# EUR-Lex - 52011PC0370 - EN

*|*

# 52011PC0370

**Proposal for a DIRECTIVE OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL on energy efficiency and repealing Directives 2004/8/EC and 2006/32/EC /* COM/2011/0370 final - COD 2011/0172 */**

			*

			*

EXPLANATORY MEMORANDUM

1.
CONTEXT OF THE PROPOSAL
1.1.
Grounds for and objectives of the proposal

The EU has set
itself the objective of achieving 20 % primary energy savings in 2020[1] and has made this objective one
of the five headline targets of the Europe 2020 Strategy for smart, sustainable
and inclusive growth[2].

The
Commission’s latest estimations, which take into account the national energy
efficiency targets for 2020 that Member States have set in the context of the
Europe 2020 strategy, suggest that the EU will achieve only half of the 20 %
target in 2020[3].
The European Council[4]
and the European Parliament[5]
have urged the Commission to adopt a new ambitious strategy on energy
efficiency for determined action to tap the considerable potential.

To give fresh
momentum to energy efficiency, on 8 March 2011 the Commission put forward a new
Energy Efficiency Plan (EEP) setting out measures to achieve further savings in
energy supply and use.

This
legislative proposal transforms certain aspects of the EEP into binding
measures. The main purpose of the proposal is to make a significant
contribution to meeting the EU’s 2020 energy efficiency target. For it to be
successful, the proposal must be promptly adopted and implemented in the Member
States.

The
proposal also looks beyond the 20 % target and seeks to set a common
framework to promote energy efficiency in the Union beyond 2020. The proposal is
a strategic priority in the Commission Work Programme for 2011.

1.2.
General context

Against
a backdrop of rising EU imports of energy at rising prices, access to energy
resources will in the medium term play a more important role with the potential
to risk seriously compromising EU economic growth. This explains why energy
efficiency is one of the main aspects of the Europe 2020
flagship initiative for a resource-efficient Europe[6]. Energy
efficiency is the most cost-effective and fastest way to increase security of
supply, and is an effective way to reduce the greenhouse gases emissions
responsible for climate change. As outlined in the Commission Communication ‘A
Roadmap for moving to a competitive low carbon economy in 2050’[7], energy efficiency can help the
EU achieve and even outperform its greenhouse gas emission reduction target.

Making
the EU economy more energy efficient will also have positive impacts in terms
of economic growth and job creation. Energy savings free up financial resources
that can be reinvested elsewhere in the economy and can help alleviate public
budgets that are under strain. For individuals, energy efficiency means paying
less on their energy bills. Energy poverty can be tackled strategically by taking
energy efficiency improvement measures. Finally, producing more with less
energy should improve EU industries’ competitiveness and give them the lead in
the global markets for energy efficiency technologies. Energy efficiency and
savings benefit the EU economy as a whole, the public sector, business and
private individuals. For these reasons, the European Energy Strategy 2020
identified energy efficiency as one of the key priorities of EU energy policy
for the following years.

1.3.
Existing provisions

The
scope of two Directives: the Cogeneration Directive (2004/8/EC, CHP Directive)
and the Energy Services Directive (2006/32/EC, ESD)[8] overlap with this Proposal.
Both have failed to fully tap the energy saving potential. Therefore, it is
proposed that these two Directives are repealed when the new Directive enters
into force, except for Articles 4(1) to (4) and Annexes I, III and IV to the
ESD. These provisions concern the achievement by 2017 of an indicative energy
saving target of 9% of the final energy consumption of each Member State in the
5 years before the implementation of the ESD. This target – albeit different in
scope and level of ambition - contributes to the realisation of the EU's 20% energy
efficiency target by 2020, and should therefore remain applicable until 2017.

Other
provisions overlapping with the provisions of the new Directive are Article
9(1) and (2) of Directive 2010/30/EU on energy labelling[9], which will be repealed when
the new Directive enters into force.

1.4.
Consistency with other EU
policies and objectives

This
proposal is anchored in the Europe 2020 Strategy for smart, sustainable and
inclusive growth[10],
as the EU’s 20 % energy efficiency target is part of one of the five
headline targets under this Strategy. It is one of the proposals planned for
2011 to deliver on one of the seven key initiatives of
the Strategy, the Europe 2020
flagship initiative for a resource-efficient Europe. It
is consistent and complementary with EU climate policy.

The
decreased energy consumption aimed at by this proposal should also help Member
States to reach their targets on the share of energy from renewable sources set
by Directive 2009/28/EC on the promotion of the use of energy from renewable
sources[11].

2.
Consultation of interested
parties and impact assessment
2.1.
Consultation, data collection and use of
expertise

The
proposal was developed on the basis of a broad range of contributions from
Member States and interested parties provided on various occasions, including a
general online public consultation[12].
Another broad consultation exercise was launched in January 2011 by the working
groups of the Bucharest forum on sustainable energy (which include Member State
representatives and stakeholders)[13].
A comprehensive analysis of the impact of the options proposed was carried out
using the results of three models and numerous studies. The analysis studied
the economic, social and environmental impact of the options, taking into
account the subsidiarity and proportionality principles.

2.2.
Impact assessment

The
impact assessment (IA) explores a number of options broken down into three
levels:

- First-level policy options analyse
ways to improve the current policy framework. This analysis focuses primarily
on issues of whether the current approach of the ESD to target setting should
be extended until 2020, whether national energy savings targets should be added
to achieve the EU 20 % target and if so, whether they should be binding or
merely indicative.

The analysis concludes that the ESD targets
should be maintained for end-use sectors until their deadline in 2016, but to
reach the 20 % energy efficiency target they need to be complemented with
more ambitious energy savings targets under the Europe 2020 process. It indicates
that such targets do not need to be binding at present and that binding
measures can achieve the same or better results. These binding measures,
together with the current policy framework, should be sufficient to reach the
EU’s 20 % target in 2020. However, progress needs to be followed and
appropriate corrective action taken early enough to ensure the 20 % target
is reached in 2020 if progress is, after all, inadequate.

- Second-level policy options explore different measures to tackle
the remaining economic potential on the demand and supply side.

The
IA looks at energy savings obligation schemes as a
possible option for yielding energy savings in end-use sectors. It concludes
that energy saving obligations have the scope to achieve significant savings
but the existing provisions in the ESD (where such obligations are only one of
the options provided to Member States to ensure that energy utilities achieve
savings in end-use sectors) should be reinforced. The questions then raised are
the level of energy savings required from energy utilities and whether the
design of such obligation schemes should be completely left to the Member
States or whether there should be some harmonisation of key design features.
The IA suggests introducing national energy efficiency obligation schemes in
all Member States with the aim of yielding an annual final energy reduction of
1.5 %. While certain key features need to be harmonised at EU level
(targeted sectors, level of ambition and counting methods), Member States
should have the possibility to adjust the schemes to their national
circumstances or retain their current schemes, to a large degree. The option of
introducing a European system of tradable white certificates was also
considered, but rejected for the same reasons as the option to completely
harmonise all design features of the scheme.

Another set of policy options examine measures involving the public
sector. The analysis concludes that two measures could be beneficial. Firstly,
3 % of buildings owned by public bodies should be renovated annually to
cost-optimal levels, a doubling of the current renovation rate. Secondly,
public bodies should be required to purchase high energy performance products
and buildings based on the available energy labels and certificates.

Other
options with a considerable positive impact compared to their costs are those that
aim to promote the energy services market, provide improved and more frequent
information to households and companies on their actual energy consumption
through billing and smart meters, and mandatory energy audits for large
companies. The IA shows that all these measures are valuable in reducing the
information gap that is one of the barriers to efficiency and could yield major
energy savings. Other options to promote energy efficiency via voluntary
measures are assessed as insufficient to tap all the available potential for
savings.

The
IA also analyses which measures could help tap energy efficiency potential in
energy transformation and distribution. It rejects the
options involving a continuation of the provisions of the current CHP
Directive, as they do not promote energy efficiency across the energy supply
sector, but only in relation to cogeneration and without ensuring an actual deployment
of CHP (Member States are only required to gather information and report to the
Commission). The analysis suggests that establishing minimum performance
requirements for energy generation (including on mandatory CHP and district
heating/cooling requirements for new electricity generation installations and
mandatory connection and priority access of high-efficiency cogeneration to the
electricity grid) would significantly improve energy efficiency in generation. Establishing
energy efficiency obligations for energy regulatory authorities would also be valuable
in improving efficiency in energy transmission and distribution.

The
IA examines options for national reporting and monitoring of implementation. To
limit the administrative burden whilst ensuring proper monitoring of progress,
it suggests a light form of annual reporting based on a selection of energy
efficiency and savings indicators, which could be fed into the annual National
Reform Programmes. This would be supplemented by more detailed information on
energy efficiency measures and programmes that would only be required from
Member States every three years.

-
Third-level policy options
assess the legal form of the selected first- and second-level measures. It concludes
that, in order to reach the level of ambition of the EU 20 % energy
efficiency target, EU policies need to reap the energy saving potential in every
sector, including in those sectors excluded from the scope of the ESD. This is
why it is proposed to adopt a new legislative proposal that covers the scope of
the two Directives and extends it to all sectors with energy saving potential.
Merging the two Directives into a single legislative text was considered to be the
best option to streamline the existing legal framework and provide better
coherence.

The
analysis was not as conclusive regarding the legal form. However, as the specific
provisions of the legislative proposal have been fleshed out, it has become
clear that, given the content and the need to adopt further implementing
measures at national level, a Directive is the most appropriate legal form.

The
modelling exercise to evaluate the overall impact of the selected policy
options shows that for the EU27, the net effect of the proposed measures reaches
the 20 % primary energy saving objective. The IA also shows that the
additional cost of achieving the overall 20 % target through the set of selected
measures is modest compared to the benefits. The overall economic, social and
environmental impacts of these measures will make a strong positive
contribution to EU policies and underpin the Europe 2020 Strategy.

Energy
efficiency is one of the main vehicles to achieve the objectives of the 2050
Low Carbon Economy Roadmap. The price of ETS allowances is an important
incentive to reduce greenhouse gas emissions. While the modelling exercises
carried out in preparation of this proposal showed that its measures will
certainly deliver additional greenhouse gas emissions reductions, they were not
conclusive regarding possible impacts on the price of ETS allowances. In the
implementation of the 20% energy efficiency target, the Commission will have to
monitor the impact of new measures on Directive 2003/87/EC establishing the
EU's emissions trading directive (ETS) in order to maintain the incentives in
the emissions trading system rewarding low carbon investments and preparing the
ETS sectors for the innovations needed in the future. In this respect,
appropriate measures need to be considered, including recalibrating the
emissions trading system by setting aside a corresponding number of allowances
from the part to be auctioned during the period 2013 to 2020, should a
corresponding political decision be taken.

3.
Legal elements of the proposal
3.1.
Summary of proposed action

The
proposed Directive establishes a common framework for promoting energy
efficiency in the Union to ensure the target of 20 % primary energy
savings by 2020 is met and to pave the way for further energy efficiency afterwards.
It lays down rules designed to remove barriers and overcome some of the market
failures that impede efficiency in the supply and use of energy.

For
end-use sectors, the proposed Directive focuses on measures that lay down
requirements on the public sector, both as regards renovating the buildings it
owns and applying high energy efficiency standards to the purchase of
buildings, products and services. The proposal requires Member States to
establish national energy efficiency obligation schemes. It requires regular
mandatory energy audits for large companies and lays down a series of
requirements on energy companies regarding metering and billing.

For
the energy supply sector, the proposal requires Member States to adopt national
heating and cooling plans to develop the potential for high-efficiency
generation and efficient district heating and cooling, and to ensure that
spatial planning regulations are in line with these plans. Member States must
adopt authorisation criteria that ensure that installations are located in
sites close to heat demand points and that all new electricity generation
installations and existing installations that are substantially refurbished are
equipped with high-efficiency CHP units. Member States should however be able
to lay down conditions for exemption from this obligation where certain
conditions are met. The proposal also requires Member States to establish an
inventory of energy efficiency data for installations undertaking the
combustion of fuels or the refining of mineral oil and gas and sets
requirements on priority/guaranteed access to the grid, priority dispatch of
electricity from high-efficiency cogeneration and the connection of new
industrial plants producing waste heat to district or cooling networks.

Other
measures proposed include efficiency requirements for national energy regulatory
authorities, information and awareness-raising actions, requirements concerning
the availability of certification schemes, action to promote the development of
energy services, and an obligation for Member States to remove obstacles to
energy efficiency, notably the split of incentives between the owner and tenant
of a building or among building owners.

Finally,
the proposal provides for the establishment of national energy efficiency
targets for 2020 and requires the Commission to assess in 2014 whether the
Union can achieve its target of 20 % primary energy savings by 2020. The
Commission is required to submit its assessment to the European Parliament and
the Council, followed, if appropriate, by a legislative proposal laying down
mandatory national targets.

3.2.
Legal basis

The
proposal is based on Article 194(2) of the Treaty on the Functioning of the
European Union. According to Article 194(1), ‘in the context of the
establishment and functioning of the internal market and with regard for the
need to preserve and improve the environment, Union policy on energy shall aim,
in a spirit of solidarity between Member States, to (...) c) promote energy
efficiency and energy saving and the development of new and renewable forms of
energy’. The aim of this proposal is precisely to establish a common framework to
promote energy efficiency in the Union.

3.3.
Subsidiarity principle

The
subsidiarity principle applies to this proposal insofar as energy policy does
not fall under the exclusive competence of the Union.

The
EU has set itself the target of achieving 20 % primary energy savings in
2020 and has made it one of the five headline targets of the Europe 2020
Strategy. The current energy efficiency framework, in particular the ESD and
CHP Directives, have not managed to tap existing energy saving potential. Measures
currently adopted at Member States level are also insufficient to overcome the
remaining market and regulatory barriers.

The
energy challenges addressed by this proposal (security of energy supply,
sustainability and climate change, as well as EU competitiveness) are concerns shared
by the EU as a whole. A collective response at EU level is necessary to ensure action
is coordinated and the shared objectives are achieved more effectively.

The
measures proposed by the new Directive will contribute to ensuring that all
Member States make an appropriate contribution to the efforts needed to achieve
the 20 % target and a level playing field for all market actors, notably by
setting minimum energy performance requirements (for instance on access to
public markets, energy audit obligations on companies, energy saving
obligations on energy utilities and access to the grid for cogeneration
producers). The proposal gives investors certainty as regards the achievement
of the EU target and support for energy efficiency improvement measures such as
high-efficiency cogeneration and district heating and cooling.

3.4.
Proportionality principle and choice of legal
instrument

The
proposal does not go beyond what is necessary to achieve the energy efficiency target.
It sets strict energy efficiency requirements in a number of areas, but Member
States keep a high degree of discretion to favour energy efficiency improvement
measures in the way that suits their national circumstances best.

The
instrument chosen is a Directive to be transposed into national law by the
Member States. A Directive defines the final result to be achieved and the
general requirements, while leaving sufficient flexibility to Member States to
adapt implementation to their national specificities. In this particular case,
a Directive is sufficient to achieve the objectives of the proposal. The level
of constraint is thus proportionate to the objective.

4.
Budgetary implication

As specified in the financial statement
accompanying this Directive, the Directive will be implemented using the
existing budget and will not have an impact on the multi-annual financial
framework.

5.
Additional information
5.1.
Simplification of the ‘acquis’

The
proposal contributes to the simplification of the ‘acquis’, although it is
not included in the list of measures of the simplification work plan. As a result
of adopting this proposal, the ESD and CHP Directives will be replaced by a
single Directive, giving a more integrated approach to energy efficiency and
savings. Some administrative simplification should also result from the need to
transpose only one Directive instead of two.

