as substitutes for ODS
G.
Other product manufacture and use
H.
Other
3.
Agriculture
A.
Enteric fermentation
B.
Manure management
C.
Rice cultivation
D.
Agricultural soils
E.
Prescribed burning of savannahs
F.
Field burning of agricultural residues
G.
Liming
H.
Urea application
I.
Other carbon containing fertilisers
J.
Other
4.
Land use, land-use change and forestry
A.
Forest land
B.
Cropland
C.
Grassland
D.
Wetlands
E.
Settlements
F.
Other land
G.
Harvested wood products
H.
Other
5.
Waste
A.
Solid waste disposal
B.
Biological treatment of solid waste
C.
Incineration and open burning of waste
D.
Wastewater treatment and discharge
E.
Other
6.
Other (as specified in Summary 1.A)
KP LULUCF
Article 3.3 activities
Afforestation/reforestation
Deforestation
Article 3.4.activities
Forest management
Cropland management (if elected)
Grazing land management (if elected)
Revegetation (if elected)
Wetland drainage and rewetting (if elected)
NIR Chapter
DESCRIPTION
REFERENCE
Please tick where the latest NIR includes major changes in descriptions compared to the previous year NIR
If ticked please provide some more detailed information for example reference to pages in the NIR
Chapter 1.2 Description of national inventory arrangements
ANNEX IX
Procedures and time scales for the compilation of the Union greenhouse gas inventory and inventory report
Element
Who
When
What
1.
Submission of annual inventories (complete CRF and elements of the national inventory report) by Member States
Member States
Annually by 15 January
Elements listed in Article 7(1) of Regulation (EC) No 525/2013/EU and Article 3 of this Regulation
2.
‘Initial checks’ of Member State submissions
Commission (incl. DG ESTAT (Eurostat), DG JRC), assisted by European Environment Agency (EEA)
For the Member State submission from 15 January at the latest until 28 February
Initial checks and consistency checks (by EEA). Comparison of energy data provided by Member States in the CRF with Eurostat energy data (sectoral and reference approach) by Eurostat and EEA. Check of Member States' agriculture and land use, land- use change and forestry (LULUCF) inventories by JRC (in consultation with Member States). The findings of the initial checks will be documented.
3.
Compilation of draft Union inventory and inventory report (elements of the Union inventory report)
Commission (incl. Eurostat, JRC), assisted by EEA
Until 28 February
Draft Union inventory and inventory report (compilation of Member State information), based on Member State inventories and additional information where needed (as submitted on 15 January).
4.
Circulation of ‘initial check’ findings including notification of potential gap-filling
Commission assisted by EEA
28 February
Circulation of ‘initial check’ findings including notification of potential gap-filling and making available the findings
5.
Circulation of draft Union inventory and inventory report
Commission assisted by EEA
28 February
Circulation of the draft Union inventory on 28 February to Member States. Member States check data.
6.
Submission of updated or additional inventory data and complete national inventory reports by Member States
Member States
By 15 March
Updated or additional inventory data submitted by Member States (to remove inconsistencies or to fill gaps) and complete national inventory reports.
7.
Member State commenting on the draft Union inventory
Member States
By 15 March
If necessary, provide corrected data and comments to the draft Union inventory
8.
Member State responses to the ‘initial checks’
Member States
By 15 March
Member States respond to ‘initial checks’ if applicable.
9.
Circulation of follow-up initial check findings
Commission assisted by EEA
31 March
Circulation of follow-up initial check findings and making available the findings
10.
Estimates for data missing from a national inventory
Commission assisted by EEA
31 March
The Commission prepares estimates for missing data by 31 March of the reporting year and communicates these to the Member States.
12.
Comments from Member States regarding the Commission estimates for missing data
Member States
7 April
Member States provide comments on the Commission estimates for missing data, for consideration by the Commission.
13.
Member States responses to follow-up ‘initial checks’
Member States
7 April
Member States provide responses to follow up of ‘initial checks’.
13bis.
Member States submissions to the UNFCCC
Member States
15 April
Submissions to the UNFCCC (with a copy to EEA)
14.
Final annual Union inventory (incl. Union inventory report)
Commission assisted by EEA
15 April
Submission to UNFCCC of the final annual Union inventory.
15.
Any resubmissions by Member States
Member States
By 8 May
Member States provide to the Commission the resubmissions which they submit to the UNFCCC secretariat. The Member States must clearly specify which parts have been revised in order to facilitate the use for the Union resubmission. Resubmissions should be avoided to the extent possible.
As the Union resubmission also has to comply with the time-limits specified in the guidelines under Article 8 of the Kyoto Protocol, the Member States have to send their resubmission, if any, to the Commission earlier than the period foreseen in the guidelines under Article 8 of the Kyoto Protocol, provided that the resubmission corrects data or information that is used for the compilation of the Union inventory.
16.
Union inventory resubmission in response to Member States' resubmissions
Commission assisted by EEA
27 May
If necessary, resubmission to UNFCCC of the final annual Union inventory.
17.
Submission of any other resubmission after the initial check phase
Member States
When additional resubmissions occur
Member States provide to the Commission any other resubmission (CRF or national inventory report) which they provide to the UNFCCC secretariat after the initial check phase.
ANNEX X
Format for reporting greenhouse gas emissions covered by Decision 406/2009/EC
A
X-2
B
Greenhouse gas emissions
kt CO2eq
C
Total greenhouse gas emissions without LULUCF (1)
D
Total verified emissions from stationary installations under Directive 2003/87/EC (2)
E
CO2 emissions from 1.A.3.A civil aviation
F
Total ESD emissions (= C-D-E)
(1) Total greenhouse gas emissions for the geographical scope of the Union and consistent with total greenhouse gas emissions without LULUCF as reported in CRF summary table 2 for the same year.
(2) In accordance with the scope defined in Article 3h of Directive 2003/87/EC of activities listed in Annex I to that Directive other than aviation activities.
Notation: x = reporting year
ANNEX XI
Reporting information on policies and measures pursuant to Article 22
Table 1: Sectors and gases for reporting on policies and measures and groups of measures, and type of policy instrument
PAM number
Name of policy or measure
Sector(s) affected (1)
GHG(s) affected (2)
Objective (3)
Quantified objective (4)
Short description (5)
Type of policy instrument (6)
Union policy which resulted in the implementation of the PAM
Status of implementation (9)
Implementation period
Projections scenario in which the PAM is included
Entities responsible for j implementing the policy (10)
Indicators used to monitor and evaluate progress over time
Reference to assessments and underpinning technical reports
General comments
Union policy (7)
Other (8)
Start
Finish
Type
name
Description
Values (11)
[Year]
[Year]
[Year]
[Year]
Notes: Abbreviations: GHG = greenhouse gas; LULUCF = land use, land-use change and forestry.
Table 2: Available results of ex-ante and ex-post assessments of the effects of individual or groups of policies and measures on mitigation of climate change (12)
Policy or measure or groups of policies and measures
Policy impacting EU ETS or ESD emissions (both can be selected)
Ex-ante assessment
Ex-post assessment
GHG emissions reductions in t (kt CO2-equivalent per year)
GHG emissions reductions in t+5 (kt CO2-equivalent per year)
GHG emissions reductions in t+10 (kt CO2-equivalent per year)
GHG emissions reductions in t+15 (kt CO2-equivalent per year)
Year for which reduction applies
Average emission reduction (kt CO2-equivalent per year)
Explanation of the basis for the mitigation estimates
Factors affected by PAM
Documentation/Source of estimation if available (provide a weblink of the report where the figure is referenced from)
EU ETS
ESD
LULUCF
Total
EU ETS
ESD
Total
EU ETS
ESD
Total
EU ETS
ESD
Total
EU ETS
ESD
Table 3: Available projected and realised costs and benefits of individual or groups of policies and measures on mitigation of climate change
Policy or measure or groups of policies and measures
Projected costs and benefits
Realised costs and benefits
Costs in EUR per tonne CO2eq reduced/sequestered
Absolute costs per year in EUR (specify year cost has been calculated for)
Description of cost estimates (Basis for cost estimate, what type of costs are included in the estimate, methodology)
Price year
Year for which calculated
Documentation/Source of cost estimation
Costs in EUR per tonne CO2eq reduced/sequestered
Price year
Year for which calculated
Description of cost estimates (Basis for cost estimate, what type of costs are included)
Documentation/Source of cost estimation
Note: Member States are to include all the policies and measures or their groups where such assessment is available.
A benefit must be indicated in the template as a negative cost.
If available, costs and benefits for the same PAM or group of PAMs should be entered in two separate rows, with the net-cost in a separate third row for the PAM or group of PAMs. If the costs reported is net-costs covering both positive costs and benefits (= negative costs) this should be indicated.
Questionnaire: Information on the extent to which the Member State's action constitutes a significant element of the efforts undertaken at national level as well as the extent to which the projected use of joint implementation, of the clean development mechanism and of international emissions trading is supplemental to domestic action
Questionnaire on the use of the Kyoto Protocol mechanisms in meeting the 2013-2020 targets
1.
Does your Member State intend to use joint implementation (JI), the clean development mechanism (CDM) and international emissions trading (IET) under the Kyoto Protocol (the Kyoto mechanisms) to meet its quantified limitation or reduction commitment pursuant to the Kyoto Protocol? If so, what progress has been made with the implementing provisions (operational programmes, institutional decisions) and any related domestic legislation?
2.
What quantitative contributions to the fulfilment of the quantified emission limitation or reduction commitment pursuant to Article X of Decision Y (Ratification decision) and the Kyoto Protocol does your Member State expect from the Kyoto mechanisms during the second quantified emission limitation and reduction commitment period, from 2013 to 2020? (Please use the table)
3.
Specify the budget in euro for the total use of the Kyoto mechanisms and, where possible, per mechanism and initiative, programme or fund, including the time over which the budget will be spent.
4.
With which countries has your Member State closed bilateral or multilateral agreements, or agreed memorandums of understanding or contracts for the implementation of project based activities?
5.
For each planned, ongoing and completed clean development mechanism and joint implementation project activity in which your Member State participates, provide the following information:
(a)
Project title and category (JI/CDM)
(b)
Host country
(c)
Financing: give a brief description of any financial involvement of the government and the private sector, using categories such as ‘private’, ‘public’, ‘public-private partnership’.
(d)
Project type: use a short description, for example:
Energy and power: Fuel-switching, renewable energy generation, improving energy efficiency, reduction of fugitive emissions from fuels, other (please specify)
Industrial processes: Material substitution, process or equipment change, waste treatment, recovery or recycling, other (please specify)
Land use, land-use change and forestry: Afforestation, reforestation, forest management, cropland management, grazing land management, revegetation
Transport: Fuel-switching, improving fuel efficiency, other (please specify)
Agriculture: Manure management, other (please specify)
Waste: Solid-waste management, landfill methane recovery, waste-water management, other (please specify)
Other: Please provide a short description of the other project type
(e)
Status: use the following categories:
—
Proposed,
—
approved (approval of governments involved and feasibility studies completed),
—
under construction (start-up or construction phase),
—
in operation,
—
completed,
—
suspended.
