Regulation on the allocation of greenhouse gas emission allowances in the 2013 to 2020 trading period

Original Language Title: Verordnung über die Zuteilung von Treibhausgas-Emissionsberechtigungen in der Handelsperiode 2013 bis 2020

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Regulation on the allocation of greenhouse gas emission allowances in the 2013 to 2020 trading period (allocation regulation 2020-ZuV 2020)

Unofficial table of contents

ZuV 2020

Date of completion: 26.09.2011

Full quote:

" Allocation Regulation 2020 of 26 September 2011 (BGBl. I p. 1921) "

Footnote

(+ + + Text proof: 30.9.2011 + + +) 
(+ + + Official note from the norm-provider on EC law: 
 Implementation of the 
 EUBes 278/2011 (CELEX Nr: 32011D0278) + + +)

Unofficial table of contents

Input formula

Pursuant to Sections 10 and 28 (1) (2), (4) and (5) of the Greenhouse Gas Emissions Trading Act (GHG) of 21 July 2011 (BGBl. 1475), in respect of § 10 after consultation of the parties concerned and with due regard for the rights of the Bundestag, the Federal Government decrees: Unofficial table of contents

Content Summary

Section 1General provisions

§ 1	Scope and purpose
§ 2	Definitions

Section 2Allocation Rules for Inventory Subsection 1General Allocation Rules

§ 3	Formation of allotment elements
§ 4	Determination of the installed initial capacity of existing assets
§ 5	Survey of reference data
§ 6	Determination of reference data
§ 7	Requirements for verification of allocation requests
§ 8	Authoritity Activity Rate
§ 9	Allocation for inventory assets

Subsection 2Special allocation rules

§ 10	Distribution rule for the heat supply of private households
§ 11	Allocation rule for the production of pulp
§ 12	Steamcracking Processes Dispatch Rule
§ 13	Allocation rule for vinyl chloride monomer
§ 14	Heat flows between plants
§ 15	Interchangeability of fuel and electricity

Section 3New entrants

§ 16	Application for free allocation of allowances
§ 17	Activity rates of new entrants
§ 18	Allocation for new entrants

Section 4capacity reductions and operational settings

§ 19	Substantial capacity reduction
§ 20	Operating Settings
Section 21	Partial Operating Settings
Section 22	Changes in the operation of an installation

Section 5Liberation of small emitters

Section 23	Information in the application for exemption for small emitters
§ 24	Determination of the emission value of the facility in the base period
Section 25	Evidence of plant-specific emission reductions
Section 26	Compensation and surcharge
§ 27	Public participation
§ 28	Facilitation of emission reporting by small emitters

Section 6Other regulations

§ 29	Single installations
§ 30	Auctioning
Section 31	Irregularities
Section 32	entry into force

Annex 1	Application of special allocation rules
Annex 2	Requirements for competent bodies and the examination

Section 1
General provisions

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§ 1 Scope and purpose

This Regulation shall apply within the scope of the greenhouse gas emissions trading act. It serves

1.: the national implementation of Commission Decision 2011 /278/EU of 27 April 2011 laying down EU-wide transitional rules on the harmonisation of the free allocation of emission allowances under Article 10a of Directive 2003 /87/EC of the European Parliament and Council (OJ C 139, 30.4.2004 1) as well as the determination of the information required under Article 9 of the Greenhouse Gas Emissions Trading Act (GHG) in the allocation procedure, and
2.: the specification of the requirements in accordance with § § 8, 24 and 27 of the greenhouse gas emissions trading act.

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§ 2 Definitions

In addition to the definitions of § 3 of the Greenhouse Gas Emissions Trading Act, the following definitions shall apply to this Regulation:

1.

The first day of a continuous 90-day period, or, if the usual production cycle does not provide for continuous production in the sector concerned, the first day of one in sector-specific production cycles, or, if the usual production cycle does not provide for continuous production in the sector concerned, divided 90-day period in which, in the event of a capacity expansion, the additional production output or, in the case of a capacity reduction, the remaining reduced production output of the amended dispatching element with an average of at least 40 per cent works, possibly under Taking into account the specific operating conditions for the amended allocation element;

2.

Start of the first day of a continuous 90-day period or, if the usual production cycle does not provide for continuous production in the sector concerned, the first day of a sector-specific production cycle. 90-day period in which the installation works with an average of at least 40 per cent of the production capacity for which it is designed, taking into account, where appropriate, the plant-specific operating conditions;

3.

a plant which carries out one or more of the activities listed in Annex 1 of the greenhouse gas emission trading act and which has been granted a greenhouse gas emission permit before 1 July 2011;

4.

uniform EU allocation rules decision 2011 /278/EU of 27 April 2011 laying down EU-wide transitional rules on the harmonisation of the free allocation of emission allowances under Article 10a of Directive 2003 /87/EC of the European Parliament and Council (OJ C 139, 30.4.2004 OJ L 130, 17.5.2011, p.1);

5.

Installed capacity according to a substantial capacity change of the average of the two highest monthly production volumes within the first six months after the date of inclusion of the changed holding, extrapolated to a calendar year;

6.

measurable heat by means of a heat transfer medium, such as steam, hot air, water, oil, liquid metals or salts, net heat flow transported by pipes or pipes, for which a heat meter has been installed or could be installed;

7.

Monitoring guidelines Commission Decision 2007 /589/EC of 18 July 2007 laying down guidelines for monitoring and reporting on greenhouse gas emissions within the meaning of Directive 2003 /87/EC of the European Parliament and of the Council of the European Parliament and of the Council of 18 July 2007 on the of the Council (monitoring guidelines) (OJ L 327, 1), as last amended by Decision 2010 /345/EU (OJ L 344, 27.11.2010, p. OJ L 155, 22.6.2010, p. 34);

8.

NACE-Code Rev 1.1statistical classification of economic activities in the European Community "NACE Rev 1.1" in accordance with Annex I to Council Regulation (EEC) No 3037/90 of 9 June 1990. October 1990 on the statistical classification of economic activities in the European Community (OJ L 327, 28.12.1990, p. 1), as last amended by Regulation (EC) No 1893/2006 (OJ L 327, 30.12.2006, p. 1) has been amended;

9.

NACE-Code Rev 2statistical classification of economic activities in the European Community "NACE Rev 2" referred to in Annex I to Regulation (EC) No 1893/2006 of the European Parliament and of the Council of 20 December 2006 on the compilation of statistical data Nomenclature of economic activities NACE Revision 2 and amending Council Regulation (EEC) No 3037/90 as well as certain EC Regulations on certain statistical domains (OJ L 327, 30.4.2004, p. 1), as amended by Regulation (EC) No 295/2008 (OJ L 393, 30.12.2008, p. OJ L 97, 9.4.2008, p.

10.

new entrants to new entrants pursuant to the first indent of Article 3 (h) of Directive 2003 /87/EC;

11.

non-measurable heat of heat with the exception of measurable heat;

12.

Private household buildings, which are mainly used for residential purposes, or other buildings as far as they are used for residential purposes;

13.

Prodcom Code 2007Code, as set out in the Annex to Commission Regulation (EC) No 1165/2007 of 3 September 2007 establishing the 'Prodcom List' of industrial products for 2007 pursuant to Council Regulation (EEC) No 3924/91 (OJ L 327, 27.12.2007, p. OJ L 268, 12.10.2007, p. 1);

14.

Prodcom Code 2010Code as set out in Annex to Commission Regulation (EU) No 860/2010 of 10 September 2010 establishing the 'Prodcom List' of industrial products for 2010 pursuant to Council Regulation (EEC) No 3924/91 (OJ L 327, 27.12.2010, p. OJ L 262, 5.10.2010, p. 1);

15.

Product emission value Annex I, point 1, column 5 and point 2, column 5 of the single EU allocation rules, under the name "benchmark value", number of allowances per product unit;

16.

The quantity of product units produced per year, in respect of the products listed in Annex I or Annex II to the single EU allocation rules, in relation to the product specifications specified therein, and in other cases in relation to the annual product specifications. Nettomtight marketable product units;

17.

Residual gas mixture of gases which contains incompletely oxidized carbon as a by-product of processes as defined in point 29 (b), so that the chemical energy content is sufficient to burn independently without additional fuel supply or, in the case of mixing with fuels with a higher calorific value, to contribute significantly to the overall energy supply;

18.

Directive 2003 /87/EC Directive 2003 /87/EC of the European Parliament and of the Council of 13 November 2003 October 2003, establishing a scheme for greenhouse gas emission allowance trading within the Community and amending Council Directive 96 /61/EC (OJ L 327, 30.12.1996, p. 32), as last amended by Directive 2009 /29/EC (OJ L 284, 31.10.2009, p. 63) has been amended, as amended;

19.

Sector with a storage risk sector or sub-sector exposed to a significant risk of carbon leakage, as laid down in the Annex to Commission Decision 2010 /2/EU of 24 December 2009 on the To establish a list of sectors and sub-sectors which are considered to be exposed to a significant risk of carbon leakage, in accordance with Directive 2003 /87/EC of the European Parliament and of the Council 1. 10), as amended;

20.

the set-aside capacity difference between the installed initial capacity of an allotment element and the installed capacity of that element after a substantial reduction in capacity;

21.

Electricity generating plant which, after 31 December 2004, has produced electricity and sold it to third parties and in which only one activity is carried out in accordance with Annex 1, Part 2, points 1 to 4 of the greenhouse gas emission trading law;

22.

Heat meter device for measuring and recording the amount of heat produced on the basis of the flow rate and the temperatures, in particular heat meters as defined in Annex MI-004 of Directive 2004 /22/EC of the European Parliament and of the Council of 31 March 2004 on measuring instruments (OJ 2004 L 327, p. 1), as last amended by Directive 2009 /137/EC (OJ L 145, 30.4.2009, p. OJ L 294, 11.11.2009, p.

23.