Reporting
obligations are currently laid down in both Directives. They will replaced with
a single set of annual reports (in-depth every three years), building on the
reporting process under the Europe 2020 strategy.

Furthermore,
this proposal simplifies the energy saving measurement requirements contained
in the existing ESD. In this sense, it should help achieve a significant
reduction in the administrative burden currently faced by Member States.

5.2.
Repeal of existing legislation

Adoption
of the proposal will lead to the repeal of existing legislation. This concerns
Article 9(1) and (2) of Directive 2010/30/EU; Directive 2004/8/EC and Directive
2006/32/EC. Article 4(1) to (4) and Annexes I, III and IV of Directive
2006/32/EC will only be repealed with effect from 1 January 2017.

5.3.
Review/revision/sunset clause

The
proposal includes several review clauses.

5.4.
Recasting

The
proposal does not involve recasting.

5.5.
Correlation table

Member
States are required to communicate to the Commission the text of national
provisions transposing the Directive, and a correlation table between those provisions
and the Directive.

5.6.
European Economic Area (EEA)

The
Proposal concerns an EEA matter and should therefore be applicable to it.

2011/0172 (COD)

Proposal for a

DIRECTIVE OF THE EUROPEAN PARLIAMENT
AND OF THE COUNCIL

on energy efficiency and repealing
Directives 2004/8/EC and 2006/32/EC

THE EUROPEAN PARLIAMENT AND THE
COUNCIL OF THE EUROPEAN UNION,

Having regard to the Treaty on the
Functioning of the European Union, and in particular Article 194(2) thereof,

Having regard to the proposal from the European
Commission[14],

After transmission of the draft legislative
act to the national parliaments,

Having regard to the opinion of the
European Economic and Social Committee[15],

Having regard to the opinion of the
Committee of the Regions[16],

Acting in accordance with the ordinary
legislative procedure,

Whereas:

(1)
The Union is facing unprecedented challenges
resulting from increased dependence on energy imports and scarce energy
resources, and the need to limit climate change and to overcome the economic
crisis. Energy efficiency is a valuable means to
address these challenges. It improves the Union's security of supply by
reducing primary energy consumption and decreasing energy imports. It helps to reduce
greenhouse gas emissions in a cost-effective way and thereby to mitigate
climate change. Shifting to a more energy-efficient economy should also accelerate
the spread of innovative technological solutions and improve the
competitiveness of industry in the Union, boosting economic growth and creating
high quality jobs in several sectors related to energy efficiency.

(2)
The Presidency Conclusions of the European
Council of 8 and 9 March 2007 emphasized the need to increase energy efficiency
in the Union to achieve the objective of saving 20% of the Union’s primary
energy consumption by 2020 compared to projections. This amounts to a reduction
of the Union's primary energy consumption of 368 Mtoe in 2020[17].

(3)
The Presidency Conclusions of the European
Council of 17 June 2010 confirmed the energy efficiency target as one of the
headline targets of the Union's new strategy for jobs and smart, sustainable
and inclusive growth (Europe 2020 Strategy). Under this process and in order to
implement this objective at national level, Member States are required to set
national targets in close dialogue with the Commission and to indicate, in their
National Reform Programmes, how they intend to achieve them.

(4)
The Commission Communication on Energy 2020[18] places energy efficiency at
the core of the EU energy strategy for 2020 and outlines the need for a new energy efficiency strategy that will enable all Member States to
decouple energy use from economic growth.

(5)
In its Resolution of 15 December 2010 on the
Revision of the Energy Efficiency Action Plan[19],
the European Parliament called on the Commission to include in its revised
Energy Efficiency Action Plan measures to close the gap to reach the overall EU
energy efficiency objective in 2020.

(6)
One of the flagship initiatives of the Europe 2020 Strategy is the resource-efficient Europe
flagship adopted by the Commission on 26 January 2011[20]. This identifies energy
efficiency as a major element in ensuring the sustainability of the use of
energy resources.

(7)
The Presidency Conclusions of the European
Council of 4 February 2011 acknowledged that the EU energy efficiency target is
not on track and that determined action is required to tap the considerable
potential for higher energy savings in buildings, transport, products and
processes.

(8)
On 8 March 2011, the Commission adopted the Energy
Efficiency Plan 2011[21].
This confirmed that the Union is not on track to achieve its energy efficiency target.
To remedy this, it spelled out a series of energy efficiency policies and
measures covering the full energy chain, including energy generation,
transmission and distribution; the leading role of the public sector in energy
efficiency; buildings and appliances; industry; and the need to empower final
customers to manage their energy consumption. Energy efficiency in the
transport sector was considered in parallel in the White Paper on Transport,
adopted on 28 March 2011[22].
In particular, Initiative 26 of the White Paper calls for appropriate standards
for CO2 emissions of vehicles in all modes, where necessary
supplemented by requirements on energy efficiency to address all types of
propulsion systems.

(9)
On 8 March 2011, the Commission also adopted a
Roadmap for moving to a competitive low carbon economy in 2050[23], identifying the need from
this perspective for more focus on energy efficiency.

(10)
In this context it is necessary to update the
Union's legal framework for energy efficiency with a Directive pursuing the
overall objective of the energy efficiency target of saving 20% of the Union’s
primary energy consumption by 2020, and of making further energy efficiency improvements
after 2020. To this end, it should establish a common framework to promote
energy efficiency within the Union and lay down specific actions to implement
some of the proposals included in the Energy Efficiency Plan 2011 and achieve
the significant unrealised energy saving potentials it identifies.

(11)
The Effort Sharing Decision (No 406/2009/EC)[24] requires the Commission to
assess and report by 2012 on the progress of the Community and its Member
States towards the objective of reducing energy consumption by 20% by 2020
compared to projections. It also states that, to help Member States meet the
Community’s greenhouse gas emission reduction commitments, the Commission should
propose, by 31 December 2012, strengthened or new measures to accelerate energy
efficiency improvements. This Directive responds to this requirement. It also
contributes to meeting the goals set out in the Roadmap for moving to a
competitive low carbon economy in 2050, notably by reducing greenhouse gas
emissions from the energy sector, and to achieving zero emission electricity
production by 2050.

(12)
An integrated approach must
be taken to tap all the existing energy saving potential, encompassing savings in the energy supply
and the end-use sectors. At the same time, the provisions of Directive
2004/8/EC on promotion of cogeneration based on a useful heat demand in the
internal energy market[25]
and Directive 2006/32/EC on energy end-use efficiency and energy services[26] should be strengthened.

(13)
It would be preferable for the 20% energy efficiency
target to be achieved as a result of the cumulative implementation of specific
national and European measures promoting energy efficiency in different fields.
If that approach does not succeed, it would however be necessary to reinforce
the policy framework by adding a system of binding targets. In a first stage, therefore, Member States should be required to set
national energy efficiency targets, schemes and programmes. It should be for
them to decide whether these targets should be binding or indicative in their
territory. In a second stage, these targets and the individual efforts of each
Member State should be evaluated by the Commission, alongside data on the
progress made, to assess the likelihood of achieving the overall Union target
and the extent to which the individual efforts are sufficient to meet the
common goal. The Commission should therefore closely monitor the implementation
of national energy efficiency programmes through its revised legislative
framework and within the Europe 2020 process. If this assessment shows that the
overall Union target is unlikely to be achieved, then the Commission should
propose mandatory national targets for 2020, taking into account the individual
starting points of Member States, their economic performance and early action
taken.

(14)
The total volume of public spending is
equivalent to 19% of the Union's gross domestic product. For this reason the
public sector constitutes an important driver to stimulate market
transformation towards more efficient products, buildings and services, as well
as to trigger behavioural changes in energy consumption by citizens and enterprises.
Furthermore, decreasing energy consumption through energy efficiency
improvement measures can free up public resources for other purposes. Public
bodies at national, regional and local level should fulfil an exemplary role as
regards energy efficiency.

(15)
The rate of building renovation needs to be
increased, as the existing building stock represents the single biggest
potential sector for energy savings. Moreover, buildings are crucial to achieving
the EU objective of reducing greenhouse gas emissions by 80-95% by 2050
compared to 1990. Buildings owned by public bodies account for a considerable share
of the building stock and have high visibility in public life. It is therefore
appropriate to set an annual rate of renovation of all buildings owned by
public bodies to upgrade their energy performance. This renovation rate should
be without prejudice to the obligations with regard to nearly-zero energy
buildings set in Directive 2010/31/EU of the European Parliament and of the
Council of 19 May 2010 on the energy performance of buildings[27]. The obligation to renovate
public buildings complements the provisions of that Directive, which requires
Member States to ensure that when existing buildings undergo major renovation
their energy performance is upgraded so that they meet minimum energy
performance requirements.

(16)
A number of municipalities and other public
bodies in the Member States have already put into place integrated approaches
to energy saving and energy supply, for example via sustainable energy action
plans, such as those developed under the Covenant of Mayors initiative, and
integrated urban approaches which go beyond individual interventions in
buildings or transport modes. Member States should encourage municipalities and
other public bodies to adopt integrated and sustainable energy efficiency plans
with clear objectives, to involve citizens in their development and
implementation and to adequately inform them about their content and progress
in achieving objectives. Such plans can yield considerable energy savings,
especially if they are implemented by energy management systems that allow the
concerned public bodies to better manage their energy consumption. Exchange of
experience between cities, towns and other public bodies should be encouraged
with respect to the more innovative experiences.

(17)
With regards to the purchase of certain products
and services and the purchase and rent of buildings, public bodies which
conclude public works, supply or service contracts should lead by example and
make energy efficient purchasing decisions. The provisions of the EU public
procurement directives should not however be affected.

(18)
An assessment of the possibility of establishing
a "white certificate" scheme at Union level has shown that, in the
current situation, such a system would create excessive administrative costs
and that there is a risk that energy savings would be concentrated in a number
of Member States and not introduced across the Union. The latter objective can
better be achieved, at least at this stage, by means of national energy
efficiency obligation schemes or other alternative measures that achieve the
same amount of energy savings. The Commission should however define, by a
delegated act, the conditions under which a Member State could in future recognise
the energy savings achieved in another Member State. It is appropriate for the
level of ambition of such schemes to be established in a common framework at
Union level while providing significant flexibility to Member States to take
full account of the national organisation of market actors, the specific
context of the energy sector and final customers' habits. The common framework
should give energy utilities the option of offering energy services to all
final customers, not only to those to whom they sell energy. This increases
competition in the energy market because energy utilities can differentiate
their product by providing complementary energy services. The common framework
should allow Member States to include requirements in their national scheme
that pursue a social aim, notably in order to ensure that vulnerable customers
have access to the benefits of higher energy efficiency. It should also allow
Member States to exempt small companies from the energy efficiency obligation. The
Commission Communication “Small Business Act”[28]
sets out principles that should be taken into account by Member States that
decide to abstain from applying this possibility.

(19)
To tap the energy savings potential in certain
market segments where energy audits are generally not offered commercially (such
as households or small and medium-sized enterprises), Member States should
ensure that energy audits are available. Energy audits should be mandatory and
regular for large enterprises, as energy savings can be significant.

(20)
These audits should be carried out in an
independent and cost-effective manner. The requirement for independence allows the
audits to be carried out by in-house experts, provided that these are qualified
or accredited, that they are not directly engaged in the activity audited, and
that the Member State has put in place a scheme to assure and check their
quality and to impose sanctions if needed.

(21)
When designing energy efficiency improvement
measures, account should be taken of efficiency gains and savings obtained
through the widespread application of cost-effective technological innovations such
as smart meters. To maximise the saving benefits of these innovations, final
customers should be able to visualise indicators of cost and consumption and
have regular individual billing based on actual consumption.

(22)
When designing energy efficiency improvement
measures, Member States should take due account of the need to ensure the
correct functioning of the internal market and the coherent implementation of
the acquis, in accordance with the provisions of the Treaty on the Functioning
of the European Union.

(23)
High-efficiency cogeneration (CHP) and district
heating and cooling has significant potential for saving primary energy which
is largely untapped in the Union. Member States should draw up national plans to
develop high-efficiency CHP and district heating and cooling. These plans
should cover a sufficiently long period to provide investors with information
concerning national development plans and contribute to a stable and supportive
investment environment. New electricity generation installations and existing
installations which are substantially refurbished or whose permit or licence is
updated should be equipped with high-efficient CHP units to recover waste heat
stemming from the production of electricity. This waste heat could then be
transported where it is needed through district heating networks. To this end,
Member States should adopt authorisation criteria to ensure the location of
installations in sites close to heat demand points. Member States should
however be able to lay down conditions for exemption from these obligations
where certain conditions are met.

(24)
High-efficiency cogeneration should be defined by
the energy savings obtained by combined production instead of separate
production of heat and electricity. The definitions of cogeneration and
high-efficiency cogeneration used in Union legislation should not prejudge the
use of different definitions in national legislation for purposes other than
those of the Union legislation. To maximise energy savings and avoid energy
saving opportunities being missed, the greatest attention should be paid to the
operating conditions of cogeneration units.

(25)
To increase transparency for the final customer
to be able to choose between electricity from cogeneration and electricity
produced by other techniques, the origin of high-efficiency cogeneration should
be guaranteed on the basis of harmonised efficiency reference values. Guarantee
of origin schemes do not by themselves imply a right to benefit from national
support mechanisms. It is important that all forms of electricity produced from
high-efficiency cogeneration can be covered by guarantees of origin. Guarantees
of origin should be distinguished from exchangeable certificates.

(26)
The specific structure of the cogeneration and
district heating and cooling sectors, which include many small and medium-sized
producers, should be taken into account, especially when reviewing the
administrative procedures for obtaining permission to construct cogeneration
capacity or associated networks,
in application of the "Think Small First"
principle.

(27)
Most EU businesses are small and medium-sized
enterprises (SMEs). They represent an enormous energy saving potential for the
EU. To help them adopt energy efficiency measures, Member States should establish
a favourable framework aimed at providing SMEs with technical assistance and
targeted information.

(28)
Directive 2010/75/EU of the European Parliament
and of the Council of 24 November 2010 on industrial emissions[29] includes energy efficiency
among the criteria for determining the Best Available Techniques that should
serve as a reference for setting the permit conditions for installations within
its scope, including combustion installations with a total rated thermal input
of 50 MW or more. However, that Directive gives Member States the option not to
impose requirements relating to energy efficiency on combustion units or other
units emitting carbon dioxide on the site, for the activities listed in Annex I
to Directive 2003/87/EC of the European Parliament and of the Council of 13
October 2003 establishing a scheme for greenhouse gas emission allowance
trading within the Community[30].
To ensure that significant energy efficiency improvements are achieved in
electricity and heat generation installations and mineral oil and gas
refineries, actual energy efficiency levels should be monitored and compared
with the relevant energy efficiency levels associated with the application of
the Best Available Techniques. The Commission should compare energy efficiency
levels and consider proposing additional measures if significant discrepancies
exist between the actual energy efficiency levels and the levels associated
with the application of the Best Available Techniques. The information
collected on the actual energy efficiency values should also be used in reviewing
the harmonised efficiency reference values for separate production of heat and
electricity set out in Commission Decision 2007/74/EC of 21 December 2006[31].

