title: COMMISSION IMPLEMENTING REGULATION (EU) …/... on the monitoring and reporting of data relating to CO2 emissions from passenger cars and light commercial vehicles pursuant to Regulation (EU) 2019/631 of the European Parliament and of the Council and repealing Implementing Regulations (EU) No 1014/2010, (EU) No 293/2012, (EU) 2017/1152 and (EU) 2017/1153

text:
               COMMISSION IMPLEMENTING REGULATION (EU) …/...

               of 4.3.2021

               on the monitoring and reporting of data relating to CO2 emissions from passenger cars and light commercial vehicles pursuant to Regulation (EU) 2019/631 of the European Parliament and of the Council and repealing Implementing Regulations (EU) No 1014/2010, (EU) No 293/2012, (EU) 2017/1152 and (EU) 2017/1153

               (Text with EEA relevance)

               THE EUROPEAN COMMISSION,

               Having regard to the Treaty on the Functioning of the European Union,

               Having regard to Regulation (EU) 2019/631 of the European Parliament and of the Council of 17 April 2019 setting CO2 emission performance standards for new passenger cars and for new light commercial vehicles, and repealing Regulations (EC) No 443/2009 and (EU) No 510/2011
                  1
               , and in particular Articles 7(7), 12(4), 13(4) and 15(7) thereof,

               Whereas:

               (1)The monitoring and reporting of data on passenger cars and light commercial vehicles registered in the Union are essential for the functioning of the CO2 emission performance standards set out in Regulation (EU) 2019/631. Considering that that Regulation started applying on 1 January 2020, it is appropriate to simplify and clarify the provisions set out in Commission Implementing Regulations (EU) No 1014/2010
                  2
                and (EU) No 293/2012
                  3
                and to bring those provisions into one single Implementing Regulation. For the reporting of data for the calendar year 2020, it is however appropriate to allow both the new and the existing provisions to overlap until 28 February 2021.

               (2)It is necessary to set out procedures for the monitoring and reporting of data relating to new passenger cars and light commercial vehicles that are to be followed by the competent authorities of the Member States, the manufacturers, as well as the Commission and the European Environment Agency (EEA).

               (3)The monitoring and reporting cycle provided for in Article 7 of Regulation (EU) 2019/631 consists of three main steps: the annual reporting by Member States’ authorities to the Commission of the provisional data based on registrations of new vehicles in the preceding calendar year; the transmission of that provisional data by the Commission, with the support of the EEA, to the manufacturers concerned; the verification of that data by the manufacturers and, where necessary, the notification to the Commission of corrections to that data.

               (4)The measures to be taken by the different actors, as part of those three steps within the relevant time-limits, should be clearly specified, with the objective of ensuring the robustness and reliability of the final dataset published by the Commission pursuant to Article 9 of Regulation (EU) 2019/631, on the basis of which a manufacturer’s average specific CO2 emissions and compliance with its specific CO2 emission target are determined.

               (5)Pursuant to Article 12 of Regulation (EU) 2019/631, the Commission is required to collect, from 2021,  data on the real-world fuel or energy consumption of passenger cars and light commercial vehicles that are recorded by on-board fuel and/or energy consumption monitoring devices as provided for in Article 4a of Commission Regulation (EU) 2017/1151
                  4
               .

               (6)Such real-world data should be collected as soon as it becomes available, as it is essential to identify, as early as possible, how the difference between the real-world emissions and fuel or energy consumption and the corresponding type-approval values evolves over time, both for monitoring the effectiveness of the CO2 emission standards in reducing vehicle CO2 emissions, and for informing the public.

               (7)In order to ensure that it is possible to access real-world fuel and energy consumption data as early as possible, manufacturers should be required to collect such data from new passenger cars and light commercial vehicles registered from 1 January 2021. Such data may be collected either through direct data transfers from vehicles to the manufacturers, or through their authorised dealers or authorised repairers when vehicles are brought in for service or repairs and on-board data is to be read out for other purposes. Where such data is made available to a manufacturer, it should be reported to the Commission, starting with data relating to new vehicles registered in the Union for the first time in 2021.

               (8)Pursuant to Regulation (EU) 2017/1151, the obligation to equip vehicles with on-board fuel or energy consumption monitoring devices does not apply to certain small volume manufacturers, and it is therefore appropriate that they should also be exempt from the obligation to collect and report real-world data. This should, however, not prevent small volume manufacturers from delivering real-world data should they so wish.

               (9)Real-world fuel and energy consumption data should be collected by Member States as part of the roadworthiness tests performed in accordance with Directive 2014/45/EU of the European Parliament and of the Council
                  5
               . In order to facilitate this task, it is appropriate to align the obligation to collect the real-world data with the requirements set out in Directive 2014/45/EU, both as regards the national timetables for the roadworthiness tests and for the reading-out of data from the on-board diagnostics serial port of the vehicles. The data collection should therefore start from the first roadworthiness tests and should not be required before 20 May 2023, which is the date from which the bodies and establishments performing those tests are to be equipped with the necessary devices, such as scan tools, pursuant to that Directive. Member States should, however, not be prevented from delivering data before that date, should they so wish.

               (10)Manufacturers and Member States should report real-world data collected during a calendar year to the Commission and the EEA, using the data transmission procedures provided by the EEA. Should such data not be available, which may be the case in particular in the first calendar years following 2021, manufacturers and Member States should inform the Commission and provide the reasons therefore.

               (11)Real-world fuel and energy consumption data should be collected together with the vehicle’s identification number (VIN). The VIN is considered to be personal data from the moment the vehicle is registered, and is therefore subject to the requirements laid down with regard to the protection of such data in Regulation (EU) 2016/679 of the European Parliament and of the Council
                  6
               . The processing of the VINs for the purposes of Regulation (EU) 2019/631 should be considered lawful pursuant to Article 6(1)(c) of Regulation (EU) 2016/679. Moreover, it should be specified that the entities involved in the collection, reporting and processing of the VINs are to be considered as controllers of such data within the meaning of point 7 of Article 4 of Regulation (EU) 2016/679 and, as regards the EEA and the Commission, within the meaning of Article 3(8) of Regulation (EU) 2018/1725 of the European Parliament and of the Council
                  7
               .It should be also ensured that the VINs are collected using secure means of communication, and that the data subjects, namely the vehicle owners, are adequately informed in accordance with Articles 13 and 14 of Regulation (EU) 2016/679.

               (12)It should also be specified how the real-world data and the VINs are to be used, and the time period for which that data is to be retained by the different entities involved in the collection and reporting. As the objective is to follow the evolution of the real-world performance of the vehicle over its estimated lifetime, data should be collected for a period of 15 years for the same vehicle and be retained by the EEA for a period of 20 years. However, as regards other entities collecting and reporting data, they should hold the data only for the time needed to prepare the data for the transmission to the EEA.

               (13)The collection of real-world data and the VINs should be fully transparent, and the vehicle owners should therefore have the possibility to refuse to make that data available to the manufacturers or during the roadworthiness tests. It should be noted that the right of refusal of the vehicle owner is not based on Article 21 of Regulation (EU) 2016/679 and the refusal should be considered valid only as regards that data collected for the purposes of this Regulation.

               (14)The data to be published in accordance with Article 12(1) of Regulation (EU) 2019/631 should not allow the identification of individual vehicles or drivers, but should only be published as an anonymised and aggregated dataset without any reference to the VINs.

               (15)Based on the assessment referred to in the first subparagraph of Article 12(3) of Regulation (EU) 2019/631, the Commission should review certain aspects of the provisions on the monitoring, reporting and publication of real-world fuel and energy consumption data, taking into account, inter alia, the availability of direct data transfers from vehicles.

               (16)In order to ensure the availability of type-approval data for the purpose of establishing a procedure for verifying the CO2 emissions of passenger cars and light commercial vehicles in-service, as required by Article 13 of Regulation (EU) 2019/631, the collection of such data under Commission Implementing Regulations (EU) 2017/1152
                  8
                and (EU) 2017/1153
                  9
                should continue also after the obligation to collect such data under those Regulations ceases to apply on 1 January 2021.