Substantial capacity-changing capacity expansion or substantial capacity reduction;

24.

significant capacity expansion significantly increasing the installed initial capacity of an allotment element, with the following characteristics:

a)

one or more determinable physical changes in the technical configuration of the dispatching element and its operation, except for the mere replacement of an existing production line; and

b)

an increase

aa): the capacity of the dispatching element by at least 10 per cent compared to its installed initial capacity before the change or
bb): the activity rate of the allocation element affected by the physical change referred to in point (a), to a significant extent, which, if the allocation rule applicable to new entrants is to be applied, to an additional allocation of the allocation of more than 50 000 allowances per year, provided that this number of allowances corresponds to at least 5 per cent of the provisional annual number of allowances to be allocated to the allocation element prior to the change;

25.

significant reduction in capacity, one or more determinable physical changes, which significantly reduce the installed initial capacity of an allotment element or its activity rate of the same order of magnitude as a significant reduction in capacity Capacity expansion;

26.

additional capacity difference between the installed capacity after a substantial capacity expansion and the installed initial capacity of an allotment element;

27.

Allocation element with fuel emission value summary of input streams, output currents and related emissions for cases of production of non-measurable heat, not included in an allotment element according to point 28 or point 30 through fuel combustion, as far as the non-measurable heat

a): is used for the manufacture of products, for the production of mechanical energy, for heating or for cooling purposes, or
b): is produced by means of safety torches in so far as the associated combustion of pilot fuels and very variable quantities of process or residual gases are authorised for the sole purpose of relieving the plant in the event of malfunctions or other operating conditions exceptional operating conditions;

in each case not measurable heat, which is used for electricity generation or is exported for electricity generation;

28.

Allotment element with product emission value summaries of input currents, output currents and related emissions related to the production of a product for which an emission value in Annex I of the single EU allocation rules is fixed;

29.

Dispatch element with process mission summary of

a)

emissions of greenhouse gases other than carbon dioxide that occur outside the system limits of an allocation element with a product emission value;

b)

Carbon dioxide emissions that occur outside the system boundaries of an allotment element with a product emission value resulting from one of the following processes:

aa): chemical or electrolytic reduction of metal compounds in ores, concentrates and secondary substances;
bb): removal of impurities from metals and metal compounds;
cc): Decomposing carbonates, excluding carbonates for exhaust gas purification;
dd): chemical syntheses, in which the carbonaceous material participates in the reaction and the main purpose of which is not heat generation;
ee): the use of carbonaceous additives or raw materials, the main purpose of which is not heat generation;
ff): chemical or electrolytic reduction of semi-metal oxides or non-metal oxides such as silicon oxides and phosphates;

c)

Emissions from the combustion of incompletely oxidized carbon produced under the processes referred to in point (b) and used for the production of measurable heat, non-measurable heat or electricity, provided that emissions are deducted , which would have been produced in the course of the combustion of a quantity of natural gas corresponding to the technically useable energy content of the incompletely oxidized carbon,

30.

Allocation element with heat emission value summary of input currents, output currents and related emissions related to the production of measurable heat or their import from an allotment element referred to in point 28 a plant falling within the scope of the greenhouse gas emissions trading act, in so far as the heat is not produced from electricity or is incurred in the production of nitric acid and is not consumed in electricity generation or for which it is used for the production of electricity, Electricity generation is exported and the heat

a): is used for the production of products, for the production of mechanical energy, for heating or cooling, outside of an allocation element referred to in point 28; or
b): to installations and other facilities outside the scope of the greenhouse gas emissions trading act.

Section 2
Allocation rules for inventory assets

Subsection 1
General allocation rules

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§ 3 Education of allocation elements

(1) In the application for free allocation of allowances for an installation, the totality of the input flows, output flows and related emissions relevant for the allocation shall be the following in the reference period defined in accordance with Article 8 (1) Assign allocation elements:

1.: an allocation element or several dispatching elements with a product emission value in accordance with section 2, point 28,
2.: an allocation element with a heat emission value in accordance with Article 2 (30), except where the allocation elements referred to in point 1 are included,
3.: a dispatching element with a fuel emission value as defined in Article 2 (27), unless the allocation elements referred to in points 1 and 2 are included; and
4.: an allocation element with process emissions in accordance with section 2, point 29, unless the allocation elements referred to in points 1 to 3 are included in the allocation element.

(2) For the purpose of determining the allocation element referred to in paragraph 1 (2), the emission of measurable heat to a heat distribution network shall be deemed to be a charge to another entity in accordance with Article 2 (30) (b). By way of derogation from the first sentence, the heat emitted to a heat distribution network shall be deemed to have been delivered to a heat consumer connected to the heat distribution network, provided that the heat consumer proves that the heat is based on a direct heat distribution system. (3) In the case of dispatch elements referred to in points 2 to 4 of paragraph 1, the applicant shall form separate dispatching elements for processes used for the manufacture of products which: Sectors with a risk of relocation, and those processes that do not apply to them. By way of derogation from the first sentence, the formation of separate dispatching elements shall be excluded, provided that the applicant

1.: provides evidence that at least 95 per cent of the activity rate of this allocation element affects sectors with a risk of displacement, or
2.: does not provide evidence that at least 5 per cent of the activity rate of the allocation element affects sectors with a risk of displacement.

(4) In the case of allocation elements with heat emission values, the following shall apply to the allocation to the separate dispatching elements referred to in paragraph 3:

1.: In the case of the direct supply of heat to a purchaser which does not fall within the scope of the greenhouse gas emissions trading act, such heat is to be attributed to the sectors with a risk of displacement, provided that the operator proves that the customer is responsible for the risk of exposure to the greenhouse gas emissions trading. belongs to a storage-risk sector; moreover, this heat is to be attributed to the sectors without any risk of relocation;
2.: When heat is supplied to heat distribution networks, the share of the total amount of heat released is to be attributed to the shift risk sectors, which is the ratio of the heat network operator to customers in sectors with a risk of displacement to the total. the quantity of heat delivered by it in the reference period applicable in accordance with Article 8 (1); moreover, the heat is to be attributed to the sectors without any risk of relocation.

For the allocation referred to in the first sentence of the first sentence, the applicant shall, in addition, have the respective Prodcom Code 2007 and 2010, as well as the respective NACE Code Rev 1.1 and Rev 2 of the decreasing installations or equipment and the associated heat quantities in the application. . When the heat is delivered to a heat distribution network, the applicant shall indicate the total amount of heat released by the heating system operator within the reference period chosen in accordance with Article 8 (1), and the amount of heat that the heat transfer operator has given to the heat distribution system. Heat network operator in this period has delivered to sectors with relocation risk. The data of the heat network operator shall be verified. Unofficial table of contents

§ 4 Determination of the installed initial capacity of existing plants

(1) For the determination of the installed initial capacity of an allotment element with product emission value, the average of the two highest monthly production volumes in the calendar months from 1 January 2005 to 31 December 2008 shall be (2) Insofar as the applicant proves that the initial capacity for the allocation of the initial capacity for the use of the initial charge is less than 720 hours per month and 12 months per year, the allocation element shall be expected to be in operation at the same time as the Allocation elements with product emission value due to lack of existing data or at an operation of the dispatching element of less than two months during the period referred to in paragraph 1 cannot be determined, the initial capacity shall be the quantity of production of the dispatch element under supervision and after examination by a competent authority Determine experimentally in accordance with the following characteristics:

1.: Determination of the quantity of sales-ready products on the basis of an uninterrupted test run of 48 hours representative of the stationary operation according to the intended purpose,
2.: Determination of the quantity of production on the basis of an uninterrupted test run over 48 hours,
3.: Consideration of earlier production quantities of the dispatch element,
4.: consideration of sectoral values and standards,
5.: Consideration of the product quality of the products actually sold.

The average monthly capacity of the allotment element is calculated from the average daily production volume determined according to the above characteristics multiplied by 30, the initial capacity installed by a multiplication this value with twelve. (3) For an allocation element with a significant change in capacity in the period from 1 January 2005 to 30 June 2011, by way of derogation from paragraph 1, the period from 1 January 2005 to the date of inclusion of the amended Operation significantly. In the case of a capacity extension in 2005, paragraph 1 shall apply in the event of an application in accordance with § 8, paragraph 8, sentence 3, first half-sentence. By way of derogation from paragraph 1, the period from the start of the control operation until 30 June 2011 shall be decisive for installations with the holding of the control operation after 1 January 2007. (4) To determine the installed initial capacity for an installation In accordance with § 2 number 27, 29 or 30, paragraphs 1 to 3 shall apply accordingly. (5) For allocation elements of existing installations which have not yet started their regular operation until 30 June 2011, the installed state of the Initial capacity zero. This applies to substantial capacity extensions with the inclusion of the changed operation after 30 June 2011 also for the additional capacity. Unofficial table of contents

§ 5 Collection of reference data

(1) The plant operator shall, in the application for free allocation for existing facilities, make the following information in particular:

1.

General information on the plant:

a): the name of the activity referred to in Annex 1, Part 2 of the Greenhouse Gas Emissions Trading Act,
b): NACE codes Rev 2 and Rev 1.1 of the Appendix,
c): a description of the installation, its essential parts and ancesuits as well as the operating mode,
d): a description of the survey methodology used, the different data sources and the calculation steps used,
e): the total heat output, where the activity in Annex 1, Part 2, of the Greenhouse Gas Emissions Trading Act (greenhouse gas emission trading law) indicates a threshold value as a thermal input,
f): in the case of a power producer, a designation as such,
g): the name of the authority responsible for the approval pursuant to Article 4 (1), first sentence, of the Greenhouse Gas Emissions Trading Act, the approval mark of which, the date of the permit, which has been awarded at the time when the plant is first being approved, the scope of the Greenhouse Gas Emissions Trading Act has fallen, and the date of the last amendment of the permit,
h): the allocation elements relevant to the allocation,
i): changes in the data relating to points (a) to (h) in the calendar years 2005 to 2010;

2.