(29)
Member States should establish, on the basis of
objective, transparent and non-discriminatory criteria, rules governing the
bearing and sharing of costs of grid connections and grid reinforcements and
for technical adaptations needed to integrate new producers of electricity
produced from high efficiency cogeneration, taking into account guidelines and
codes developed in accordance with Regulation (EC) No 714/2009 of the European
Parliament and of the Council of 13 July 2009 on conditions for access to the
network for cross-border exchanges in electricity and repealing Regulation (EC)
No 1228/2003[32]
and Regulation (EC) 715/2009 of the European Parliament and of the Council of
13 July 2009 on conditions for access to the natural gas transmission networks
and repealing Regulation (EC) No 1775/2005[33].
Producers of electricity generated from high-efficiency cogeneration should be
allowed to issue a call for tender for the connection work. Access to the the
grid system for electricity produced from high-efficiency cogeneration,
especially for small scale and micro-cogeneration units, should be facilitated.

(30)
A sufficient number of reliable professionals
competent in the field of energy efficiency should be available to ensure the
effective and timely implementation of this Directive, for instance as regards
compliance with the requirements on energy audits and implementation of energy
efficiency obligation schemes. Member States should therefore put in place
certification schemes for the providers of energy services, energy audits and
other energy efficiency improvement measures.

(31)
It is necessary to continue developing the
market for energy services to ensure the availability of both the demand and
the supply of energy services. Transparency, for example by means of lists of
energy services providers, can contribute to this. Model contracts and
guidelines, in particular for energy performance contracting, can also help
stimulate demand. As in other forms of third-party financing arrangements, in
an energy performance contract the beneficiary of the energy service avoids
investment costs by using part of the financial value of energy savings to
repay the investment fully or partially carried out by a third party.

(32)
There is a need to identify and remove
regulatory and non-regulatory barriers to the use of energy performance
contracting and other third-party financing arrangements for energy savings.
These include accounting rules and practices that prevent capital investments
and annual financial savings resulting from energy efficiency improvement
measures from being adequately reflected in the accounts for the whole life of
the investment. Obstacles to the renovating of the existing building stock
based on a split of incentives between the different concerned actors should
also be tackled at national level.

(33)
Member States and regions should be encouraged
to make full use of the Structural Funds and the Cohesion Fund to trigger
investments in energy efficiency improvement measures. Investment in energy
efficiency has the potential to contribute to economic growth, employment,
innovation and reduction of fuel poverty in households, and therefore has a
positive contribution to economic, social and territorial cohesion. Potential
areas for funding include energy efficiency measures in public buildings and
housing, and providing new skills to promote employment in the energy
efficiency sector.

(34)
In the implementation of the 20% energy
efficiency target, the Commission will have to monitor the impact of new
measures on Directive 2003/87/EC establishing the EU's emissions trading
directive (ETS) in order to maintain the incentives in the emissions trading system rewarding low
carbon investments and preparing the ETS sectors for the innovations needed in
the future.

(35)
Directive 2006/32/EC requires Member States to
adopt and aim to achieve an overall national indicative energy savings target
of 9% by 2016, to be reached by deploying energy services and other energy
efficiency improvement measures. That Directive states that the second Energy
Efficiency Plan adopted by the Member States shall be followed, as appropriate
and where necessary, by Commission proposals for additional measures, including
extending the period of application of targets. If a report concludes that
insufficient progress has been made towards achieving the indicative national
targets laid down by that Directive, these proposals are to address the level
and nature of the targets. The impact assessment accompanying this Directive
finds that the Member States are on track to achieve the 9% target, which is
substantially less ambitious than the subsequently adopted 20% energy saving
target for 2020, and therefore there is no need to address the level of the
targets.

(36)
Although this Directive repeals Directive
2006/32/EC, Article 4 of Directive 2006/32/EC should continue to apply until
the deadline for the achievement of the 9% target.

(37)
Since the objective of this Directive, which is
to achieve the Union's energy efficiency target of 20% primary energy savings
by 2020 and pave the way towards further energy efficiency improvements beyond
2020, is not on track to be achieved by the Member States without taking
additional energy efficiency measures, and can be better achieved at Union
level, the Union may adopt measures, in accordance with the principle of
subsidiarity as set out in Article 5 of the Treaty on European Union. In
accordance with the principle of proportionality, as set out in that Article,
this Directive does not go beyond what is necessary in order to achieve that
objective.

(38)
In order to permit adaptation to technical
progress and changes in the distribution of energy sources, the power to adopt
acts in accordance with Article 290 of the Treaty on the Functioning of the
European Union should be delegated to the Commission in respect of certain
matters. It will be of particular importance that the Commission carry out
consultations during its preparatory work, including at expert level.

(39)
All substantive provisions of Directive
2004/8/EC and Directive 2006/32/EC, except as regards Articles 4(1) to (4) and
Annexes I, III and IV of the latter, should be immediately repealed. Articles
9(1) and (2) of Directive 2010/30/EU of 19 May 2010 on the indication by
labelling and standard product information of the consumption of energy and
other resources by energy-related products[34],
which foresees an obligation for Member States only to endeavour to procure
products having the highest energy efficiency class, should also be repealed.

(40)
The obligation to transpose this Directive into
national law should be limited to those provisions that represent a substantive
change as compared with Directives 2004/8/EC and 2006/32/EC. The obligation to
transpose the provisions which are unchanged arises under those Directives.

(41)
This Directive should be without prejudice to
the obligations of the Member States relating to the time limits for
transposition into national law and application of Directives 2004/8/EC and
2006/32/EC.

HAVE ADOPTED THIS DIRECTIVE:

CHAPTER I
Subject matter, scope, definitions and energy
efficiency targets

Article 1
Subject matter and scope

1.           This Directive establishes a
common framework for the promotion of energy efficiency within the Union in
order to ensure the achievement of the Union's target of 20% primary energy
savings by 2020 and to pave the way for further energy efficiency improvements
beyond that date.

It lays down rules designed to
remove barriers in the energy market and overcome market failures that impede
efficiency in the supply and use of energy, and provides for the establishment
of national energy efficiency targets for 2020.

2.           The requirements laid down in
this Directive are minimum requirements and shall not prevent any Member State
from maintaining or introducing more stringent measures. Such measures shall be
compatible with the Union's legislation. National legislation foreseeing more
stringent measures shall be notified to the Commission.

Article 2
Definitions

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

1.           'energy' means all forms of
energy products, as defined in Regulation (EC) No 1099/2008[35];

2.           'primary energy consumption'
means gross inland consumption, excluding non-energy uses;

3.           'energy service' means the
physical benefit, utility or good derived from a combination of energy with
energy efficient technology or with action, which may include the operations,
maintenance and control necessary to deliver the service, which is delivered on
the basis of a contract and in normal circumstances has proven to result in
verifiable and measurable or estimable energy efficiency improvement or primary
energy savings;

4.           'public bodies' means 'contracting
authorities' as defined in Directive 2004/18/EC;

5.           'energy management system' means a
set of interrelated or interacting elements of a plan which sets an energy
efficiency objective and a strategy to achieve that objective;

6.           'obligated parties' means the energy
distributors or retail energy sales companies that are bound by the national
energy efficiency obligation schemes referred to in Article 6;

7.           'energy distributor' means a
natural or legal person, including a distribution system operator, responsible
for transporting energy with a view to its delivery to final customers or to
distribution stations that sell energy to final customers;

8.           'distribution system
operator' means 'distribution
system operator' as defined in Directive 2009/72/EC and
Directive 2009/73/EC;

9.           'retail energy sales company'
means a natural or legal person who sells energy to final customers;

10.         'final customer' means a natural or
legal person who purchases energy for his or her own end use;

11.         'energy service provider' means a
natural or legal person who delivers energy services or other energy efficiency
improvement measures in a final customer's facility or premises;

12.         'energy audit' means a systematic
procedure to obtain adequate knowledge of the existing energy consumption
profile of a building or group of buildings, an industrial or commercial operation
or installation or a private or public service, identify and quantify
cost-effective energy savings opportunities, and report the findings;

13.         'energy performance contracting'
means a contractual arrangement between the beneficiary and the provider of an
energy efficiency improvement measure, according to which the payment for the investment
made by the provider is in relation to a contractually agreed level of energy efficiency
improvement or other agreed energy performance criterion, such as financial
savings;

14.         'transmission system operator'
means 'transmission system operator' as defined in Directive 2009/72/EC[36] and Directive 2009/73/EC[37];

15.         'cogeneration' means the
simultaneous generation in one process of thermal energy and electrical or
mechanical energy;

16.         'economically justifiable demand'
means demand that does not exceed the needs for heat or cooling and which would
otherwise be satisfied at market conditions by energy generation processes
other than cogeneration;

17.         'useful heat' means heat produced
in a cogeneration process to satisfy economically justifiable demand for
heating or cooling;

18.         'electricity from cogeneration'
means electricity generated in a process linked to the production of useful
heat and calculated in accordance with the methodology laid down in Annex I;

19.         'high-efficiency cogeneration'
means cogeneration meeting the criteria laid down in Annex II;

20.         'overall efficiency' means the
annual sum of electricity and mechanical energy production and useful heat
output divided by the fuel input used for heat produced in a cogeneration
process and gross electricity and mechanical energy production;

21.         'power to heat ratio' means the
ratio between electricity from cogeneration and useful heat when operating in
full cogeneration mode using operational data of the specific unit;

22.         'cogeneration unit' means a unit
that can operate in cogeneration mode;

23.         'small scale cogeneration unit'
means a cogeneration unit with installed capacity below 1MWe;

24.         'micro-cogeneration unit' means a
cogeneration unit with a maximum capacity below 50 kWe;

25.         'plot ratio' means the ratio
between the land area and the building floor area in a given territory;

26.         'efficient district heating and
cooling' means a district heating or cooling system using at least 50%
renewable, waste or cogenerated heat or a combination thereof and having a
primary energy factor, as referred to in Directive 2010/31/EU, of at least 0.8;

27.         'substantial refurbishment' means a
refurbishment whose cost exceeds 50% of the investment cost for a new
comparable unit in accordance with Decision 2007/74/EC or which requires the
update of the permit granted under Directive 2010/75/EU.

Article 3
Energy efficiency targets

1.           Member States shall set a
national energy efficiency target expressed as an absolute level of primary
energy consumption in 2020. When setting these targets, they shall take into
account the Union’s target of 20 % energy savings, the measures provided
for in this Directive, the measures adopted to reach the national energy saving
targets adopted pursuant to Article 4(1) of Directive 2006/32/EC and other
measures to promote energy efficiency within Member States and at Union level.

2.           By 30 June 2014, the Commission
shall assess whether the Union is likely to achieve its target of 20 %
primary energy savings by 2020, requiring a reduction of EU primary energy
consumption of 368 Mtoe in 2020, taking into account the sum of the national
targets referred to in paragraph 1 and the evaluation referred to in Article 19(4).

CHAPTER II
Efficiency in energy use

Article 4
Public bodies

1.           Without prejudice to Article 7 of
Directive 2010/31/EU, Member States shall ensure that as from 1 January 2014, 3%
of the total floor area owned by their public bodies is renovated each year to
meet at least the minimum energy performance requirements set by the Member
State concerned in application of Article 4 of Directive 2010/31/EU. The 3%
rate shall be calculated on the total floor area of buildings with a total
useful floor area over 250 m2 owned by the public bodies of the
Member State concerned that, on 1 January of each year, does not meet the
national minimum energy performance requirements set in application of Article
4 of Directive 2010/31/EU.

2.           Member States may allow their
public bodies to count towards their annual renovation rate the excess of
renovated building floor area in a given year as if it has instead been renovated
in any of the two previous or following years.

3.           For the purposes of paragraph 1,
by 1 January 2014, Member States shall establish and make publicly available an
inventory of buildings owned by their public bodies indicating:

(a)     the floor area in m2; and

(b)     the energy performance of each
building.

4.           Member States shall encourage
public bodies to:

(a)     adopt an energy efficiency plan, freestanding
or as part of a broader climate or environmental plan, containing specific
energy saving objectives, with a view to continuously improving the body's
energy efficiency;

(b)     put in place an energy management
system as part of the implementation of their plan.

Article 5
Purchasing by public bodies

Member States shall ensure that public
bodies purchase only products, services and buildings with high energy
efficiency performance, as referred to in Annex III.

Article 6
Energy efficiency obligation schemes

1.           Each Member State shall set up an
energy efficiency obligation scheme. This scheme shall ensure that either all energy
distributors or all retail energy sales companies operating on the Member State's
territory achieve annual energy savings equal to 1.5% of their energy sales, by
volume, in the previous year in that Member State excluding energy used in transport.         This
amount of energy savings shall be achieved by the obligated parties among final
customers.

2.           Member States shall express the
amount of energy savings required from each obligated party in terms of either
final or primary energy consumption. The method chosen for expressing the required
amount of energy savings shall also be used for calculating the savings claimed
by obligated parties. The conversion factors in Annex IV shall apply.

3.           Measures that target short-term
savings, as defined in Annex V(1), shall not account for more than 10% of the
amount of energy savings required from each obligated party and shall only be
eligible to count towards the obligation laid down in paragraph 1 if combined
with measures to which longer-term savings are attributed.

4.           Member States shall   ensure that
the savings claimed by obligated parties are calculated in accordance with
Annex V(2). They shall put in place control systems under which at least a
statistically significant proportion of the energy efficiency improvement
measures put in place by the obligated parties is independently verified.

5.           Within the energy efficiency
obligation scheme, Member States may:

(a)     include requirements with a social aim
in the saving obligations they impose, including by requiring measures to be
implemented in households affected by energy poverty or in social housing;

(b)     permit obligated parties to count
towards their obligation certified energy savings achieved by energy service
providers or other third parties; in this case they shall establish an
accreditation process that is clear, transparent and open to all market actors,
and that aims at minimising the costs of certification;

(c)     allow obligated parties to count
savings obtained in a given year as if they had instead been obtained in any of
the two previous or two following years.

6.           Member States shall publish the
energy savings achieved by each obligated party and data on the annual trend of
energy savings under the scheme. For the purposes of publishing and verifying the energy savings achieved, Member States
shall require obligated parties to submit to them at least the following data:

a)      the energy savings achieved;

b)      aggregated statistical information on
their final customers (identifying significant changes to previously submitted
information); and

c)      current information on final
customers' consumption, including, where applicable, load profiles, customer
segmentation and geographical location of customers, while preserving the
integrity and confidentiality of private or commercially sensitive information
in compliance with applicable European Union legislation.

7.           Member States shall ensure that
market actors refrain from any activities that may impede the demand for and
delivery of energy services or other energy efficiency improvement measures, or
hinder the development of markets for energy services or other energy
efficiency improvement measures, including foreclosing the market for
competitors or abusing dominant positions.

8.           Member States may exempt small
energy distributors and small retail energy sales companies, namely those that
distribute or sell less than the equivalent of 75 GWh of energy per year,
employ fewer than 10 persons or have an annual turnover or annual balance sheet
total that does not exceed EUR 2 000 000, from the application of this Article.
Energy produced for self use shall not count towards these thresholds.

9.           As an alternative to paragraph 1,
Member States may opt to take other measures to achieve energy savings among
final customers. The annual amount of energy savings achieved through this
approach shall be equivalent to the amount of energy savings required in
paragraph 1.

Member States opting for this option shall notify
to the Commission, by 1 January 2013 at the latest, the alternative measures
that they plan to adopt, including the rules on penalties referred to in
Article 9, and demonstrating how they would achieve the required amount of
savings. The Commission may refuse such measures or make suggestions for
modifications in the 3 months following notification. In such cases, the
alternative approach shall not be applied by the Member State concerned until
the Commission expressly accepts the resubmitted or modified draft measures.

10.         If appropriate, the Commission shall
establish, by means of a delegated act in accordance with Article 18, a system
of mutual recognition of energy savings achieved under national energy
efficiency obligation schemes. Such a system shall allow obligated parties to
count energy savings achieved and certified in a given Member State towards
their obligations in another Member State.

