
Article 1 
The Annex to Decision 2005/381/EC is replaced by the text set out in the Annex to this Decision.
Article 2 
This Decision is addressed to the Member States.
Done at Brussels, 23 November 2006.
For the Commission
Stavros DIMAS
Member of the Commission
ANNEX


‘ANNEX 
PART 1 1.  1. Name of contact person:
 2. Official title of contact person:
 3. Name and department of organisation:
 4. Address:
 5. International telephone number:
 6. International fax number:
 7. E-mail:
 2. Questions 2.1 and 2.2 are to be answered in the report due by 30 June 2007 and in subsequent reports if changes were made during the reporting period. 2.1. In answering this question, use the table below. Add further rows if necessary.

Name Abbreviation Contact details
  
  
  
  
  
 2.2. 

Please indicate the abbreviation of the competent authority which is in charge of the following tasks:
Issuance of permits 
Allocation of allowances 
Issuance of allowances 
Validation of monitoring methodology 
Receiving and supervising verified emission reports 
Accreditation of verifiers 
Registry 
Compliance and enforcement 
Issuance of ERU as a host country 
Approval of the use of CERs & ERUs for compliance 
Administration of new entrants reserve 
Information to the public 
Auctioning 
Administration of opt-ins 
Administration of pooling 
Other (please specify): 
 3.  3.1. In answering this question, use the table below.

 Number Share in total number of installations or emissions
Number of installations with a rated thermal input that exceeds 20 MW but is below 50 MW  
CO2 equivalents emitted by those installations  
 3.2. In answering this question, use Table 1 of Part 2 of this Annex. 3.3. In answering this question, use the table below.

Main Annex I activity Number of applications received Number of pools formed
Energy activities
E1 Combustion installations with a rated thermal input exceeding 20 MW (except hazardous or municipal waste installations)  
E2 Mineral oil refineries  
E3 Coke ovens  
Production and processing of ferrous metals
F1 Metal ore (including sulphide ore) roasting or sintering installations  
F2 Installations for the production of pig iron or steel (primary or secondary fusion) including continuous casting, with a capacity exceeding 2.5 tonnes per hour  
Mineral industry
M1 Installations for the production of cement clinker in rotary kilns with a production capacity exceeding 500 tonnes per day or lime in rotary kilns with a production capacity exceeding 50 tonnes per day or in other furnaces with a production capacity exceeding 50 tonnes per day  
M2 Installations for the manufacture of glass including glass fibre with a melting capacity exceeding 20 tonnes per day  
M3 Installations for the manufacture of ceramic products by firing, in particular roofing tiles, bricks, refractory bricks, tiles, stoneware or porcelain, with a production capacity exceeding 75 tonnes per day, and/or with a kiln capacity exceeding 4 m3 and with a setting density per kiln exceeding 300 kg/m3  
Other activities
Industrial plants for the production of
O1  (a) pulp from timber or other fibrous materials
  
O2  (b) paper and board with a production capacity exceeding 20 tonnes per day
  

 3.4. Is there any other relevant information concerning the coverage of installations and activities in your country? If so, please specify.
 4. Questions 4.1 to 4.4 are to be answered in the report due by 30 June 2007 and in subsequent reports if changes were made during the reporting period. 4.1. Note: Fines or penalties which might be imposed in case of infringements must not be reported here but under section 11.In answering this question, use the table below. Add further rows if necessary.

Which of the following measures are applied in your country (add explanatory text if necessary)?
The account will be blocked in case of irregularities Yes/No
Selling will be prohibited in case of irregularities Yes/No
Withdrawal of permit; suspension of the installation Yes/No
Spot or routine checks or inspections by the administration Yes/No
Conservative emission estimates in case of missing emission reports Yes/No
Verification bodies check compliance with the conditions of the permit Yes/No
Regular meetings with industry & associations to discuss relevant issues Yes/No
Provision of specific reporting formats and guidance Yes/No
Naming and shaming of non-compliant operators Yes/No
Other (please specify): 
 4.2. In answering this question, use the table below. Add further rows if necessary.

Which of the following statements applies to your country (add explanatory text if necessary)?
More than one competent authority Yes/No
If yes, please answer the following questions:
Cooperation explicitly regulated by a law or a regulation Yes/No
Commission or working group or coordination with regular meetings established Yes/No
Guidance note for implementation of the national emissions trading law Yes/No
Interpretation group to clarify ambiguous issues Yes/No
Coordination of administrative acts by one central authority Yes/No
Training courses to ensure consistent implementation Yes/No
Other (please specify): 
 4.3. In answering this question, use the table below. Add further rows if necessary.