Additional information on the plant:

a): all the input and output flows relevant to the allocation,
b): in the case of the exchange of measurable heat, residual gases or greenhouse gases with other installations or equipment, the quantity and the installations or installations in which such exchange took place, in the case of installations referred to in Annex 1 Part 2 of the Greenhouse Gas Emissions Trading Act (GHG), in addition, the approval codes of these installations from the Emissions Trading Register,
c): in the case of installations producing electricity, a balance sheet on the electrical energy of the plant and the quantities of emissions and heat and the energy sources of the fuels to be allocated to electricity production;

3.

General information about each allocation element:

a): the installed initial capacity in accordance with § 4; for allocation elements with product emission values, in addition the average of the two highest monthly production volumes in the calendar months from 1 January 2005 to 31 December 2008,
b): the emissions and energies of the fuels used,
c): the input and output flows according to point 2 (a) which are to be allocated proportionally, provided that at least two allocation elements have been formed for the installation and at least one allocation element is subject to Section 3 (1) (2) to (4) of this Regulation,
d): the relevant activity rate in accordance with § 8,
e): in the case of products listed in Annex I, point 2, column 2 of the single EU allocation rules, the relevant electricity consumption for the manufacture of the product concerned within the system limits set out in Annex I, point 2, column 3 of the uniform EU allocation rules,
f): the designation of the manufactured products with their Prodcom codes 2007 and 2010 and NACE codes Rev 1.1 and Rev 2 and the quantities produced;

4.

Additional information on dispatching elements in special cases:

a): in the case of the establishment of the regular operation between 1 January 2005 and 30 June 2011, the date of the establishment of the regular operation,
b): in the case of allocation elements, the capacity of which has been substantially amended between 1 January 2005 and 30 June 2011, in addition to the installed initial capacity, the installed capacity after each significant change in capacity and the date of the Inclusion of the modified holding,
c): in the case of dispatching elements, which have obtained measurable heat in the years 2005 to 2010, the quantity of heat that can be measured and the quantity that has been obtained from installations not subject to emissions trading, or other facilities,
d): in the case of dispatching elements which have produced measurable heat in the years 2005 to 2010, the name of the installations or other equipment to which the measurable heat has been emitted, in the case of installations referred to in Annex 1, Part 2, of the Greenhouse gas emission trading law specifying the approval identification of the emissions trading register, as well as information on the amount of heat released to each plant or other facilities,
e): in the case of allocation elements with heat emission values for the heat generated in coupled production, an allocation of the input flows and the related emissions to the products produced in coupled production, in accordance with the provisions of Annex 1, Part 3 and the additional information required for this purpose in accordance with Annex 1, Part 3, point 4,
f): in the case of products referred to in Annex III to the single EU allocation rules, the data referred to therein,
g): in the case of processes for the production of synthesis gas and hydrogen in installations within the meaning of point 7 of Part 2 of Annex 1 to the greenhouse gas emission trading law, the data corresponding to points 6 and 7 of Annex III to the single EU allocation rules,
h): in the manufacture of products referred to in Annex I to the single EU allocation rules, the quantity of intermediate products used within the meaning of the second sentence of Article 9 (5) and the emissions trading register shall be subject to the approval identification of the installation from which the the intermediate product,
i): in the case of an intermediate product within the meaning of Article 9 (5), second sentence, to another installation within the scope of the greenhouse gas emissions trading act, the quantity of the intermediate products delivered and the emission trading register Approval of the plant to which the product or intermediate product is delivered,
j): in the case of installations which have produced heat which can be measured by the use of biomass in coupled production with a quantity of electricity which has been quenched in accordance with the Renewable Energy Sources Act, the indication of the quantity of heat generated in coupled production.

(2) The information referred to in points 2 to 4 of paragraph 1 shall be required, with the exception of the information referred to in points 3 (a) and 4 (a) and (b) of paragraph 1, for each of the calendar years in the reference period chosen by the applicant in accordance with Article 8 (1). Record 1 covers all calendar years in which the plant was in operation, even if it was operated only occasionally or seasonally, or held in reserve or on standby. In the case of the exchange of measurable heat, intermediate products, residual gases or greenhouse gases between plants in accordance with Annex 1, Part 2 of the Greenhouse Gas Emissions Trading Act, the information required for each calendar year 2005 to 2010 shall be required. In the case of installations with at least one allocation element with a product emission value for which the reference period of 2009 and 2010 has been chosen as the reference period, the data shall also be required for each of the calendar years 2005 to 2008. (3) The Applicants may waive the entry and exit flows of the installation referred to in paragraph 1 (2) (a) to the extent that they provide that information for the entire installation, as they are subject to the emission trading obligation at the time when the application is submitted, already within the scope of the emission reporting or in the context of the data collection on the basis of the Data collection regulation 2020 for the years 2005 to 2010. If the applicant dispenses with the information in the dispatch application, the emission data communicated on the basis of uniform substance values shall also be taken over. Unofficial table of contents

§ 6 Determination of reference data

(1) Activity rates, input and output currents, to which data are available only for the whole plant, shall be allocated to the respective dispatching elements on the basis of the following methods in proportion by the applicant:

1.

if different products are produced successively on the same production line, activity rates, input and output currents are allocated on the basis of the time of use per year and allocation element;

2.

where activity rates, input and output streams cannot be allocated in accordance with point 1, the assignment shall be based on the basis of

a): the mass or volume of the products produced,
b): of estimates based on the free reaction enthalpy of the chemical reactions in question, or
c): another appropriate scientifically-based distribution key.

In the case of this allocation, the sum of the emissions of all dispatching elements shall not exceed the total emissions of the total plant. The assumptions and methods used to allocate the emissions to the respective dispatching elements shall be presented in the description of the installation referred to in Article 5 (1) (1) (c) and (d). (2) Insofar as the information in the Annex is concerned, the In addition to the required information, the calculation method must be explained in addition to the required calculation method and the derivation of the information in the description of the installation according to § 5 (1) (1) Point (c) and (d). To the extent that the competent authority for the calculations specifies forms, they shall be used. The operator is obliged to present the evidence on which the information is based, at the request of the competent authority. (3) In so far as this Regulation does not contain any divergent rules, the data to be supplied in the allocation application shall be: information in accordance with the monitoring guidelines to be collected and reported. To the extent that the requirements of the monitoring guidelines cannot be complied with or do not contain any regulations, data and information must be collected and reported with the highest attainable degree of accuracy and completeness in the individual case. There must be no overlap or double counting between the allocation elements. (4) If data is missing, the reason for this should be given. Missing data are to be replaced by conservative estimates based, in particular, on proven industrial practice and on current scientific and technical information. If data is partially available, conservative estimate means that the value estimated to fill data gaps is a maximum of 90 percent of the value obtained when the available data is used. If there is no data on measurable heat flows for an allocation element with heat emission value, a substitute value can be derived. This shall be calculated by multiplying the corresponding energy consumption by the degree of use of the heat-generating plant, which has been verified by an expert body. If no data are available to determine the degree of use, a utilisation rate of 70 per cent shall be applied to the corresponding energy input for the production of measurable heat. (5) Insofar as in the context of the calculation of the an oxidation factor of 1 shall be applied in general, an oxidation factor of 1 is generally applied. (6) Where the heat in coupled production has been generated in the case of an allocation element with a heat emission value, the input flows and the related emissions are those in coupled Production of manufactured products in accordance with Annex 1, Part 3. Unofficial table of contents

§ 7 Requirements for the verification of allocation applications

(1) The factual information in the dispatch application as well as the survey methodology are provided by an expert body within the meaning of § 21 of the greenhouse gas emission trading law as part of the verification of the allocation request in accordance with § 9 paragraph 2 sentence 6 of the greenhouse gas emission trading law. The audit shall, in particular, relate to the reliability, credibility and accuracy of the data supplied by the plant operators. In this case, the division of the installation in the allocation elements must be confirmed separately. (2) The expert body must present in the test report whether the application and the data contained therein are free from material misinformation with sufficient certainty. and deviations from the requirements of the Greenhouse Gas Emissions Trading Act and of this Regulation. (3) The expert body must comply with the requirements set out in Annex 2, Part 1. Without prejudice to the requirements of the monitoring guidelines, the competent authority shall, in the context of the examination referred to in paragraph 1, apply the requirements set out in Annex 2, Part 2. (4) The competent authority shall, in its external audit report, specify: Eides instead of reassuring that

1.: in the case of verification of the allocation request, the independence and impartiality of its activity in accordance with the relevant provisions of its authorisation as an environmental verifier or its appointment as an expert in accordance with Section 36 of the Industrial Code, and
2.: it did not participate in the preparation of the allocation request or the development of the survey methodology.

In the case of experts who have been notified of the equivalence of their accreditation in another Member State pursuant to Article 21 (3) sentence 1 of the Greenhouse Gas Emissions Trading Act, the first sentence shall apply. (5) The competent authority In the external audit report, it has to be confirmed that the requested application does not contain any overlap between the allocation elements nor the double counting. Unofficial table of contents

§ 8 Measure of activity rate

(1) For existing installations, the relevant activity rate shall be determined on the basis of the data collected in accordance with § 5, at the applicant's choice, in a uniform manner for all the allocation elements of the installation, either after the reference period from 1 January 2005 to including 31 December 2008, or after the reference period from 1 January 2009 to 31 December 2010 inclusive. (2) The relevant activity rate shall be for each product of the installation for which an allocation element within the meaning of Section 3 (1) (1) of this Regulation shall be applied. , the median value of all the annual quantities of this product shall be included in the Reference period. By way of derogation from the first sentence, the activity rate for the products listed in Annex III to the single EU allocation rules shall be determined in accordance with the formulae laid down therein for these products. (3) The relevant activity rate for an allocation element with: Heat emission value is the median value of all the annual quantities of the heat referred to in § 2 (30) per year in the reference period chosen in accordance with Article 2 (30). (4) The relevant activity rate for an allocation element with Fuel emission value is the median value of all of the Annual energy consumption of the fuels used for the purposes of Article 2 (27) as a product of fuel quantity and lower calorific value in the reference period chosen in accordance with paragraph 1. (5) The relevant activity rate for an allocation element with Process emissions shall be the median value of the annual values of the annual values of the processing missions referred to in Article 2 (29) in the reference period chosen in accordance with Article 2 (29). (6) Up to 5 shall be taken into account only for the calendar years in which the installation of at least one Day in operation. By way of derogation, for the determination of median values for installations, account shall also be taken of the calendar years in which the installation was not in operation for at least one day during the reference period, to the extent that:

1.: the installation is used occasionally, in particular as a standby or reserve capacity, or as a plant with seasonal operation, is regularly operational,
2.: the facility has a greenhouse gas emission permit and all other required operating licences and is regularly maintained, and
3.: it is technically possible to put the plant into service in the short term.