Article 7
Energy audits and energy management systems

1.           Member States shall promote the
availability to all final customers of energy audits which are affordable and
carried out in an independent manner by qualified or accredited experts.

Member States shall develop programmes to
encourage households and small and medium-sized enterprises to undergo energy
audits.

Member States shall bring to the attention of
small and medium-sized enterprises concrete examples of how energy management
systems could help their business.

2.           Member States shall ensure that
enterprises not included in the second subparagraph of paragraph 1 are subject
to an energy audit carried out in an independent and cost-effective manner by
qualified or accredited experts at the latest by 30 June 2014 and every three
years from the date of the previous energy audit.

3.           Energy audits carried out in an
independent manner resulting from energy management systems or implemented
under voluntary agreements concluded between organisations of stakeholders and
an appointed body and supervised by the Member State concerned or by the
Commission, shall be considered as fulfilling the requirements of paragraph 2.

4.           Energy audits may stand alone or
be part of a broader environmental audit.

Article 8
Metering and informative billing

1.           Member States shall ensure that final
customers for electricity, natural gas, district heating or cooling and
district-supplied domestic hot water are provided with individual meters that
accurately measure and allow to make available their actual energy consumption
and provide information on actual time of use, in accordance with Annex VI.

When Member States put in place the roll-out of
smart meters foreseen by Directives 2009/72/EC and 2009/73/EC concerning
electricity and gas markets, they shall ensure that the objectives of energy
efficiency and final customer benefits are fully taken into account when
establishing the minimum functionalities of the meters and obligations imposed
on market participants.

In the case of electricity and on request of
the final customer, meter operators shall ensure that the meter can account for
electricity produced on the final customer's premises and exported to the grid.
Member States shall ensure that if final customers request it, metering data on
their real-time production or consumption is made available to a third party
acting on behalf of the final customer.

In case of heating and cooling, where a
building is supplied from a district heating network, a heat meter shall be
installed at the building entry. In multi-apartment buildings, individual heat
consumption meters shall also be installed to measure the consumption of heat or
cooling for each apartment. Where the use of individual heat consumption meters
is not technically feasible, individual heat cost allocators, in accordance
with the specifications in Annex VI(1.2), shall be used for measuring heat
consumption at each radiator.

Member States shall introduce rules on cost
allocation of heat consumption in multi-apartment buildings supplied with
centralised heat or cooling. Such rules shall include guidelines on correction
factors to reflect building characteristics such as heat transfers between
apartments.

2.           In addition to the obligations
resulting from Directive 2009/72/EC and Directive 2009/73/EC with regard to
billing, Member States shall ensure, not later than 1 January 2015, that
billing is accurate and based on actual consumption, for all the sectors
covered by the present Directive, including energy distributors, distribution
system operators and retail energy sales companies, in accordance with the
minimum frequency set out in Annex VI(2.1). Appropriate information shall be
made available with the bill to provide final customers with a comprehensive
account of current energy costs, in accordance with Annex VI(2.2).

Member States shall ensure that final customers
are offered a choice of either electronic or hard copy billing and the possibility
of easy access to complementary information allowing detailed self-checks on
historical consumption as laid down in Annex VI(1.1).

Member States shall require that if requested
by final customers, information on their energy billing and historical
consumption is made available to an energy service provider designated by the final
customer.

3.           Information from metering and
billing of individual consumption of energy as well as the other information
mentioned in paragraphs 1, 2, 3 and Annex VI shall be provided to final
customers free of charge.

Article
9
Penalties

Member States shall lay down rules on
penalties applicable in case of non-compliance with the national provisions
adopted pursuant to Articles 6 to 8 and shall take the necessary measures to
ensure that they are implemented. The penalties provided must be effective,
proportionate and dissuasive. Member States shall communicate those provisions
to the Commission by [12 months after entry into force of this Directive]
at the latest and shall notify it without delay of any subsequent amendment
affecting them.

CHAPTER III
Efficiency in energy supply

Article 10
Promotion of efficiency in heating and cooling

1.           By 1 January 2014, Member States
shall establish and notify to the Commission a national heating and cooling
plan for developing the potential for the application of high-efficiency
cogeneration and efficient district heating and cooling, containing the
information set out in Annex VII. The plans shall be updated and notified to
the Commission every five years. Member States shall ensure by means of their
regulatory framework that national heating and cooling plans are taken into
account in local and regional development plans, including urban and rural
spatial plans, and fulfil the design criteria in Annex VII.

2.           Member States shall take the
necessary measures to develop efficient district heating and cooling
infrastructure to accommodate the development of high-efficiency cogeneration and
the use of heating and cooling
from waste heat and renewable energy sources in accordance with paragraphs 1,
3, 6 and 7. When developing district heating and cooling, they shall to the
extent possible opt for high-efficiency cogeneration rather than heat-only
generation.

3.           Member States shall ensure that
all new thermal electricity generation installations with a total thermal input
exceeding 20 MW:

a)      are provided with equipment allowing
for the recovery of waste heat by means of a high-efficiency cogeneration unit;
and

b)      are sited in a location where waste
heat can be used by heat demand points.

Member States shall adopt authorisation
criteria as referred to in Article 7 of Directive 2009/72/EC, or equivalent
permit criteria, to ensure that the provisions of the first subparagraph are
met. They shall in particular ensure that the location of new installations
takes into account the availability of suitable heat loads for cogeneration in
accordance with Annex VIII.

4.           Member States may lay down
conditions for exemption from the provisions of paragraph 3 when:

a)      the threshold conditions related to
the availability of heat load set out in point 1 of Annex VIII are not met;

b)      the requirement in point (b) of
paragraph 3 related to the location of the installation cannot be met due to
the need to locate an installation close to a geological storage site permitted
under Directive 2009/31/EC; or

c)      a cost-benefit analysis shows that the
costs outweigh the benefits in comparison with the full life-cycle costs,
including infrastructure investment, of providing the same amount of
electricity and heat with separate heating or cooling.

Member States shall notify such conditions for
exemption to the Commission by 1 January 2014. The Commission may refuse those
conditions or make suggestions for modifications in the 6 months following
notification. In such cases, the conditions for exemption shall not be applied
by the Member State concerned until the Commission expressly accepts the
resubmitted or modified conditions.

5.           Member States shall ensure that
national regulations on urban and rural spatial planning are adapted to the
authorisation criteria referred to in paragraph 3 and are in line with the
national heating and cooling plans referred to in paragraph 1.

6.           Member States shall ensure that, whenever
an existing electricity generation installation with a total rated thermal
input exceeding 20 MW is substantially refurbished or when, in accordance with
Article 21 of Directive 2010/75/EC, its permit is updated, conversion to allow its
operation as a high-efficiency cogeneration installation is set as a condition in
the new or updated permit or licence, provided that the installation is sited
in a location where the waste heat can be used by heat demand points in accordance
with point 1 of Annex VIII.

The equipment of electricity generation
installations with carbon capture or storage facilities shall not be considered
as refurbishment for the purpose of these provisions.

7.           Member States may lay down
conditions for exemption from the provisions of paragraph 6 when:

a)      the threshold conditions related to
the availability of heat load set out in point 1 of Annex VIII are not met; or

b)      a cost-benefit analysis shows that the
costs outweigh the benefits in comparison with the full life-cycle costs,
including infrastructure investment, of providing the same amount of
electricity and heat with separate heating or cooling.

Member States shall notify such conditions for
exemption to the Commission by 1 January 2014. The Commission may refuse those
conditions or make suggestions for modifications in the 6 months following
notification. In such cases, the conditions for exemption shall not be applied
by the Member State concerned until the Commission expressly accepts the
resubmitted or modified conditions.

8.           Member States shall adopt
authorisation or equivalent permitting criteria to ensure that industrial installations
with a total thermal input exceeding 20 MW generating waste heat that are built
or substantially refurbished after [the entry into force of this Directive] capture
and make use of their waste heat.

Member States shall establish mechanisms to
ensure the connection of these installations to district heating and cooling
networks. They may require these installations to bear the connection charges
and the cost of developing the district heating and cooling networks necessary
to transport their waste heat to consumers.

Member States may lay down conditions for
exemption from the provisions in the first sub-paragraph when:

a)      the threshold conditions related to the
availability of heat load set out in point 2 of Annex VIII are not met; or

b)      a cost-benefit analysis shows that the
costs outweigh the benefits in comparison with the full life-cycle costs,
including infrastructure investment, of providing the same amount of heat with separate
heating or cooling.

Member States shall notify such conditions for
exemption to the Commission by 1 January 2014. The Commission may refuse those
conditions or make suggestions for modifications in the 6 months following
notification. In such cases, the conditions for exemption shall not be applied
by the Member State concerned until the Commission expressly accepts the
resubmitted or modified conditions.

9.           The Commission shall establish by
1 January 2013 by means of a delegated act in accordance with Article 18 a
methodology for the cost-benefit analysis referred to in paragraphs 4 (c), 7 (b)
and 8(b).

10.         On the basis of the harmonised
efficiency reference values referred to in Annex II (f), Member States shall
ensure that the origin of electricity produced from high-efficiency
cogeneration can be guaranteed according to objective, transparent and
non-discriminatory criteria laid down by each Member State. They shall ensure
that this guarantee of origin complies with the requirements and contains at
least the information specified in Annex IX.

Member States shall mutually recognise their
guarantees of origin, exclusively as proof of the information referred to in
this paragraph. Any refusal to recognise a guarantee of origin as such proof,
in particular for reasons relating to the prevention of fraud, must be based on
objective, transparent and non-discriminatory criteria. Member States shall
notify the Commission of such refusal and its justification. In the event of
refusal to recognise a guarantee of origin, the Commission may adopt a decision
to compel the refusing party to recognise it, particularly with regard to
objective, transparent and non-discriminatory criteria on which such
recognition is based.

The Commission shall be empowered to review, by
means of delegated acts in accordance with Article 18, the harmonised
efficiency reference values laid down in Commission Decision [the number of the
Decision] on the basis of Directive 2004/8/EC for the first time by 1 January 2015,
and every ten years thereafter.

11.         Member States shall ensure that
any available support for cogeneration is subject to the electricity produced
originating from high-efficiency cogeneration and the waste heat being
effectively used to achieve primary energy savings. They shall not
differentiate between electricity consumed on site and electricity exported to
the grid. Public support to cogeneration and district heating generation and
networks is subject to State aid rules, where applicable.

Article 11
Energy transformation

Member States shall draw up an inventory of
data in accordance with Annex X for all installations undertaking the
combustion of fuels with total rated thermal input of 50 MW or more and
installations undertaking the refining of mineral oil and gas within their
territory. This shall be updated every three years. The annual installation-specific
data contained in these inventories shall be made available to the Commission
upon request. Member States shall include a non-confidential summary containing
aggregated information of the inventories in the reports referred to in Article
19(2).

Article 12
Energy transmission and distribution

1.           Member States shall ensure that
national energy regulatory authorities pay due regard to energy efficiency in
their decisions on the operation of the gas and electricity infrastructure.
They shall in particular ensure that network tariffs and regulations provide
incentives for grid operators to offer system services to network users
permitting them to implement energy efficiency improvement measures in the
context of the continuing deployment of smart grids.

Member States shall ensure that network
regulation, and network tariffs set or approved by energy regulatory
authorities, fulfil the criteria in Annex XI, taking into account guidelines
and codes developed pursuant to Regulation 714/2009 and Regulation 715/2009.

2.           Member States shall, by 30 June
2013, adopt plans:

a)      assessing the energy efficiency
potentials of their gas, electricity and district heating and cooling
infrastructure, notably regarding transmission, distribution, load management
and interoperability, and connection to energy generating installations;

b)      identifying concrete measures and
investments for the introduction of cost-effective energy efficiency improvements
in the network infrastructure, with a detailed timetable for their introduction.

3.           Member States may permit
components of schemes and tariff structures with a social aim for net-bound
energy transmission and distribution, provided that any disruptive effects on
the transmission and distribution system are kept to the minimum necessary and
are not disproportionate to the social aim.

4.           Member States shall ensure the
removal of those incentives in transmission and distribution tariffs that
unnecessarily increase the volume of distributed or transmitted energy. In this
respect, in accordance with Article 3(2) of Directive 2009/72/EC and Article
3(2) of Directive 2009/73/EC, Member States may impose public service
obligations relating to energy efficiency on undertakings operating in the
electricity and gas sectors.

5.           Member States shall ensure that,
subject to requirements relating to the maintenance of the reliability and
safety of the grid, based on transparent and non-discriminatory criteria
defined by the competent national authorities, transmission system operators
and distribution system operators in their territory:

a)      guarantee the transmission and
distribution of electricity from high-efficiency cogeneration;

b)      provide priority or guaranteed access
to the grid of electricity from high efficiency cogeneration;

c)      when dispatching electricity
generating installations, provide priority dispatch of electricity from high
efficiency cogeneration.

In addition to the obligations
laid down by the first subparagraph, transmission system operators and
distribution system operators shall comply with the requirements set out in
Annex XII.

Member States may particularly facilitate the connection
to the grid system of electricity produced from high-efficiency cogeneration
from small scale and micro cogeneration units.

6.           Member States shall take the
appropriate steps to ensure that high-efficiency cogeneration operators can
offer balancing services and other operational services at the level of
transmission system operators or distribution system operators where this is
consistent with the mode of operation of the high-efficiency cogeneration
installation. Transmission system operators and distribution system operators
shall ensure that such services are part of a services bidding process which is
transparent and open to scrutiny.

Where appropriate, Member States may require
transmission system operators and distribution operators to encourage
high-efficiency cogeneration to be sited close to areas of demand by reducing
the connection and use-of-system charges.

7.           Member States may allow producers
of electricity from high-efficiency cogeneration wishing to be connected to the
grid to issue a call for tender for the connection work.

CHAPTER IV
Horizontal provisions

Article 13
Availability of certification schemes

1.           With a view to achieving a high
level of technical competence, objectivity and reliability, Member States shall
ensure that, by 1 January 2014, certification schemes or equivalent
qualification schemes are available for providers of energy services, energy
audits and energy efficiency improvement measures, including for installers of
building elements as defined in Article 2(9) of Directive 2010/31/EU.

2.           Member States shall make publicly
available the certification schemes or equivalent qualification schemes
referred to in paragraph 1 and shall cooperate among themselves and with the
Commission on comparisons between and recognition of the schemes.

Article 14
Energy services

Member States shall promote the energy
services market and access for small and medium-sized enterprises to this
market by:

a)           making publicly available,
checking and regularly updating a list of available energy service providers
and the energy services they offer;

b)           providing model contracts for
energy performance contracting in the public sector; these shall at least
include the items listed in Annex XIII;

c)           disseminating information on
available energy service contracts and clauses that should be included in such
contracts to guarantee energy savings and final customers' rights;

d)           encouraging the development of
voluntary quality labels;

e)           disseminating information on
financial instruments, incentives, grants and loans to support energy service
projects.

Article 15
Other measures to promote energy efficiency

1.           Member States shall evaluate and take
appropriate measures to remove regulatory and non-regulatory barriers to energy
efficiency, notably as regards:

a)      the split of incentives between the
owner and the tenant of a building or among owners, with a view to ensuring
that these parties are not deterred from making efficiency-improving
investments that they would otherwise have made by the fact that they will not
individually obtain the full benefits or by the absence of rules for dividing
the costs and benefits between them;

b)      legal and regulatory provisions, and administrative
practices, regarding public purchasing and annual budgeting and accounting, with
a view to ensuring that individual public bodies are not deterred from making
efficiency-improving investments.