               (17)Type-approval authorities should therefore ensure that data relating to the tests performed in accordance with Implementing Regulation (EU) 2017/1151 continues to be recorded and transmitted to the Commission Joint Research Centre, using the secure transmission procedure provided by it.

               (18)From 1 January 2021, it is no longer necessary to determine CO2 emissions for passenger cars and light commercial vehicles in accordance with the New European Driving Cycle (NEDC) as provided for in Implementing Regulations (EU) 2017/1152 and (EU) 2017/1153, with the exception of off-vehicle-charging hybrid electric passenger cars placed on the market until 31 December 2022, where a manufacturer wishes to benefit from super-credits as set out in Article 5 of Regulation (EU) 2019/631.

               (19)As the transition from the NEDC-based CO2 emission standards to standards based on the Worldwide Harmonised Light Vehicle Test Procedure set out in Regulation (EU) 2017/1151 will only be fully completed by the end of 2023, and will be finally reported on as part of the annual CO2 data monitoring process in 2024, and in view of, in particular, the provisions on eco-innovations and end-of-series vehicles, Implementing Regulations (EU) 2017/1152 and (EU) 2017/1153 should remain in force until the end of 2024.

               (20)The European Data Protection Supervisor was consulted in accordance with Article 42(1) of Regulation (EU) 2018/1725 of the European Parliament and of the Council and delivered its comments on 14 January 2021.

               (21)The measures provided for in this Regulation are in accordance with the opinion of the Climate Change Committee,

               HAS ADOPTED THIS REGULATION:

               Chapter 1 – general provisions

               Article 1
                  Subject matter

               1.This Regulation sets out detailed rules on the procedures for the monitoring and reporting by Member States and manufacturers of data relating to CO2 emissions from new passenger cars and light commercial vehicles, as well as of data on real-world CO2 emissions and fuel or energy consumption of those vehicles.

               2.For the purpose of establishing the procedure for verifying CO2 emissions of in-service vehicles in accordance with Article 13 of Regulation (EU) 2019/631, this Regulation also provides for the reporting by the Member States’ competent authorities of certain data recorded as part of the type-approval tests performed in accordance with Regulation (EU) 2017/1151.

               Article 2
                  Definitions

               In addition to the definitions set out in Article 3 of Regulation (EU) 2019/631, the following definitions shall apply:

               (a)‘detailed monitoring data’ means the detailed monitoring data specified for passenger cars in Section 2 of Part B of Annex II to Regulation (EU) 2019/631 and for light commercial vehicles in Section 2 of Part C of Annex III to that Regulation;

               (b)‘aggregated monitoring data’ means the aggregated data specified for passenger cars in Section 1 of Part B of Annex II to Regulation (EU) 2019/631 and for light commercial vehicles in Section 1 of Part C of Annex III to that Regulation;

               (c)‘real-world data’ means the data referred to in point 3.1(a) and (b) and point 3.2(a) to (g) and (l) of Annex XXII to Regulation (EU) 2017/1151 that has been obtained from on-board fuel and/or energy consumption monitoring devices.

               Chapter 2 – reporting of data in accordance with Article 7 of Regulation (EU) 2019/631

               Article 3
                  Aggregated and detailed monitoring data

               1.Member States shall ensure the maintenance, collection, control, verification and timely transmission of the aggregated and detailed monitoring data to the Commission and the European Environment Agency (EEA).

               Member States shall ensure that requests by the EEA for clarifications or corrections of the transmitted data are addressed without delay by their designated contact persons.

               2.The aggregated and detailed monitoring data shall be reported in two separate datasets for passenger cars and light commercial vehicles, respectively, in accordance with Part B of Annex II to Regulation (EU) 2019/631 and Part C of Annex III to that Regulation.

               3.Member States shall transmit the aggregated and detailed monitoring data via electronic data transfer to the Central Data Repository (CDR) managed by the EEA. Member States shall notify the Commission when the data is transmitted.

               Article 4
                  Provisional calculation and data

               1.The Commission, together with the EEA, shall, in accordance with Article 7(4) of Regulation (EU) 2019/631, ensure that each manufacturer and pool of manufacturers responsible for new passenger cars or light commercial vehicles registered in the Union is notified of the provisional calculation of its specific emissions target and its average specific emissions of CO2 and of the data reported by Member States.

               2.The provisional calculations and the data referred to in paragraph 1 shall be notified separately for passenger cars and light commercial vehicles and shall include the records which, on the basis of the manufacturer’s name and World Manufacturer Identifier, can be attributed to that manufacturer.

               3.The central register of data referred to in Article 7(4) of Regulation (EU) 2019/631 shall include all data entries reported by the Member States, with the exception of the vehicle identification numbers (VINs).

               The VINs shall be retained by the EEA for a period of 20 years from the date on which they were first uploaded to the CDR or the Business Data Repository (BDR) of the EEA.

               Article 5
                  Manufacturer details

               Manufacturers that place or intend to place passenger cars or light commercial vehicles that fall within the scope of Regulation (EU) 2019/631 on the market of the Union shall notify the Commission without delay of the following information and of any changes to that information:

               (a) the manufacturer name they indicate or intend to indicate on the certificates of conformity;

               (b)the World Manufacturer Identifier, corresponding to the first three characters of the VIN, that they indicate or intend to indicate on the certificates of conformity;

               (c)for the purpose of the notification referred to in the second subparagraph of Article 7(4) of Regulation (EU) 2019/631, the name and address of the contact person representing the manufacturer to whom the notification of the provisional calculations and data is to be addressed.

               The names and addresses referred to in point (c) shall be considered as personal data within the meaning of Regulation (EU) 2018/1725.

               Article 6
                  Notification of errors in the data used for the provisional calculations

               1.Where a manufacturer verifies the provisional data in accordance with the first subparagraph of Article 7(5) of Regulation (EU) 2019/631, it shall use the dataset provided for that purpose by the EEA.

               2.Where an error is identified in the dataset, the manufacturer shall, where possible, correct it and indicate, by a separate entry in the dataset for each vehicle record, entitled ‘Manufacturer comments’, one of the following codes:

               (a) Code A, if the record has been changed by the manufacturer;

               (b) Code B, if the vehicle cannot be identified by the manufacturer;

               (c) Code C, if the vehicle falls out of the scope of Regulation (EU) 2019/631;

               (d) Code D, if the manufacturer to which a vehicle of category N1 has been attributed is the manufacturer of the completed vehicle but not of the incomplete or complete base vehicle.

               For the purposes of point (b), a vehicle is considered unidentifiable where the VIN is missing or is manifestly incorrect.

               3.Manufacturers shall notify the Commission of any errors in accordance with Article 7(5) of Regulation (EU) 2019/631 by uploading the complete corrected dataset to the BDR. They shall also send an electronic copy of the notification for information to the following e-mail addresses:

               EC-CO2-LDV-implementation@ec.europa.eu

               and

               CO2-monitoring@eea.europa.eu

               4.Manufacturers shall ensure that requests for clarifications of the corrections by the Commission or the EEA are addressed without delay by their contact persons designated in accordance with Article 5(c) of this Regulation.

               5.Where a manufacturer does not notify the Commission of any errors before the expiry of the three month period provided for in Article 7(5) of Regulation (EU) 2019/631, the provisional values notified in accordance with Article 7(4) of that Regulation shall be considered as final.

               Article 7
                  Reporting of data relating to completed light commercial vehicles

               Manufacturers of a base vehicle as referred to in point 1.2.2 of Annex III to Regulation (EU) 2019/631 shall transmit the data referred to in that point via electronic data transfer to the BDR at the latest within three months from being notified of the provisional data in accordance with Article 4 of this Regulation.