(7) By way of derogation from paragraphs 2 to 5, activity rates shall be calculated on the basis of the installed initial capacity of each allocation element, multiplied by the relevant activity factor determined in accordance with Article 17 (2), provided that:

1.: the period of entry into service of an installation to the end of the reference period chosen in accordance with paragraph 1 shall be less than two full calendar years,
2.: by reason of the first sentence of paragraph 6, account should be taken of the activity rates of the allocation elements of less than two calendar years of the reference period; or
3.: the operation of an installation in accordance with Annex 1, Part 2, points 7 to 29 of the Greenhouse Gas Emissions Trading Act, was interrupted for more than one calendar year in the reference period chosen in accordance with paragraph 1, and the installation is not considered to be a standby or Reserve capacity is maintained or seasonally operated.

(8) In the case of substantial increases in capacity between 1 January 2005 and 30 June 2011, the relevant activity rate of the allocation element shall be equal to the sum of the median value determined in accordance with paragraphs 2 to 5 without the essential Capacity expansion and the activity rate of the additional capacity. The activity rate of the additional capacity is equal to the difference between the installed capacity of the dispatching element after the capacity expansion and the installed initial capacity of the changed dispatch element up to the Inclusion of the modified holding multiplied by the average capacity utilisation of the allocation element in the period from 1 January 2005 to the end of the calendar year prior to the date of inclusion of the modified holding. In the case of significant increases in capacity in 2005, these will be treated as non-essential capacity extensions at the request of the operator; otherwise, in these cases, the average capacity utilization of the capacity shall be determined. the average monthly capacity utilization in 2005 up to the calendar month prior to the date of inclusion of the changed holding. In the case of a number of capacity extensions, the average capacity utilisation rate of the allocation element concerned before the start of the operation of the first change is significant. (9) In the case of significant reductions in capacity between 1 January 2005 And 30 June 2011, the relevant activity rate of the allocation element shall be the difference between the median value determined in accordance with paragraphs 2 to 5 without the substantial reduction in capacity and the activity rate of the capacity set aside. The activity rate of the decommissioned capacity shall be equal to the difference between the installed initial capacity of the amended allocation element up to the calendar year prior to the commence of the changed operation and the installed capacity of the Allocation element after the capacity reduction, multiplied by the average capacity utilization of the allocation element in the period from 1 January 2005 to the end of the calendar year prior to the start of the change in operation. In the case of a number of capacity reductions, the average capacity utilization rate of the allocation element concerned before the start of the operation of the first capacity reduction is significant. In the case of substantial reductions in capacity in 2005, the second sentence of the third sentence of paragraph 8 shall apply accordingly. Unofficial table of contents

Section 9 Allocation for existing plants

(1) For the purpose of determining the amount of free allocation for existing installations, the provisional annual number of allowances shall be calculated for each allocation element in accordance with paragraphs 2 to 4. The sum of the provisional annual number of allowances to be allocated free of charge to all dispatching elements shall constitute the provisional allocation quantity for the facility. The competent authority reports the provisional allocation quantities for all plants pursuant to Article 9 (3) of the Greenhouse Gas Emissions Trading Act to the European Commission. (2) The provisional annual number of allowances is given for an allocation element ,

1.

for each allocation element with the product emission value from the product emission value multiplied by the relevant product-related activity rate in accordance with § 8 (2),

2.

for

a): Allocation elements with heat emission values from the emission value for measurable heat in accordance with Annex I of the single EU allocation rules multiplied by the heat-related activity rate in accordance with Article 8 (3),
b): Allocation elements with fuel emission values from the fuel emission value as set out in Annex I of the single EU allocation rules multiplied by the fuel-related activity rate in accordance with Article 8 (4),
c): Allocation elements with process emissions from the process-related activity rate in accordance with § 8 (5) multiplied by a factor of 0.97.

(3) The provisional annual number of allowances to be allocated for each allocation element for each year in accordance with the rules laid down in this Regulation shall be subject to the annual factors referred to in Annex VI to the single annual number of allowances. EU allocation rules applied. Where the products manufactured in these allotments relate to sectors with a risk of displacement, the factor 1 shall apply for the years 2013 and 2014 and for the years 2015 to 2020. In the event of changes to the sectors or sub-sectors defined by the European Commission in accordance with Article 10a (13) of Directive 2003 /87/EC for the years 2013 and 2014 or for the years 2015 to 2020, the allocation decision shall be (4) The provisional annual number of allowances for dispatching elements with product emission values, which have obtained measurable heat from allotment elements, which produce products which are covered by the Nitric acid emission values as set out in Annex I to the single EU allocation rules, shall be reduced by the number of allowances equal to the product from the annual consumption of this heat during the years forming the median value for the allocation according to the nitric acid emission value, and the value of the heat emission value for these measurable (5) In the calculation of the provisional allocation quantity for the installation, input and output flows and emissions must not be counted twice. If an installation produces intermediate products, which are covered by the product emission value of a product in accordance with the respective system limits set out in column 3 of Annex I to the single EU allocation rules, the intermediate products shall not be provided with the intermediate products. Allocation to the extent that these intermediate products are taken up by an installation and are included in the allocation there. (6) The final allocation for the installation shall be equal to the product of the provisional basis calculated in accordance with paragraphs 1 to 5. Allocation quantity for the plant and the European Commission according to Article 15 (3) of the single EU allocation rules set cross-sectoral correction factor. In the case of heat generation in the case of electricity generators, the linear factor referred to in Article 10a (4) of Directive 2003 /87/EC shall be used instead of the correction factor referred to in the first sentence, on the basis of the provisional annual number Authorizations to be allocated free of charge to the electricity producer in question for 2013. (7) As far as the European Commission rejects the provisional allocation for an installation, the competent authority refuses to allocate the requested allotment.

Subsection 2
Special allocation rules

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§ 10 Allocation rule for the heat supply of private households

(1) Insofar as measurable heat is transferred to private households and provided that the part of the provisional annual number of allowances for 2013 determined in accordance with Article 9 (2) (2) (a) to produce this heat is lower than the amount of the total quantity of private households which is to be measured. for the period from 1 January 2005 to 31 December 2008, the median annual emissions of the allocation element resulting from the production of measurable heat released to private households shall be calculated on request by the provisional annual number of allowances for 2013 increased by the difference. (2) In each of the From 2014 to 2020, the provisional annual number of allowances determined in accordance with paragraph 1 shall be adjusted so as to correspond to a percentage of the median annual emissions referred to in paragraph 1 for the year in question. This percentage is 90 percent in 2014, and decreases by 10 percentage points in each of the subsequent years. The adjustment referred to in the first and second sentences shall not be adjusted as soon as the part of the provisional annual number of allowances for the year in question, as determined in accordance with Article 9 (2) (2) (a), falls below the provisional annual number of allowances for the year in question. (3) In the application referred to in paragraph 1, the applicant shall specify in addition the pro rata greenhouse gas emissions to be attributed to the production of measurable heat in the years 2005 to 2008 delivered to private households; Coupled heat production shall be the pro-rata greenhouse gas emissions in accordance with Annex 1, Part 3, to be identified and reported. The following shall be stated:

1.: the share of the quantity of heat released to private households on the amount of heat released annually to installations and facilities which are not subject to the scope of the greenhouse gas emission allowance trading act, separately for each the years 2005 to 2008, or
2.: the amount of heat dissipated at a pre-run temperature of less than 130 degrees Celsius in the design state.

(4) In the case of paragraph 3, second sentence, point 1, and the heat transfer to a heat distribution network, the applicant shall indicate the total amount of heat emitted by the heating system operator and the amount of heat the heating system operator shall provide to the heat distribution system operator. Private household has delivered. The data of the heat network operator shall be verified. For the applicant, the amount of heat released to private households shall be determined on the basis of the ratio of the amount of heat released by the heat network operator to private households to the total amount of heat released by it. (5) In the case referred to in the second sentence of paragraph 3 Number 2 and the heat transfer to a heat distribution network, 39 percent of this heat is considered to be delivered to private households. Unofficial table of contents

§ 11 Allocation rule for the production of pulp

If a plant consists of ingredient elements in which pulp is produced, irrespective of whether this pulp falls below a product emission value, and it becomes measurable heat from these dispatching elements to other dispatching elements , the provisional annual number of allowances for the pulp producing ingredient shall only be taken into account for the calculation of the provisional allocation quantity of this plant in accordance with the second sentence of Article 9 (1), second sentence, to the extent that the amount of allowances provided by the said subdivision shall be calculated by the Dispatch element produced cellulose products put on the market and not in of the same plant, or in other technically connected plants, to be processed into paper. Unofficial table of contents

§ 12 Allocation Rule for Steamcracking Processes

By way of derogation from Article 9 (2) (1), the provisional annual number of allowances to be allocated to an allocation element with a product emission value for the production of chemical value products shall be calculated in accordance with the conditions laid down in Annex 1, Part 1. Unofficial table of contents

Section 13 Allocation rule for vinyl chloride monomer

By way of derogation from Article 9 (2) (1), the provisional annual number of allowances to be allocated to an allotment element for the production of vinyl chloride monomer shall be calculated in accordance with Annex 1, Part 2. Application for a grant supplementary to the other provisions of this Regulation shall contain information on the hydrogen which has been used as fuel for the production of vinyl chloride monomer. Unofficial table of contents

§ 14 Heat flows between plants

Where measurable heat from a plant not covered by the greenhouse gas emission allowance trading law has been obtained in an allotment element with a product emission value, the heat shall be referred to in accordance with Article 9 (2) (1) (1) of the greenhouse gas emission allowance trading scheme (GKP). calculated provisional annual number of allowances to be allocated to the relevant allocation element with product emission value reduced by the number of allowances corresponding to the product

1.: the quantity of heat referred to in the reference period chosen in accordance with Article 8 (1) of the activity rate of the allotment element, and
2.: the heat emission value for measurable heat as set out in Annex I to the single EU allocation rules.