(f)
Lifetime: provide the following information:
—
date of official approval (e.g. of the Executive Board for clean development mechanism projects, of the host country for joint implementation projects),
—
date of project initiation (operation starts),
—
expected date of project termination (lifetime),
—
crediting period (for what years will ERUs or CERs be generated),
—
date(s) of issue of emission reduction units (ERUs) (by host country) or certified emission reductions (CERs) (by CDM executive board).
(g)
First or second track approval procedure (For joint implementation projects only).
(h)
Projected total and annual emissions reductions that accrue until the end of the second commitment period.
(i)
Amount of ERUs or CERS generated by the project that will be acquired by the Member State.
(j)
Credits accrued until the end of reporting year: provide information on the number of credits (total and annual) obtained from joint implementation projects, clean development projects and credits resulting from land use, land use change and forestry activities.
Type of unit
Total quantity projected to be used in second Commitment period
Average annual projected quantity
Quantity used (Units acquired and retired)
x-1
Assigned amount units (AAUs)
Certified emission reductions(CERs)
Emission reduction units (ERUs)
Long-term certified emission reductions (lCERs)
Temporary certified emission reductions (tCERs)
Removal units (RMU)
Note: X is the reporting year.
(1) Member States must select from the following sectors: energy supply (comprising extraction, transmission, distribution and storage of fuels as well as energy and electricity production), energy consumption (comprising consumption of fuels and electricity by end users such as households, services, industry and agriculture), transport, industrial processes (comprising industrial activities that chemically or physically transform materials leading to greenhouse gas emissions, use of greenhouse gases in products and non-energy uses of fossil fuel carbon), agriculture, forestry/LULUCF, waste management/waste, cross-cutting, other sectors.
(2) Member States must select from the following GHGs (more than one GHG can be selected): carbon dioxide (CO2), methane (CH4), nitrous oxide (N2O), hydrofluorocarbons (HFC), perfluorocarbons (PFC), sulphur hexafluoride (SF6), nitrogen trifluoride (NF3).
(3) Member States must select from the following objectives (more than one objective can be selected, additional objectives could be added and specified under ‘other’):
For energy supply — increase in renewable energy; switch to less carbon-intensive fuels; enhanced non-renewable low carbon generation (nuclear); reduction of losses; efficiency improvement in the energy and transformation sector; carbon capture and storage; control of fugitive emissions from energy production; other energy supply.
For energy consumption — efficiency improvements of buildings; efficiency improvement of appliances; efficiency improvement in services/tertiary sector, efficiency improvement in industrial end-use sectors, demand management/reduction; other energy consumption.
For transport — efficiency improvements of vehicles; modal shift to public transport or non-motorized transport; low carbon fuels/electric cars; demand management/reduction; improved behaviour; improved transport infrastructure; other transport.
For industrial processes — installation of abatement technologies; reduction of emissions of fluorinated gases; replacement of fluorinated gases by other substances; improved control of fugitive emissions from industrial processes; other industrial processes.
For waste management/waste– demand management/reduction; enhanced recycling; enhanced CH4 collection and use; improved treatment technologies; improved landfill management; waste incineration with energy use; improved wastewater management systems; reduced landfilling; other waste.
For agriculture — reduction of fertilizer/manure use on cropland; other activities improving cropland management, improved livestock management, improved animal waste management systems; activities improving grazing land or grassland management, improved management of organic soils,; other agriculture.
For forestry/LULUCF — afforestation and reforestation; conservation of carbon in existing forests, enhancing production in existing forests, increasing the harvested wood products pool, enhanced forest management, prevention of deforestation, strengthening protection against natural disturbances, substitution of GHG intensive feedstocks and materials with harvested wood products; prevention of drainage or rewetting of wetlands, restoration of degraded lands, other LULUCF.
For cross-cutting –framework policy, multi-sectoral policy, other cross-cutting.
For Other Member States must provide a brief description of the objective.
(4) Member States must include the figure(s) if the objective(s) is(are) quantified.
(5) Member States must indicate in the description if a policy or measure is envisaged with a view to limiting GHG emissions beyond Member State commitments under Decision No 4 06/2009/EC in accordance with Article 6(1)(d) of Decision No 406/2009/EC.
(6) Member States must select from the following policy types: economic; fiscal; voluntary/negotiated agreements; regulatory; information; education; research; planning; other.
(7) Union policy implemented through the national policy or where national policies are aimed directly at meeting objectives of Union policies. Member State should select a policy from a list provided in the electronic version of the tabular format
(8) Secondary Union policy: Member State must indicate any Union policy not listed in the previous column or an additional Union policy if the national policy or measure relates to several Union policies.
(9) Member States must select from the following categories: planned; adopted; implemented; expired.
Expired policies and measures must be reported in the template only if they have an effect, or they are expected to continue to have an effect,on greenhouse gas emissions
(10) Member States must enter the name/s of entities responsible for implementing the policy or measure under the relevant headings of: National government; Regional entities; Local government; Companies/businesses/industrial associations; Research institutions; Others not listed (more than one entity can be selected)..
(11) Member States must provide any indicator used and values for such indicators that they use to monitor and evaluate progress of policies and measures. Those values can be either ex-post or ex-ante values and Member States must specify the year for which the value applies.
(12) — Member States are to include all the policies and measures or their groups of policies and measures for which such assessment is available.
Notation: t signifies the first future year ending with 0 or 5 immediately following the reporting year
ANNEX XII
Reporting on projections pursuant Article 23
Table 1: Greenhouse gas projections by gases and categories
Category (1) (3)
For each Greenhouse gas (group of gases) pursuant to Annex I to Regulation (EC) No 525/2013/EU (kt)
Total GHG emissions (kt CO2 -eq)
ETS emissions (kt CO2-eq)
ESD emissions (kt CO2-eq)
projection base year
t-5
t
t+5
t+10
t+15
projection base year
t-5
t
t+5
t+10
t+15
projection base year
t-5
t
t+5
t+10
t+15
projection base year
t-5
t
t+5
t+10
t+15
Total excluding LULUCF
Total including LULUCF
1.
Energy
A.
Fuel combustion
1.
Energy industries
a.
Public electricity and heat production
b.
Petroleum refining
c.
Manufacture of solid fuels and other energy industries
2.
Manufacturing industries and construction
3.
Transport
a.
Domestic aviation
b.
Road transportation
c.
Railways
d.
Domestic navigation
e.
Other transportation
4.
Other sectors
a.
Commercial/Institutional
b.
Residential
c.
Agriculture/Forestry/Fishing
5.
Other
B.
Fugitive emissions from fuels
1.
Solid fuels
2.
Oil and natural gas and other emissions from energy production
C.
CO2 transport and storage
2.
Industrial processes
A.
Mineral Industry
of which cement production
B.
Chemical industry
C.
Metal industry
of which Iron and steel production
D.
Non-energy products from fuels and solvent use
E.
Electronics industry
F.
Product uses as substitutes for ODS (2)
G.
Other product manufacture and use
H.
Other
3.
Agriculture
A.
Enteric fermentation
B.
Manure management
C.
Rice cultivation
D.
Agricultural soils
E.
Prescribed burning of savannahs
F.
Field burning of agricultural residues
G.
Liming
H.
Urea application
I.
Other carbon-containing fertilizers
J.
Other (please specify)
4.
Land Use, Land-Use Change and Forestry
A.
Forest land
B.
Cropland
C.
Grassland
D.
Wetlands
E.
Settlements
F.
Other Land
G.
Harvested wood products
H.
Other
5.
Waste
A.
Solid Waste Disposal
B.
Biological treatment of solid waste
C.
Incineration and open burning of waste
D.
Wastewater treatment and discharge
E.
Other (please specify)
Memo items
International bunkers
Aviation
Navigation
CO2 emissions from biomass
CO2 captured
Long-term storage of C in waste disposal sites
Indirect N2O
International aviation in the EU ETS
Notation: t signifies the first future year ending with 0 or 5 immediately following the reporting year
Table 2: Indicators to monitor and evaluate projected progress of policies and measures
Indicator (4)/numerator/denominator
Unit
Guidance/definition (4)
Guidance/source
With existing measures
With additional measures
Base year
t
t+5
t+10
t+15
Base year
t
t+5
t+10
t+15
Notation: t signifies the first future year ending with 0 or 5 immediately following the reporting year
Table 3: Reporting on parameters for projections used
Parameter used (8) (‘with existing measures’ scenario)
Year
Values
Default unit
Additional unit information (7)
Data source
Year of publication of data source
Sectoral projections for which the parameter is used (6)
Comment (for guidance)
Base/Reference year
Base/Reference year
t-5
t
t+5
t+10
t+15
1 A.1
Energy industries
1.A.2
Manufacturing industries and construction
1.A.3
Transport (excl 1.A.3.a domestic aviation)
1.A.4.a
Commercial/institutional
1.A.4.b
Residential
1B
Fugitive emissions from fuels
Industrial Processes and product use
Agriculture
LULUCF
Waste
International Aviation in the EU ETS + 1.A.3.a Domestic aviation
General parameters
Population
Count
Gross domestic product (GDP)
Real growth rate
%
EUR t-10
Constant prices
EUR million
EUR t-10
Gross value added (GVA) total industry
EUR million
EUR t-10
Exchange rates EURO (for non-EURO countries), if applicable
EUR/currency
EUR t-10
Exchange rates US DOLLAR, if applicable
USD/currency
USD t-10
EU ETS carbon price
EUR/EUA
EUR t-10
International (wholesale) fuel import prices
Electricity Coal
EUR/GJ
Yes
EUR t-10
Crude Oil
EUR/GJ
EUR t-10
Natural gas
EUR/GJ
EUR t-10
Energy parameters
National retail fuel prices (with taxes included)
Coal, industry
EUR/GJ
EUR t-10
Coal, households
EUR/GJ
EUR t-10
Heating oil, industry
EUR/GJ
EUR t-10
Heating oil, households
EUR/GJ
EUR t-10
Transport, gasoline
EUR/GJ
Yes
EUR t-10
Transport, diesel
EUR/GJ
Yes
EUR t-10
Natural gas, industry
EUR/GJ
EURt-10
Natural gas, households
EUR/GJ
EUR t-10
National retail electricity prices (with taxes included)
Industry
EUR/kWh
EUR t-10
Households
EUR/kWh
EUR t-10
Gross inland (primary energy) consumption
Coal
GJ
Oil
GJ
Natural gas
GJ
Renewables
GJ
Nuclear
GJ
Other
GJ
Total
GJ
Gross electricity production
Coal
TWh
Oil
TWh
Natural gas
TWh
Renewables
TWh
Nuclear
TWh
Other
TWh
Total
TWh
Total net electricity imports
TWh
Gross final energy consumption
TWh
Final energy consumption
Industry
GJ
Transport
GJ
Residential
GJ
Agriculture/Forestry
GJ
Services
GJ
Other
GJ
Total
GJ
Number of heating degree days (HDD)
Count
Number of cooling degree days (CDD)
Count
Transport parameters
Number of passenger-kilometres (all modes)
million pkm
Freight transport tonnes-kilometres (all modes)
million tkm
Final energy demand for road transport
GJ
Buildings parameters
Number of households
Count
Household size
inhabitants/Household
Agriculture parameters
Livestock
Dairy cattle
1000 heads
Non-dairy cattle
1000 heads
Sheep
1000 heads
Pig
1000 heads
Poultry
1000 heads
Nitrogen input from application of synthetic fertilizers
kt nitrogen
Nitrogen input from application of manure
kt nitrogen
Nitrogen fixed by N-fixing crops
kt nitrogen
Nitrogen in crop residues returned to soils
kt nitrogen
Area of cultivated organic soils
Ha (hectares)
Waste parameters
Municipal solid waste (MSW) generation
tonne MSW
Municipal solid waste (MSW) going to landfills
tonne MSW
Share of CH4 recovery in total CH4 generation from landfills
%
Other parameters
Add rows for other relevant parameters (5)
Table 4: Model Factsheet
Model name
Full model name
Model version and status
Latest date of revision
URL to model description
Model type
Model description
Summary
Intended field of application
Description of main input data categories and data sources
Validation and evaluation
Output quantities
GHG covered
Sectoral coverage
Geographical coverage
Temporal coverage,(e.g. time steps, time span)
Interface with other models
Input from other models
Model structure(if diagram please add to the template)
Member States may reproduce this table to allow them to report details of individual sub-models which have been used to create GHG projections
(1) IPCC categories pursuant to 2006 IPCC Guidelines for National Greenhouse Gas inventories and revised UNFCCC CRF tables for inventory reporting
(2) ODS — ozone-depleting substances.