               Article 8
                  Reporting of NEDC CO2 emissions for the purposes of Article 5 of Regulation (EU) 2019/631

               1.A manufacturer of new passenger cars registered in the calendar years 2021 or 2022 with measured NEDC CO2 values of less than 50 g CO2/km, as provided for in Article 5 of Implementing Regulation (EU) 2017/1153, shall report those measured NEDC CO2 values to the Commission together with the notification referred to in Article 6 of this Regulation.

               2.The Commission may request the manufacturer to provide the relevant certificates of conformity and type-approval certificates that support the reported CO2 emission values.

               Chapter 3 – collection and reporting of real-world data

               Article 9
                  Collection and reporting of real-world data by manufacturers

               1.Manufacturers shall collect real-world data together with the VINs of new passenger cars and new light commercial vehicles that are registered from 1 January 2021 and that are equipped with on-board fuel and/or energy consumption monitoring devices in accordance with Article 4a of Regulation (EU) 2017/1151, unless the vehicle owner expressly refuses to make that data available to the manufacturer or its authorised dealer or authorised repairer.

               2.Where the real-world data and the VINs are not collected by the manufacturer via direct data transfer from the vehicle, the manufacturer shall ensure that the data is collected and transmitted to it by its authorised dealer or authorised repairer each time the vehicle is brought in for service or repairs or any other intervention and data is to be read out from the on-board diagnostics serial port of the vehicle. The device or scan tool used shall be capable of reading out the data as it is recorded on the on-board fuel and/or energy consumption monitoring device. The read-out of the data shall be free of charge and not subject to any specific conditions.

               The manufacturer and, where applicable, its authorised dealer or repairer, shall ensure that secure means of communication are used for the collection of the VINs.

               3.On 1 April each year, with effect from 2022, a manufacturer shall report to the Commission any real-world data and the VINs that were collected in the preceding calendar year, as specified in Table 1 of the Annex, by uploading it to the BDR.

               In the event that several records referring to the same VIN are collected by a manufacturer in the same calendar year, the real-world data to be reported shall be the record indicating the highest total distance travelled. Real-world data for a given vehicle shall be collected for a maximum period of 15 years from the date on which the data for that vehicle was first reported to the EEA.

               Where a manufacturer claims that real-world data cannot be reported, or can only be reported in part, it shall make a statement to that effect to the Commission and shall provide the reasons therefore. The statement and the justification shall be uploaded to the BDR.

               4.Paragraphs 1, 2 and 3 shall not apply to small volume manufacturers as referred to in in Article 15(11) of Regulation (EU) 2017/1151.

               Article 10
                  Collection and reporting of real-world data by Member States

               1.Member States shall ensure that the bodies or establishments referred to in Article 4(2) of Directive 2014/45/EU collect real-world data and VINs of new passenger cars and new light commercial vehicles that are registered from 1 January 2021 and that are equipped with on-board fuel and/or energy consumption monitoring devices in accordance with Article 4a of Regulation (EU) 2017/1151.

               With effect from 20 May 2023, the real-world data together with the VINs shall be collected when the vehicles undergo roadworthiness tests in accordance with Article 5 of Directive 2014/45/EU, unless the vehicle owner expressly refuses to make that data available.

               The real-world data shall be read out by using a device to connect to the electronic vehicle interface, such as a scan tool as referred to in Annex III to Directive 2014/45/EU. The device used shall be capable of reading out the data as it is recorded on the on-board fuel and/or energy consumption monitoring device.

               2.With effect from 2022, Member States shall ensure that the real-world data together with the VINs, as specified in Table 1 of the Annex, that were collected in the preceding calendar year are reported to the Commission annually on 1 April, by uploading that data to the CDR. Where no such data is available, a statement to that effect, including the reasons why the data is not available, shall be uploaded to the CDR.

               Member States shall ensure that the real-world data for a given vehicle is collected for a maximum period of 15 years from the date on which that data was first reported for the vehicle to the EEA.

               The Member State and the bodies and establishments responsible for the collection of the VINs shall ensure that secure means of communication are used for that collection.

               Article 11
                  Obligations relating to the protection of personal data

               1.The following entities responsible for collecting the VINs together with the real-world data directly from the vehicles, shall, in relation to the collection and processing of the VINs, be considered as controllers of the relevant data within the meaning of point 7 of Article 4 of Regulation (EU) 2016/679:

               (a)manufacturers in the case of direct data transfers from the vehicles to the manufacturer;

               (b)authorised dealers or authorised repairers;

               (c)bodies or establishments responsible for roadworthiness testing.

               Those entities shall ensure that they meet the obligation to provide information to the vehicle owners in their capacity as data subjects, as set out in Article 13 of that Regulation.

               2.Where the VINs have been obtained indirectly from the vehicle owner for the purposes of Articles 3, 9 or 10, the Member States, and, where applicable, the manufacturers shall, in their capacity as data controllers, ensure that they meet the obligation to provide information to the vehicle owners as set out in Article 14 of Regulation (EU) 2016/679.

               3.The EEA and the Commission shall, in relation to the collection and processing of VINs for the purposes of this Regulation, be considered as data controllers subject to the provisions set out in Regulation (EU) 2018/1725.

               4.The VINs and the real-world data collected in accordance with Articles 9 and 10 of this Regulation may not be used for any purpose other than that specified in Article 12 of Regulation (EU) 2019/631.

               5.The VINs and the real-world data collected in accordance with Articles 9 and 10 may only be retained for the following periods:

               (a)by manufacturers, until that data has been reported upon in accordance with Article 9(3);

               (b)by authorised dealers and repairers, until that data has been transmitted to the manufacturer in accordance with Article 9(2);

               (c)by bodies and establishments responsible for roadworthiness tests, until that data has been transmitted to the EEA, or to the authority designated by the Member States for reporting the data to the EEA, in accordance with Article 10(2);

               (d)by the authorities designated by the Member States for reporting the real-world data to the EEA, until that data has been reported upon in accordance with Article 10(2);

               (e)by the EEA, until 20 years from the date on which the data was first uploaded to the BDR in accordance with Article 9(3) or to the CDR in accordance with Article 10(2).

               Article 12
                  Publication of real-world data

               1.With effect from December 2022, the Commission shall each year publish anonymised and aggregated datasets that shall be split between passenger cars and light commercial vehicles powered by internal combustion engines, and off-vehicle charging hybrid electric vehicles (OVC-HEVs) of the same categories, including the following data per manufacturer:

               (a)the average fuel consumption (l/100 km) based on the data reported pursuant to Articles 9 and 10;

               (b)the average electric energy consumption (kWh/100 km) based on the data reported pursuant to Articles 9 and 10;

               (c)the average CO2 emissions (g/km) calculated on the basis of the data reported pursuant to Articles 9 and 10;

               (d)the difference between the average fuel consumption referred to in point (a) and the average of the fuel consumption values recorded in the certificates of conformity of the same vehicles as those for which real-world data has been reported;

               (e)the difference between the average electric energy consumption referred to in point (b) and the average of the electric energy consumption values recorded in the certificates of conformity of the same vehicles as those for which real-world data has been reported;

               (f)the difference between the average CO2 emissions (g/km) calculated in accordance with point (c) and the average of the CO2 emission values recorded in the certificates of conformity of the same vehicles as those for which real-world data has been reported.

               Points (b) and (e) shall apply only as regards OVC-HEVs.

               Article 13
                  Review

               The Commission shall, on the basis of the assessment referred to in the first subparagraph of Article 12(3) of Regulation (EU) 2019/631, review the implementation of Articles 9 to 12 of this Regulation considering, in particular, the following:

               (a)the number of vehicles equipped with direct data transfer devices;

               (b)the need for continued monitoring and reporting of real-world data by manufacturers;

               (c)the time period during which real-world data need to be monitored and reported;

               (d)the appropriate level of aggregation of data to be published by the Commission pursuant to Article 12 of this Regulation.

               Chapter 4 – monitoring and reporting of data from tests performed in accordance with Regulation (EU) 2017/1151

               Article 14
                  Test data

               1.Type-approval authorities shall ensure that the data specified in Table 2 of the Annex is recorded for each Type 1 test performed in accordance with Annex XXI to Regulation (EU) 2017/1151.