Which of the following statements applies to your country (add explanatory text if necessary)?
Requirements laid down in Articles 5-7 of Directive 2003/87/EC have been transposed by national legislation Yes/No
Law which transposes the IPPC Directive does not include emission or concentration limits for CO2 Yes/No
Integrated permitting procedure under the IPPC Directive and the ET Directive Yes/No
Separate permits for IPPC and ET Directive Yes/No
Granting of an IPPC permit requires a valid emissions trading scheme (ETS) permit Yes/No
Granting of an ETS permit requires a valid IPPC permit Yes/No
IPPC regulators will check whether ETS permit is necessary and inform ETS regulators Yes/No
Other (please specify): 
 4.4. In answering this question, use the table below. Add further rows if necessary.

Please refer to the legal provision which transposes Article 7 of Directive 2003/87/EC 
Which of the following provisions, procedures and practices apply to your country (add explanatory text if necessary)?
Authorisation for changes in the installation type or operating mode required Yes/No
Authorisation for changes in the monitoring methodology required Yes/No
Changes have to be notified in advance Yes/No
Closures have to be notified immediately Yes/No
Penalty in case of non-compliance with request to update monitoring methodology Yes/No
Change of the operator requires an update of permit Yes/No
Less significant changes are just recorded Yes/No
Other (please specify): 
 4.5. In answering this question, use the table below. Add further rows if necessary.

Please state the number of changes in each category:
Total changes 
Revoked 
Surrendered 
Transferred 
Increase of capacity 
Decrease of capacity 
Changes to monitoring and reporting details 
Change in name of installation or operator 
Non-significant amendment 
Notification of changes without update of permit 
Other (please specify): 
 4.6. Is there any other relevant information concerning the issue of permits for installations in your country? If so, please specify.
 5. Question 5.1 is to be answered in the report due by 30 June 2007, the first report of each trading period and in subsequent reports if changes were made during the reporting period. 5.1. What legal acts have been adopted in your country in order to implement monitoring and reporting guidelines? Are general derogations from the monitoring and reporting guidelines allowed by the legislation of your country, e.g. for specific fuels or activities? If so, please specify.
 5.2. In answering this question, use Table 2 of Part 2 of this Annex. The information required in Table 2 need only be given for the largest installations covered by the ET Directive which contribute cumulatively to 50 % of the total emissions included in the trading scheme. No information needs to be reported for sources within these installations with annual emissions below 25 kt CO2 eq. 5.3. In answering this question, use Table 3 of Part 2 of this Annex. The information required in Table 3 needs only to be given for installations not reported under question 5.2. General derogations provided for in the national legislation must be reported under question 5.1. 5.4. In answering this question, use Table 4 of Part 2 of this Annex. 5.5. In answering this question, use Table 5 of Part 2 of this Annex. 5.6. In answering this question, use the table below.

Main Annex I activity Number of installations CO2 transferred (kt CO2) Use of transferred CO2
E1   
E2   
E3   
F1   
F2   
M1   
M2   
M3   
O1   
O2   
 5.7. In answering this question, use the table below.

Main Annex I activity Biomass combusted (TJ) Biomass employed (t) Biomass employed (m3)
E1   
E2   
E3   
F1   
F2   
M1   
M2   
M3   
O1   
O2   
 5.8. In answering this question, use the table below. Add further rows if necessary.

Waste type Quantity used/deployed (t) Quantity used/deployed (m3) CO2 Emissions (t CO2)
   
   
   

 5.9. Question 5.10 is to be answered in the report due by 30 June 2007 and in subsequent reports if changes were made during the reporting period: 5.10. In answering this question, use the table below. Add further rows if necessary.

Which of the following statements applies to your country (add explanatory text if necessary)?
ETS reporting requirements are coordinated with other reporting requirements Yes/No
Coordination with greenhouse gas inventory compilation under UNFCCC and Decision 280/2004/EC 
Coordination with EPER Yes/No
Coordination with IPPC Yes/No
Coordination with NEC Yes/No
Coordination with LCP Yes/No
Coordination with EMEP Yes/No
Coordination with voluntary covenants Yes/No
Coordination with other trading schemes (please specify) Yes/No
ET data can be used by statistical office Yes/No
Other (please specify): 





 5.11. What procedures or measures have been implemented to improve monitoring and reporting by operators?
 5.12. Is there any other relevant information concerning the application of the monitoring and reporting guidelines in your country? If so, please specify.
 6. Question 6.1 is to be answered in the report due by 30 June 2007 and in subsequent reports if changes were made during the reporting period. 6.1. In answering this question, use the table below. Add further rows if necessary.