These measures to remove barriers may include providing
incentives, repealing or amending legal or regulatory provisions, or adopting
guidelines and interpretative communications. These measures may be combined
with the provision of education, training and specific information and
technical assistance on energy efficiency.

2.           The evaluation of barriers and measures
referred to in paragraph 1 shall be notified to the Commission in the first
supplementary report referred to in Article 19(2).

Article 16
Conversion factors

For the purpose of comparison of energy
savings and conversion to a comparable unit, the conversion factors in Annex IV
shall apply unless the use of other conversion factors can be justified.

CHAPTER V
Final provisions

Article 17
Delegated acts and adaptation of annexes

1.           The Commission shall be empowered
to adopt a delegated act in accordance with Article 18 to establish the system
of mutual recognition of energy savings achieved under the national energy
efficiency obligation schemes referred to in Article 6(9).

The Commission shall be empowered to adopt a delegated
act in accordance with Article 18 to establish the methodology for cost-benefit
analysis referred to in Article 10(9).

The Commission shall be empowered to adopt
delegated act in accordance with Article 18 to review the harmonised efficiency
reference values referred to in Article 10(10) third indent.

2.           The Commission shall be empowered
to adopt delegated acts in accordance with Article 18 to adapt to technical
progress the values, calculation methods, default primary energy coefficient
and requirements in Annexes I to XV and to adapt to competitive conditions the
performance requirements in Annex III.

.

Article 18
Exercise of the delegation

1.           The powers to adopt delegated
acts are conferred on the Commission subject to the conditions laid down in
this Article.

2.           The delegation of power referred
to in Article 17 shall be conferred on the Commission for an
indeterminate period of time from [the date of entry into force of this
Directive].

3.           The delegation of power referred
to in Article 17 may be revoked at any time by the European Parliament or by
the Council. A decision of revocation shall put an end to the delegation of the
power specified in that decision. It shall take effect the day following the
publication of the decision in the Official Journal of the European
Union or at a later date specified therein. It shall not affect the
validity of any delegated acts already in force.

4            As soon as it adopts a delegated
act, the Commission shall notify it simultaneously to the European Parliament
and to the Council.

5.           A delegated act adopted pursuant
to Article 17 shall enter into force only if no objection has been expressed
either by the European Parliament or the Council within a period of 2 months of
notification of that act to the European Parliament and the Council or if, before the expiry of that period, the European
Parliament and the Council have both informed the Commission that they will not
object. That period shall be extended by 2 months at the initiative of
the European Parliament or the Council.

Article 19
Review and monitoring of implementation

1.           By 30 April each year, Member
States shall report on the progress achieved towards national energy efficiency
targets, in accordance with Annex XIV(1).

2.           By 30 April 2014, and every three
years thereafter, Member State shall submit supplementary reports with
information on national energy efficiency policies, action plans, programmes
and measures implemented or planned at national, regional and local level to
improve energy efficiency in view of achieving the national energy efficiency targets
referred to in Article 3(1). The reports shall be complemented with updated
estimates of expected overall primary energy consumption in 2020, as well as
estimated levels of primary energy consumption in the sectors indicated in Annex
XIV(1).

The Commission shall, not later than 1 January
2014, provide a template as guidance for the supplementary reports. This
template shall be adopted in accordance with the advisory procedure referred to
in Article 20(2). The supplementary reports shall in any case include the
information specified in Annex XIV.

3.           The reports referred to in
paragraph 1 may form part of the National Reform Programmes referred to in
Council Recommendation 2010/410/EU.

4.           The
Commission shall evaluate the annual reports and supplementary reports and
assess the extent to which Member States have made progress towards the
achievement of the national energy efficiency targets required by Article 3(1) and towards the implementation of this
Directive. The Commission shall send its assessment to the European Parliament
and the Council. Based on its assessment of the reports
the Commission may issue recommendations to Member States.

5.           The Commission’s assessment of
the first supplementary report shall include an assessment of the energy
efficiency levels of existing and new installations undertaking the combustion
of fuels with a total rated thermal input of 50 MW or more and installations
undertaking the refining of mineral oil and gas, in the light of the relevant
best available techniques as developed in accordance with Directive 2010/75/EU
and Directive 2008/1/EC. Where this assessment identifies significant
discrepancies between the actual energy efficiency levels of such installations
and energy efficiency levels associated with the application of the relevant
best available techniques, the Commission shall propose, if appropriate,
requirements to improve the energy efficiency levels achieved by such
installations or that the use of such techniques shall in future be a condition
for the permitting of new installations and for the periodic review of the
permits for existing installations.

The Commission shall also monitor the impact of
implementing this Directive on Directive 2003/87/EC, Directive 2009/28/EC as
well as Directive 2010/31/EC.

6.           Member States shall submit to the
Commission before 30 November each year statistics on national electricity and
heat production from high and low efficiency cogeneration, in accordance with
the methodology shown in Annex I, in relation to total heat and electricity
capacities. They shall also submit annual statistics on cogeneration heat and
electricity capacities and fuels for cogeneration, and on district heating and
cooling production and capacities, in relation to total heat and electricity
capacities. Member States shall submit statistics on primary energy savings
achieved by application of cogeneration in accordance with the methodology
shown in Annex II.

7.           By 30 June 2014 the Commission
shall submit the assessment referred to in Article 3(2) to the European
Parliament and to the Council, followed, if appropriate, by a legislative proposal
laying down mandatory national targets.

8.           By 30 June 2018, the Commission
shall report to the European Parliament and the Council on the implementation
of Article 6. That report shall be followed, if appropriate, by a legislative proposal
for one or more of the following purposes:

a)      to change the saving rate laid down in
Article 6(1);

b)      to establish additional common
requirements, in particular as regards the matters referred to in Article 6(5).

9.           By 30 June 2018, the Commission
shall assess the progress made by Member States in removing the regulatory and
non-regulatory barriers referred to in Article 15(1); this assessment shall be followed,
if appropriate, by a legislative proposal.

10.         The Commission shall make the
reports referred to in paragraphs 1 and 2 publicly available.

Article 20

Committee procedure

1.           The Commission shall be assisted
by a Committee.

2.           Where reference is made to this
paragraph, Articles 3, 4 and 9 of the Regulation 182/2011/EU shall apply, having
regard to the provisions of Article 11 thereof.

Article 21
Repeal

Directive 2006/32/EC is repealed from [the date of time-limit for transposition of this
Directive], except its Article 4 (1) to (4) and
Annexes I, III and IV, without prejudice to the obligations of the Member
States relating to the time limit for its transposition into national law. Articles
4 (1) to (4) and Annexes I, III and IV of Directive 2006/32/EC shall be
repealed with effect from 1 January 2017.

Directive 2004/8/EC is repealed from [the
date of time-limit for transposition of this Directive], without prejudice to
the obligations of the Member States relating to the time limit for its transposition
into national law.

Article 9(1) and (2) of Directive
2010/30/EU is repealed from [the date of time-limit for transposition of this
Directive].

References to Directive 2006/32/EC and Directive
2004/8/EC shall be construed as references to this Directive and shall be read
in accordance with the correlation table set out in Annex XV.

Article 22
Transposition

1.           Member States shall bring into
force the laws, regulations and administrative provisions necessary to comply
with this Directive by [12 months after the entry into force of this Directive]
at the latest. They shall forthwith communicate to the Commission the text of
those provisions and a correlation table between those provisions and this
Directive.

When Member States adopt those provisions, they
shall contain a reference to this Directive or be accompanied by such a
reference on the occasion of their official publication. Member States shall
determine how such reference is to be made.

2.           Member States shall communicate
to the Commission the text of the main provisions of national law which they
adopt in the field covered by this Directive.

Article 23
Entry into force

This Directive shall enter into force on
the twentieth day following that of its publication in the Official Journal
of the European Union.

Article 24
Addressees

This Directive is addressed to the Member
States.

Done at Brussels,

For the European Parliament                       For
the Council

The President                                                 The
President

ANNEX I
General principles for the calculation of
electricity from cogeneration

PART I. General principles

Values used for calculation of electricity
from cogeneration shall be determined on the basis of the expected or actual
operation of the unit under normal conditions of use. For micro- cogeneration
units the calculation may be based on certified values.

(a)          Electricity production from
cogeneration shall be considered equal to total annual electricity production
of the unit measured at the outlet of the main generators.

(i)      in cogeneration units of type (b),
(d), (e), (f), (g) and (h) referred to in Part II with an annual overall
efficiency set by Member States at a level of at least 75%, and

(ii)     in cogeneration units of type (a) and
(c) referred to in Part II with an annual overall efficiency set by Member
States at a level of at least 80%.

(b)          In cogeneration units with an
annual overall efficiency below the value referred to in paragraph (a) (i)
(cogeneration units of type (b), (d), (e), (f), (g), and (h) referred to in Part
II) or with an annual overall efficiency below the value referred to in
paragraph (a) (ii) (cogeneration units of type (a) and (c) referred to in Part
II) cogeneration is calcu­lated according to the following formula:

ECHP=HCHP*C

where:

ECHP is the amount of electricity from cogeneration

C is the power to heat ratio

HCHP is the amount of useful heat from cogeneration (calculated for this
purpose as total heat production minus any heat produced in separate boilers or
by live s team extraction from the steam generator before the turbine).

The calculation of electricity from
cogeneration must be based on the actual power to heat ratio. If the actual power
to heat ratio of a cogeneration unit is not known ,the following default values
may be used, notably for statistical purposes, for units of type
(a),(b),(c),(d) and (e) referred to in Part II provided that the calculated
cogeneration electricity is less or equal to total electricity production of
the unit:

Type of the unit || Default power to heat ratio, C

Combined cycle gas turbine with heat recovery || 0,95

Steam back pressure turbine || 0,45

Steam condensing extraction turbine || 0,45

Gas turbine with heat recovery || 0,55

Internal combustion engine || 0,75

If Member States introduce default values for
power to heat ratios for units of type (f), (g), (h), (i), (j) and (k) referred
to in Part II, such default values shall be published and shall be notified to
the Commission.

(d)          If a share of the energy content
of the fuel input to the cogeneration process is recovered in chemicals and
recycled this share can be subtracted from the fuel input before calculating
the overall efficiency used in paragraphs (a) and (b).

(e)          Member States may determine the
power to heat ratio as the ratio between electricity and useful heat when
operating in cogeneration mode at a lower capacity using operational data of
the specific unit.

(f)           Member States may use other reporting
periods than one year for the purpose of the calculations according to para­graphs
(a) and (b).

PART II. Cogeneration technologies covered by this
Directive

(a)          Combined cycle gas turbine with
heat recovery

(b)          Steam backpressure turbine

(c)          Steam condensing extraction
turbine

(d)          Gas turbine with heat recovery

(e)          Internal combustion engine

(f)           Microturbines

(g)          Stirling engines

(h)          Fuel cells

(i)           Steam engines

(j)           Organic Rankine cycles

(k)        Any other type of technology or combination
thereof falling under the definition laid down in Article 2 (19).

PART III. Detailed principles

When implementing and applying the general
principles for the calculation of electricity from cogeneration, Member States
shall use the detailed Guidelines established by Decision 2008/952/EC[38].

ANNEX II
Methodology for determining the efficiency of the cogeneration process

Values used for calculation of efficiency
of cogeneration and primary energy savings shall be determined on the basis of
the expected or actual operation of the unit under normal conditions of use.

(a)          High-efficiency cogeneration

For the purpose of this Directive
high-efficiency cogeneration shall fulfil the following criteria:

–
cogeneration production from cogeneration units
shall provide primary energy savings calculated according to point (b) of at
least 10 % compared with the references for separate production of heat and
electricity,

–
production from small scale and micro
cogeneration units providing primary energy savings may qualify as
high-efficiency cogeneration.

(b)          Calculation of primary energy
savings

The amount of primary energy savings
provided by cogeneration production defined in accordance with Annex I shall be
calculated on the basis of the following formula:

Where:

PES is primary energy savings.

CHP Hη is the heat efficiency of the
cogeneration production defined as annual useful heat output divided by the
fuel input used to produce the sum of useful heat output and electricity from
cogeneration.

Ref Hη is the efficiency reference
value for separate heat production.

CHP Eη is the electrical efficiency of
the cogeneration production defined as annual electricity from cogeneration
divided by the fuel input used to produce the sum of useful heat output and
electricity from cogeneration. Where a cogeneration unit generates mechanical
energy, the annual electricity from cogeneration may be increased by an
additional element representing the amount of electricity which is equivalent
to that of mechanical energy. This additional element will not create a right
to issue guarantees of origin in accordance with Article 10(10).

Ref Eη is the efficiency reference
value for separate electricity production.

(c)          Calculations of energy savings
using alternative calculation

Member States may calculate primary energy
savings from a production of heat and electricity and mechanical energy as
below without using Annex I to exclude the non-cogenerated heat and electricity
parts of the same process. Such a production can be regarded as high-efficiency
cogeneration provided it fulfils the efficiency criteria in point (a) of this
Annex and, for cogeneration units with an electrical capacity larger than 25 MW,
the overall efficiency is above 70%. However, specification of the quantity of
electricity from cogeneration produced in such a production, for issuing a
guarantee of origin and for statistical purposes, shall be determined in
accordance with Annex I.

If primary energy savings for a process are
calculated using alternative calculation as above the primary energy savings
shall be calculated using the formula in point (b) of this Annex replacing:‘CHP
Hη’ with‘Hη’ and‘CHP Eη’ with ‘Eη’,where:

Hη shall mean the heat efficiency of
the process, defined as the annual heat output divided by the fuel input used
to produce the sum of heat output and electricity output.

Eη shall mean the electricity
efficiency of the process, defined as the annual electricity output divided by
the fuel input used to produce the sum of heat output and electricity output.
Where a cogeneration unit generates mechan­ical energy, the annual electricity
from cogeneration maybe increased by an additional element representing the
amount of electricity which is equivalent to that of mechanical energy. This
additional element will not create a right to issue guarantees of origin in
accordance with Article 10(10).

(d)          Member States may use other
reporting periods than one year for the purpose of the calculations according
to points (b) and (c) of this Annex.

(e)          For micro-cogeneration units the
calculation of primary energy savings may be based on certified data.

(f)           Efficiency reference values
for separate production of heat and electricity

The harmonised efficiency reference values
shall consist of a matrix of values differentiated by relevant factors,
including year of construction and types of fuel, and must be based on a
well-documented analysis taking, inter alia, into account data from operational
use under realistic conditions, fuel mix and climate conditions as well as
applied cogeneration technologies.

The efficiency reference values for
separate production of heat and electricity in accordance with the formula set
out in paragraph (b) shall establish the operating efficiency of the separate
heat and electricity production that cogeneration is intended to substitute.

The efficiency reference values shall be
calculated according to the following principles:

1.           For cogeneration units as defined
in Article 2(24) the comparison with separate electricity production shall be
based on the principle that the same fuel categories are compared.

2.           Each cogeneration unit shall be
compared with the best available and economically justifiable technology for
separate production of heat and electricity on the market in the year of
construction of the cogeneration unit.

3.           The efficiency reference values
for cogeneration units older than 10 years of age shall be fixed on the
reference values of units of 10 years of age.

4.           The efficiency reference values
for separate electricity production and heat production shall reflect the
climatic differences between Member States.