               2.The recorded data shall be uploaded in an encrypted format to the dedicated Commission server. Where the data has been correctly uploaded, a receipt shall be sent from the Commission server to the uploading entity.

               3.The test data shall not be published.

               Article 15
                  Repeal

               1.Implementing Regulations (EU) No 1014/2010 and (EU) No 293/2012 are repealed with effect from 1 March 2021.

               2.Implementing Regulations (EU) 2017/1152 and (EU) 2017/1153 are repealed with effect from 1 January 2025.

               Article 16
                  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, 4.3.2021

                     For the Commission

                     The President
                     Ursula VON DER LEYEN

                     (1)

                        OJ L 111, 25.4.2019, p. 13.

                     (2)

                        Commission Implementing Regulation (EU) No 1014/2010 of 10 November 2010 on monitoring and reporting of data on the registration of new passenger cars pursuant to Regulation (EC) No 443/2009 of the European Parliament and of the Council (OJ L 293, 11.11.2010, p. 15).

                     (3)

                        Commission Implementing Regulation (EU) No 293/2012 of 3 April 2012 on monitoring and reporting of data on the registration of new light commercial vehicles pursuant to Regulation (EU) No 510/2011 of the European Parliament and of the Council (OJ L 98, 4.4.2012, p. 1).

                     (4)

                        Commission Implementing Regulation (EU) 2017/1151 of 1 June 2017 supplementing Regulation (EC) No 715/2007 of the European Parliament and of the Council on type-approval of motor vehicles with respect to emissions from light passenger and commercial vehicles (Euro 5 and Euro 6) and on access to vehicle repair and maintenance information amending Directive 2007/46/EC of the European Parliament and of the Council, Commission Regulation (EC) No 692/2008 and Commission Regulation (EU) 1230/2012 and repealing Commission Regulation (EC) No 692/2008 (OJ L 175, 7.7.2017, p. 1).

                     (5)

                        Directive 2014/45/EU of the European Parliament and of the Council of 3 April 2014 on periodic roadworthiness tests for motor vehicles and their trailers and repealing Directive 2009/40/EC (OJ L 127, 29.4.2014, p. 51).

                     (6)

                        Regulation (EU) 2016/679 of the European Parliament and of the Council of 27 April 2016 on the protection of natural persons with regard to the processing of personal data and on the free movement of such data, and repealing Directive 95/46/EC (General Data Protection Regulation) (OJ L 119, 4.5.2016, p.1).

                     (7)

                        Regulation (EU) 2018/1725 of the European Parliament and of the Council of 23 October 2018 on the protection of natural persons with regard to the processing of personal data by the Union institutions, bodies, offices and agencies and on the free movement of such data, and repealing Regulation (EC) No 45/2001 and Decision No 1247/2002/EC (OJ L 295, 21.11.2018, p. 39).

                     (8)

                        Commission Implementing Regulation (EU) 2017/1152 of 2 June 2017 setting out a methodology for determining the correlation parameters necessary for reflecting the change in the regulatory test procedure with regard to light commercial vehicles and amending Implementing Regulation (EU) No 293/2012 (OJ L 175, 7.7.2017, p. 644).

                     (9)

                        Commission Implementing Regulation (EU) 2017/1153 of 2 June 2017 setting out a methodology for determining the correlation parameters necessary for reflecting the change in the regulatory test procedure and amending Regulation (EU) No 1014/2010 (OJ L 175, 7.7.2017, p. 679).

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               ANNEX

               1.Collection and reporting of real-world data and vins in accordance with Articles 9 and 10

               Table 1 – Data to be reported in accordance with Articles 9 and 10

                        Parameter

                        Unit

                        Vehicles of category M1 and N1

                        Pure internal combustion engine vehicles and not-off-vehicle charging hybrid electric vehicles (1)

                        Off-vehicle charging hybrid electric vehicles(2)

                        Vehicle identification number

                        -

                        √

                        √

                        Total fuel consumed (lifetime)

                        l

                        √

                        √

                        Total distance travelled (lifetime)

                        km

                        √

                        √

                        Total fuel consumed in charge depleting operation (lifetime)

                        l

                        _

                        √

                        Total fuel consumed in driver-selectable charge increasing operation (lifetime)

                        l

                        _

                        √

                        Total distance travelled in charge depleting operation with engine off (lifetime)

                        km

                        _

                        √

                        Total distance travelled in charge depleting operation with engine running (lifetime)

                        km

                        _

                        √

                        Total distance travelled in driver-selectable charge increasing operation (lifetime)

                        km

                        _

                        √

                        Total grid energy into the battery (lifetime)

                        kWh

                        _

                        √

               (1)Powered exclusively by mineral diesel, biodiesel, petrol, ethanol or any combination of those fuels

               (2)Powered by electricity and mineral diesel, biodiesel, petrol or ethanol

               2.Reporting of data in accordance with Article 14

               The following parameters shall be reported for each interpolation family, i.e. for vehicle high (VH) and, where applicable, vehicle low (VL) or vehicle M, for the Type 1 tests performed in accordance with Annex XXI to Regulation (EU) 2017/1151.

               Except where otherwise indicated in Table 2, where more than one Type 1 test of vehicle high or vehicle low is performed, the test data shall be reported in accordance with the following:

               (a)in the case of two Type 1 tests, the test data for the Type 1 test with the highest measured CO2 emissions (combined);

               (b)in the case of three Type 1 tests, the test data for the Type 1 test with the median measured CO2 emissions (combined).

               Table 2 – Type 1 test data

                        No.

                        Parameters

                        Unit

                        Source (unless otherwise specified, all references are to Regulation (EU) 2017/1151)

                        Remarks

                        1

                        Interpolation family identifier

                        -

                        Point 0, Section II of the type approval certificate, Appendix 4 to Annex I.

                        Data shall be provided  for each type-approved interpolation family

                        2

                        Parent interpolation family identifier (where applicable)

                        -

                        -

                        Indicate the parent interpolation family identifier, if the test data has been determined for another interpolation family

                        3

                        Extension of a type approval

                        -

                        EC Type-Approval certificate

                           0 = No | 1 = Yes – if the test is performed for the purpose of  an extension of a type approval

                        4

                        Propulsion type

                        -

                        Pure ICEV, OVC-HEV, NOVC-HEV

                        5

                        Vehicle category and class

                        Point 0.4, Appendix 3 to Annex I

                        M1 or N1 Class 1, 2 or 3

                        6

                        Ignition type

                        Point 3.2.1.1., Appendix 3 to Annex I

                        Positive ignition or compression ignition

                        7

                        Number of cylinders

                        -

                        Point 3.2.1.2., Appendix 3 to Annex I

                        Number, if not provided default is 4

                        8

                        Engine stroke

                        mm

                        Point 3.2.1.2.2., Appendix 3 to Annex I

                        9

                        Engine capacity

                        cm3

                        Point 3.2.1.3., Appendix 3 to Annex I

                        10

                        Rated engine power

                        kW

                        Point 3.2.1.8., Appendix 3 to Annex I

                        11

                        Engine speed at rated engine power

                        min-1

                        Point 3.2.1.8., Appendix 3 to Annex I

                        Engine speed at maximum net power

                        12

                        Fuel type

                        -

                        Point 3.2.2.1. of Appendix 3 to Annex I

                        Diesel/Petrol/LPG/NG or Biomethane/Ethanol(E85)/Biodiesel/Hydrogen

                        13

                        Bi-fuel vehicle

                        -

                        Point 3.2.2.4., Appendix 3 to Annex I

                        0 = No | 1 = Yes

                        In case of bi-fuel vehicles, test results shall be provided for both fuel types (2 input templates)

                        14

                        Maximum power output of each electric machine (P0, P1, P2, P2 planetary, P3, or P4)(*)