Which of the following statements apply to your country (add explanatory text if necessary)?
Independent verifiers can be accredited according to national criteria(if so, please provide relevant documents or Internet link) Yes/No
National guidance for verification developed(if so, please provide relevant documents or Internet link) Yes/No
Are national rules and procedures for verification based on EN 45011 and EA-6/01 Yes/No
Verifiers are required to recommend improvements to installation’s monitoring Yes/No
Competent authority or other agency has a right to check verified emission reports Yes/No
Competent authority or other agency has a right to adjust the verified emission report if deemed unsatisfactory Yes/No
Competent authority or other agency supervises verifiers (including spot checks, training, quality assurance and quality control procedures) Yes/No
Competent authority has a right to appoint a verifier to an installation Yes/No
Verifiers accredited in another Member State are subject to another accreditation process 
— No
— No, only formal requirements (registration, etc)
— No for verifiers accredited in a Member State which applies similar criteria
— Yes, simplified requirements
— Yes, full accreditation required (if so, please briefly justify)
Knowledge of language and/or national laws/regulations required for verifiers accredited in another Member State Yes/No
Special QA/QC procedures in place at CA for verifiers accredited in another Member State Yes/No
Other (please specify): 

 6.2. In answering this question, use Table 6 of Part 2 of this Annex. Cases where operators did not provide any emission report must be reported under question 6.3. 6.3. In answering this question, use Table 7 of Part 2 of this Annex. 6.4. Which measures were undertaken in cases where operators did not provide an emission report by 31 March of the reporting period?
 6.5. Did the competent authority carry out any independent checks on verified reports? If yes, please describe how additional checks were undertaken and/or how many reports were checked.
 6.6. Indicate any corrections in Table 6 of Part 2. 6.7. Is there any other relevant information concerning the arrangements for verification in your country? If so, please specify.
 7. Question 7.1 is to be answered in the report due by 30 June 2007 and in subsequent reports if changes were made during the reporting period: 7.1. In answering this question, use the table below.

Please provide the link to your registry 
Which of the following statements apply to your country (add explanatory text if necessary)?
Specific terms and conditions elaborated which account holders have to sign(if yes, please provide relevant documents or links) Yes/No
Different identity checks applied for operators and individuals Yes/No
Personal presence required for ID checks for residents in Member State Operators/Individuals/Both/No
ID check through written procedure only for residents Operators/Individuals/Both/No
Personal presence required for ID checks for residents of other countries Operators/Individuals/Both/No
ID check through written procedure only for residents in other countries Operators/Individuals/Both/No
Copy of company register or similar documentation required for opening of operator holding account? Yes/No
Documentation showing right to represent company required for opening of operator holding account? Yes/No
Other (please specify): 




 7.2. In answering this question, use the table below. Add further rows if necessary.

Which of the following statements apply to your country (add explanatory text if necessary)?
General procedures in place to prevent occurrence of security alerts Yes/No
Security alerts relevant to national registries occurred during the reporting period Yes/No
If yes, please fill out the following table
Type of security alert Number of occurrences Action taken Time needed for resolution
   
   
   
   
   
 7.3. In answering this question, use the table below.

Month Scheduled downtime[minutes] Unscheduled downtime[minutes]
January  
February  
March  
April  
May  
June  
July  
August  
September  
October  
November  
December  
 7.4. In answering this question, use the table below. Add further rows if necessary.

Which of the following statements apply to your country (add explanatory text if necessary)?
Regular time slots allocated for maintenance and upgrading of registry(if so, please provide dates) Yes/No
Registry will be upgraded together with upgrade of software system used Yes/No
Please provide details for all upgrades scheduled for the next reporting period
Date Purpose
 
 
 
 7.5. Is there any other relevant information concerning the operation of registries in your country? If so, please specify.
 8. Questions 8.1 and 8.2 are to be answered in the first report after each notification and allocation procedure laid down in Articles 9 and 11 of Directive 2003/87/EC. 8.1. Looking back at the completed allocation process, please describe the main lessons learnt by your authorities, and how you think they will influence your approach to the next allocation process.
 8.2. Do you have any suggestions for the improvement of future notification and allocation processes for the Community as a whole?
 8.3. In answering this question, use Table 1 of Part 2 of this Annex. 8.4. In answering this question, use the table below.