(3) Use of notation keys: as regards the terms of use defined in the 2006 IPCC Guidelines for National Greenhouse Gas Inventories (chapter 8: reporting guidance and tables), the notation keys of IE (included elsewhere), NO (not occurring), C (confidential) and NA (not applicable) may be used, as appropriate when projections do not yield data on a specific reporting level (see 2006 IPCC Guidelines).
The use of the notation key NE (Not Estimated) is restricted to the situation where a disproportionate amount of effort would be required to collect data for a category or a gas from a specific category that would be insignificant in terms of the overall level and trend in national emissions. In these circumstances a Member State should list all categories and gases from categories excluded on these grounds, together with a justification for exclusion in terms of the likely level of emissions or removals and identify the category as ‘not estimated’ using the notation key ‘NE’ in the reporting tables.
(4) Please add a row per indicator used in the projections
(5) Please add a row per parameter used in the projections. Note that this includes the term ‘variables’ because some of the parameters listed can be variables for certain projection tools used, depending on the models used.
(6) To be filled with Yes/No
(7) Please specify additional different values for parameters used in different sector models
(8) Use of notation keys: the notation keys of IE (included elsewhere), NO (not occurring), C (confidential), NA (not applicable), and NE (Not estimated/Not used) may be used, as appropriate. The use of the notation key NE (Not estimated) is for cases where the suggested parameter is neither used as a driver nor reported along with the Member States Projections.
Notation: t signifies the first future year ending with 0 or 5 immediately following the reporting year.
ANNEX XIII
Reporting on the use of auctioning revenues pursuant to Article 24
Table 1 Revenues generated from auctioning of allowances in year X-1
Amount for the year X-1
1 000 Euros
1 000 in domestic currency, if applicable (1)
A
B
C
Total amount of revenues generated from auctioning of allowances
Sum of B5+B6
Sum of C5+C6
Of which amount of revenues generated from auctioning of allowances pursuant to Article 10 of Directive 2003/87/EC
Of which amount of revenues generated from auctioning of allowances pursuant to Article 3d(1) or (2) of Directive 2003/87/EC
Total amount of revenues from auctioning of allowances or equivalent financial value used for the purposes specified in paragraph 3 of Article 10, and Article 3d(4) of Directive 2003/87/EC
Of which amount of revenues from auctioning of allowances used for the purposes specified in Article 10(3) of Directive 2003/87/EC (if data are available for separate reporting)
Of which amount of revenues from auctioning of allowances used for the purposes specified in Article 3d(4) of Directive 2003/87/EC (if data are available for separate reporting)
Total amount of auctioning revenues generated or the equivalent in financial value committed in years before X-1 generated and not disbursed in the years before the year X-1 and carried-over for disbursement in the year X-1
Notes:
Table 2 Use of revenues from auctioning of allowances for domestic and Union purposes pursuant to Article 3d and 10 of Directive 2003/87/EC
Purpose for which revenues were used
Short description
Amount for the year X-1
Status (3)
Revenues pursuant to
[tick relevant column] (6)
Type of use (4)
Financial instrument (5)
Implementing Agency
(e.g. programme, act, action or project title)
(including reference to online source of more detailed description, if available)
1 000 Euros
1 000 Domestic Currency (2)
Committed/disbursed
Article 3d of Directive 2003/87/EC
Article 10 of Directive 2003/87/EC
the categories of uses outlined in Directive 2003/87/EC
To be selected: fiscal, financial support policy, domestic regulatory policy that leverage financial support, other
(e.g. responsible ministry)
A
B
C
D
E
F
G
H
I
J
☐
☐
☐
☐
Total amount of revenues or equivalent financial value used
Sum of column C
Sum of column D
Notation: x = reporting year
Notes:
Table 3: Use of revenues from auctioning of allowances for international purposes
Amount committed in the year X-1 (8)
Amount disbursed in the year X-1 (8)
USE OF REVENUES FROM AUCTIONING OF ALLOWANCES OR THE EQUIVALENT IN FINANCIAL VALUE FOR INTERNATIONAL PURPOSES (9)
1 000 Euros
1 000 Domestic currency, if applicable (7)
1 000 Euros
1 000 Domestic currency, if applicable (7)
A
B
C
D
E
Total amount used as specified under Articles 10(3) and Article 3d(4) of Directive 2003/87/EC for supporting third countries other than developing countries
Total amount used as specified under Articles 10(3) and Article 3d(4) of Directive 2003/87/EC for supporting developing countries
Notation: x = reporting year
Notes:
Table 4: Use of revenues from auctioning of allowances to support developing countries through multilateral channels pursuant to Article 3d and 10 of Directive 2003/87/EC (14) (17)
Amount for the year X-1
Status (10)
Type of support (16)
Financial instrument (15)
Sector (11)
1 000 Euros
1 000 Domestic Currency (13)
to be selected: committed/disbursed
to be selected: mitigation, adaptation, cross-cutting, other, information not available
to be selected: grant, concessional loan, non-concessional loan, equity, other, information not available
to be selected: energy, transport, industry, agriculture forestry, water and sanitation, cross-cutting, other, information not available
Total amount for supporting developing countries through multilateral channels
of which used, if applicable, via multilateral funds
Global Energy Efficiency and Renewable Energy Fund (GEEREF) (Article 10(3)(a) of Directive 2003/87/EC)
Adaptation Fund under the UNFCCC (Article 10, paragraph 3(a) of Directive 2003/87/EC)
Special Climate Change FUND (SCCF) under the UNFCCC
Green Climate Fund under the UNFCCC
Least Developed Countries Fund
UNFCCC Trust Fund for Supplementary Activities
For multilateral support to REDD+ activities
Other multilateral climate-related funds (please specify)
of which used, if applicable, via multilateral financial institutions
Global Environmental Facility
World Bank (12)
International Finance Corporation (12)
African Development Bank (12)
European Bank for Reconstruction and Development (12)
Inter-American Development Bank (12)
Other multilateral financial institutions or support programmes, please specify (12)
Notation: x = reporting year
Notes:
Table 5: Use of revenues from auctioning of allowances pursuant to Article 3d and 10 of Directive 2003/87/EC for bilateral or regional support to developing countries (22) (24)
Programme/project title
Recipient country/region
Amount for the year X-1
Status (18)
Type of support (20)
Sector (19)
Financial instrument (23)
Implementing Agency
1 000 Euros
1 000 Domestic currency (21)
to be selected: Committed/disbursed
to be selected: Mitigation, Adaptation, REDD+, Cross-cutting, Other
to be selected: energy, transport. industry, agriculture, forestry, water and sanitation, cross-cutting, other, information not available
to be selected: grant, concessional loan, non-concessional loan, equity, direct project investments, investment funds, fiscal support policies, financial support policies, other, information not available
Notation: x = reporting year
Notes:
(1) An average annual exchange rate for the year X-1 or the real exchange rate applied to the amount disbursed is to be used for the currency conversion.
x: reporting year
(2) An average annual exchange rate for the year X-1 or the real exchange rate applied to the amount disbursed is to be used for the currency conversion.
(3) Member States are to provide the definitions used for ‘commitment’ and ‘disbursement’ as part of their report. If part of the reported amount is committed and another part disbursed related to a specific programme/project, two separate rows should be used. If Member States are not able to distinguish between committed and disbursed amounts, the appropriate category should be selected for the reported amounts. Consistent definitions should be used across the tables.
(4) Categories mentioned in Article 3d(4) and Article 10(3) of Directive 2003/87/EC as follows:
—
funding of research and development and demonstration projects for reducing emissions and for adaptation;
—
funding of initiatives within the framework of the European Strategic Energy Technology Plan and the European Technology Platforms;
—
development of renewable energies to meet the commitment of the Union to using 20 % renewable energies by 2020;
—
development of other technologies contributing to the transition to a safe and sustainable low-carbon economy;
—
development of technologies that help meet the commitment of the Union to increase energy efficiency by 20 % by 2020;
—
forestry sequestration in the Union;
—
environmentally safe capture and geological storage of CO2;
—
encouragement of a shift to low-emission and public forms of transport;
—
finance research and development in energy efficiency and clean technologies;
—
measures intended to increase energy efficiency and insulation or to provide financial support in order to address social aspects in lower and middle income house-holds;
—
Coverage of administrative expenses of the management of the ETS scheme;
—
other reduction of greenhouse gas emissions;
—
adaptation to the impacts of climate change,
—
other domestic uses.
Member States are to avoid double counting of amounts in this table. If a specific use fits to several types of uses several types can be selected however the amount indicated is not to be multiplied but additional rows for types of uses are to be linked with one entry field for that amount.