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§ 15 Exchangeability of fuel and electricity

(1) For each allocation element with a product emission value which takes into account the interchangeability of fuel and electricity in accordance with point 2 of Annex I to the single EU allocation rules, the provisional annual number of allowances shall be: in accordance with Article 9 (2) (1), the value of the relevant product emission value multiplied by the product-related activity rate, multiplied by the quotient of the total direct emissions declared in tonnes of carbon dioxide equivalent, by (4) and the sum of the total amount of the carbon dioxide equivalent direct emissions and indirect emissions to be calculated in accordance with paragraph 2 during the reference period. (2) For the purposes of the calculation referred to in paragraph 1, the relevant indirect emissions shall be based on the relevant factors specified in megawatt-hours. energy consumption as defined by the processes and emissions of the products listed in point 2 of Annex I to the single EU allocation rules for the manufacture of the product in question during the reference period referred to in Article 8 (1); multiplied by 0.465 tons of carbon dioxide per megawatt hour of electricity and expressed as Tonnes of carbon dioxide. (3) For the purposes of the calculation referred to in paragraph 1, the emissions from the net heat reference shall relate to the quantity of measurable heat required for the manufacture of the product in question, which shall be taken during the period referred to in Article 8 (1). the reference period, multiplied by the heat emission value as set out in point 3 of Annex I to the single EU allocation rules. (4) Direct emissions include the emissions to be calculated in accordance with paragraph 3 from the net heat related during the reference period. of the reference period chosen in accordance with Article 8 (1). It does not include the emissions from electricity production as well as measurable heat, which has been delivered beyond the system limits of the allocation element. The emissions from the coupled generation of electricity and heat shall be allocated in accordance with the provisions of Annex 1, Part 3.

Section 3
New entrants

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§ 16 Request for free allocation of allowances

(1) Applications for free allocation for new entrants shall be submitted within one year after the establishment of the regular operation of the facility, with substantial increases in capacity within one year after the start of the revised operation. (2) The The plant operator is obliged to provide the following information in the application:

1.

General information on the plant:

a): the name of the activity referred to in Annex 1, Part 2 of the Greenhouse Gas Emissions Trading Act,
b): NACE codes Rev 2 and Rev 1.1 of the plant to which the activity is to be assigned,
c): a description of the installation, its essential parts and ancesuits as well as the operating mode,
d): a description of the survey methodology used, the different data sources and the calculation steps used,
e): the total heat output, where the activity in Annex 1, Part 2, of the Greenhouse Gas Emissions Trading Act (greenhouse gas emission trading law) indicates a threshold value as a thermal input,
f): in the case of a power producer, a designation as such,
g): the name of the authority responsible for the approval pursuant to Article 4 (1), first sentence, of the Greenhouse Gas Emissions Trading Act, the approval mark of which, the date of approval at the time when the installation was first referred to the scope of the Greenhouse Gas Emissions Trading Act (GHG) and, where appropriate, the date of the last modification of the permit,
h): in the case of new installations, the date of the establishment of the regular operation and the emissions of the installation up to that date,
i): the allocation elements relevant to the allocation;

2.

Information for the plant up to and including the penultimate calendar month prior to application:

a): all input and output flows relevant to allocation,
b): in the case of the exchange of measurable heat, residual gases or greenhouse gases, with other installations or facilities, information in which quantity and with which installations or facilities of such exchange took place; in the case of exchanges with installations in accordance with the Annex 1 part 2 of the Greenhouse Gas Emissions Trading Act (Greenhouse Gas Emissions Trading Act), in addition to specifying the approval codes of these installations from the Emissions Trading Register,
c): in the case of installations producing electricity, a balance sheet of the electrical energy of the installation and the quantities of emissions and heat and the energy of the fuels to be allocated to electricity production;

3.

Details of each allocation element:

a): the installed initial capacity,
b): in the event of a significant increase in the capacity of an allocation element after 30 June 2011, the date of inclusion of the changed holding, the additional capacity and the installed capacity after the substantial capacity expansion, and the capacity of the proof that the criteria for an essential capacity extension in accordance with Section 2 (24) are met,
c): additional information in accordance with Article 17 (2);

4.

Details of each allocation element up to and including the penultimate calendar month prior to submission of the application:

a): the emissions and energies of the fuels used,
b): the input and output flows according to point 2 (a) which are to be allocated proportionally, provided that at least two allocation elements have been formed for the installation and at least one allocation element falls within the scope of Article 3 (1) (2) to (4) of this Regulation,
c): the average capacity utilization of the dispatching element,
d): in the case of products listed in point 2 of Annex I to the single EU allocation rules, the relevant electricity consumption for the production of the product concerned as defined by the processes and emissions of the products listed in point 2 of Annex I to the products listed in the single EU allocation rules,
e): the designation of manufactured products with their Prodcom code 2007 and 2010 and NACE code Rev 1.1 and Rev 2 and the quantities produced;

5.

Additional information on allocation elements in special cases up to and including the penultimate calendar month prior to application:

a): in the case of dispatching elements, which relate to measurable heat, the quantity of heat that can be measured and the quantity that is obtained from installations or equipment not subject to emissions trading,
b): in the case of dispatching elements which emit measurable heat, the name of the installations or other equipment to which the measurable heat is emitted; shall the heat be delivered to installations in accordance with Annex 1, Part 2 of the greenhouse gas emission trading act, specify, in addition, the approval identifiers of these installations from the emission trading register and the quantities of heat released to the individual installations or facilities;
c): in the case of allocation elements with heat emission values for the heat generated in coupled production, an allocation of the input flows and the related emissions to the products produced in coupled production, in accordance with the provisions of Annex 1, Part 3 and the additional information required for this purpose in accordance with Annex 1, Part 3, point 4,
d): in the case of products referred to in Annex III to the single EU allocation rules, the data to be provided in accordance with the formulae given therein,
e): in the case of processes for the production of synthesis gas and hydrogen in installations as defined in Annex 1, Part 2, point 7 of the Greenhouse Gas Emissions Trading Act, which correspond to those specified in Annex III, points 6 and 7 of the single EU allocation rules. Formulas to be determined,
f): in the manufacture of products referred to in Annex I to the single EU allocation rules, the quantity of intermediate products used within the meaning of the second sentence of Article 9 (5) and the emissions trading register shall be subject to the approval identification of the installation from which the the intermediate product,
g): in the case of an intermediate product within the meaning of Article 9 (5), second sentence, to another installation within the scope of the greenhouse gas emission trading act, the respective quantity of the intermediate products delivered and the emission trading register Approval identifier of the asset to which the product or intermediate product is delivered.

(3) Paragraph 6 shall apply. (4) The initial installed capacity for new installations shall be the average of the two highest monthly production quantities within the end-to-end 90-day period, on the basis of which, by way of derogation from § 4, the initial capacity for each allocation element shall be equal to the average of the two highest monthly production quantities. (5) The competent authority shall immediately confirm receipt of the application and the accompanying documents and documents. In the case of an electronic transmission of the application, which is prescribed by the competent authority, the automatically generated receipt shall suffice. The competent authority shall inform the applicant within six weeks of the additional information, documents and evidence required for the calculation of the provisional annual total allocation quantity. (6) The competent authority shall within the following six weeks: Three months after the receipt of the complete application documents, the provisional annual total allocation shall be determined and reported to the European Commission. Unofficial table of contents

§ 17 Activity rates of new entrants

(1) For the allocation elements of new plants to be determined in accordance with § 3, the activity rates relevant for the allocation of allowances shall be determined as follows:

1.: the product-related activity rate for an allocation element with product emission value corresponds to the installed initial capacity of the allocation element concerned for the production of this product multiplied by the Commission's standard load factor, published in accordance with the first sentence of Article 18 (2) of the single EU allocation rules;
2.: the heat-related activity rate for a heat-emission allocation element is equal to the installed initial capacity of the apporation element concerned, multiplied by the relevant load factor;
3.: the fuel-related activity rate for a fuel-emission allocation element corresponds to the installed initial capacity of the apporation element concerned, multiplied by the relevant load factor;
4.: the activity rate related to process emissions for an allocation element with process emissions is equal to the installed initial capacity of the apporation element in question multiplied by the relevant load factor.

The relevant load factor referred to in paragraph 1 (2) to (4) shall be determined on the basis of the applicant's information on:

1.: the actual operation of the dispatching element until the application and the planned operation of the installation or dispatching element, its planned maintenance periods and production cycles,
2.: the use of energy-and propellant-gas-efficient techniques that can influence the relevant load factor of the plant,
3.: the typical utilization within the sectors concerned.