                        kW

                        Point 3.3.1.1.1., Appendix 3 to Annex I

                        OVC-HEV and NOVC-HEV

                        15

                        Number of REESS cells

                        -

                        Point 3.3.2.1.  Appendix 3 to Annex I

                        OVC-HEV and NOVC-HEV

                        16

                        Service battery capacity

                        Ah

                        Point 3.4.4.5, Appendix 3 to Annex I

                        Low voltage battery capacity

                        17

                        Nominal voltage of the alternator

                        V

                        Point 3.4.4.5, Appendix 3 to Annex I

                        Nominal voltage of the alternator (mandatory for pure ICEV)

                        18

                        Tyre dimensions (front/rear)

                        -

                          Point 3.5.7.1 Test vehicle parameters, Appendix 3 to Annex I

                        Tyre code (e.g. P195/55R1685H) of tyres of the test vehicle

                        19

                        Road load coefficient F0

                        N

                        Point 3.5.7.1. Appendix 3 to Annex I

                        VH and VL (if applicable)

                        20

                        Road load coefficient F1

                        N/(km/h)

                        Point 3.5.7.1. Appendix 3 to Annex I

                        VH and VL (if applicable)

                        21

                        Road load coefficient F2

                        N/(km/h)2

                        Point 3.5.7.1. Appendix 3 to Annex I

                        VH and VL (if applicable)

                        22

                        Gearbox type

                        -

                        Point 4.5.1., Appendix 3 to Annex I

                        automatic/ manual/CVT/planetary

                        23

                        Internal gearbox ratios

                        -

                        Point 4.6, Appendix 3 to Annex I

                        For each gear separately

                        24

                        Final drive ratio(s)

                        -

                        Point 4.6, Appendix 3 to Annex I

                        If the vehicle has more than one final drive, introduce values for each gear separately

                        25

                        Additional safety margin (ASM) values

                        %

                        Point 4.6.1.7.1, Appendix 3 to Annex I

                        Report values when used for gearshift calculation

                        26

                        Drive wheels

                        -

                        Point 1.7, Appendix 4 to Annex I

                        Two-wheel drive, four-wheel drive.

                        27

                        Charge-depleting CO2 emissions (combined)

                        gCO2/km

                        Point 2.5.3.2, Appendix 4 to Annex I

                        OVC-HEV only

                        In case of 2 or 3 tests all results shall be provided.

                        28

                        CO2 emissions weighted combined (measured)

                        gCO2/km

                        2.5.3.3., Appendix 4 to Annex I

                        OVC-HEV only.

                         In case of 2 or 3 tests all results shall be provided.

                        29

                        CO2 emissions weighted combined (declared)

                        gCO2/km

                        Point 2.5.3.3., Appendix 4 to Annex I

                        OVC-HEV only

                        30

                        Equivalent All Electric range (EAER) combined

                        km

                        Point 2.5.3.7.2., (EAER), Appendix 4 to Annex I

                        OVC-HEV only

                        31

                        Engine idling speed

                        min-1

                        Point 1.1.2.,  Appendix 8a to Annex I

                        Idle speed in warm conditions

                        32

                        Willans factors for ICE for CO2 emissions

                        gCO2/MJ

                        Point 1.1.3., Appendix 8a to Annex I

                        Value according to the Table A6.App2/3 used for RCB correction

                        33

                        Traction REESS capacity

                        Ah

                        Point 1.1.10., Appendix 8a to Annex I

                        OVC-HEV and NOVC-HEV

                        34

                        Traction REESS technology type

                        -

                        Point 1.1.10., Appendix 8a to Annex I

                        OVC-HEV and NOVC-HEV

                        35

                        Traction REESS voltage nominal or time-series

                        V

                        Point 1.1.10., Appendix 8a to Annex I

                        OVC-HEV and NOVC-HEV

                        Nominal or time-series values used for the test  (20Hz)

                        36

                        Test mass

                        kg

                        Point 1.2.1 for VH and Point 1.3.1. for VL, Appendix 8a, Annex I

                        VH and VL (if applicable)

                        37

                        Number of dyno axis during the test

                        -

                        Point 2.1, Appendix 8a to Annex I

                        Chassis Dyno configuration during Type 1 test (1-axle,2-axle) for VH/VL

                        38

                        Alternator (DC/DC converter - low voltage  side – in case of NOVC- and OVC-HEVs) current

                        A

                        As measured in the Type 1 test

                        Array: 1Hz, 0.1A resolution, external measurement device synchronised with the chassis dynamometer

                        39

                        Ki Regenerative Factor

                        multiplicative/additive

                        -

                        Point 2.1.1.2.1., Appendix  8a to Annex I

                        CO2 emissions; For vehicles without periodically regenerating systems this value is equal to 1.

                        40

                        CO2 measured value low phase

                        gCO2/km

                        Point 2.1.1.2.1, Appendix 8a to Annex I

                        Uncorrected measured value MCO2.p.1 of phase low (charge-sustaining value in case of NOVC- and OVC-HEVs).

                        41

                        CO2 measured value medium phase

                        gCO2/km

                        Point 2.1.1.2.1, Appendix 8a to Annex I

                        Uncorrected measured value MCO2.p.1 of phase medium (charge-sustaining value in case of NOVC- and OVC-HEVs)

                        42

                        CO2 measured value high phase

                        gCO2/km

                        Point 2.1.1.2.1, Appendix 8a to Annex I

                        Uncorrected measured value MCO2.p.1 of phase high (charge-sustaining value in case of NOVC- and OVC-HEVs)

                        43

                        CO2 measured value extra-high phase

                        gCO2/km

                        Point 2.1.1.2.1, Appendix 8a to Annex I

                        Uncorrected measured value MCO2.p.1 of phase extra-high (charge-sustaining value in case of NOVC- and OVC-HEVs).

                        44

                        CO2 measured value (combined)

                        gCO2/km

                        Point 2.1.1.2.1, Appendix 8a to Annex I

                        Uncorrected measured value MCO2.c.1 of complete cycle (charge-sustaining value in case of NOVC- and OVC-HEVs). In case of 2 and 3 tests all measured results shall be provided.

                        45

                        CO2 measured corrected (combined)

                        gCO2/km

                        Point 2.1.1.2.1., Appendix 8a to Annex I

                        Combined measured CO2 emissions for vehicle H and L after all applicable corrections, MCO2,C,5. In case of 2 and 3 tests all measured corrected results shall be provided. In case of OVC-HEV and NOVC-HEV this is charge-sustaining mode

                        46

                        CO2 declared value

                        gCO2/km

                        Point 2.1.1.2.1., Appendix 8a to Annex I

                        Manufacturer declared value

                        47

                        ATCT family correction factor

                        -

                        Point 2.1.1.2.2., Appendix 8a to Annex I

                        ATCT Family correction factor (14°C correction)

                        48

                        Fuel consumption over the Type 1 test as recorded on the on-board fuel consumption monitoring device (OBFCM)

                        l

                        Point 2.1.1.3.1., Appendix 8a to Annex I

                        Fuel consumed during the test (charge-sustaining value in case of NOVC-HEV and OVC-HEV). In case of 2 and 3 tests all results shall be provided.

                        49

                        Index number of the transition cycle

                        -

                        Point 2.1.1.4.1.4., Appendix 8a to Annex I

                        for OVC-HEV indicate the index number of the transition cycle

                        50

                        Nominal REESS voltage

                        V

                        Point 1.1.10., Appendix 8a to Annex I

                        For low voltage battery as described in Appendix 2 to Sub-Annex 6 to Annex XXI

                        51

                        RCB correction

                        Correction performed?

                        0 = No | 1 = Yes

                        52

                        RCB correction coefficient

                        (g/km) / (Wh/km)

                        Point 2.1.1.2.1., Appendix 8a to Annex I

                        NOVC-HEV and OVC-HEV

                        53

                        Fuel consumption

                        l/100km

                        Determined in accordance with Point 6 of Sub-Annex 7 to Annex XXI and using results for criteria emissions and CO2 emissions from Step 2 in Table A7/1

                        Non-balanced fuel consumption of Type 1 test vehicle H and, where applicable, vehicle L. In case of two or three tests, all values shall be reported.