(5) Several categories can be selected if several financial instruments are relevant for the reported programme or project.
(6) information in this column is to be provided unless reporting is based on the equivalent in financial value of those revenues
(7) An average annual exchange rate for the year X-1 or the real exchange rate applied to the amount disbursed is to be used for the currency conversion.
(8) Member States are to provide the definitions used for ‘commitment’ and ‘disbursement’ as part of their report. If part of the reported amount is committed and another part disbursed related to a specific programme/project, two separate rows should be used. If Member States are not able to distinguish between committed and disbursed amounts, the appropriate category should be selected for the reported amounts. Consistent definitions should be used across the tables.
(9) Member States are to avoid double counting of amounts in this table. If a specific use fits into several rows, the most appropriate one is to be chosen and the respective amount must be only entered once. Accompanying textual information could further explain such allocation decisions, if necessary.
(10) Information on the status is to be provided where available at disaggregate level. Member States should provide the definitions used for ‘commitment' and disbursement’ as part of their report. If Member States are not able to distinguish between committed and disbursed amounts, the appropriate category should be selected for the reported amounts.
(11) Several applicable sectors can be selected. Member States may report sectoral distribution if such information is available. ‘Information not available’ can only be selected if there is absolutely no information available for the respective row.
(12) Only financial support provided which is climate-specific as e.g. indicated by CDC DAC indicators should be entered in this table.
(13) An average annual exchange rate for the year X-1 or the real exchange rate applied to the amount disbursed is to be used for the currency conversion.
(14) Member States are to avoid double counting of amounts in this table. If a specific use fits into several rows, the most appropriate one is to be chosen and the respective amount shall be only entered once. Accompanying textual information could further explain such allocation decisions, if necessary
(15) The appropriate financial instrument is to be chosen. Several categories can be selected if several financial instruments are relevant for the respective row. Mostly grants are provided to multilateral institutions and other categories may not frequently be applicable. However more categories are used to achieve consistency with reporting requirements for biennial reports under the UNFCCC. ‘Information not available’ can only be selected if there is absolutely no information available for the respective row.
(16) To be reported if such information is available for multilateral fund or banks. ‘Information not available’ can only be selected if there is absolutely no information available for the respective row.
(17) The notation key ‘information not available’ may be used if there is absolutely no information available for the respective cells.
(18) Information on the status shall be provided at least in Table 3, and should be provided in this table, where available at disaggregate level. If Member States are not able to distinguish between committed and disbursed amounts, the appropriate category should be selected for the reported amounts.
(19) Several applicable sectors can be selected. Member States may report sectoral distribution if such information is available. ‘Information not available’ can only be selected if there is absolutely no information available for the respective row.
(20) Only financial support provided which is climate-specific as e.g. indicated by OECD DAC indicators should be entered in this table.
(21) An average annual exchange rate for the year X-1 or the real exchange rate applied to the amount disbursed is to be used for the currency conversion.
(22) Member States are to avoid double counting of amounts in this table. If a specific use would fits into several rows, the most appropriate one are to be chosen and the respective amount must be only entered once. Accompanying textual information could further explain such allocation decisions, if necessary.
(23) The appropriate financial instrument is to be chosen. Several categories can be selected if several financial instruments are relevant for the respective row. ‘Information not available’ can only be selected if there is absolutely no information available for the respective row.
(24) The notation key ‘information not available’ may be used if there is absolutely no information available for the respective cells.
ANNEX XIV
Reporting on the project credits used for compliance with Decision No 406/2009/EC pursuant to Article 25 of this Regulation
Reporting Member State
Units transferred to the Effort Sharing Decision Compliance Account in year X-1
Type of information
Country of origin
ERUs
CERs
lCERs
tCERS
Other units (1)
Justification/explanation of qualitative criteria applied to credits (2)
A
B
C
D
E
F
G
Total use of project credits in tonnes (= total amount of units transferred to the ESD Compliance Account)
Geographical distribution: countries of origin of the emission reductions
one row per country should be generated; the corresponding units should be entered in the columns.
Of which are credits from project types pursuant to Article 5(1)(a) of Decision No 406/2009/EC
Of which are credits from project types pursuant to Article 5(1)(b) of Decision No 406/2009/EC
Of which are credits from project types pursuant to Article 5(1)(c) and 5(5) of Decision No 406/2009/EC
Of which are credits from project types pursuant to Article 5(1)(d) of Decision No 406/2009/EC
Of which are credits from project types pursuant to Article 5(2) and (3) of Decision No 406/2009/EC
Of which are credits from project types that cannot be used by operators in the EU ETS (3)
Notes:
(1) Units used pursuant to Article 5(2) and (3) of Decision No 406/2009/EC.
(2) Member States shall include the qualitative criteria applied to credits used in accordance with Article 5 of Decision No 406/2009/EC.
(3) Where credits from project types that cannot be used by operators in the EU ETS are reported, a detailed justification of the use of such credits must be provided in column G.
Notation: x signifies the reporting year
ANNEX XV
Reporting on summary information on concluded transfers pursuant to Article 26
Information on concluded transfers for the year X-1
Number of transfers
Transfer 1 (1)
Quantity of Annual Emission Allocation units (AEAs)
Transferring Member State
Acquiring Member State
Price per AEA
Date of the transfer agreement
Year of the expected transaction in the registry
Other information (such as greening schemes)
Note:
(1) Replicate for the number of transfers that occurred in the year X-1
X signifies the reporting year
ANNEX XVI
Table 1: Schedule for the comprehensive review to determine Member State's Annual emissions allocations pursuant to the fourth subparagraph of Article 3(2) of Decision No 406/2009/EC
Activity
Task description
Time
First step review
The Secretariat implements the checks to verify the transparency, accuracy, consistency, completeness and comparability of Member States inventories pursuant to Article 29 of this Regulation.
15 January — 15 March
Preparation of review material for the technical experts review team (TERT)
The Secretariat prepares and compiles material for TERT.
15 March — 30 April
Desk-based review
TERT performs checks pursuant to Article 32 of this Regulation, prepares initial questions based on 15 April submissions including consideration of any re-submitted data to the UNFCCC. Secretariat to communicate questions to Member States
1 May — 21 May
Time-limit for the responses of the Member State to the initial questions
Member States respond to questions — two week period for responses
21 May — 4 June
Centralised meetings of expert reviewers
TERT meets to discuss responses from Member States, identify cross-cutting issues, ensure consistency of findings across Member States, agree upon recommendations etc. Additional questions are identified and communicated by the Secretariat to Member States during this period.
5 June — 29 June
Time-limit for the responses of the Member State responses to the additional questions
Member States respond to questions.
By 6 July
Preparation of draft review reports, including possible further questions to Member States
The TERT compiles draft review reports, including unresolved questions to Member States, draft recommendations concerning possible inventory improvements for consideration by Member States, and, where applicable, details of and justification for potential technical corrections. The Secretariat communicates the reports to Member States
29-June — 13 July
Time-limit for the comments of the Member State on draft review report
Member States comment on draft reports, respond to unresolved questions and, where relevant, agree or disagree with the TERT's recommendations.
13 July — 3 August
Time-limit for finalisation of review reports
Informal communication with Member States to follow up any outstanding issues. The TERT finalises the reports, which are reviewed and edited by the Secretariat.
By 17 August
Final Review Reports
Secretariat communicates the final review reports to the Commission
By 17 August
Table 2: Schedule for the comprehensive reviews pursuant to Article 19(1) of Regulation (EC) No 525/2013/EC
Activity
Task description
Timing
First step review and communication of its results to Member States
The Secretariat implements the checks to verify the transparency, accuracy, consistency, completeness and comparability of Member States inventories pursuant to Article 29 of this Regulation based on 15 January submissions and sends the first step review results to Member States.
15 January — 28 February
Response to the first step review results
Member States provide their response to the Secretariat on the first step review results.
By 15 March
Follow-up on the first step review result and communication of the follow-up results to Member States
The Secretariat evaluates Member States' responses to the first step review results and sends the evaluation results and other outstanding issues to Member States.
15 March — 31 March
Response to the follow-up results
Member States provide their comments to the Secretariat on the follow-up results and other outstanding issues.
By 7 April
Preparation of review material for the TERT
The Secretariat prepares material for the comprehensive review based on 15 April submissions of the Member States.
15 April — 25 April
Desk based review
The TERT performs checks pursuant to Article 32 of this Regulation, compiles initial questions to Member States based on 15th April submissions.
25 April — 13 May
Communication of initial questions
The Secretariat sends initial questions to Member States.
By 13 May
Response
Member States respond to initial questions to the Secretariat.
13 May — 27 May
Centralised expert meetings
The TERT meets to discuss responses from Member States, identify cross-cutting issues, ensure consistency of findings across Member States, agree upon recommendations, prepare draft technical corrections, etc. Additional questions are identified and communicated to Member States during this period.
28 May — 7 June
Response
Member States provide answers to questions and potential cases of technical corrections during the centralised review to the Secretariat.
28 May — 7 June
Communication of technical corrections
The Secretariat sends draft technical corrections to Member States.
By 8 June
Response
Member States respond to draft technical corrections to the Secretariat.
By 22 June
Compilation of draft review reports
The TERT compiles draft review reports, including any unresolved questions and draft recommendations and, where applicable, details and justification for draft technical corrections.
8– 29 June
Potential in-country visit
In exceptional cases, where significant quality issues continue to exist in the inventories reported by Member States or the TERT is unable to resolve questions, an ad-hoc country visit may be undertaken.
29 June — 9 August
Draft review reports
The Secretariat sends draft review reports to Member States
By 29 June
Comments
Member States provide comments on the draft review reports to the Secretariat including any comments they wish to include in the final review report.
By 9 August
Finalisation of review reports
The TERT finalises the review reports. Informal communication with Member States to follow up any outstanding issues if needed. The Secretariat checks the review reports.
9 August — 23 August
Submission of Final Review Reports
Secretariat communicates the final review reports to the Commission and to Member States.
By 30 August
Table 3: Schedule for the annual review pursuant to Article 19(2) of Regulation No (EU) 525/20013
Activity
Task description
Time
First step of the annual review
First step review and communication of its results to Member States
The Secretariat implements the checks to verify the transparency, accuracy, consistency, completeness and comparability of Member States inventories pursuant to Article 29 of this Regulation based on 15 January submissions and sends the first step review results and potential significant issues to Member States.
15 January — 28 February
Response to the first step review results
Member States provide their response to the Secretariat on the first step review results and potential cases of significant issues.
By 15 March
Follow-up on the first step review results and communication of the follow-up results to Member States
The Secretariat evaluates Member States' responses to the first step review results and identifies significant issues which could potentially trigger the second step of the annual review and sends the evaluation results and a list of potential significant issues to Member States.