(3) For allocation elements, the capacity of which has been substantially extended after 30 June 2011, the activity rates referred to in paragraph 1 shall be determined only for the additional capacity of the dispatching elements to which the substantial capacity expansion . Unofficial table of contents

Section 18 Allocation for new entrants

(1) For the allocation of allowances for new installations, the competent authority shall calculate the provisional annual number of allowances to be allocated free of charge for the remaining years of the period 2013 to 2020, when the system is set up for the remaining years. Permissions as follows and for each dispatching item separately:

1.: for each allocation element with product emission value, the provisional annual number of allowances to be allocated for free shall correspond to the product of the respective product emission value and the product-related activity rate;
2.: for each allocation element with heat emission value, the provisional annual number of allowances to be allocated free of charge shall be the product of the emission value for measurable heat and the heat-related activity rate;
3.: for each allocation element with fuel emission value, the provisional annual number of allowances to be allocated for free shall correspond to the product of the fuel emission value and the fuel-related activity rate;
4.: for each dispatching element with process emissions, the provisional annual number of allowances to be allocated for free shall be equal to the process-related activity rate multiplied by a factor of 0.97.

(2) For the calculation of the provisional annual number of allowances in accordance with paragraph 1, § 3 (3), § 9 (3) to (5) and § § 11 to 15 shall apply accordingly. The relevant period in § § 11 to 15 is the one that was used to determine the installed initial capacity for new installations or to determine the installed capacity after a substantial change in capacity. For the calendar year in which the new plant has taken up its normal operation, the amount of dispatch shall be reduced in part. (3) If the capacity of an allocation element has been substantially extended after 30 June 2011, the competent authority shall calculate at the request of the plant operator and without prejudice to the allocation for the installation in accordance with § 9, the number of allowances to be allocated for the additional capacity free of charge in accordance with the allocation rules referred to in paragraph 1. (4) For emissions of the Allocation elements that have been carried out before the control operation is carried out shall be used for the (5) The total provisional annual quantity of allowances to be allocated for free shall be the sum of the allowances referred to in paragraphs 1 and 2. or in accordance with paragraph 3, the provisional annual number of allowances to be allocated free of charge to all the allocation elements and the additional allowances referred to in paragraph 4. (6) The total provisional annual quantity shall be determined annually from 2014 on: Abbreviation of the shortest factor referred to in Article 10a (7) of Directive 2003 /87/EC. This results in the final annual total quantity. (7) In order to assess further changes in capacity, the competent authority shall, after a significant change in capacity, lay down the installed capacity of the dispatching element after this significant change in capacity in accordance with § 2 Number 5 as the installed initial capacity of the dispatching element.

Section 4
Capacity reductions and operational settings

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Section 19 Essential capacity reduction

(1) In the event of a substantial reduction in the capacity of an allocation element as from 30 June 2011, the number of allowances allocated free of charge for an installation shall be reduced by the quantity corresponding to the reduction in capacity. Section 18 (3) shall apply mutas to the calculation of the quantity of allowances to be reduced. In accordance with Section 17 (1), the activity rates for the set-aside capacity of the allocation elements to which the substantial reduction in capacity is concerned are to be determined. (2) The allocation decision for the installation is from the year following the year of reduction in capacity, to be repealed and adjusted by its own due account, with substantial reductions in capacity before 1 January 2013 from 2013. The annulment of the allocation decision is subject to the disbanding condition of a rejection by the European Commission. (3) In order to assess subsequent significant changes in capacity, the competent authority shall set up the installed capacity of the Allocation element based on the substantial capacity reduction as the installed initial capacity of the dispatching element. Unofficial table of contents

§ 20 Operating Settings

(1) The operation of an installation shall be deemed to have been established if one or more of the following conditions are met:

1.: authorisation to emit greenhouse gases has been obtained;
2.: authorisations to emit greenhouse gases have been lifted;
3.: the operation of the plant is impossible from a technical point of view;
4.: the plant is not in operation, but was previously in operation, and the holding cannot be resumed for technical reasons;
5.: the plant is not in operation but was previously in operation, and the plant operator cannot guarantee that this plant will resume its operation within a maximum of six months after the operation; the competent authority shall: may, on request, extend this period up to 18 months if the plant operator can demonstrate that the plant cannot resume operations within six months due to exceptional and unforeseeable circumstances which: even with all due diligence, could not have been prevented and the lie outside the control of the operator of the facility in question, in particular on the basis of circumstances such as natural disasters, war, threats of war, terrorist attacks, revolutions, unrest, acts of sabotage or property damage.

(2) Paragraph 1 (5) shall not apply to installations held in reserve or readiness, nor to seasonal installations, in so far as the installation is subject to a permit to emit greenhouse gases and to all other prescribed operating licences. , and it is technically possible to put the plant into service in the short term, without any physical changes being necessary. (3) In the case of the establishment of operations referred to in paragraph 1, the competent authority shall, as from the year, lift the installation of the installation. which follows the year of establishment, the allocation decision of officess; because of, and issue the output of permissions to this asset. The annulment of the allocation decision is subject to the disbanding condition of a rejection by the European Commission. Unofficial table of contents

§ 21 Paralwise Operating Settings

(1) It is assumed that an installation has partially ceased its operation if an allocation element, to which at least 30 per cent of the allowances allocated for free of charge each year are granted free of charge, or for the annual more as 50 000 allowances have been allocated, its activity rate is reduced by at least 50 per cent in a calendar year compared to the activity rate (initial activity rate) used in the allocation according to § § 9, 18 or 19. (2) The competent Authority lifts the allocation decision of allowances to a facility that in part its operation, from the calendar year following the partial operating setting, with partial operating adjustment before 1 January 2013 from 2013 onwards, on its own account and adapts the allocation decision as follows:

1.: the activity rate of the allotment element is reduced by 50 to 75 per cent compared to the initial activity rate, the allocation element shall receive half of the allocated allowances;
2.: the activity rate of the allotment element is reduced by 75 to 90 per cent compared to the initial activity rate, and the allocation element receives 25 per cent of the allocated allowances;
3.: If the activity rate of the allocation element is reduced by 90 percent or more compared to the initial activity rate, no permissions are assigned to this allocation element.

The competent authority may, in the context of the calculation of the percentage reduction in the percentage reduction referred to in the first sentence, disregard the activity rate in the case of allotment elements with a product emission value, to the extent that such reduction is caused by a reduction in the percentage Production of a comparable product with a product emission value in the same production line of the plant. (3) The allocation element shall be awarded after adjustment of the allocation referred to in paragraph 2 in one of the Operational setting of the following calendar years an activity rate of over 50% of the The initial activity rate shall be divided by the competent authority of the installation concerned from the year following the calendar year in which the activity rate of the allocation element has exceeded the threshold of 50% before the adjustment of the rate of activity of the allocation element. (4) The allocation element shall, after adjustment of the allocation referred to in paragraph 2 (2) or (3), enter in one of the calendar years following the partial establishment of the allocation Activity rate of over 25 percent of the initial activity rate, according to the competent authority of the installation concerned from the year following the calendar year in which the activity rate of the allocation element exceeded the threshold of 25 per cent, half of which prior to the adjustment of the allocation referred to in paragraph 2 (5) The adjustments to the allocation decisions referred to in paragraphs 2 to 4 shall be subject to the disbanding condition of rejection by the European Commission. (6) In the case of allocation elements, Heat emission value remains in the determination of the activity rates according to the preceding paragraphs unaccounted for:

1.: the heat released to other plants within the scope of the greenhouse gas emissions trading act; and
2.: the absorbed heat from other installations which are not subject to the scope of the greenhouse gas emissions trading law.

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Section 22 Changes in the operation of an installation

The system operator shall, for the first time at 31 January 2013, inform the competent authority of all relevant information concerning planned or actual changes in capacity, activity rates and operation of the plant until 31 January of the following year; (2) In the event of a substantial reduction in capacity in accordance with § 19, the plant operator shall be obliged to supply the competent authority with the capacity set aside and the installed capacity of the dispatching element according to the essential capacity reduction shall be notified without delay. In the case of an operating adjustment pursuant to Article 20 (1), the plant operator shall be obliged to inform the competent authority immediately of the date of the establishment of the operation.

Section 5
Exemption from small issuers

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Section 23 Information in the application for exemption for small issuers

(1) In the context of the application in accordance with Article 27 (2) sentence 1 of the greenhouse gas emissions trading act, the plant operator may, in the case of the selection of the compensation amount, act as an equivalent measure on the calculation of the reduction factor in accordance with § 27 (3) In this case, the additional information required under paragraphs 3 and 4 as well as § 25 shall be omitted. (2) The application must contain the following information:

1.: the annual emissions of the plant in the calendar years 2008 to 2010, and
2.: in the case of installations in accordance with Annex 1 (2) (1) to (6) of the Greenhouse Gas Emissions Trading Act (GHG), the thermal performance of the plant.

(3) In addition, the following information shall be required as a basis for the detection of specific emission reductions:

1.: the production quantity of the installation according to § 24 in the base period;
2.: the emissions caused by the production referred to in point 1 in the base period;
3.: for installations in accordance with Annex 1, Part 2, points 7 to 29 of the Greenhouse Gas Emissions Trading Act, the quantities of electricity and measurable heat which have been obtained from other installations in the base period or to other installations, and
4.: in the case of the common proof of reduction referred to in point 1 (b) of Part 1 of Annex 5 of the greenhouse gas emissions trading act, the name of the installations involved and the name of the joint plant network.