ANNEX III
Energy efficiency requirements for purchasing products, services and buildings
by public bodies

Public bodies that purchase products,
services or buildings shall:

a)           where a product is covered by a
delegated act adopted under Directive 2010/30/EU or Commission Directive
implementing Directive 92/75/EEC, purchase only the products that comply with
the criterion of belonging to the highest energy efficiency class while taking
into account cost-effectiveness, economical feasibility and technical
suitability, as well as sufficient competition;

b)           where a product not covered under
point a) is covered by an implementing measure under Directive 2009/125/EC
adopted after the entry into force of this Directive, purchase only products
that comply with energy efficiency benchmarks specified in that implementing
measure;

c)           purchase office equipment products
covered by Council Decision [2006/1005/EC[39]] that
comply with energy efficiency requirements not less demanding than those listed
in Annex C of the Agreement attached to that Decision;

d)           purchase only tyres that comply
with the criterion of having the highest fuel energy efficiency class, as
defined by Regulation (EC) No 1222/2009[40]. This
requirement shall not prevent public bodies from purchasing tyres with the
highest wet grip class or external rolling noise class where justified by
safety or public health reasons;

e)           require in their tenders for
service contracts that service providers use, for the purposes of providing the
services in question, only products that comply with the requirements referred
to in points (a) to (d), when providing the services in question;

f)            purchase or rent only buildings
that comply at least with the minimum energy performance requirements referred
to in Article 4(1). Compliance with these requirements shall be verified by
means of the energy performance certificates referred to in Article 11 of
Directive 2010/31/EU.

ANNEX IV
Energy content of selected fuels for end use –conversion table[41]

Energy commodity || kJ (NCV) || kgoe (NCV) || kWh (NCV)

1 kg coke || 28500 || 0,676 || 7,917

1 kg hard coal || 17200 — 30700 || 0,411 — 0,733 || 4,778 — 8,528

1 kg brown coal briquettes || 20000 || 0,478 || 5,556

1 kg black lignite || 10500 — 21000 || 0,251 — 0,502 || 2,917 — 5,833

1 kg brown coal || 5600 — 10500 || 0,134 — 0,251 || 1,556 — 2,917

1 kg oil shale || 8000 — 9000 || 0,191 — 0,215 || 2,222 — 2,500

1 kg peat || 7800 — 13800 || 0,186 — 0,330 || 2,167 — 3,833

1 kg peat briquettes || 16000 — 16800 || 0,382 — 0,401 || 4,444 — 4,667

1 kg residual fuel oil (heavy oil) || 40000 || 0,955 || 11,111

1 kg light fuel oil || 42300 || 1,010 || 11,750

1 kg motor spirit (petrol) || 44000 || 1,051 || 12,222

1 kg paraffin || 40000 || 0,955 || 11,111

1 kg liquefied petroleum gas || 46000 || 1,099 || 12,778

1 kg natural gas [1] || 47200 || 1,126 || 13,10

1 kg liquefied natural gas || 45190 || 1,079 || 12,553

1 kg wood (25 % humidity) [2] || 13800 || 0,330 || 3,833

1 kg pellets/wood bricks || 16800 || 0,401 || 4,667

1 kg waste || 7400 — 10700 || 0,177 — 0,256 || 2,056 — 2,972

1 MJ derived heat || 1000 || 0,024 || 0,278

1 kWh electrical energy || 3600 || 0,086 || 1 [3]

Source: Eurostat.

[1]              93 %
methane.

[2]              Member
States may apply other values depending on the type of wood most used in the
respective Member State.

[3]              Applicable
when energy savings are calculated in primary energy terms using a bottom-up
approach based on final energy consumption. For savings in kWh electricity
Member States may apply a default coefficient of 2,5. Member States may apply a
different coefficient provided they can justify it.

ANNEX V
Energy efficiency obligation schemes

1.         Measures
that target short-term savings

The
following measures shall be considered as targeting short-term savings :

a) distribution or installation of energy
efficient compact fluorescent light bulbs;

b) distribution or installation of energy
efficient shower heads;

c) energy audits;

d) information campaigns.

2.           Calculation of energy savings

The calculation of energy savings in
national energy efficiency obligation schemes shall take into account the
lifetime of measures. Where no national values for lifetimes are fixed the
default values in point 4 shall apply.

Obligated parties may use one or more of
the following methods for calculating energy savings for the purposes of
Article 6(2):

a)           engineering estimates;

b)           metering;

c)           standard values and lifetimes
that Member States have adopted on a clear and sound basis. Such values shall
be notified to the Commission. The Commission may request that such values are
modified, where they are likely to distort competition or where they show less
ambition than the default values and lifetimes in points 3 and 4.

d)           the default values and lifetimes
in points 3 and 4 where no national standard values and lifetimes have been
established;

3.           European default values
according to equipment type

3.1. Household appliances

a. FREEZERS AND REFRIGERATOR-FREEZERS
DISTINGUISHED

|| refrigerator-freezers || Freezers

*Class A+ Deemed savings (kWh/year) || 64 || 62

**Class A+ Deemed savings (kWh/year) || 76 || 73

Class A++Deemed savings (kWh/year) || 129 || 123

Class A+++Deemed savings (kWh/year) || 193 || 185

b. FREEZERS AND
REFRIGERATOR-FREEZERS NOT DISTINGUISHED

|| refrigerator-freezers and freezers ||

*Class A+ Deemed savings (kWh/year) || 64 ||

**Class A+ Deemed savings (kWh/year) || 75 ||

Class A++Deemed savings (kWh/year) || 128 ||

Class A+++Deemed savings (kWh/year) || 191 ||

c. DOMESTIC WASHING
MACHINES

*Until 30 November 2013 ||

Class A+ deemed savings (kWh/year) || 26

Class A++ deemed savings (kWh/year) || 46

Class A+++ deemed savings (kWh/year) || 63

*From 1 December 2013 ||

Class A++ deemed savings (kWh/year) || 20 ||

Class A+++ deemed savings (kWh/year) || 37 ||

*From 1 December 2013 for household washing
machines with a rated capacity equal to or higher than 4 kg, the Energy
Efficiency Index (EEI) shall be less than 59 (See Annex I of Commission
Regulation (EU) No 1015/2010).

d. DOMESTIC DISHWASHERS

Until 30 November 2013** ||

Class A+ deemed savings (kWh/year) || 37

Class A++ deemed savings (kWh/year) || 69

Class A+++ deemed savings (kWh/year) || 97

**From 1 December 2013 ||

Class A++ deemed savings (kWh/year) || 32 ||

Class A+++ deemed savings (kWh/year) || 60 ||

**From 1 December 2013 For household
dishwashers with a rated capacity equal to or higher than 11 place settings and
household dishwashers with a rated capacity of 10 place settings and a width
higher than 45 cm, the Energy Efficiency Index (EEI) shall be less than 63 (see
COMMISSION REGULATION (EU) No 1016/2010 Annex I)

3.2.        Residential Lighting

Unitary energy savings GLS[42] to CFL   16 kWh/year

Unitary energy savings GLS[43] to LED   17 kWh/year

4.           Default lifetimes

Energy efficiency improvement measure through replacement of component || Default lifetime in years ||

Boiler - condensing || 20 ||

Boiler – direct evacuation || 20 ||

Burners, oil and gas || 10 ||

Control equipment || 15-20 ||

Control system – central || 15-25 ||

Control system – room control || 15-25 ||

Heating control: Control valves, automatic || 10 ||

Meters || 10 ||

ANNEX VI
Minimum requirements for metering of individual energy consumption and the
frequency of billing based on actual consumption

1.           Minimum requirements for
metering of individual energy consumption

1.1.        Individual meters

When an individual meter is installed,
Member States shall ensure that it is connected to an interface which provides
secure communication to the final customer, enabling the meter to export
private metrological data to the final customer or a third party designated by
the final customer.

The interface shall provide private information
enabling final customers to better control their energy consumption and use the
information for further potential analysis. Such information shall at least
indicate the current rate of consumption (e.g. kWh, kJ, m3) and related
costs and be communicated in a format that promotes consumer action in energy
efficiency.

The National Regulatory Authority shall
ensure that the interface also provides public data that allows the final
customer to consult and use the applicable time-of-use tariffs with real-time
pricing, peak time pricing and peak time rebates.

The private data exported through the
interface shall offer the final customer a possibility to consult his/her
historic consumption levels (in local currency and in kWh, kJ or m3):

a)           in the last seven days, day by
day;

b)           in the last complete week;

c)           in the last complete month;

d)           in the same complete month the
previous year;

e)           in the last complete year.

The historic periods shall match the
billing periods for consistency with household bills.

Complementary information on historical
consumption (any day, week, month, year from the start-up of intelligent
metering) and other useful information allowing for more detailed self-checks
by the consumer (e.g. graphic evolutions of individual consumption;
benchmarking information, cumulative consumption/savings/spendings from the
beginning of each contract, proportion of the individual consumption from
renewable sources of energy and related CO2 savings, etc) shall be
made easily accessible either directly through the interface or via the
internet.

1.2.        Heat cost allocators

Heat cost allocators shall be equipped with
clearly legible displays allowing the final customer to consult the current
rate of consumption as well as historic consumption levels. The historic
periods displayed by the heat cost allocator shall match the billing periods.

2.           Minimum requirements for
billing

2.1         Frequency of billing based on
actual consumption

In order to enable final customers to
regulate their own energy consumption, billing on the basis of actual
consumption shall be performed with the following frequency:

a)           On a
monthly basis for electricity consumption.

b)           At
least every two months for the consumption of natural gas. Where gas is used
for individual heating, billing shall be provided on a monthly basis.

c)           With
centralised heating and cooling, billing shall be provided on a monthly basis
during the heating/cooling season.

d)           At least every two months for hot
water billing.

Billing based on the measurement of heat
consumption using heat cost allocators shall be accompanied with explanations
of the numbers available through displays of heat cost allocators, taking into
account the standard characteristics of heat cost allocators (EN 834)[44].

2.2.        Minimum information contained
in the bill

Member States shall ensure that the
following information is made available to final customers in clear and
understandable terms in or with their bills, contracts, transactions, and
receipts at distribution stations:

(a)          current
actual prices and actual consumption of energy;

(b)          comparisons
of the final customer's current energy consumption with consumption for the
same period in the previous year, preferably in graphic form;

(c)          comparisons
with an average normalised or benchmarked final customer in the same user
category;

(d)          contact information for final
customers’ organisations, energy agencies or similar bodies, including website
addresses, from which information may be obtained on available energy
efficiency improvement measures, comparative end-user profiles and objective
technical specifications for energy-using equipment.

2.3         Advice on energy efficiency
accompanying bills and other feedback to final customers

When sending contracts and contract
changes, and in the bills customers receive or through websites addressing
individual customers, energy distributors, distribution system operators and
retail energy sales companies shall inform their customers in a clear and
understandable manner of contact information for independent consumer advice
centres, energy agencies or similar institutions, including their internet
addresses, where they can obtain advice on available energy efficiency
measures, benchmark profiles for their energy consumption and technical specifications
of energy using appliances that can serve to reduce the consumption of these
appliances.

ANNEX VII
Planning for efficiency in heating and cooling

1.           The national heating and cooling
plans referred to in Article 10(1) shall include:

(a)     a description of heating and cooling
demand;

(b)     a forecast of how this demand will
change in the next 10 years, taking into acccount in particular the evolution
of demand in buildings and the different sectors of industry;

(c)     a map of the national territory, identifying:

(i)      heating and cooling demand points,
including:

–
municipalities and conurbations with a plot
ratio of at least 0.3; and

–
industrial zones with a total annual heating and
cooling consumption of more than 20 GWh;

(ii)      existing and planned district heating
and cooling infrastructure;

(iii)     potential heating and cooling supply
points, including:

–
electricity generation installations with a
total annual electricity production of more than 20 GWh; and

–
waste incineration plants;

–
existing and planned cogeneration installations,
classified according to Annex VII, and district heating installations.

(d)     identification of the heating and
cooling demand that could be satisfied by high-efficiency cogeneration, including residential
micro-cogeneration, and by district heating and cooling;

(e)     identification of the potential for
additional high-efficiency cogeneration, including from the refurbishment of
existing and the construction of new generation and industrial installations or
other facilities generating waste heat;

(f)      measures to be adopted up to 2020 and
up to 2030 to realise the potential in (e) in order to meet the demand in (d),
including:

(i)      measures to increase the share of cogeneration in heating and cooling
production and in electricity production; and

(ii)      measures to develop efficient district heating and cooling infrastructure to accommodate the development of high-efficiency
cogeneration and the use of
heating and cooling from waste heat and renewable energy sources;

(g)     the share of high efficiency
cogeneration and the potential established and progress achieved under
Directive 2004/8/EC.

(h)     an estimate of the primary energy to
be saved;

(i)      an estimate of public support
measures to heating and cooling, if any, with the annual budget and identification
of the potential aid element. This does not prejudge a separate notification of
the public support schemes for a State aid assessment.

2.           To the extent appropriate, the plan
may be made up of an assembly of regional or local plans.

3.           Urban spatial plans shall be
designed to ensure that:

a)      new thermal electricity generation
installations and industrial plants producing waste heat are located in sites
where a maximum amount of the available waste heat will be recovered to meet
existing or forecasted heat and cooling demand;

b)      new residential zones or new
industrial plants which consume heat in their production processes are located
in sites where a maximum amount of their heat demand will be met by the
available waste heat, as identified in national heating and cooling plans. To
ensure an optimal matching between demand and supply for heat and cooling,
spatial plans shall favour the clustering of a number of industrial plants in
the same location;

c)      thermal electricity generating
installations, industrial plants producing waste heat, waste incineration
plants and other waste-to-energy plants are connected to the local district
heating or cooling network;

d)      residential zones and industrial
plants which consume heat in their production processes are connected to the
local district heating or cooling network.

ANNEX VIII
Guidelines for siting of thermal electricity installations and industrial
installations

1. Siting of thermal electricity generation
installations as referred in Article 10(3) and (6)

Where a heat demand point of the capacity
given in the column C exists or there is a potential heat demand point, the
power plant must be located at less than the corresponding distance in column
A. A potential heat demand point is defined as one where it can be shown that
one can reasonably be created, for example by constructing a district heating
network. For example, using standard estimation techniques, if an aggregate heat
load in excess of 15 MW / km2 can be shown to exist, this is deemed
to be a heat demand point. The total sum of such connectible km square loads
shall be deemed to be the demand capacity of such heat demand points.

Distance A is a pipeline route, not a
straight line, along which it is considered feasible by engineering experts
using standard estimating techniques such as quantity surveying, to construct a
water carrying pipeline of the corresponding size at moderate cost. This
excludes obstacles such as mountain ranges, city centres, difficult river or
sea crossings etc.

A || B || C

Maximum distance between proposed electricity installation and heat demand point || Power station electrical Capacity || Heat demand point estimated annual consumption

< 100 km || > 1999* MWe || > 7500 TJ/year

< 65 km || >500 || >1875 TJ/year

< 15 km || > 20 MW || > 50 TJ/year

- New
plant will operate typically at 90% load factor.