15 March — 31 March
Response to the follow-up results
Member States provide their comments to the Secretariat on potential cases of significant issues.
By 7 April
Review of Member States responses
The TERT assesses Member States' responses and identifies the Member States that are potentially subject to the Second step of the annual review. Member States with no potential significant issues are notified that they are not subject to the second step of the annual review pursuant to Article 35.
7 April — 20 April
Unresolved significant issues
The Secretariat sends an interim review report with all unresolved significant issues from the first step checks to Member States subject to the second step of the annual review. Member States which are not subject to the second step of the annual review will receive a final review report.
By 20 April
Second step of the annual review
Preparation of review material
The Secretariat prepares review material for the second step of the annual review based on the 15 March submissions of Member States.
15 March — 15 April
Second step review
The TERT performs checks pursuant to Article 32 of this Regulation, identifies and calculates potential technical corrections. Member States should be available for questions during the second week of the review.
15 April — 28 April
Communication of technical corrections
The Secretariat sends potential technical corrections to Member States.
By 28 April
Response
Member States provide comments on potential technical corrections to the Secretariat.
By 8 May
Draft review reports
The TERT compiles draft review reports, including draft recommendations and a justification for potential technical corrections.
8 May — 31 May
Communication of the draft review reports
The Secretariat sends draft review reports to Member States
By 31 May
Response
Member States provide comments on the draft review reports to the Secretariat including any comments they wish to include in the final review report.
By 15 June
Compilation of review reports
The TERT updates the draft review reports and clarifies with Member States any outstanding issues if needed.
The Secretariat checks and if needed edits the review reports
15 June — 25 June
Submission of final review reports
The Secretariat communicates the final review reports to the Commission and to Member States.
By 30 June |
25.11.2014
EN
Official Journal of the European Union
L 337/51
COMMISSION REGULATION (EU) No 1256/2014
of 21 November 2014
establishing a prohibition of fishing for skates and rays in Union waters of IIa and IV by vessels flying the flag of The Netherlands
THE EUROPEAN COMMISSION,
Having regard to the Treaty on the Functioning of the European Union,
Having regard to Council Regulation (EC) No 1224/2009 of 20 November 2009 establishing a Community control system for ensuring compliance with the rules of the common fisheries policy (1), and in particular Article 36(2) thereof,
Whereas:
(1)
Council Regulation (EU) No 43/2014 (2), lays down quotas for 2014.
(2)
According to the information received by the Commission, catches of the stock referred to in the Annex to this Regulation by vessels flying the flag of or registered in the Member State referred to therein have exhausted the quota allocated for 2014.
(3)
It is therefore necessary to prohibit fishing activities for that stock,
HAS ADOPTED THIS REGULATION:
Article 1
Quota exhaustion
The fishing quota allocated to the Member State referred to in the Annex to this Regulation for the stock referred to therein for 2014 shall be deemed to be exhausted from the date set out in that Annex.
Article 2
Prohibitions
Fishing activities for the stock referred to in the Annex to this Regulation by vessels flying the flag of or registered in the Member State referred to therein shall be prohibited from the date set out in that Annex. In particular it shall be prohibited to retain on board, relocate, tranship or land fish from that stock caught by those vessels after that date.
Article 3
Entry into force
This Regulation shall enter into force on the day following that of its publication in the Official Journal of the European Union.
This Regulation shall be binding in its entirety and directly applicable in all Member States.
Done at Brussels, 21 November 2014.
For the Commission,
On behalf of the President,
Lowri EVANS
Director-General for Maritime Affairs and Fisheries
(1) OJ L 343, 22.12.2009, p. 1.
(2) Council Regulation (EU) No 43/2014 of 20 January 2014 fixing for 2014 the fishing opportunities for certain fish stocks and groups of fish stocks, applicable in Union waters and, to Union vessels, in certain non-Union waters (OJ L 24, 28.1.2014, p. 1).
ANNEX
No
74/TQ43
Member State
The Netherlands
Stock
SRX/2AC4-C
Species
Skates and rays (Rajiformes)
Zone
Union waters of IIa and IV
Closing date
10.11.2014 |
17.12.2014
EN
Official Journal of the European Union
L 360/44
COUNCIL DECISION 2014/913/CFSP
of 15 December 2014
in support of the Hague Code of Conduct and ballistic missile non-proliferation in the framework of the implementation of the EU Strategy against Proliferation of Weapons of Mass Destruction
THE COUNCIL OF THE EUROPEAN UNION,
Having regard to the Treaty on European Union, and in particular Article 26(2) thereof,
Whereas:
(1)
On 12 December 2003, the European Council adopted the EU Strategy against the Proliferation of Weapons of Mass Destruction (‘the Strategy’), Chapter III of which contains a list of measures that need to be taken both within the Union and in third countries to combat such proliferation.
(2)
The EU is actively implementing the Strategy and giving effect to the measures listed in Chapters II and III thereof, for example by releasing financial resources to support specific projects leading to the enhancement of a multilateral non-proliferation system and multilateral confidence building measures. The Hague Code of Conduct against ballistic missile proliferation (‘the Code’ or ‘HCoC’) and the Missile Technology Control Regime (‘MTCR’) are integral parts of that multilateral non-proliferation system. The Code and the MTCR aim to prevent and curb the proliferation of ballistic missile systems capable of delivering weapons of mass destruction (‘WMD’) and related technologies.
(3)
On 17 November 2003, the Council adopted Common Position 2003/805/CFSP (1). That Common Position calls, inter alia, for the promotion of the subscription of as many countries as possible to the Code, especially those with ballistic missile capabilities, as well as for the further development and implementation of the Code, especially its confidence-building measures, and for the promotion of a closer relationship between the Code and the UN multilateral non-proliferation system.
(4)
On 8 December 2008, the Council adopted its conclusions and a document entitled ‘New lines for action by the European Union in combating the proliferation of weapons of mass destruction and their delivery systems’. The document states, inter alia, that proliferation of WMD and their delivery systems continue to constitute one of the greatest security challenges and that non-proliferation policy constitute an essential part of Common Foreign and Security Policy. In the light of progress made and of ongoing efforts in the implementation of the ‘new lines for action’, the Council agreed in December 2010 to prolong their implementation period until the end of 2012.
(5)
On 18 December 2008, the Council adopted Decision 2008/974/CFSP (2) in support of the Code in the framework of the implementation of the Strategy.
(6)
On 23 July 2012, the Council adopted Decision 2012/423/CFSP (3). That Decision has allowed the successful promotion of the universality of the Code and compliance with its principles. It is a priority of the Union to continue dialogue among subscribing and non-subscribing States with the aim of further promoting the universality of the Code as well as its better implementation and enhancement. This Decision should contribute to this process.
(7)
More generally, the continued proliferation of ballistic missiles capable of delivering WMD constitutes a cause of growing concern for the international community, in particular ongoing missiles programmes in the Middle-East, North-East Asia and South-East Asia, including Iran, Syria and the Democratic People's Republic of Korea (‘DPRK’).
(8)
The UN Security Council emphasised in UNSCR 1540 (2004) and recalled in UNSCR 1977 (2011) that the proliferation of nuclear, chemical and biological weapons, as well as their means of delivery, constituted a threat to international peace and security and obliged States, inter alia, to refrain from supporting by any means non-State actors from developing, acquiring, manufacturing, possessing, transporting, transferring or using nuclear, chemical or biological weapons and their delivery systems. The threat caused by nuclear, chemical and biological weapons and their means of delivery to international peace and security was reaffirmed in UNSCR 1887 (2009) on nuclear non-proliferation and nuclear disarmament. Furthermore, the UN Security Council decided in UNSCRs 1929 (2010) and 1718 (2006), based inter alia on UNSC resolutions 1540 (2004), 1977 (2011) and 1887 (2009), that Iran and the DPRK should not undertake any activity related to ballistic missiles capable of delivering nuclear weapons, including launches using ballistic missile technology, and that States should take all necessary measures to prevent the transfer of technology or technical assistance to Iran and DPRK related to such activities.
(9)
This Decision should serve, more generally, to support a range of activities aimed to fight against the proliferation of ballistic missiles,
HAS ADOPTED THIS DECISION:
Article 1
1. For the purposes of ensuring the continuous and practical implementation of certain elements of the Strategy, as referred to in the Annex, the Union shall:
(a)
support activities in support of the Code and the MTCR, in particular with the aim to:
(i)
promote the universality, and in particular the subscription to the Code by all States with ballistic missile capabilities;
(ii)
support the implementation and reinforcing the visibility of the Code;
(iii)
promote adherence to the MTCR guidelines and the Annex thereto;
(b)
more generally, support a range of activities to fight against the proliferation of ballistic missiles, aimed in particular at raising awareness of this threat, stepping up efforts to increase the effectiveness of multilateral instruments, building up support to initiatives to address these specific challenges and helping interested countries to reinforce nationally their relevant export control regimes.
2. In this context, the projects to be supported by the Union shall cover the following specific activities:
(a)
activities in support of the Code:
(i)
prepare and publish a ‘welcome package’ for outreach activities towards non-subscribing States, also recalling obligations for subscribing States;
(ii)
organise outreach side events in Vienna in the margins of the HCoC annual meeting of subscribing States;
(iii)
organise outreach side events in support of the HCoC in the margins of the UN General Assembly First Committee meetings;
(iv)
organise up to three regional outreach seminars based on EU priorities (possibly Asia, Gulf countries and Latin America);
(v)
encourage subscribing and non-subscribing States' representatives from developing countries to attend the HCoC Annual meetings and outreach seminars;
(vi)
organise awareness sessions for States having recently joined the HCoC to assist them in fulfilling their obligations, including in the margins of the HCoC annual meeting in Vienna;
(vii)
support the coordination of HCoC promotion efforts with the activities of the UN 1540 Committee, including through financing the participation of HCoC experts into the 1540 Committee country visits;
(viii)
support the HCoC secure internet-based information and communication mechanism (e-ICC), including through technical enhancement of the website;
(b)
activities in support of ballistic missile non-proliferation in general:
(i)
organise up to four seminars to raise awareness on ballistic missile proliferation in the margins of multilateral fora, possibly linked with the HCoC outreach events referred to in point (a), such as a seminar in the margins of UNGA or the Non-Proliferation Treaty Preparatory committees;
(ii)
organise up to three regional seminars to raise awareness on ballistic missile proliferation and encourage discussions on perspectives to better address the ballistic missile proliferation threat at a regional level, possibly linked with other EU outreach activities on HCoC; in association with the States concerned, seminars could take place in Asia, the Gulf region and Latin America;
(iii)
provide four food-for-thought papers on possible further multilateral steps to prevent the threat of missile proliferation and to promote disarmament efforts in the field of ballistic missiles, focusing in particular on possible confidence-building measures and exploring the possibility to adopt a regional focus as a first step, for instance in regions of particular interest for the Union and/or where progress can be expected in the near future;
(iv)
in order to prevent dual-use technology and knowledge transfer at an early stage, organise up to three awareness-building sessions for experts, especially from the scientific and/or space communities and the industry;
(v)
encourage access of academics from developing countries working on missile non-proliferation to projects of the EU Centres of Excellence;
(vi)
in coordination with the EU Centres of Excellence, organise targeted expert missions in third countries in order to share information and lessons learned regarding missile technology and dual use goods related export control and help them build up their national capabilities;
(vii)
support experts training on ballistic missiles non-proliferation, through participation in EU programmes such as that of the European Security and Defence College or in programmes of the Member States of the Union (‘Member States’).