(4) For installations in accordance with Annex 1, Part 2, points 1 to 6 of the Greenhouse Gas Emissions Trading Act, the emissions to be generated from the generation of electricity, heat and mechanical work shall be disclosed separately. Annex 1, Part 3, shall apply to the allocation of emissions from the products produced in coupled production; in the case of coupled production of mechanical work and heat, Annex 1, Part 3 shall apply. (5) Emissions in accordance with paragraphs 2 to 4 shall be subject to the requirements of the data collection regulation 2020. Section 5 (3) shall apply accordingly. Production quantities shall be indicated in relation to the annual net quantity of marketable product units, for installations referred to in Annex 1, Part 2, points 1 to 6 of the Greenhouse Gas Emissions Trading Act, in megawatt-hours and for other installations related to the The total number of products manufactured under each activity in tonnes. (6) base period is the reference period chosen in accordance with Article 8 (1). For installations which have been put into service in 2007 or 2008 and have not chosen the years 2009 and 2010 as the reference period in accordance with § 8, paragraph 1, the base period consists of the two years following the year of commissioning. Unofficial table of contents

Section 24 Determination of the emission value of the facility in the base period

(1) The emission value of the installation shall be

1.: in the case of installations in accordance with Annex 1, Part 2, points 1 to 6 of the Greenhouse Gas Emissions Trading Act, to the amount of emissions per unit of product for the products, electricity, heat or mechanical work, in each case separately after coupled and uncoupled production;
2.: for installations in accordance with Annex 1, Part 2, points 7 to 29 of the Greenhouse Gas Emissions Trading Act, to the amount of emissions per product unit for all the products produced under each activity.

The emission value of the unit per unit of product in the base period shall be calculated in accordance with the following paragraphs from the division of the annual average emissions of the plant in the base period by the annual average Production quantity of the installation in the base period. (2) If an installation according to the first sentence of the first subparagraph of paragraph 1 produces more than one of the products mentioned therein, the emission values of the individual components shall be determined in the base period to determine the emission value of the installation. Products corresponding to the annual average share of the product in question the amount of emissions to be allocated to the total annual average emissions of the facility in the base period. The second sentence of Article 23 (4) shall apply accordingly. Where several of the activities listed in Annex 1, Part 2, points 7 to 29 of the Greenhouse Gas Emissions Trading Act, are carried out in a plant covered by the first sentence of paragraph 1, point 2, the first sentence shall apply. (3) Insofar as an installation in the Annex I shall apply in the Annex to the Annex. The base period of electricity or measurable heat from other installations shall be added to the emissions resulting from these quantities in the determination of the emission value of the installation. The emissions, which are attributable to the electricity generated by another plant, shall be determined by multiplying the annual average amount of electricity by an emission value of 0.465 tonnes of carbon dioxide per megawatt hour. The emission of measurable heat shall be determined by multiplying the annual average amount of heat by an emission value of 62.3 tonnes of carbon dioxide per terajoule. (4) Insofar as an installation according to Annex 1 is concerned. Part 2 (7) to (29) of the Greenhouse Gas Emissions Trading Act (GHG), in the base period, has delivered electricity or measurable heat to another plant, the annual average emissions of the production of the electricity or of the electricity produced shall be , in accordance with the provisions of the second and third sentences of paragraph 3, the determination of the (5) In the case of a common reduction certificate in accordance with Annex 5, Part 1, point 1 (b) of the greenhouse gas emissions trading act, the emission value of the compound shall be determined in accordance with the provisions of Annex 5, Part 1 (b) of the greenhouse gas emission trading act. the base period shall be weighted by the emission values of all the included installations in the appropriate application of the first sentence of paragraph 2. Unofficial table of contents

Section 25 Proof of plant-specific emission reductions

(1) For the plant-specific emission reduction, the reduction of the emission value of the plant in a reporting year of the trading period 2013 to 2020 shall be decisive in relation to the emission value of the installation in the base period as determined in accordance with § 24. (2) The The emission value of the unit per product unit in a reporting year of the trading period 2013 to 2020 is the result of the division of the emissions of the plant in this reporting year and the production volume of the plant in this reporting year. § 24 (2) to (5) shall apply accordingly. (3) The plant operator shall report on the trading period 2013 to 2020 for each reporting year.

1.: the quantity of production of the products of the plant according to § 24; and
2.: the quantities of electricity and measurable heat produced by other installations or other installations.

(4) The quantities to be reported in accordance with paragraph 3 shall be proved by the commercial accounting. The evidence must be kept for ten years. (5) If one of the products is not manufactured in a year under review, it will not be taken into account in the determination of the plant-specific emission reduction this year. (6) In the case of common detection In accordance with Annex 5, Part 1, point 1 (b) of the greenhouse gas emission trading law, the monitoring and reporting obligations under the greenhouse gas emission trading act and this regulation must be fulfilled separately for each installation. The monitoring plans and reports shall specify the name of the association and the common contact persons. Installations which have not produced any production output in one year shall remain unaccounted for in the determination of emission reductions. Unofficial table of contents

Section 26 Compention of compensation and surcharge

(1) If the compensation amount is determined in accordance with Article 27 (3) of the Greenhouse Gas Emissions Trading Act for a reference year of the 2013 to 2020 trading period, a number of free allowances shall be based on the amount of allowances for the plant without a Exemption from the application of Section 9 (1) of the Greenhouse Gas Emissions Trading Act and the allocation rules of this Regulation would result for this reporting year. This also applies to changes in the plant or its operating mode. (2) In the cases according to § 27 (6) of the Greenhouse Gas Emissions Trading Act, the plant operator is permitted to have allowances for the calendar year in which it is the first time that the plant operator is responsible for the shall be made by 30 April of the next year. By way of derogation, the plant operator must submit allowances for the 2020 calendar year by 30 April 2021. Unofficial table of contents

Section 27 Public Participation

(1) The competent authority shall disclose on its website the following information:

1.: the names of the installations for which an exemption under Article 27 of the Greenhouse Gas Emissions Trading Act has been requested;
2.: for each of these installations, the equivalent measure laid down in Article 27 (2) of the Greenhouse Gas Emissions Trading Act (GHG) and
3.: for each of these installations, the greenhouse gas emissions produced annually between 2008 and 2010.

(2) Following the announcement, the public shall have four weeks ' opportunity to comment on the intended exemptions. At the end of the period, the competent authority of the European Commission shall inform the public of the result of the public participation. This notification shall make the competent authority known on its website. Unofficial table of contents

§ 28 Facilitation of issuance reporting by small emitters

(1) For operators of installations which emit less than 5 000 tonnes of carbon dioxide equivalent in each of the years 2008 to 2010 or in the three calendar years prior to the reference year, the determination of emissions and of the Emission reporting in accordance with § 5 of the Greenhouse Gas Emissions Trading Act the following facilitation:

1.: Emission factors, calorific values and carbon contents of fuels and materials can be determined by supplier data, unless corresponding standardized parameters are determined by law for the fuels concerned. ; a proof of the uncertainty with which the individual parameters have been determined does not need to be taken.
2.: If the operator determines the parameters on his or her own responsibility or by commissioning a third party, it is sufficient to prove that standardised procedures are used for testing and analysing the individual substance parameters and manufacturer's instructions for the operation of the equipment used; the laboratories used must not be accredited; comparative tests are not necessary.
3.: For the monitoring and reporting of activity data, points 1 and 2 shall apply accordingly.
4.: The fossil shares of substances of the same origin with a predominantly biogenic carbon content must be determined quarterly only once by representative sampling and analysis; from the same origin, it can be assumed if, on the basis of the The origin of the substances can only be assumed to be insignificantly different in composition.
5.: In the monitoring plan, a description of the procedures for defining responsibilities and competences is deprivation.
6.: A description of the procedure for the regular revision of the monitoring plan is deprivation.
7.: The monitoring plan is to include a comprehensible data flow diagram; a verbal description of the data collection and management is also to be taken into account.
8.: Information on other environmental management systems used in the plant is not required.
9.: In the context of the verification of the emissions report, it is sufficient if the expert body compares the reported facts every four years with the conditions on the ground, provided that the method of monitoring the activity data or Substance parameter has not been changed.

(2) For other installations in accordance with Article 27 (5) sentence 1 of the greenhouse gas emissions trading law, paragraphs 1 to 6 and 8 shall apply mutas to the determination of emissions and the emission reporting.

Section 6
Other arrangements

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Section 29 Single annexes

At the request of the operator, the competent authority shall establish that installations listed in Annex 1, Part 2, points 1 to 6 of the greenhouse gas emissions trading act together with other installations referred to in Annex 1, Part 2, points 12 to 22 of the greenhouse gas emissions trading scheme shall be Greenhouse gas emissions trading act form a uniform plant, provided that the conditions of § 24 of the greenhouse gas emissions trading act are fulfilled. (2) Operators of plants as defined in Annex 1, Part 2, points 8 to 11 of the Greenhouse gas emission trading law, which according to § 24 of the greenhouse gas emissions trading act as a single plant shall also be obliged to indicate, within the framework of the emission reporting, the production quantities of the products produced in the installations concerned. (3) Appendixes to Annex 1, Part 2, point 7 of the greenhouse gas emissions trading act together with other installations listed in Annex 1, Part 2 of the Greenhouse Gas Emissions Trading Act, as a single installation, provided that they are operated by the same plant operator at the same site in a technical network. (4) competent authority shall have findings in accordance with § 24 of the Greenhouse gas emission trading law, to the extent that directly applicable European Union acts preclude the formation of such a uniform system. Unofficial table of contents

§ 30 Auction

(1) Provider of allowances to be increased pursuant to Section 8 (1) sentence 1 of the Greenhouse Gas Emissions Trading Act is the Federal Environment Agency or a third party appointed by it. (2) Revenue pursuant to § 8 (3) sentence 1 of the Greenhouse gas emission trading law is the revenue after deduction of the sales tax (net proceeds). Under Section 8 (3) sentence 2 of the Greenhouse Gas Emissions Trading Act, overlappings and undercover of the costs incurred by the German Emissions Trading Authority (Deutsche ETS) in the Federal Environment Agency (Umweltbundesamt) are due to the refinancing requirements of the following year. to be counted. Unofficial table of contents

§ 31 Administrative Offences

(1) Contrary to the provisions of Section 32 (1) (2) and (2) of the Greenhouse Gas Emissions Trading Act, those who intentionally or negligently act against § 5 (1), § 6 (4) sentence 1, § 10 (3) sentence 1, first half sentence or sentence 2 or § 16 (2) is not an administrative offence within the meaning of Article 32 (3) (6) of the Greenhouse Gas Emissions Trading Act (GHG), who intentionally or negligently

1.: does not, contrary to § 6 (2) sentence 3, provide a proof of proof, not correct or not in good time,
2.: Contrary to Article 22 (1), a communication on the activity rates of the installation does not make it correct, not complete or not in good time,
3.: Contrary to § 22 (2), a communication does not make, not correct, not complete or not timely, or
4.: Contrary to § 29, paragraph 2, an indication is not made, not correct or not complete.