                        54

                        Time

                        sec

                        As measured in the Type 1  test

                        Array: OBD and Chassis Dynamometer data, 1Hz

                        55

                        Velocity profile (theoretical)

                        km/h

                        As applied in the Type 1 test

                        Array: 1Hz, resolution 0.1km/h. If not provided the speed profile defined in Point 6 of sub-Annex 1 to Annex XXI and in particular to tables A1/7-A1/9, A1/11, and A1/12 applies

                        56

                        Velocity profile (actual)

                        km/h

                        As measured in the Type 1 test

                        Array: OBD and Chassis Dynamometer data, 1Hz and 10 Hz, resolution 0.1km/h

                        57

                        Gear (theoretical)

                        -

                        As applied in the Type 1 test based on the calculations defined in sub-Annex 2 to Annex XXI

                        Array: 1Hz. Mandatory for manual transmission vehicles

                        58

                        Engine Speed

                        rpm

                        As measured in the Type 1 test

                        Array: 1Hz, 10 RPM resolution from OBD

                        59

                        Engine Coolant Temperature

                        °C

                        As measured in the Type 1 test

                        Array: OBD Data, 1Hz, 1 °C resolution

                        60

                        Service battery current

                        A

                        As measured in the Type 1 test

                        Array: 1Hz, 0.1A resolution, external measurement device synchronised with the chassis dynamometer

                        61

                        Calculated load

                        -

                        As measured in the Type 1 test

                        Array: OBD data, 1Hz at least (higher frequencies possible, 1% resolution) test measurement

                        62

                        Traction REESS current

                        A

                        As measured in the Type 1 test

                        20Hz time-series values used for the test(s) resampled to 1Hz

                         mandatory for NOVC-HEV and OVC-HEV

                        63

                        Engine fuel rate

                        g/s

                        As measured in the Type 1 test

                        Instantaneous signal recorded for test (charge-sustaining value in case of NOVC-HEV and OVC-HEV).

                        64

                        Engine fuel rate

                        l/h

                        As measured in the Type 1 test

                        Idem

                        65

                        Vehicle fuel rate

                        g/s

                        As measured in the Type 1 test

                        Idem

                        66

                        Full load power curve for ICEVs

                        kW vs. rpm

                        Manufacturer declaration

                        The full load power curve over the engine speed range from n idle to n rated or n max, or n dv (n gvmax) × v max, whichever is higher

                        67

                        Traction REESS initial state of charge

                        %

                        Manufacturer declaration

                        Initial SOC of traction REESS in charge sustaining condition (for OVC-HEV and NOVC-HEV)

                        68

                        Engine idle fuel consumption

                        g/s

                        Manufacturer declaration

                        Idle fuel consumption in warm condition

                        69

                        Alternator maximum power

                        kW

                        Manufacturer declaration

                        70

                        Efficiency of the alternator

                        -

                        Manufacturer declaration

                        Default value=0.67

                        71

                        Torque converter

                        -

                        Manufacturer declaration

                        0=No, 1=Yes; Does the vehicle use torque converter?

                        72

                        Fuel saving gear for automatic transmission

                        -

                        Manufacturer declaration

                        0=No, 1=Yes

                        73

                        Turbo- or Supercharger

                        -

                        Manufacturer declaration

                        0 = No | 1 = Yes - Is the engine equipped with any kind of charging system?

                        74

                        Start-stop

                        -

                        Manufacturer declaration

                        0 = No | 1 = Yes - Does the vehicle have start-stop system?

                        75

                        Brake energy Recuperation

                        -

                        Manufacturer declaration

                        0 = No | 1 = Yes - Does the vehicle have energy recuperation technologies?

                        76

                        Variable valve actuation

                        -

                        Manufacturer declaration

                        0 = No | 1 = Yes - Does the engine feature variable valve actuation?

                        77

                        Thermal management

                        -

                        Manufacturer declaration

                        0 = No | 1 = Yes - Does the vehicle have technologies that actively manage temperature at the gear box?

                        78

                        Direct injection / Port Fuel Injection

                        -

                        Manufacturer declaration

                        0 = PFI | 1 = DI

                        79

                        Lean burn

                        -

                        Manufacturer declaration

                        0 = No | 1 = Yes - Does the engine use lean burn?

                        80

                        Cylinder deactivation

                        -

                        Manufacturer declaration

                        0 = No | 1 = Yes - Does the engine use a cylinder deactivation system? If yes please also provide active cylinder ratios

                        81

                        Exhaust gas recirculation

                        -

                        Manufacturer declaration

                        0 = No | 1 = Yes - Does the vehicle have an external EGR system?

                        82

                        Particulate filter

                        -

                        Manufacturer declaration

                        0 = No | 1 = Yes - Does the vehicle have a particulate filter?

                        83

                        Selective Catalytic Reduction

                        -

                        Manufacturer declaration

                        0 = No | 1 = Yes - Does the vehicle have an SCR system?

                        84

                        NOx storage catalyst

                        -

                        Manufacturer declaration

                        0 = No | 1 = Yes - Does the vehicle have a NOx storage catalyst?

                        85

                        Hybrid Vehicle Configuration (P0, P1, P2, P2 planetary, P3, or P4)(*)

                        -

                        Manufacturer declaration

                        Does the vehicle have an electric machine used for vehicle propulsion and electric energy generation in P0, P1, P2, P2 planetary, P3, or P4 position, or a combination thereof?

                        86

                        Maximum torque output of each electric machine (P0, P1, P2, P2 planetary, P3, or P4) (*)

                        Nm

                        Manufacturer declaration

                        87

                        For each electric machine, the ratio between the electric machine rotational speed and the reference rotational speed (P0, P1, P2, P2 planetary, P3, or P4) (*)

                        -

                        Manufacturer declaration

                        88

                        Engine-on coasting function

                        -

                        Manufacturer declaration

                        Yes/No. Does the vehicle have the engine idle coasting function (allow the engine to idle during vehicle coasting in order to save fuel)?

                        89

                        Engine-off coasting function

                        -

                        Manufacturer declaration

                        Yes/No. Does the vehicle have the engine-stop coasting function (allow the engine to switch off during vehicle coasting in order to save fuel)?

                        90

                        Vehicle is incomplete

                        -

                        Manufacturer declaration

                        0 = No | 1 = Yes – Is the vehicle incomplete?

                        91

                        Mass of the vehicle in running order

                        kg

                        Point 1.1, Appendix 4 to Annex I

                        MRO for VH and VL (if applicable)

                        92

                        Capped vehicle speed

                        km/h

                        Cycle selection parameters point 1.2.3, Appendix 8a to Annex I

                        Indicate if capped speed (and the value) was used in Type 1 test for VH and VL (if applicable)

                        93

                        Maximum speed of the vehicle

                        km/h

                        Cycle selection parameters point 1.2.3, Appendix 8a to Annex I

                        Indicate maximum speed of the vehicle for VH and VL (if applicable)

                        94

                        Additional information for gearshift calculation

                        min-1

                        Gearshift point 1.2.4, Appendix 8a to Annex I

                        For manual transmission vehicles only. Information about n_min drive.