A detailed description of the projects is set out in the Annex.
Article 2
1. The High Representative of the Union for Foreign Affairs and Security Policy (HR) shall be responsible for the implementation of this Decision.
2. Technical implementation of the projects referred to in Article 1(2) shall be carried out by the Fondation pour la recherche stratégique (FRS), which shall perform this task under the responsibility of the HR. For this purpose, the HR shall enter into the necessary arrangements with the FRS.
Article 3
1. The financial reference amount for the implementation of the projects referred to in Article 1(2) shall be EUR 990 000.
2. The expenditure financed by the amount set out in paragraph 1 shall be managed in accordance with the procedures and rules applicable to the general budget of the Union.
3. The Commission shall supervise the proper management of the expenditure referred to in paragraph 1. For this purpose, it shall conclude a financing agreement with the FRS. The agreement shall stipulate that the FRS is to ensure visibility of the EU contribution, appropriate to its size.
4. The Commission shall endeavour to conclude the financing agreement referred to in paragraph 3 as soon as possible after the entry into force of this Decision. It shall inform the Council of any difficulties in that process and of the date of conclusion of the financing agreement.
Article 4
1. The HR shall report to the Council on the implementation of this Decision on the basis of regular reports prepared by the FRS. Those reports shall form the basis for the evaluation carried out by the Council.
2. The Commission shall provide information on the financial aspects of the projects referred to in Article 1(2).
Article 5
1. This Decision shall enter into force on the day of its adoption.
2. This Decision shall expire 30 months after the date of the conclusion of the financing agreement referred to in Article 3(3). However, it shall expire six months after its entry into force if no financing agreement has been concluded by that time.
Done at Brussels, 15 December 2014.
For the Council
The President
F. MOGHERINI
(1) Council Common Position 2003/805/CFSP of 17 November 2003 on the universalisation and reinforcement of multilateral agreements in the field of non-proliferation of weapons of mass destruction and means of delivery (OJ L 302, 20.11.2003, p. 34).
(2) Council Decision 2008/974/CFSP of 18 December 2008 in support of the Hague Code of Conduct against Ballistic Missile Proliferation in the framework of the implementation of the EU Strategy against Proliferation of Weapons of Mass Destruction (OJ L 345, 23.12.2008, p. 91).
(3) Council Decision 2012/423/CFSP of 23 July 2012 in support of ballistic missile non-proliferation in the framework of the implementation of the EU Strategy against Proliferation of Weapons of Mass Destruction and of the Council Common Position 2003/805/CFSP (OJ L 196, 24.7.2012, p. 74).
ANNEX
1. OBJECTIVES
The Union is a strong promoter of missile non-proliferation. Its efforts in this regard include the Strategy and Common Position 2003/805/CFSP. In addition, the Council has endorsed ‘New lines for action by the European Union in combating the proliferation of weapons of mass destruction and their delivery systems’, and the EU supported UNSC Resolution 1540 (2004), which has since been recalled in UNSC resolution 1977 (2010).
The Union considers the MTCR an important multilateral instrument which aims at curbing the proliferation of ballistic missile systems and related technologies and know-how through the establishment and the implementation of export control regulations on sensitive materials. 19 Member States are members of the MTCR and all Member States are implementing the MTCR export control list through Council Regulation (EC) No 428/2009 (1).
The Union has also strongly supported the Code from its inception and has expressed regular concern over ballistic missile proliferation. The Union considers the Code as a central transparency and confidence building measure. All Member States have subscribed to the Code and are implementing the Code in good faith.
In the past, the Union tried to overcome the remaining loopholes in the implementation of the Code and in its universality by organising workshops, expert meetings and regional awareness seminars. Those activities, which have been organised under Decision 2008/974/CFSP and implemented by the FRS, have proved their efficiency and relevance.
Encouraged by the outcome of those events, the Union has pursued its initiative and supported three aspects of the Code as follows:
(a)
universality of the Code;
(b)
implementation of the Code;
(c)
enhancement and improved functioning of the Code.
This action was undertaken under Decision 2012/423/CFSP, which allowed the development of several initiatives in support of HCoC including:
(a)
the development of a dedicated secure website;
(b)
the organisation of several side-events aimed at promoting the Code vis-à-vis non-subscribing States in Vienna, Geneva and New York;
(c)
awareness raising workshop for African and Middle Eastern Countries in Paris;
(d)
regional seminars in Singapore, Abu Dhabi and Lima;
(e)
preparation of food-for-thought papers.
Decision 2012/423/CFSP has contributed to raising awareness about the Code and to its promotion vis-à-vis third countries. Through that Decision, the Union has supported Costa Rica, France, Hungary, Japan, Peru and Romania in their activities as HCoC Chairs. By raising the profile of the HCoC, it has facilitated the adherence of new members to the Code.
In view of the results achieved, and of the continued proliferation of ballistic missiles capable of delivering WMD which constitute a cause of growing concern for the international community, in particular ongoing missile programmes in the Middle-East, North-East Asia and South-East Asia, including Iran and the DPRK, the following actions will be carried out:
(a)
project 1, information and communication;
(b)
project 2, strengthening the ballistic missile non-proliferation;
(c)
project 3, universalisation of the HCoC — Outreach activities;
Going beyond the sole promotion of adherence to the Code and the MTCR, this Decision allows for the deepening of the international debate over missile proliferation and engaging new regional areas and new communities.
2. DESCRIPTION OF THE PROJECT
2.1. Project 1: Information and Communication
2.1.1. Objective of the project
The Code represents an important instrument for curbing the proliferation of ballistic missiles and related technologies through confidence-building and transparency measures. However, more needs to be done to support it, in particular with the aim of:
(a)
promoting the universality of the Code, and in particular the subscription to the Code by all States with ballistic missile and space capabilities;
(b)
supporting the implementation of the Code in all its aspects;
(c)
reinforcing the visibility of the Code.
2.1.2. Description of the project
The project provides for three types of activities:
(a)
preparing, designing, printing and distributing up to 1 500 leaflets describing Union support for the Code. The leaflet will also include:
(i)
a description of the HCoC;
(ii)
the objectives of the HCoC;
(iii)
a description of the annual declarations, the pre-launch notifications and the voluntary observation visits;
(iv)
the European strategy towards the HCoC and the proliferation of WMD means of delivery;
(v)
demarches to be fulfilled in order to subscribe to the Code;
(vi)
contact details for non-subscribing States;
(b)
preparing, designing, printing and distributing up to 1 000‘welcome package’ printed booklets and a USB stick for outreach activities towards non-subscribing States, also recalling obligations for subscribing States. It will also be available online, covering all the necessary information about the Code and the relevant points of contact. The ‘welcome package’ will include the leaflet described in point (a);
(c)
supporting and updating the HCoC secure Internet-based information and communication mechanism (‘electronic Immediate Central Contact’ — e-ICC), including through technical enhancement of the website in close cooperation with the Austrian Federal Ministry of Foreign Affairs.
2.1.3. Expected results of the project/indicators
(a)
through wide distribution of the ‘welcome package’ during the various events, greater awareness achieved amongst partners of the value added of the HCoC, and of the role of the Union;
(b)
more secure HCoC website enables improved exchange of relevant information amongst partners;
(c)
use of the ‘welcome package’ by the HCoC Chair, the Austrian Secretariat (‘Immediate Central Contact’ (‘ICC’)), the Union and other partners as necessary in their outreach activities.
2.1.4. Beneficiaries of the project
The beneficiaries of the project are both States subscribing to the HCoC and non-subscribing States.
2.2. Project 2: strengthening the ballistic missile non-proliferation
2.2.1. Purpose of the project
The continued proliferation and operational use of ballistic missiles capable of delivering WMD constitutes a cause of growing concern for the international community, in particular ongoing missiles programmes in the Middle-East, North-East Asia and South-East Asia, including Iran and the DPRK.
More generally, the project will support a range of activities to fight against the proliferation of ballistic missiles, aimed in particular at raising awareness of the threat, stepping up efforts to increase the effectiveness of multilateral instruments, building support to initiatives to address those specific challenges and helping interested countries to reinforce nationally their relevant export control regimes.
2.2.2. Description of the project
The publication of two food-for-thought papers per year (4 for the duration of the project). Possible subjects could include:
(a)
the use of the existing WMD free zones as an example and a potential framework for further initiatives banning ballistic missiles;
(b)
further multilateral steps to prevent the threat of missile proliferation and to promote disarmament efforts in the field of ballistic missiles, focusing in particular on possible confidence-building measures;
(c)
export and transit control mechanisms;
(d)
the role of Intangible Transfer of Technology (ITT) in the area of ballistic missiles.
2.2.3. Expected results of the project/indicators
(a)
Promoting multilateral efforts curbing missile proliferation including the HCoC and the MTCR increases the EU influence in the field of missile non-proliferation;
(b)
encouraging the debate on new initiatives to strengthen the Code and the MTCR and open the door for further initiatives;
(c)
fostering missile non-proliferation;
(d)
at least 4 food-for-thought papers to be published;
(e)
raising awareness about dual-use technology and knowledge transfer issues prevents unintentional transfer among Member States and increase global awareness of export control mechanism.
2.2.4. Project beneficiaries
The Union and the Member States will benefit from the food-for-thought papers; wider distribution will be decided by the HR in close consultation with Member States in the framework of the competent Council Working Party. The final decision will be based on proposals by the implementing entity in accordance with Article 2(2) of this Decision.
2.3. Project 3: Universalisation of the HCoC — Outreach activities
2.3.1. Purpose of the project
The project will raise awareness of both missile non-proliferation and the HCoC by organising several events aimed at engaging non-subscribing States. To this end, events will be organised in Vienna and New York to engage the UN delegations in the margins of relevant events.