2. Siting
of industrial waste heat sources referred to in Article 10(8).

A || B || C

Maximum distance between proposed industrial installations and heat demand point || Capacity || Heat demand point estimated annual consumption

< 75 km || > 75 MW (at 60-70% load) || > 1600 TJ/year

< 60 km || > 50 MW at 60% load factor || >1000 TJ/year

< 25 km || > 50 MW (> 85% load factor ) || > 400 TJ/year

< 15 km || > 20 MW || > 100 TJ/year

ANNEX IX
Guarantee of origin for electricity produced from high efficiency cogeneration

a)           Member States shall take measures
to ensure that:

i)       the guarantee of origin of the
electricity produced from high-efficiency cogeneration:

–
enable producers to demonstrate that the
electricity they sell is produced from high-efficiency cogeneration and is
issued to this effect in response to a request from the producer;

–
is accurate, reliable and fraud-resistant;

–
is issued, transferred and cancelled
electronically;

ii)       the same unit of energy from high-efficiency
cogeneration is taken into account only once.

b)           The guarantee of origin referred
to in Article 10(7) shall contain at least the following information:

–
the identity, location, type and capacity (thermal
and electrical) of the installation where the energy was produced;

–
the dates and places of production;

–
the lower calorific value of the fuel source
from which the electricity was produced;

–
the quantity and the use of the heat generated
together with the electricity;

–
the quantity of electricity from high efficiency
cogeneration in accordance with Annex II that the guarantee represents;

–
the primary energy savings calculated in
accordance with Annex II based on the harmonised efficiency reference values indicated
in Annex II paragraph (f);

–
the nominal electric and thermal efficiency of
the plant;

–
whether and to what extent the installation has
benefited from investment support;

–
whether and to what extent the unit of energy
has benefited in any other way from a national support scheme, and the type of support
scheme;

–
the date on which the installation became
operational; and

–
the date and country of issue and a unique
identification number.

The guarantee of origin shall be of the
standard size of 1 MWh. It shall relate to the net electricity output measured
at the station boundary and exported to the grid.

ANNEX X
Inventory of energy efficiency data of energy transformation installations

The inventories referred to in Article 11
shall include:

a)           a non-nominative list of
electricity only generation installations with a rated thermal input of 50 MW
or more, indicating for each:

–
annual average installation electrical output
(MWe) and total rated thermal input (MWth);

–
annual average primary fuel and fuel mix (if
applicable);

–
plant type and technology employed at the
installation;

–
design efficiency and its conditions;

–
operation start date;

–
date of last substantial refurbishment;

–
the number of annual average operating hours;

–
annual average net operational efficiency.

b)           a non-nominative list of heat
only installations with a rated thermal input of 50 MW or more, indicating for each:

–
annual average installation thermal output and
total rated thermal input (MWth);

–
annual average primary fuel and fuel mix (if
applicable);

–
plant type and technology employed at the
installation;

–
design efficiency and its conditions;

–
heat load configuration;

–
operation start date;

–
date of last substantial refurbishment;

–
the number of annual average operating hours;

–
annual average net operational efficiency;

c)           a non-nominative list of
cogeneration installations with a rated thermal input
of 50 MW or more, indicating for each:

–
annual average installations
electrical and thermal output (MWe and MWth)
and total rated thermal input (MWth);

–
annual average primary fuel and fuel mix in accordance with Decision 2007/74/EC on harmonised reference
values, if applicable;

–
plant type and technology employed at the installation in accordance with Annex VII;

–
design efficiency and its conditions;

–
the designed electricity-only and heat-only
efficiencies;

–
annual average power to heat ratio;

–
operation start date;

–
date of last substantial refurbishment;

–
the number of annual average operating hours;

–
annual average net operational efficiency.

d)           a non-nominative list of installations undertaking
the refining of mineral oil and gas, indicating for each:

–
annual average installation energy input (MWth);

–
annual average installation energy output
(energy content of the fuel mix, MWth);

–
annual average feedstock;

–
plant type and technology employed at the installation;

–
design efficiency (theoretical);

–
operation start date;

–
date of last substantial refurbishment;

–
the number of annual average operating hours;

–
annual average net operational efficiency.

ANNEX XI
Energy efficiency criteria for energy network regulation and for network
tariffs set or approved by energy regulatory authorities

1.           Network tariffs shall accurately
reflect electricity and cost savings in networks achieved from demand side and
demand response measures and distributed generation, including savings from
lowering the cost of delivery or of network investment and a more optimal
operation of the network.

2.           Network regulation and tariffs
shall allow network operators to offer system services and system tariffs for
demand response measures, demand management and distributed generation on
organised electricity markets, in particular:

a)      the shifting of the load from peak to
off-peak times by final customers taking into account the availability of
renewable energy, energy from cogeneration and distributed generation;

b)      energy savings from demand response of
distributed consumers by energy aggregators ;

c)      demand reduction from energy
efficiency measures undertaken by energy service providers, including energy
service companies ;

d)      the connection and dispatch of
generation sources at lower voltage levels;

e)      the connection of generation sources
from closer location to the consumption; and

f)       the storage of energy.

For the purposes of this provision the term
"organised electricity markets" shall include over-the-counter
markets and electricity exchanges for trading energy, capacity, balancing and
ancillary services in all timeframes, including forward, day-ahead and
intra-day markets.

3.           Network tariffs shall be
available that support dynamic pricing for demand response measures by final
customers, including:

a)      time-of-use tariffs;

b)      critical peak pricing;

c)      real time pricing; and

d)      peak time rebates.

ANNEX XII
Energy efficiency requirements for transmission system operators and
distribution system operators

Transmission and distribution system operators
shall:

a)      set up and make public their standard rules relating to the bearing
and sharing of costs of technical adaptations, such as grid connections and
grid reinforcements, improved operation of the grid and rules on the
non-discriminatory implementation of the grid codes, which are necessary in
order to integrate new producers feeding electricity produced from high
efficiency cogeneration into the interconnected grid;

b)      provide any new producer of
electricity produced from high-efficiency cogeneration wishing to be connected
to the system with the comprehensive and necessary information required,
including:

(i)      a comprehensive and detailed estimate
of the costs associated with the connection;

(ii)      a reasonable and precise timetable
for receiving and processing the request for grid connection;

(iii)     a reasonable indicative timetable
for any proposed grid connection. The overall process to become connected to
the grid should be no longer than 12 months.

(c)     provide standardised and simplified
procedures for the connection of distributed high efficiency cogeneration
producers to facilitate their connection to the grid.

The standard rules referred to in a) shall
be based on objective, transparent and non-discriminatory criteria taking
particular account of all the costs and benefits associated with the connection
of those producers to the grid. They may provide for different types of
connection.

ANNEX XIII
Mimimum items to be included in energy performance contracts with the public
sector

·
Clear and transparent list of the efficiency
measures to be implemented

·
Guaranteed savings to be achieved by
implementing the measures of the contract.

·
Duration and milestones of the contract, terms
and period of notice.

·
Clear and transparent list of the obligations of
each contracting party.

·
Reference date(s) to establish achieved savings.

·
Clear and transparent list of steps to be
performed to implement a measure and associated costs.

·
Obligation to fully implement the measures in
the contract and documentation of all changes made during the project.

·
Regulations specifying the inclusion of third
parties (subcontracting).

·
Clear and transparent display of financial
implications of the project and distribution of the share of both parties in
the monetary savings achieved (i.e. remuneration of the service provider).

·
Clear and transparent provisions on measurement
and verification of the guaranteed savings achieved, quality checks and
guarantees.

·
Provisions clarifying the procedure to deal with
changing framework conditions that affect the content and the outcome of the
contract (i.e. changing energy prices, use intensity of an installation).

·
Detailed information on the obligations of each
of the contracting party.

ANNEX XIV
General framework for reporting

PART 1.          General framework for
annual reports

The annual reports referred to in Article 19(1)
provide a basis for the monitoring of the progress towards national 2020
targets. Member States shall ensure that the reports include the following
minimum information:

a)      an estimate of following indicators in
the previous year:

(i)      primary energy consumption as defined
in Article 2(2)

(ii)      total final energy consumption

(iii)     final energy consumption by sector

·
industry

·
transport (split between passenger and freight
transport)

·
households

·
services

(iv)     gross value added by sector

·
industry

·
services

(v)     disposable income of households

(vi)     gross domestic product (GDP)

(vii)    electricity generation from thermal
power generation

(viii)   heat generation from thermal power
generation

(ix)     fuel input for thermal power
generation

(x)     passenger kilometers (pkm)

(xi)     tonne kilometers (tkm)

(xii)    population

In sectors where energy consumption remains
stable or is growing, Member States shall analyse the reasons for it and attach
their appraisal to the estimates.

b)      updates on major legislative and
non-legislative measures implemented in the previous year which contribute
towards the overall national energy efficiency targets for 2020.

c)      the total building floor area of the
buildings with a total useful floor area over 250 m2 owned by its
public bodies that, on 1 January of the year in which the report is due, did
not meet the energy performance requirements referred to in Article 4(1);

d)      the total building floor area owned by
the Member States' public bodies that was renovated in the previous year.

e)      energy savings achieved through the
national energy efficiency obligation schemes referred to in Article 6(1) or
the alternative measures adopted in application of Article 6(9).

The first report shall also include the
national target referred to in Article 3(1).

PART 2. General framework for supplementary
reports

The reports referred to in Article 19(2)
shall provide a framework for the development of national energy efficiency strategies.

The reports shall cover significant energy
efficiency improvement measures and expected/achieved energy savings, including
those in the supply, transmission and distribution of energy as well as energy
end-use. Member States shall ensure that the reports include the following
minimum information:

1.         Targets and strategies

-             The national energy efficiency
target for 2020 as required by Article 3(1);

-             The national indicative energy
savings target set in Article 4(1) of Directive 2006/32/EC;

-             Other existing energy efficiency
targets addressing the whole economy or specific sectors.

2.         Measures and energy
savings

The reports shall provide information on
measures adopted or planned to be adopted in view of implementing the main
elements of this Directive and on their related savings.

a)         Primary
energy savings

The reports shall list significant measures
and actions taken towards primary energy saving in all sectors of the economy.
For every measure or package of measures/actions estimations of expected
savings for 2020 and savings achieved by the time of the reporting shall be
provided.

Where available, information on other
impacts/benefits of the measures (greenhouse gas emissions reduction, improved
air quality, job creation, etc.) and the budget for the implementation should
be provided.

b)         Final energy savings

The first and second supplementary report
shall include the results with regard to the fulfilment of the final energy
savings target set out in Article 4(1) and (2) of the Directive 2006/32/EC. If
calculation/estimation of savings per measure is not available, sector level
energy reduction shall be shown due to (the combination) of measures.

The first and second reports shall also
include the measurement and/or calculation methodology used for calculating the
energy savings. If the "recommended methodology[45]" is applied, the report
should provide references to this.

3.         Specific information
related to provisions of this Directive

3.1.      Public bodies (Article 4)

Supplementary reports shall include the list
of public bodies having developed an energy efficiency plan in accordance with
Article 4(3).

3.2.      Energy efficiency
obligations (Article 6)

Supplementary reports shall include the
national coefficients chosen in accordance with Annex IV.

The first supplementary report shall
include a short description of the national scheme referred to in Article 6(1)
or the alternative measures adopted in application of Article 6(9).

.

3.3.      Energy audits and
management systems (Article 7)

Supplementary reports shall include:

a)           the number of energy audits
carried out in the previous 3-year period;

b)           the number of energy audits
carried out in large enterprises in the previous 3-year period;

c)           the number of large companies in
their territory, with an indication of the number of those to which Article
7(3) is applicable.

3.4.      Promotion of efficient heating
and cooling (Article 10)

Supplementary reports shall include an
assessment of the progress achieved in implementing the national heating and
cooling plan referred to in Article 10(1).

3.5.        Energy transformation
(Article 11)

-             Supplementary reports shall
include a non-confidential summary of the inventories of data referred to in
Article 11, in accordance with the requirements set in Annex X.

3.6.        Energy transmission and
distribution (Article 12)

-             The first supplementary report
and the subsequent reports due every 10 years thereafter shall include the
plans for energy efficiency potentials of gas and electricity infrastructure
referred to in Article 12(2).

3.7.      Availability of
certification schemes (Article 13)

Supplementary reports shall include
information on the available national certification schemes or equivalent
qualification schemes for the providers of energy services, energy audits and
energy efficiency improvement measures.

3.8.      Energy Services (Article 14)

Supplementary reports shall include an
internet link to the website where the national lists and registers of energy
services providers referred to in Article 14 can be accessible.

3.9.      Other measures to promote energy
efficiency (Article 15)

The first supplementary report shall
include a list of the measures referred to in Article 15(2).

ANNEX XV
Correlation table

Directive 2006/32/EC || This Directive

Article 1 || Article 1

Article 2 || Article 1

Article 3, point (a) || Article 1, point (1)

Article 3, point (b) || --

Article 3, point (c) || --

Article 3, point (d) || --

-- || Article 2, point (2)

Article 3 point (e) || Article 2, point (3)

Article 3, point (f) || --

Article 3, point (g) || --

Article 3, point (h) || --

Article 3, point (i) || --

-- || Article 2, point (4)

-- || Article 2, point (5)

-- || Article 2, point (6)

Article 3, point (j) || Article 2, point (13)

Article 3, point (k) || --

Article 3, point (l) || Article 2, point (12)

Article 3, point (m) || --

Article 3, point (n) || Article 2, point (10)

Article 3, point (o) || Article 2, point (7)

Article 3, point (p) || Article 2, point (8)

Article 3, point (q) || Article 2, point (9)

Article 3, point (r) || --

Article 3, point (s) || --

-- || Article 2, point (11)

-- || Article 2, point (14)

-- || Article 3

Article 4 || --

Article 5 || Article 4, Article 5

Article 6(1)(a) || Article 6 (6) points (b) and (c)

Article 6 (1)(b) || Article 6 (7)

Article 6 (2) || Article 6(1), (2), (3), (4), (5), (6) point (a), (8), (9) and (10)

Article 7(1) || --

Article 7(2) || Article 15 (1) last indent

Article 7(3) || --

Article 8 || Article 13(1)

-- || Article 13(2)

Article 9(1) || --

Article 9(2) || Article 14 points (b), (c) and (e)

Article 10(1) || Article 12(4)

Article 10(2) || Article 12(3)

Article 11 || --

Article 12(1) || Article 7(1)

Article 12(2) || --

-- || Article 7(2)

Article 12(3) || Article 7(3)

Article 13(1) || Article 8(1)

Article 13(2) || Article 8(2)

-- || Article 9

-- || Article 11

-- || Article 12 (1) and (2)

-- || Article 14, points (a) and (d)

-- || Article 15(1), point (a) and (b)

-- || Article 15(2)

-- || Article 16

Article 14 (1) and (2) || Article 19(1), (2), (3)

Article 14 (3) || --

Article 14 (4) and (5) || Article 19(4) and (5)

-- || Article 17(1)

Article 15(1) || Article 17(2)

Article 15(2) || --

Article 15(3) || --

Article 15(4) || --

-- || Article 18

-- || Article 19(7)

-- || Article 19(8)

-- || Article 19(9)

-- || Article 19(10)

Article 16 || Article 20

Article 17 || Article 21

Article 18 || Article 22

Article 19 || Article 23

Article 20 || Article 24

Annex I || --

Annex II || Annex IV

Annex III || --

Annex IV || --

Annex V || --

Annex VI || Annex III

-- || Annex V

-- || Annex VI

-- || Annex VII

-- || Annex VIII

-- || Annex IX

-- || Annex X

-- || Annex XI

-- || Annex XII

-- || Annex XIII

-- || Annex XIV

-- || Annex XV

Directive 2004/8/EC || This Directive

Article 1 || Article 1

Article 2 || Article 1

Article 3, point (a) || Article 2, point (15)

Article 3, point (b) || Article 2, point (17)

Article 3, point (c) || Article 2, point (16)

Article 3, point (d) || Article 2, point (18)

Article 3, point (e) || --

Article 3, point (f) || --

Article 3, point (g) || Article 2, point (20)

Article 3, point (h) || --

Article 3, point (i) || Article 2, point (19)

Article 3, point (j) || --

Article 3, point (k) || Article 2, point (21)

Article 3, point (l) || Article 2, point (22)

Article 3, point (m) || Article 2, point (24)

Article 3, point (n) || Article 2, point (23)

Article 3, point (o) || --

-- || Article 2, point (25)

-- || Article 2, point (26)

-- || Article 2, point (27)

Article 4(1) || Annex II, point (f) first indent

-- || Article 10(1) to (9)

Article 4(2) || Article 10(10) third indent

Article 4(3) || --

Article 5 || Article 10(10) first and second indent

Article 6 || --

Article 7(1) || Article 10(11)

Article 7(2) || --

Article 7(3) || --

Article 8 || Article 12(5)

-- || Article 12(6)

-- || Article 12(7)

Article 9 || --

Article 10(1) and (2) || --

Article 10(3) || Article 19(6)

Article 11 || --

Article 12 || --

Article 13 || Article 17(2)

Article 14 || --

Article 15 || Article 22

Article 16 || --

Article 17 || Article 23

Article 18 || Article 24

Annex I || Annex I, Part II

Annex II || Annex I, Part I

-- || Annex I, Part III

Annex III || Annex II

Annex IV || --

LEGISLATIVE FINANCIAL STATEMENT FOR PROPOSALS

1.           FRAMEWORK OF THE PROPOSAL/INITIATIVE

1.1.        Title of the
proposal/initiative

Directive of the European Parliament and of the Council on energy
efficiency repealing Directives 2004/8/EC and 2006/32/EC

1.2.        Policy area(s) concerned
in the ABM/ABB structure[46]

ENERGY [32]

1.3.        Nature of the
proposal/initiative

 ̈ The
proposal/initiative relates to a new action

 ̈ The
proposal/initiative relates to a new action following a pilot
project/preparatory action[47]

 ̈ The
proposal/initiative relates to the extension of an existing action

x The
proposal/initiative relates to an action redirected towards a new action.