                (*)
                     P0: the electric machine is connected to the engine service belt and therefore has the engine speed as reference speed;

               P1: the electric machine is connected to the engine crankshaft and therefore has the engine speed as reference speed;

               P2: the electric machine is mounted right upstream the transmission (gearbox or continuously variable transmission), and therefore has the transmission input speed as reference speed;

               P2 planetary: the electric machine is connected to the gear of a planetary gear set that is not connected to the internal combustion engine or the final drive sides, here referred to as the planetary side. In this case the speed ratio to be specified is the ratio between the electric machine and planetary side rotational speed (reference speed) reflecting the speed multiplication/reduction effect of a reduction gear;

               P3: the electric machine is right upstream the final drive of a driven axle therefore has the final drive input rotational speed as reference speed (this includes electric machines mounted on the gear of a planetary gear set on the final drive side). A vehicle can have up to two P3 machines (one for the front (P3a) and one for the rear (P3b) axle;

               P4: the electric machine is downstream the final drive, and therefore has the wheel speed as reference speed. A vehicle can have up to four P4 motors (one for each wheel, where P4a indicates front wheels and P4b rear wheels).


title: COMMISSION IMPLEMENTING REGULATION (EU) …/... laying down rules for the application of Directive 2003/87/EC of the European Parliament and of the Council as regards further arrangements for the adjustments to free allocation of emission allowances due to activity level changes

text:
               COMMISSION IMPLEMENTING REGULATION (EU) …/...

               of 31.10.2019

               laying down rules for the application of Directive 2003/87/EC of the European Parliament and of the Council as regards further arrangements for the adjustments to free allocation of emission allowances due to activity level changes

               THE EUROPEAN COMMISSION,

               Having regard to the Treaty on the Functioning of the European Union,

               Having regard to Directive 2003/87/EC of the European Parliament and of the Council of 13 October 2003 establishing a system for greenhouse gas emission allowance trading within the Union and amending Council Directive 96/61/EC
                  1
               , and in particular Article 10a(21) thereof,

               Whereas:

               (1)Directive 2003/87/EC establishes a system for greenhouse gas emission allowance trading within the Union in order to promote reductions of greenhouse gas emissions in a cost-effective and economically efficient manner. In its Article 10a, it provides for the transitional free allocation of allowances.

               (2)Commission Delegated Regulation (EU) 2019/331
                  2
                lays down the transitional Union-wide rules for harmonised free allocation of emission allowances pursuant to Article 10a of Directive 2003/87/EC for the fourth trading period from 2021 until 2030.

               (3)In accordance with Article 10a(20) of Directive 2003/87/EC, the allocation of emission allowances free of charge to installations whose operations have increased or decreased, as assessed on the basis of a rolling average of two years, by more than 15% compared to the historical activity levels is to be adjusted in a symmetrical manner. To implement the adjustments of allocation of emission allowances due to changes in activity, since the installations are divided in sub-installations in accordance with Article 10 of Delegated Regulation (EU) 2019/331, it is appropriate to compare these changes against the historical activity levels at sub-installation level.

               (4)The collection of high quality and independently verified data is necessary for adjustments to free allocation. Consistency in the accuracy and quality of the data monitored and reported to determine free allocation should be ensured. For that purpose, specific rules for reporting of activity levels at sub-installation level should be provided, taking into account the relevant provisions of Delegated Regulation (EU) 2019/331. Data collected from operators in accordance with these rules should reflect the actual operations of sub-installations.

               (5)Operators should report the requested data annually. Data should be monitored in accordance with the requirements on monitoring pursuant to Article 8 of Delegated Regulation (EU) 2019/331.

               (6)To ensure consistency between verification of annual emissions reports pursuant to Article 15 of Directive 2003/87/EC and activity level data, as well as to make use of synergies, it is appropriate to use the legal framework set by measures in accordance with Commission Regulation (EU) 2018/2067
                  3
               .

               (7)In order to prevent manipulation or abuse of the system for adjustments of allocations, avoid undue administrative burden and ensure that changes to the allocations are carried out in an effective, non-discriminatory and uniform manner, further arrangements for the adjustments of free allocation of sub-installations should apply when activity level have increased or decreased by more than 15% compared to the historical activity level. The average activity level should be defined as the arithmetic mean of the two annual activity levels of two full calendar years of operation. The first year of calculation of the average activity level should be the first year of each allocation period. If the comparison of the historical activity level and the average activity level presents a difference of more than 15%, then the free allocation should be adjusted by the exact percentage of the activity level change. If a subsequent change of activity level occurs within the same 5% interval, beyond 15%, then the allocation should remain the same. If a subsequent change exceeds the 5% interval within which the previous adjustment fell (e.g. 20-25%, 25-30% and so on), the adjustment in that case should also be as the exact percentage change in the average activity level.

               (8)To avoid undue administrative burden, adjustments should be considered whenever changes in the level of activity of a sub-installation would lead to an annual adjustment in the level of free allocation of the sub-installation of 100 allowances or more.

               (9)In order to prevent manipulation or abuse of the system and to ensure that the changes to the allocations are carried out in an effective, non-discriminatory and uniform manner, the new entrants and the new sub-installations should be treated in the same manner.

               (10)Article 10a(1) of Directive 2003/87/EC requires transitional harmonised measures for free allocation of emission allowances to take place in a manner that provides incentives for reductions in greenhouse gas emissions and energy efficient techniques. In order to maintain incentives to reduce emissions when defining further arrangements for the adjustment of free allocations to sub-installations whose operations have increased or decreased by more than 15% compared to the historical activity levels, changes in the operation of sub-installations other than changes in activity levels should also be considered. This should cover improvements of energy efficiency, changes in heat supply, the exchangeability of fuel and electricity, production of high value chemicals, changes in the production of vinyl chloride monomer as well as the energy recovery of waste gases. In order to maximise such incentives to reduce emissions, it is appropriate to consider such changes at sub-installation level.

               (11)For better alignment of production changes to free allocation, emission allowances should not be issued for sub-installations reporting a cessation of operations as of the year following the cessation.

               (12)The measures provided for in this Regulation are in accordance with the opinion of the Climate Change Committee,

               HAS ADOPTED THIS REGULATION:

               Article 1

               Scope

               This Regulation applies to the free allocation of allowances pursuant to Article 10a of Directive 2003/87/EC for the trading period from 2021 until 2030.

               Article 2

               Definitions

               For the purposes of this Regulation, the following definitions shall apply:

               (1)‘average activity level’ means, for each sub-installation, the arithmetic mean of the related annual activity levels for the two calendar years preceding the submission of a report referred to in Article 3(1);

               (2)‘incumbent installation’ means incumbent installation as defined in Article 2(1) of Delegated Regulation (EU) 2019/331;

               (3)‘heat benchmark sub-installation’ means heat benchmark sub-installation as defined in Article 2(3) of Delegated Regulation (EU) 2019/331;

               (4)‘fuel benchmark sub-installation’ means fuel benchmark sub-installation as defined in Article 2(6) of Delegated Regulation (EU) 2019/331;

               (5)‘allocation period’ means allocation period as defined in Article 2(15) of Delegated Regulation (EU) 2019/331;

               (6)‘group’ means group as defined in Article 2(11) of Directive 2013/34/EU
                  4
               .

               Article 3

               Reporting requirements

               1.Starting in 2021, the operators of installations to which free allocation has been given, in accordance with Article 10a of Directive 2003/87/EC, for the trading period from 2021 until 2030 shall report annually on the activity level of each sub-installation in the preceding calendar year. In 2021, this report shall include data for the two years preceding its submission.

               New entrants may submit the reports referred to in Article 5 paragraph 2 of Delegated Regulation (EU) 2019/331 in the year after the first day of operations.

               2.The activity level report must contain information on the activity level of each sub-installation and on each of the parameters listed in sections 1, except 1.3 (c), and 2.3 to 2.7 of Annex IV to Delegated Regulation (EU) 2019/331. The activity level report shall also contain information on the structure of the group, if any, to which the installation belongs and on whether any sub-installation has ceased to operate.

               The competent authority may require operators to also report on any of the additional parameters included in Annex IV to Delegated Regulation (EU) 2019/331 in the activity level report or referred to in its paragraph 1.

               3.The activity level report shall be submitted by 31 March of each year during the years from 2021 to 2030, to the competent authority granting the free allocation, unless the competent authority has set an earlier time limit for this submission. It shall be submitted together with a verification report on the activity level report issued pursuant to Implementing Regulation (EU) 2018/2067.

               Member States may require the submission of a preliminary activity level report, containing all available information at the time of submission. Member States may set time limits for the submission of the preliminary activity level report.