2.3.2. Project description
The project will provide for three types of events:
(a)
Financing of four outreach events (2 in each city) in support of both the HCoC and ballistic missile non-proliferation that will take place in two cities:
(i)
in New York, in the margins of the UN General Assembly First Committee meetings or of the non-Proliferation Treaty Preparatory Committees meetings;
(ii)
in Vienna, in the margins of the HCoC or other relevant activities of the UN in Vienna.
Regarding the organisation of the seminars:
(i)
each seminar will last half a day and will gather up to 80 participants from UN missions in New York and Vienna around a selected group of speakers and EU officials;
(ii)
up to 6 speakers will be invited;
(iii)
the HCoC acting Chair will be invited;
(iv)
restricted lunches or dinners aimed at engaging senior officials from selected countries led by an EU senior representative and experts will be organised and funded under this Decision.
To this end, the implementing entity will propose for each event a list of countries, some of which will be non-subscribing States. This will allow the convening of senior representatives who deal with non-proliferation issues.
(b)
Financing of three regional outreach seminars that could take place in Latin America (e.g. Argentina, Brazil, Chile, Mexico or a non-member in the Caribbean region), the Middle East (e.g. the Gulf countries, Bahrain, Qatar or Saudi Arabia) and Asia (e.g. Indonesia or Vietnam). The choice of the location will be made in agreement with the HR, in close consultation with Member States in the framework of the competent Council Working Party. The seminar will be dedicated to trends in missile proliferation and a focus on regional issues and will address the HCoC and practical information about being a subscribing State. Subscribing States of the region will be invited at governmental level in order to share their experience with non-subscribing States. The HCoC acting Chair will also be invited to deliver a statement and chair the session. The attendance could include officials, diplomats, military staff, international organisation representatives, EU representatives, academics, etc.
Regarding the organisation of the seminars:
(i)
each seminar will last one day;
(ii)
up to 50 persons could be invited to attend;
(iii)
the HCoC acting Chair will be invited to deliver a statement.
(c)
Up to 10 targeted expert missions for non-subscribing States. They will mainly target the relevant industries, scientific community, export control experts and civil society representatives. In coordination with the European Union Centres of Excellence, two experts on ballistic missile non-proliferation from the implementing agency and an EU expert will conduct field missions in targeted countries. Possible destinations could include, but are not limited to Algeria, Bahrain, Bolivia, Brazil, China, Egypt, India, Indonesia, Israel, Malaysia, Mexico, Qatar, Saudi Arabia, South Africa and Thailand. The final list of countries will be decided in close cooperation with the HR, as well as the opportunity of joint demarches with the UN 1540 Committee outreach efforts. The attendance could include officials, diplomats, military staff, academics, industry, researchers, etc. from the visited country. Priority will be given to officials and political deciders, diplomats, relevant military staff, etc.
Regarding the organisation of the seminars:
(i)
each seminar will last one day;
(ii)
up to 25 persons could be invited;
(iii)
3 experts will be invited;
(iv)
the HCoC acting Chair will be invited.
2.3.3. Expected results of the project/ indicators
(a)
At least 4 outreach events to be organised in New York and Vienna;
(b)
the 3 regional events have gathered an important diplomatic and academic community and allowed new perspectives on adhesions;
(c)
10 expert's missions were conducted in order to enhance the universalisation of the HCoC. Those missions have gathered at least 20 decision-makers and officials and increased the level of commitment from the officials and decision-makers in the visited countries;
(d)
raising awareness of missile proliferation trends and more particularly on the Code with regard to non-subscribing States promote discussions on further efforts to curb missile proliferation;
(e)
the project fosters the debate within and outside the Union on future initiatives;
(f)
the project raises the profile of missile proliferation as a strategic challenge.
2.3.4. Beneficiaries of the project
The main focus of these events will be non-subscribing States, although subscribing States might be associated with some events for policy reasons. Participants should be primarily governmental experts and senior officials.
The final choice of the beneficiary States will be made in consultation between the implementing entity and the HR in close consultation with Member States in the framework of the competent Council Working Party.
3. DURATION
The total estimated duration of the implementation of the projects is 30 months.
4. IMPLEMENTING ENTITY
(a)
The FRS will be entrusted with the technical implementation of the projects;
(b)
co-funding will depend on the FRS;
(c)
the implementing entity will prepare:
(i)
quarterly reports on the implementation of the projects;
(ii)
a final report not later than one month after the end of the implementation of the projects;
(d)
reports will be sent to the HR;
(e)
the FRS will ensure the visibility of the Union contribution, appropriate to its size.
5. THIRD-PARTY PARTICIPANTS
The projects will be financed in their entirety under this Decision. Experts from States subscribing to the Code or from non-subscribing States may be considered as third-party participants. They will work in accordance with the standard rules of the FRS.
(1) Council Regulation (EC) No 428/2009 of 5 May 2009 setting up a Community regime for the control of exports, transfer, brokering and transit of dual-use items (OJ L 134, 29.5.2009, p. 1). |
7.11.2014
EN
Official Journal of the European Union
L 321/7
COMMISSION IMPLEMENTING REGULATION (EU) No 1199/2014
of 24 October 2014
entering a name in the register of protected designations of origin and protected geographical indications (Pemento de Mougán (PGI))
THE EUROPEAN COMMISSION,
Having regard to the Treaty on the Functioning of the European Union,
Having regard to Regulation (EU) No 1151/2012 of the European Parliament and of the Council of 21 November 2012 on quality schemes for agricultural products and foodstuffs (1), and in particular Article 52(2) thereof,
Whereas:
(1)
Pursuant to Article 50(2)(a) of Regulation (EU) No 1151/2012, Spain's application to register the name ‘Pemento de Mougán’ was published in the Official Journal of the European Union (2).
(2)
As no statement of opposition under Article 51 of Regulation (EU) No 1151/2012 has been received by the Commission, the name ‘Pemento de Mougán’ should therefore be entered in the register,
HAS ADOPTED THIS REGULATION:
Article 1
The name ‘Pemento de Mougán’ (PGI) is hereby entered in the register.
The name specified in the first paragraph denotes a product in Class 1.6. Fruit, vegetables and cereals fresh or processed, as listed in Annex XI to Commission Implementing Regulation (EU) No 668/2014 (3).
Article 2
This Regulation shall enter into force on the twentieth day following that of its publication in the Official Journal of the European Union.
This Regulation shall be binding in its entirety and directly applicable in all Member States.
Done at Brussels, 24 October 2014.
For the Commission,
On behalf of the President,
Dacian CIOLOȘ
Member of the Commission
(1) OJ L 343, 14.12.2012, p. 1.
(2) OJ C 198, 27.6.2014, p. 39.
(3) Commission Implementing Regulation (EU) No 668/2014 of 13 June 2014 laying down rules for the application of Regulation (EU) No 1151/2012 of the European Parliament and of the Council on quality schemes for agricultural products and foodstuffs (OJ L 179, 19.6.2014, p. 36). |
31.10.2014
EN
Official Journal of the European Union
L 311/58
COMMISSION IMPLEMENTING DECISION
of 30 October 2014
on the equivalence of the regulatory framework of Singapore for central counterparties to the requirements of Regulation (EU) No 648/2012 of the European Parliament and of the Council on OTC derivatives, central counterparties and trade repositories
(2014/753/EU)
THE EUROPEAN COMMISSION,
Having regard to the Treaty on the Functioning of the European Union,
Having regard to Regulation (EU) No 648/2012 of the European Parliament and of the Council of 4 July 2012 on OTC derivatives, central counterparties and trade repositories (1), and in particular Article 25(6) thereof,
Whereas:
(1)
The procedure for recognition of central counterparties (‘CCPs’) established in third countries set out in Article 25 of Regulation (EU) No 648/2012 aims to allow CCPs established and authorised in third countries whose regulatory standards are equivalent to those laid down in that Regulation to provide clearing services to clearing members or trading venues established in the Union. That recognition procedure and the equivalence decision provided for therein thus contribute to the achievement of the overarching aim of Regulation (EU) No 648/2012 to reduce systemic risk by extending the use of safe and sound CCPs to clear over-the-counter (‘OTC’) derivative contracts, including where those CCPs are established and authorised in a third country.
(2)
In order for a third country legal regime to be considered equivalent to the legal regime of the Union in respect of CCPs, the substantial outcome of the applicable legal and supervisory arrangements should be equivalent to Union requirements in respect of the regulatory objectives they achieve. The purpose of this equivalence assessment is therefore to verify that the legal and supervisory arrangements of Singapore ensure that CCPs established and authorised therein do not expose clearing members and trading venues established in the Union to a higher level of risk than the latter could be exposed to by CCPs authorised in the Union and, consequently, do not pose unacceptable levels of systemic risk in the Union.
(3)
On 1 September 2013, the Commission received the technical advice of the European Securities and Markets Authority (‘ESMA’) on the legal and supervisory arrangements applicable to CCPs authorised in Singapore. The technical advice identified a number of differences between the legally binding requirements applicable, at a jurisdictional level, to CCPs in Singapore and the legally binding requirements applicable to CCPs under Regulation (EU) No 648/2012. This Decision is not only based, however, on a comparative analysis of the legally binding requirements applicable to CCPs in Singapore, but also on an assessment of the outcome of those requirements, and their adequacy to mitigate the risks that clearing members and trading venues established in the Union may be exposed to in a manner considered equivalent to the outcome of the requirements laid down in Regulation (EU) No 648/2012. The significantly lower risks inherent in clearing activities carried out in financial markets that are smaller than the Union financial market should thereby, in particular, be taken into account.
(4)
In accordance with Article 25(6) of Regulation (EU) No 648/2012, three conditions need to be fulfilled in order to determine that the legal and supervisory arrangements of a third country regarding CCPs authorised therein are equivalent to those laid down in that Regulation.
(5)
According to the first condition, CCPs authorised in a third country must comply with legally binding requirements which are equivalent to the requirements laid down in Title IV of Regulation (EU) No 648/2012.
(6)
The legally binding requirements of Singapore for CCPs authorised therein consist of Chapter 289 of the Securities and Futures Act (‘SFA’) and the Securities and Futures (Clearing Facilities) Regulations 2013 (‘SFA Regulations’). The SFA aims at promoting safe and efficient clearing facilities and reducing systemic risk. The SFA Regulations develop and implement the SFA requirements. The SFA introduces an authorisation regime for all systemically important clearing facilities performing the role of CCPs, which have to be authorised by the Monetary Authority of Singapore (‘MAS’) as Approved Clearing Houses (‘ACHs’). Other clearing facilities, including overseas CCPs, are authorised by MAS as Recognised Clearing Houses (‘RCHs’).
(7)
In January 2013, MAS also issued the Monograph on Supervision of Financial Market Infrastructures (‘the Monograph’) which sets out standards applicable to CCPs in implementation of the Principles for Financial Market Infrastructures (PFMIs) issued by the Committee on Payment and Settlement Systems (2) (‘CPSS’) and the International Organization of Securities Commissions (‘IOSCO’) in April 2012. In particular, the Monograph explains how MAS expects ACHs to comply with their obligations under the SFA, and it is taken into account by MAS in assessing compliance with the SFA obligations by ACHs.