Number of allowances left in the new entrants reserve at the end of the reporting period (31 December each year) 
Share of allowances remaining in the new entrants reserve, in percent 
 8.5. If your Member State allocates allowances other than for free, please explain how such allocation is made (e.g. way in which auctioning is undertaken)?
 8.6. In answering this question, use the table below.

National operators only Yes/No
National registry account holders only Yes/No
All Community operators Yes/No
All bidders with an account in a Community registry Yes/No
Other (please specify): 
 8.7. In answering this question, use the table below.

Was auctioning used as an allocation method? Yes/No
If yes, please answer the following questions.
Number of auctions held during the reporting period (1 January to 31 December) 
Number of allowances auctioned (each auction separately) 
Clearing price of auction (each auction separately) 
 8.8. If auctioning was used as an allocation method, what use was made of allowances not purchased at the auction(s)?
 8.9. If auctioning was used as an allocation method, what were the revenues used for?
 8.10. Question 8.11 is to be answered in the first report following the end of the trading periods set out in Article 11(1) and (2) of Directive 2003/87/EC. 8.11. Were allowances remaining in the new entrants’ reserve at the end of the trading period cancelled or auctioned?
 8.12. Is there any other relevant information concerning the arrangements for allocation, new entrants and closures in your country? If so, please specify.
 9.  9.1. In answering this question, use the table below. Add further rows if necessary.

Reason for closure of account Quantity of outstanding allowances (kt CO2 eq)
 
 
 
 9.2. Is there any other relevant information concerning the surrender of allowances by operators in your country? If so, please specify.
 10. Question 10.1 is to be answered annually starting with the report submitted in 2006 as regards CERs and starting with the report submitted in 2009 as regards ERUs: 10.1. In answering this question, use the table below.

 Quantity of allowances cancelled Number of operators affected
cancellation pursuant to Article 11(b)(3)  
cancellation pursuant to Article 11(b)(4)  
Questions 10.2 and 10.3 are to be answered in the report due by 30 June 2007 and in subsequent reports if changes were made during the reporting period: 10.2. In answering this question, use the table below.

CERs and ERUs from all project categories can be used Yes/No
CERs and ERUs from certain project categories are excluded (if yes, please specify) Yes/No
 10.3. In answering this question, use the table below. Add further rows if necessary.

Which of the following statements apply to your country (add explanatory text as necessary):
Project participants are legally obliged to adhere to the WCD guidelines Yes/No
Adherence to WCD guidelines is verified (if so, please provide relevant authority, e.g. competent authority or Designated National Authority) Yes/No
Other international criteria and guidelines have to be respected during the development of large hydroelectric power projects (if so, please provide relevant documents or links) Yes/No
Other (please specify): 
 10.4. Is there any other relevant information concerning the use of ERUs and CERs in the Community scheme in your country? If so, please specify.
 11. Questions 11.1 to 11.4 are only to be answered in the report due by 30 June 2007 and in subsequent reports if changes were made during the reporting period: 11.1. Are fees charged to operators for the issuance and update of permits? If so, please provide details on the fees charged, total proceeds and the use of the proceeds.
 11.2. What fees are charged to operators for the issuance of allowances? If so, please provide details on the fees charged, total proceeds and the use of the proceeds.
 11.3. In answering this question, use the table below?

Which of the following statements apply to your country (add explanatory text as necessary)?
Fees are charged for the use of the registry Operators: Yes/NoIndividuals: Yes/No
Different fees in place for operators and individuals Yes/No
Fee for opening an account Operators: … EUR once/per trading periodIndividuals: … EUR once/per trading period
Annual fee for maintaining account Operators: … EUR per yearIndividuals: … EUR per year
Other (please specify): 


 11.4. Is there any other relevant information concerning fees and charges in the Community scheme in your country? If so, please specify.
 12. Question 12.1 is to be answered in the report due by 30 June 2007 and in subsequent reports if changes were made during the reporting period: 12.1. In answering this question, use the table below. Add further rows if necessary.

Kind of infringement Relevant national provision Fines (EUR) Imprisonment (months)
min max min max
Operation without permit     
Infringements of monitoring and reporting obligations     
Omission to notify changes to the installation     
Other (please specify)     
 12.2. In answering this question, use the table below. Add further rows if necessary.