               The competent authority may suspend the issuance of free emission allowances to an installation until the competent authority has established that there is no requirement to adjust the allocation to that installation or the Commission has adopted a Decision according to Article 23(4) of Delegated Regulation (EU) 2019/331 concerning the adjustments to the allocation to that installation.

               Where applicable, the competent authority shall recover any excess allowances resulting from an over-allocation, in accordance with the procedure set out in Article 48(4) of Commission Delegated Regulation (EU) 2019/1122
                  5
               .

               The competent authority may require operators and verifiers to use electronic templates or specific file formats for the submission of activity level reports.

               4.The competent authority shall assess the activity level report referred to in paragraphs 1 to 3 of this Article in accordance with the requirements of Articles 7 to 12 of Delegated Regulation (EU) 2019/331. The competent authority may make a conservative estimate of the value of any parameter in any of the following situations:

               (a)no verified activity level report has been submitted by the operator by the time limit referred to in paragraph 3 and the issuance of the allowances has not been suspended;

               (b)the verified value submitted is not in compliance with this Regulation or Delegated Regulation (EU) 2019/331;

               (c)the activity level report of an operator has not been verified in accordance with Implementing Regulation (EU) 2018/2067.

               The competent authority shall not increase the allocation to an installation based on an estimate made in the situation under point (a).

               Where a verifier has stated, in the verification report pursuant to Implementing Regulation (EU) 2018/2067, the existence of non-material misstatements which have not been corrected by the operator before issuing the verification report, the competent authority shall assess those misstatements, and make a conservative estimate of the value of a parameter, where possible. The competent authority shall inform the operator whether and which corrections are required to the activity level report. The operator shall make that information available to the verifier.

               Article 4

               Average activity levels

               1.The competent authority shall determine the average activity level of each sub-installation annually based on the activity level reports for the relevant two-year period.

               2.The average activity level of new sub-installations and new entrants shall not be calculated for the first three calendar years of operation.

               Article 5

               Adjustments to free allocation due to activity level changes

               1.Every year the competent authority shall compare the average activity level of each sub-installation, determined in accordance with Article 4, with the historical activity level initially used to determine the free allocation. When the absolute value of the difference between the average activity level and the historical activity level of that sub-installation is more than 15%, the free allocation of allowances to that installation shall be adjusted. That adjustment shall apply as of the year following the two calendars years used for determining the average activity level, and provided that the adjustment of the annual preliminary amount of emission allowances allocated for free to the sub-installation is at least 100 emission allowances. That adjustment shall be made by increasing or decreasing the free allocation for the relevant sub-installation by the exact percentage change in the average activity level compared to the historical activity level initially used to determine the free allocation.

               2.When an adjustment according to paragraph 1 has been made, during an allocation period, further adjustments can only take place if the absolute value of the difference between the average activity level and the historical activity level of that sub-installation, exceeds the nearest 5% interval, beyond the 15% change, which caused the previous adjustment of free allocation to that installation, by increasing or decreasing the free allocation for the relevant sub-installation by the exact percentage change in the average activity level compared to the historical activity level initially used to determine the free allocation and provided that the adjustment of the annual preliminary amount of emission allowances allocated for free to the sub-installation is at least 100 emission allowances.

               3.If the increase or decrease of the average activity level of a sub-installation no longer exceeds 15% compared to the historical activity level initially used to determine the free allocation, the free allocation of allowances to that sub-installation shall be equal to the initial allocation determined by Article 16 or 18 of Delegated Regulation (EU) 2019/331, as of the year following the two calendar years used for determining the average activity level.

               4.If a sub-installation has ceased operation, the free allocation of this sub-installation shall be set to zero as of the year following the cessation of operations.

               5.For new sub-installations and for new entrants, for the first three calendar years of operation the free allocation of emission allowances shall not be adjusted. For the first and second calendar years of operation, the free allocation of emission allowances shall be based on the activity level of each year respectively, for the third calendar year of operation the free allocation of emission allowances shall be based on the historical activity level used to determine free allocation.

               6.The final annual amount of emission allowances allocated for free to an installation shall be the sum of emission allowances of all sub-installations calculated in accordance with Article 16 or 18, as applicable, of Delegated Regulation (EU) 2019/331.

               Article 6

               Other changes in the operation of the installation

               1.Where an operator demonstrates, based on the data submitted in the activity level report and any additional data requested by the competent authority, that the decrease of the activity level of a sub-installation for which the amount of free allocation has been determined based on a heat or fuel benchmark is not related to a change of production levels of the sub-installation, but due to the increased energy efficiency of that sub-installation in accordance with paragraph 3 of this Article, compared to the one based on the baseline data or the new entrant data report, by more than 15%, no adjustment of free allocation shall be made.

               2.Where an operator fails to demonstrate, upon request of the competent authority, based on the data submitted in the activity level report and any additional data requested by the competent authority, that the increase of the activity level of a sub-installation for which the amount of free allocation has been determined based on a heat or fuel benchmark is related to a change of production levels of the sub-installation and not due to the decrease of the energy efficiency of that sub-installation in accordance with paragraph 3 of this Article, compared to the one based on the baseline data or the new entrant data report, by more than 15%, the competent authority may reject adjustment of free allocation.

               3.For heat benchmark sub-installations and fuel benchmark sub-installations, the energy efficiency change shall be determined by comparing the quotients of the amount of heat or fuel used for the production of each product and the amounts of their respective production according to the baseline data report and after the change in the operation of the sub-installation has taken place. Such determination of energy efficiency shall be carried out for the production of each product covered by each PRODCOM code of the sub-installation under the list referred to in Article 2(2) of Council Regulation (EEC) No 3924/91
                  6
               .

               In accordance with the first subparagraph of this paragraph, the amounts of heat and fuel used for the production of each product shall be determined in line with the methodologies laid down in the monitoring methodology plan as approved in accordance with Article 6 of Delegated Regulation (EU) 2019/331.

               4.Where the activity level report submitted pursuant to Article 3 indicates that the rolling average of two years of a parameter listed in Article 16 (5), Article 19, 20, 21 or 22 of Delegated Regulation (EU) 2019/331, other than activity levels, has changed by more than 15% for a sub-installation, compared with the values used to determine the initial level of free allocation, the free allocation of allowances to that installation shall be adjusted, as of the year following the two years used for determining the change of parameters, provided that the adjustment of the annual preliminary amount of emission allowances allocated for free to the sub-installation is at least 100 emission allowances, by increasing or decreasing the free allocation for the relevant sub-installation using the new exact value of the parameter.

               Article 7

               Entry into force and application

               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, 31.10.2019

                     For the Commission

                     The President
                     Jean-Claude JUNCKER

                     (1)

                        OJ L 275, 25.10.2003, p. 32.

                     (2)

                        Commission Delegated Regulation (EU) 2019/331 of 19 December 2018 determining transitional Union-wide rules for harmonised free allocation of emission allowances pursuant to Article 10a of Directive 2003/87/EC of the European Parliament and of the Council (OJ L 59, 27.2.2019, p. 8).

                     (3)

                        Commission Implementing Regulation (EU) 2018/2067 of 19 December 2018 on the verification of data and on the accreditation of verifiers pursuant to Directive 2003/87/EC of the European Parliament and of the Council. OJ L 334, 31.12.2018, p. 94–134.

                     (4)

                        Directive 2013/34/EU of the European Parliament and of the Council of 26 June 2013 on the annual financial statements consolidated financial statements and related reports of certain types of undertakings. OJ L 182, 29.6.2013, p. 19.

                     (5)

                        Commission Delegated Regulation (EU) 2019/1122 of 12 March 2019 supplementing Directive 2003/87/EC of the European Parliament and of the Council as regards the functioning of the Union Registry (OJ L 177, 2.7.2019, p. 3).

                     (6)

                        Council Regulation (EEC) No 3924/91 of 19 December 1991 on the establishment of a Community survey of industrial production (OJ L 374, 31.12.1991, p. 1).