(8)
To be authorised as ACHs, clearing houses have to fulfil specific requirements set out in the SFA and in the SFA Regulations. MAS may impose conditions or restrictions for the authorisation of ACHs and may at any time add or vary or revoke any condition or restriction imposed on them. ACHs have to operate clearing facilities safely and effectively, and they have to manage prudently the risks associated with their business and operations. They also must have sufficient financial, human and system resources.
(9)
Moreover, under the SFA, ACHs have to adopt, on an individual basis, internal rules and procedures ensuring the proper and efficient operation of the clearing facility and the proper regulation and supervision of its members. ACHs' internal rules and procedures must contain specific issues prescribed by MAS including requirements related to the risks in the operation of clearing facilities, the handling of defaults and the criteria and conditions to be fulfilled by their members. In this respect, the Monograph is implemented in the internal rules and procedures of ACHs. ACHs' internal rules and procedures, as well as any amendment, have to be submitted to MAS prior to their implementation. MAS can disallow, alter or supplement the internal rules and procedures or any part of the proposed amendment. In addition, under the SFA Regulations, prior approval by MAS is explicitly required for any change to the ACHs' risk management frameworks, including the type of collaterals accepted, the methodologies for collateral valuation and the determination of margins to manage ACHs' risk exposure to its participants, as well as the size of the financial resources available to cover a default of their members (excluding margins held with the ACH). The SFA provides for penalties where ACHs' internal rules and procedures are amended in a way no longer compliant with the requirements set out by MAS. Under the SFA, internal rules and procedures of ACHs are therefore binding upon ACHs.
(10)
The legally binding requirements of Singapore therefore comprise a two-tiered structure. The core requirements for ACHs laid down in the SFA and the SFA Regulations (‘the primary rules’), set out the high-level standards with which ACHs must comply in order to obtain authorisation to provide clearing services in Singapore. Those primary rules comprise the first tier of the legally binding requirements in Singapore. In order to prove compliance with the primary rules, ACHs must submit their internal rules and procedures to MAS prior to their implementation and MAS can disallow, alter or supplement them. Those internal rules and procedures comprise the second tier of the legally binding requirements of Singapore, which must provide prescriptive detail regarding the way in which the applicant ACH meets those high-level standards in accordance with the Monograph. Moreover, the internal rules and procedures of ACHs contain additional provisions which complement the primary rules.
(11)
The equivalence assessment of the legal and supervisory arrangements applicable to ACHs should also take account of the risk mitigation outcome that they ensure in terms of the level of risk to which clearing members and trading venues established in the Union are exposed to due to their participation in ACHs. The risk mitigation outcome is determined by both the level of risk inherent in the clearing activities carried out by the CCP concerned which depend on the size of the financial market in which it operates, and the appropriateness of the legal and supervisory arrangements applicable to CCPs to mitigate that level of risk. In order to achieve the same risk mitigation outcome, more stringent risk mitigation requirements are needed for CCPs carrying out their activities in bigger financial markets whose inherent level of risk is higher than for CCPs carrying out their activities in smaller financial markets whose inherent level of risk is lower.
(12)
The size of the financial markets in which ACHs carry out their clearing activities is significantly smaller than that in which CCPs established in the Union carry out theirs. In particular, over the past three years, the total value of transactions cleared in Singapore represented less than 1 % of the total value of transaction cleared in the Union's Member-States which are part of the G10. Therefore, participation in ACHs exposes clearing members and trading venues established in the Union to significantly lower risks than their participation in CCPs authorised in the Union.
(13)
The legal and supervisory arrangements applicable to ACHs may therefore be considered as equivalent where they are appropriate to mitigate that lower level of risk. The primary rules applicable to ACHs, complemented by their internal rules and procedures which implement the PFMIs, mitigate the lower level of risk existing in Singapore and achieve a risk mitigation outcome equivalent to that pursued by Regulation (EU) No 648/2012.
(14)
The Commission therefore concludes that the legal and supervisory arrangements of Singapore ensure that ACHs authorised therein comply with legally binding requirements which are equivalent to the requirements laid down in Title IV of Regulation (EU) No 648/2012.
(15)
According to the second condition under Article 25(6) of Regulation (EU) No 648/2012, the legal and supervisory arrangements of Singapore in respect of CCPs authorised therein must provide for effective supervision and enforcement of those CCPs on an ongoing basis.
(16)
MAS can issue directions, whether of a general or specific nature, for ensuring the safe and efficient operation of ACHs and, in particular, for ensuring compliance with obligations or requirements under the SFA or with the requirements prescribed by MAS which have to be incorporated in the ACHs' internal rules and procedures. The SFA provides for penalties where the ACH concerned does not comply with the directions issued by MAS. Regarding enforcement of ACHs' internal rules and procedures, MAS may apply to the High Court to issue an order requesting an ACH to comply with, observe, enforce or give effect to its internal rules and procedures. Finally, MAS may revoke the authorisation of ACHs in case of non-compliance with the requirements it prescribes, any condition or restriction imposed on authorisation, any direction issued by MAS under the SFA or any provision of the SFA, among others.
(17)
In addition, ACHs are required under the SFA Regulations to submit to MAS an annual report on how they have discharged their responsibilities under the SFA during the financial year. They also have to submit to MAS the auditors' long form report of the ACH, which has to include the findings and recommendations of the auditors, if any, on the internal controls of the ACH and on any non-compliance of the ACH with any provision of the SFA and any direction issued by MAS under the SFA.
(18)
The Commission therefore concludes that the legal and supervisory arrangements of Singapore in respect of CCPs authorised therein provide for effective supervision and enforcement on an ongoing basis.
(19)
According to the third condition under Article 25(6) of Regulation (EU) No 648/2012, the legal and supervisory arrangements of Singapore must include an effective equivalent system for the recognition of CCPs authorised under third country legal regimes (‘third country CCPs’).
(20)
Third country CCPs may apply for a RCH authorisation enabling them to provide the same services in Singapore as those they are authorised to provide in the third country.
(21)
Before granting a RCH authorisation, MAS assesses whether the regulatory regime of the third country in which the CCP is authorised is comparable to the legal and supervisory arrangements applied to CCPs established in Singapore, including whether the PFMIs are applied. The establishment of cooperation arrangements between MAS and the relevant foreign supervisory authority is also required to grant an RCH authorisation.
(22)
While noting that the structure of the recognition procedure of the legal regime of Singapore applicable to third country CCPs differs from the procedure laid down in Regulation (EU) No 648/2012, it should nonetheless be considered as providing for an effective equivalent system for the recognition of third country CCPs.
(23)
The conditions laid down in Article 25(6) of Regulation (EU) No 648/2012 can therefore be considered to be met by the legal and supervisory arrangements of Singapore regarding ACHs and those legal and supervisory arrangements should be considered to be equivalent to the requirements laid down in Regulation (EU) No 648/2012. The Commission, informed by ESMA, should continue monitoring the evolution of the Singapore legal and supervisory framework for CCPs and the fulfilment of the conditions on the basis of which this decision has been taken.
(24)
The measures provided for in this Decision are in accordance with the opinion of the European Securities Committee,
HAS ADOPTED THIS DECISION:
Article 1
For the purposes of Article 25 of Regulation (EU) No 648/2012, the legal and supervisory arrangements of Singapore consisting of Chapter 289 of the Securities and Futures Act and the Securities and Futures (Clearing Facilities) Regulations 2013 as complemented by the ‘Monograph on Supervision of Financial Market Infrastructures’ and applicable to Approved Clearing Houses (‘ACHs’) authorised therein shall be considered to be equivalent to the requirements laid down in Regulation (EU) No 648/2012.
Article 2
This Decision shall enter into force on the twentieth day following that of its publication in the Official Journal of the European Union.
Done at Brussels, 30 October 2014.
For the Commission
The President
José Manuel BARROSO
(1) OJ L 201, 27.7.2012, p. 1.
(2) As of 1 September 2014 the Committee on Payment and Settlement Systems has changed its name to Committee on Payment and Market Infrastructures (‘CPMI’). |
24.9.2014
EN
Official Journal of the European Union
L 280/13
COMMISSION REGULATION (EU) No 996/2014
of 18 September 2014
establishing a prohibition of fishing for blue ling in Union and international waters of Vb, VI, VII by vessels flying the flag of Ireland
THE EUROPEAN COMMISSION,
Having regard to the Treaty on the Functioning of the European Union,
Having regard to Council Regulation (EC) No 1224/2009 of 20 November 2009 establishing a Community control system for ensuring compliance with the rules of the common fisheries policy (1), and in particular Article 36(2) thereof,
Whereas:
(1)
Council Regulation (EU) No 43/2014 (2) lays down quotas for 2014.
(2)
According to the information received by the Commission, catches of the stock referred to in the Annex to this Regulation by vessels flying the flag of or registered in the Member State referred to therein have exhausted the quota allocated for 2014.
(3)
It is therefore necessary to prohibit fishing activities for that stock,
HAS ADOPTED THIS REGULATION:
Article 1
Quota exhaustion
The fishing quota allocated to the Member State referred to in the Annex to this Regulation for the stock referred to therein for 2014 shall be deemed to be exhausted from the date set out in that Annex.
Article 2
Prohibitions
Fishing activities for the stock referred to in the Annex to this Regulation by vessels flying the flag of or registered in the Member State referred to therein shall be prohibited from the date set out in that Annex. In particular it shall be prohibited to retain on board, relocate, tranship or land fish from that stock caught by those vessels after that date.
Article 3
Entry into force
This Regulation shall enter into force on the day following that of its publication in the Official Journal of the European Union.
This Regulation shall be binding in its entirety and directly applicable in all Member States.
Done at Brussels, 18 September 2014.
For the Commission,
On behalf of the President,
Lowri EVANS
Director-General for Maritime Affairs and Fisheries
(1) OJ L 343, 22.12.2009, p. 1.
(2) Council Regulation (EU) No 43/2014 of 20 January 2014 fixing for 2014 the fishing opportunities for certain fish stocks and groups of fish stocks, applicable in Union waters and, to Union vessels, in certain non-Union waters (OJ L 24, 28.1.2014, p. 1).
ANNEX
No
30/TQ43
Member State
Ireland
Stock
BLI/5B67-
Species
Blue ling (Molva dypterygia)
Zone
Union and international waters of Vb, VI, VII
Closing date
28.8.2014 |
"21.11.2014\nEN\nOfficial Journal of the European Union\nL 334/39\nCOMMISSION IMPLEMENTING REGULATIO(...TRUNCATED) |
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