  Penalty imposed
Infringement National provision Fines (EUR) Imprisonment (months)
   
   
   
   
 12.3. In answering this question, it is sufficient to provide a reference to the publication of the names under Article 16(2) of the ET Directive. 12.4. Is there any other relevant information related to compliance with the ET Directive in your country? If so, please specify.
 13. Questions 13.1 to 13.8 are only to be answered in the report due by 30 June 2007 and in subsequent reports if changes were made during the reporting period: 13.1. What is the legal nature of an allowance (commodity/financial instrument) for the purpose of financial regulation?
 13.2. What is the legal status given to allowances and emissions for the purposes of accounting?
 13.3. Were any specific accounting rules established or adopted for allowances? If yes, please describe them briefly.
 13.4. Are transactions of allowances subject to VAT?
 13.5. Is the issuance of allowances subject to VAT?
 13.6. If your Member State allocates allowances for payment, is VAT due on the transaction?
 13.7. Are profits or losses from transactions of allowances subject to a specific income tax (e.g. specific tariffs)?
 13.8. Is there any other relevant information concerning the legal nature of allowances and their fiscal treatment in your country? If so, please specify.
 14.  14.1. In answering this question, use the table below:

Type of information Information available to public If information is available, at which location?
Internet Official Publication Other (please specify)
Allocation rules Yes/No/on request only   
NAP table Yes/No/on request only   
Changes to list of installations Yes/No/on request only   
Verified emission reports Yes/No/on request only   
Project activities Yes/No/on request only   
Greenhouse gas emissions permit Yes/No/on request only   
Information required by Annex XVI to Regulation (EC) No 2216/2004 Yes/No/on request only   
Other (please specify):    


 14.2. Is there any other relevant information concerning the access to information pursuant to Article 17 of the ET Directive in your country? If so, please specify.
 15.  15.1. Were public studies on the implementation and the further development of the European emissions trading scheme undertaken in your country? If so, please provide the document, reference or internet link together with a very brief outline of the study.
 15.2. Are there any particular implementation issues that give rise to concerns in your country? If so, please specify.

PART 2



Member State:
Reporting period:

A B C D E F G H I J
Installation Operator Main Annex I activity Other Annex I activities Main non-Annex I activity Change compared with installations included in NAP Allowances allocated or issued Transaction identi-fication code
Permit ID Code Installation ID Code Name Quantity Year(s)
    









Member State:
Reporting period:

A B C D E F G H I J K L M N O P
Installation Emission source Tier chosen Values
Permit ID code Installation ID code Main Annex I activity Total annual emissions Annex I activity Fuel or activity type Related emissions Activity data Emission factor Net calorific value Oxidation factor Emission factor Net calorific value Oxidation factor
t CO2 t CO2 Tier Tier Tier Tier Value Unit Value Unit %
   











Member State:
Reporting period:

A B C D E F G H I
Installation Total annual emissions Affected monitoring parameter Minimum tier according to MRG Tier applied Reason for lower tier Lower tier permitted until
Permit ID Code Installation ID Code Annex I activity t CO2 Tier Tier Month/year
  








Member State:
Reporting period:

A B C D E F G H I J
Installation Annex I Activity Total annual emissions Affected monitoring parameter Original method approved Temporary method applied Reason for temporary change Period of temporary suspension until restoration of appropriate tier method
Beginning End
Permit ID Code Installation ID Code  t CO2 Tier Tier Month/year month/year
    







Member State:
Reporting year:

A B C D
Main Annex I activity < 50 000 t CO2e 50 000 to 500 000 t CO2 e > 500 000 t CO2 e
E1 
E2 
E3 
F1 
F2 
M1 
M2 
M3 
O1 
O2 





Member State:
Reporting year:

A B C D E F G
Installation Emissions reported from installations Allowances surrendered Allowances blocked in operator holding account Reason for no positive verification statement Correction of verified emissions by competent authority
Permit ID Code Installation ID Code t CO2 t CO2 t CO2 t CO2
   





Member State:
Reporting period:

A B C D E F G H I J
Main Annex I activity < 50 000 t CO2 e 50 000 to 500 000 t CO2 e > 500 000 t CO2 e
Number of emission reports not provided Allocation Allowances blocked in operator holding accounts Number of emission reports not provided Allocation Allowances blocked in operator holding accounts Number of emission reports not provided Allocation Allowances blocked in operator holding accounts
t CO2 t CO2 t CO2 t CO2 t CO2 t CO2
E1   
E2   
E3   
F1   
F2   
M1   
M2   
M3   
O1   
O2   