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Section 32 Entry into force

This Regulation shall enter into force on the day following the date of delivery. Unofficial table of contents

Annex 1 (to § 5, paragraph 1, point 4, point (e), § 6 (6), § 10 (3) sentence 1, § § 12, 13 sentence 1, § 15 (4) sentence 3, § 16 (2) (5) (c), § 23 (4) sentence 2)
Application of special allocation rules

(Fundstelle: BGBl. I 2011, 1938-1939)
Part 1Allocation for steamcracking processes according to § 12The provisional annual number of allowances to be allocated to an allotment element with product emission value for the production of chemical value products shall be calculated according to the following formula:

Explanation of the abbreviations

FcWP: provisional annual allocation for an allotment element, which represents the production of chemical value products by steam cracking, in number of allowances;
BMSteamcracken: Product emission value for steamcracken;
Emdirectly: direct emissions in accordance with section 15 (4). The emissions in direct emissions from all net imports of measurable heat shall be calculated in accordance with Article 15 (3);
Emindirectly: indirect emissions from the consumption of electricity within the system limits of the steam cracker during the selected reference period, calculated on the basis of the emission factor referred to in Article 15 (2);
HARcWP, insg., k: historical activity rate for the total production of chemical value products in the year k of the selected reference period, expressed in tonnes of chemical value products;
HZEH, k: historical hydrogen production from additional feedstocks in the year k of the selected reference period, expressed in tonnes of hydrogen;
HZEE, k: historical ethene-production from additional feedstocks in the year k of the chosen reference period, expressed in tonnes of ethene;
HZEO, k: historical production of other chemical value products from additional feedstocks in the year k of the chosen reference period, expressed in tons of other chemical products, here as the sum of the masses of ethyne, propene, butadiene and benzene.

Part 2Allocation for vinyl chloride monomer according to § 13The provisional annual number of allowances to be allocated to an allotment element with a product emission value for the production of vinyl chloride monomer shall be calculated according to the following formula:

Explanation of the abbreviations

FVCM: provisional annual allocation for the production of vinyl chloride monomer, in number of allowances;
BMVCM: Product emission value for vinyl chloride monomer;
HARVCM: historical activity rate for the production of vinyl chloride monomer as the median of the annual production volumes during the relevant reference period, expressed in tonnes of vinyl chloride (chloroethylene);
Emdirectly: historical direct emissions in accordance with Article 15 (4) of the production of vinyl chloride monomer, including emissions from the net thermal import during the relevant reference period, expressed in tonnes of carbon dioxide equivalents; which are expressed in the direct emissions from all net imports of measurable heat shall be calculated in accordance with Article 15 (3);
Emhydrogen: historical virtual emissions from the combustion of hydrogen for the production of vinyl chloride monomer during the relevant reference period, calculated as historical hydrogen consumption multiplied by 56.1 tonnes of carbon dioxide per terajoule, expressed in tons of carbon dioxide equivalent.

Part 3Allocation of input flows and emissions
in the generation of heat in combined heat and power

1.

The following formula is decisive for the allocation of input currents and emissions in the generation of heat in combined heat and power production to the products produced in coupled production:

Explanation of the abbreviations

EQ: the amount of emission of carbon dioxide equivalent to the amount of heat generated in coupled generation of heat, or the mass flow generated in coupled generation of heat, in relation to an allocation element;
QQ: Efficiency of heat generation in coupled heat production;
Q, ref: Reference efficiency of heat generation in coupled heat production;
El: Efficiency of electricity production in coupled power generation;
El, ref: Reference efficiency of electricity production in coupled power generation;
ECHP: the quantity of carbon dioxide emitted in tonnes of carbon dioxide equivalents or the mass flows generated by the coupled generation of electrical and thermal energy in the coupled generation of electrical and thermal energy.

2.

For the purpose of applying the formula referred to in point 1, the efficiencies for the production of electricity and heat shall be indicated either from the installation parameters of the installation or by verified measurements; alternatively, the efficiencies may also be indicated by the following: the levels of use are indicated. The following formulae shall be used for the determination of the efficiencies by verified measurements:

Explanation of the abbreviations

QW: the quantity of heat generated by the coupled generation of electrical and thermal energy, expressed in gigajoules;
QBr: the fuel quantity required for the coupled generation of electrical and thermal energy, expressed in gigajoules;
Qel: the amount of electricity generated by the coupled generation of electrical and thermal energy, expressed in gigajoules.

If this information is not available or cannot be determined, the value of Q shall be 0.7, and a value of 0,525 shall be assumed for the el-el.

3.

For the purposes of the application of the formula according to point 1, the following reference efficiency values of the separate electricity and heat generation shall apply to the Q, ref and the elements el, ref and the following:

Coal, coke and other solid Fuel lignite, Lignite briquetted gas oil, fuel oil, liquefied petroleum gas and other liquid fuel natural gas and other gaseous fuels

Current	44.2%	41.8%	44.2%	52.5%
Heat	88%	86%	89%	90%

If a plurality of fuels are used in an allocation element, then a mixing value for the reference efficiency is to be formed on the basis of a weighting according to fuel energy.

4.

Additional information in the terms of dispatch Insofar as the provisions of this Regulation refer to this part of Annex 1, the following information on the incineration units of the plant shall be additionally required in the dispatch request:

a): the designation of the combustion unit,
b): the thermal performance at the time the application is submitted,
c): the associated dispatching elements,
d): Changes in the data relating to points (a) to (c) in the calendar years 2005 to 2010.

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Annex 2 (to section 7 (3))
Requirements for competent bodies and the examination

(Fundstelle: BGBl. I 2011, 1940-1941)
Part 1Requirements for the expert staff The competent authority must be independent of the plant operator, carry out its task objectively and impartially and be familiar with

1.: the laws, regulations and administrative provisions relevant to the activities to be examined, in particular with Directive 2003 /87/EC, the monitoring guidelines, the single EU allocation rules, the greenhouse gas emission trading law, the The Data Collection Regulation 2020 and this Regulation and the relevant standards;
2.: the establishment of all the information on the individual parameters and sources of emissions in the installation, in particular with regard to the collection, measurement, calculation and transmission of data.

Part 2Requirements to the Examination I. General principles

1.

The planning and implementation of the test must be carried out in compliance with professional scepticism and, in particular, taking into account such circumstances which could lead to substantial errors and false information of the information and data provided.

2.

Within the framework of the verification procedure, parameters and data communicated by the plant operator may only be validated if they were able to be determined with a high degree of security. In order to ensure a high degree of security, the competent authority must, when considering the evidence submitted by the plant operator, be satisfied that:

a): the parameters and data communicated are reliable and conclusive,
b): the data have been collected in accordance with the applicable standards, guidelines and scientific standards; and
c): the relevant records and documentation of the installation are complete and conclusive.

3.

The competent authority shall have access to all locations and to all information relating to the subject of the examination.

II. Methodology

1.: The audit is based on a strategic analysis of all the activities carried out in the facility. To this end, the competent authority shall, in particular, provide for a complete and detailed understanding of all relevant activities and their relevance to the allocation.
2.: The test shall take into account all relevant information of the emission permit, the immission protection authorisation or other operating authorisations. This is particularly true with regard to the evaluation of the installed initial capacity of allocation elements.
3.: In the context of a risk analysis, the inherent risks and the control risks, which result from the scope and complexity of the activities of the plant operator and the allocation parameters, and which lead to material misstatements, are the subject of risk analysis. could, as well as the risks of discovery, be examined and assessed. The audit plan shall be drawn up based on the results of the strategic analysis and the risk analysis.
4.: The test shall require both a technical on-site inspection of the plant and an on-the-spot inspection of evidence and evidence in order to control the functioning of meters and monitoring systems, conduct interviews, samples and sufficient information to be collected and verified. The competent authority may waive an on-the-spot survey, provided that the circumstances referred to in the first sentence have already been the subject of an on-the-spot verification by the competent authority no longer than two years ago.
5.: In the implementation of the test plan, all data shall be collected and collected on the basis of the sampling procedures, transit tests, document tests, analysis methods and data tests, and shall be subject to the subsequent review of the test .
6.: The competent authority shall require the plant operator to complete all missing data or missing parts of the test path, to explain deviations in the parameters or emission data and to carry out calculations again, or to adjust the data that has been notified.
7.: The expert himself has to carry out essential test activities. To the extent that it delegates ancillary activities, it shall note this in its external audit report.

III. Report

1.: The expert body shall draw up an internal audit report in which it is documented and demonstrated that the strategic analysis, risk analysis and the audit plan have been fully implemented and implemented. The internal audit report shall contain sufficient information on the supporting considerations of the audit opinion. The internal audit report shall also facilitate the assessment of the audit by the competent authority and the supervisory authority.
2.: The decision as to whether the notified parameters contain essential false information or have remained open to any other questions which are relevant to the audit opinion shall be based on the results and findings of the internal audit report.
3.: The test method, findings and test reports shall be summed up in an external audit report, which shall be forwarded by the operator together with the dispatch request to the competent authority. The external audit report must, in a comprehensible manner, indicate the content and results of the test. It shall contain information on all the fields provided for in the electronic format template for filling by the competent authority. In the electronic format, the relevant test entries shall be selected. If the competent authority has found errors or deviations from the legal requirements in the application details, it must indicate in the external audit report and explain why it was able to grant the test. To the extent that a check is not possible or is only possible to a limited extent, it should be noted in the external audit report to what extent the proof could be conducted. Reasons must be given as to why the limited verifiability of the issue of the test did not stand in the way of the test.