1.4.        Objectives

1.4.1.     The Commission's
multiannual strategic objective(s) targeted by the proposal/initiative

This proposal is entrenched in the Europe 2020 Strategy for smart,
sustainable and inclusive growth. It directly contributes to achieving one of
the five headline targets set up by the Strategy, notably the realisation of
20% energy efficiency target in 2020.

1.4.2.     Specific objective(s) and
ABM/ABB activity(ies) concerned

Specific objective No:

No 3: Realize 20 % reduction of the EU's energy consumption

No 4: To promote renewables and to increase the energy efficiency in
transport, residential/tertiary and industry, through addressing the
non-technological barriers (Intelligent Energy Europe programme)

ABM/ABB activities concerned:

No 3: 32 04 03

No 4: 32 04 06

1.4.3.     Expected result(s) and impact

Specify the effects
which the proposal/initiative should have on the beneficiaries/groups targeted.

The proposal will have positive effects regarding the security of
supply in Europe, will contribute to climate change mitigation and will also
have positive impacts in terms of economic growth and jobs creation. Energy
savings free financial resources that could be reinvested elsewhere in the
economy and can help alleviate public budgets that are under constraint. For
individual citizens energy efficiency means paying less on their energy bills.
It would also provide measures that would tackle the problem of fuel poverty.
Finally, producing more with less energy should improve EU industries'
competitiveness and place them in a leadership position in the global markets
for energy efficiency technologies.

1.4.4.     Indicators of results and
impact

Specify the
indicators for monitoring implementation of the proposal/initiative.

Under this proposal Member States will have to annually report to
the Commission on progress made in implementing the Directive using a number of
indicators (e.g. primary energy consumption, activity indicators in a number of
sectors such as industry, residential and tertiary, transport, energy supply,
total building floor owned by public bodies and renovated in a year). Member
States are also required to report, every three years, on various
implementation indicators.

1.5.        Grounds for the
proposal/initiative

1.5.1.     Requirement(s) to be met in
the short or long term

The short-term objective of this Proposal is to significantly
contribute to the EU energy efficiency objective for 2020 and the achievement
of the EU 2020 Strategy. The proposal has also a long-term objective, namely
the realisation of energy efficiency improvements within the EU beyond 2020.

1.5.2.     Added value of EU involvement

The EU has set itself the target of achieving 20 % primary energy
savings in 2020 and has made it one of the five headline targets of the Europe
2020 Strategy. The current policy framework at EU and MS level have not managed
to tap existing energy saving potential.

The energy challenges addressed by this proposal (security of energy
supply, sustainability and climate change, as well as EU competitiveness) are
concerns shared by the EU as a whole and thus a collective response at EU level
is necessary to ensure action is coordinated and the shared objectives are
achieved more effectively.

1.5.3.     Lessons learned from
similar experiences in the past

The current energy efficiency framework that this proposal repeals,
i.e. the Energy Services Directive and the Cogeneration Directive, because of
their soft wording, has not managed to fully tap the existing energy saving
potentials. This Proposal aims at remedying the drawbacks and insufficiencies
of the two Directives, by reinforcing and improving the clarity of the text and
setting clear obligations.

1.5.4.     Coherence and possible
synergy with other relevant instruments

The proposal is closely related to the Europe 2020 Strategy and the
Europe 2020 flagship initiative for a resource-efficient Europe. It is
consistent and complementary with the existing EU climate, energy and social
policies.

1.6.        Duration and financial
impact

 ̈ Proposal/initiative of limited
duration

–
 ̈  Proposal/initiative in effect from [DD/MM]YYYY to [DD/MM]YYYY

–
 ̈  Financial impact from YYYY to YYYY

x Proposal/initiative of unlimited
duration

–
Implementation will possibly start in 2012
depending on the progress with the legislative process

–
followed by full-scale operation.

1.7.        Management mode(s) envisaged[48]

x Centralised direct management by the Commission

 ̈ Centralised indirect management with the delegation of implementation tasks to:

–
 ̈  executive agencies

–
 ̈  bodies set up by the Communities[49]

–
 ̈  national public-sector bodies/bodies with public-service mission

–
 ̈  persons entrusted with the implementation of specific actions
pursuant to Title V of the Treaty on European Union and identified in the
relevant basic act within the meaning of Article 49 of the Financial Regulation

 ̈ Shared management with the Member States

 ̈ Decentralised management with third countries

 ̈ Joint management with international organisations (to be specified)

If more than one
management mode is indicated, please provide details in the
"Comments" section.

Comments

The main
part of the implementation of this proposal will be for the Member States. The
Commission will carry out a number of studies and assessments and will monitor
and support (through a number of cooperation initiatives such as Concerted
Action project) the implementation at national level.

2.           MANAGEMENT MEASURES

2.1.        Monitoring and reporting
rules

Specify frequency
and conditions.

Member States have to provide: (i) annual report on a number of
basic energy and implementation indicators; and (ii) three-year report on
broader information on implementation of the Directive and national energy
efficiency measures and strategies.

2.2.        Management and control
system

2.2.1.     Risk(s) identified

The risks related to the implementation of the Directive are indentified
in the implementation plan accompanying the proposal. They concern both risks
in the transposition and in the implementation phase and internal and external
risks.

2.2.2.     Control method(s) envisaged

The implementation plan foresees remedial action to address the
identified risks. This for example includes reinforced dialogue and cooperation
with the Member States, including in the context of the Concerted Action and
bilaterally, requirements of correlation tables, establishment of penalties for
the non-compliance. An evaluation by the Commission of the national annual and
three-annual reports is also foreseen. The Commission may also issue
recommendations.

2.3.        Measures to prevent fraud
and irregularities

Specify existing or
envisaged prevention and protection measures.

This Proposal does not have an impact on the operational part of the
EU budget. No risks identified.

3.           ESTIMATED FINANCIAL IMPACT OF THE
PROPOSAL/INITIATIVE

3.1.        Heading(s) of the
multiannual financial framework and expenditure budget line(s) affected

· Existing expenditure budget lines

In order of
multiannual financial framework headings and budget lines.

Heading of multiannual financial framework || Budget line || Type of expenditure || Contribution

Number [Description..................................] || Diff./non-diff ([50]) || from EFTA[51] countries || from candidate countries[52] || from third countries || within the meaning of Article 18(1)(aa) of the Financial Regulation

1A || 32.04.03 [Support activities to the European energy policy and internal energy market] || Diff. || NO || NO || NO || NO

1A || 32.04.06 [[Competitiveness and Innovation Framework Programme — ‘Intelligent Energy — Europe’ programme] || Diff. || YES || YES || NO || NO

· New budget lines requested – NO

In order of multiannual financial framework
headings and budget lines.

Heading of multiannual financial framework || Budget line || Type of expenditure || Contribution

Number [Heading............................................] || Diff./non-diff. || from EFTA countries || from candidate countries || from third countries || within the meaning of Article 18(1)(aa) of the Financial Regulation

|| [XX.YY.YY.YY] || || YES/NO || YES/NO || YES/NO || YES/NO

3.2.        Estimated impact on
expenditure

3.2.1.     Summary of estimated impact
on expenditure

THE PROPOSAL WILL BE IMPLEMENTED USING THE
EXISTING BUDGET AND WILL NOT HAVE AN IMPACT ON THE MULTIANNUAL FINANCIAL
FRAMEWORK.

EUR million (to 3 decimal places)

Heading of multiannual financial framework: || Number || [Heading 1A]

DG: <ENER> || || || Year N[53] || Year N+1 || Year N+2 || Year N+3 || ... enter as many years as necessary to show the duration of the impact (see point 1.6) || TOTAL

Ÿ Operational appropriations || || || || || || || ||

Number of budget line 32.04.03 || Commitments || (1) || 0.2 || 0.2 || 0.2 || 0.2 || 0.2 || 0.2 || 0.2 || 1.4

Payments || (2) || 0.06 || 0.2 || 0.2 || 0.2 || 0.2 || 0.2 || 0.2 || 1.26

Number of budget line 32.04.06 || Commitments || (1a) || 4.8 || 4.8 || 4.8 || 4.8 || 4.8 || 4.8 || 4.8 || 33.6

Payments || (2a) || 1.44 || 3.36 || 4.8 || 4.8 || 4.8 || 4.8 || 4.8 || 28.8

Appropriations of an administrative nature financed from the envelope for specific programmes[54] || || || || || || || ||

Number of budget line 32010406 || || (3) || || || || || || || ||

TOTAL appropriations for DG <ENER> || Commitments || =1+1a +3 || 5 || 5 || 5 || 5 || 5 || 5 || 5 || 35.0

Payments || =2+2a +3 || 1.5 || 3.56 || 5 || 5 || 5 || 5 || 5 || 30.06

Ÿ TOTAL operational appropriations || Commitments || (4) || 5 || 5 || 5 || 5 || 5 || 5 || 5 || 35.0

Payments || (5) || 1.5 || 3.56 || 5 || 5 || 5 || 5 || 5 || 30.06

Ÿ TOTAL appropriations of an administrative nature financed from the envelope for specific programmes || (6) || || || || || || || ||

TOTAL appropriations under HEADING <1A> of the multiannual financial framework || Commitments || =4+ 6 || 5 || 5 || 5 || 5 || 5 || 5 || 5 || 35.0

Payments || =5+ 6 || 1.5 || 3.56 || 5 || 5 || 5 || 5 || 5 || 30.06

If more than one heading is affected by the proposal /
initiative:

Ÿ TOTAL operational appropriations || Commitments || (4) || || || || || || || ||

Payments || (5) || || || || || || || ||

Ÿ TOTAL appropriations of an administrative nature financed from the envelope for specific programmes || (6) || || || || || || || ||

TOTAL appropriations under HEADINGS 1 to 4 of the multiannual financial framework (Reference amount) || Commitments || =4+ 6 || 5 || 5 || 5 || 5 || 5 || 5 || 5 || 35.0

Payments || =5+ 6 || 1.5 || 3.56 || 5 || 5 || 5 || 5 || 5 || 30.06

Heading of multiannual financial framework: || 5 || " Administrative expenditure "

EUR million (to 3 decimal places)

|| || || Year N || Year N+1 || Year N+2 || Year N+3 || ... enter as many years as necessary to show the duration of the impact (see point 1.6) || TOTAL

DG: <ENER> ||

Ÿ Human resources || 0.727 || 0.727 || 0.727 || 0.727 || 0.727 || 0.727 || 0.727 || 5.089

Ÿ Other administrative expenditure || 0.086 || 0.086 || 0.086 || 0.086 || 0.086 || 0.086 || 0.086 || 0.602

TOTAL DG <ENER> || Appropriations || 0.813 || 0.813 || 0.813 || 0.813 || 0.813 || 0.813 || 0.813 || 5.691

TOTAL appropriations under HEADING 5 of the multiannual financial framework || (Total commitments = Total payments) || 0.813 || 0.813 || 0.813 || 0.813 || 0.813 || 0.813 || 0.813 || 5.691

EUR million (to 3 decimal places)

|| || || Year N[55] || Year N+1 || Year N+2 || Year N+3 || ... enter as many years as necessary to show the duration of the impact (see point 1.6) || TOTAL

TOTAL appropriations under HEADINGS 1 to 5 of the multiannual financial framework || Commitments || 5,813 || 5,813 || 5,813 || 5,813 || 5,813 || 5,813 || 5,813 || 40,691

Payments || 2,313 || 4,373 || 5,813 || 5,813 || 5,813 || 5,813 || 5,813 || 35,751

3.2.2.     Estimated impact on
operational appropriations

–
x The proposal/initiative does not require the use of new operational
appropriations (the initiative is part of the current financial framework)

–
 ̈  The proposal/initiative requires the use of operational
appropriations, as explained below:

Commitment appropriations in EUR million (to 3 decimal
places)

Indicate objectives and outputs ò || || || Year N || Year N+1 || Year N+2 || Year N+3 || ... enter as many years as necessary to show the duration of the impact (see point 1.6) || TOTAL

OUTPUTS

Type of output[56] || Average cost of the output || Number of outputs || Cost || Number of outputs || Cost || Number of outputs || Cost || Number of outputs || Cost || Number of outputs || Cost || Number of outputs || Cost || Number of outputs || Cost || Total number of outputs || Total cost

SPECIFIC OBJECTIVE No 3 Realize 20 % reduction of the EU's energy consumption compared to PRIMES 2007 projections for 2020

- Output || study || 1 || 1 || 0.2 || 1 || 0.2 || 1 || 0.2 || 1 || 0.2 || 1 || 0.2 || 1 || 0.2 || 1 || 0.2 || 7 || 1.4

Sub-total for specific objective N°3 || || 0.2 || || 0.2 || || 0.2 || || 0.2 || || 0.2 || || 0.2 || || 0.2 || 7 || 1.4

SPECIFIC OBJECTIVE No 4 To promote renewables and to increase the energy efficiency in transport, residential/tertiary and industry, through addressing the non-technological barriers (Intelligent Energy Europe programme)...

- Output || study || 1.4 || 2 || 2.8 || 2 || 2.8 || 2 || 2.8 || 2 || 2.8 || 2 || 2.8 || 2 || 2.8 || 2 || 2.8 || 14 || 19.6

- Output || Concerted action || 2 || 0.3 || 2 || 0.3 || 2 || 0.3 || 2 || 0.3 || 2 || 0.3 || 2 || 0.3 || 2 || 0.3 || 2 || 2.1 || 14

Sub-total for specific objective N°4 || 2.3 || 4.8 || 2.3 || 4.8 || 2.3 || 4.8 || 2.3 || 4.8 || 2.3 || 4.8 || 2.3 || 4.8 || 2.3 || 4.8 || 16.1 || 33.6

TOTAL COST || || 5 || || 5 || || 5 || || 5 || || 5 || || 5 || || 5 || || 35

3.2.3.     Estimated impact on
appropriations of an administrative nature

3.2.3.1.  Summary

–
 ̈  The proposal/initiative does not require the use of administrative
appropriations

–
x The proposal/initiative requires the use of administrative
appropriations, as explained below: (the initiative is part of the current
financial framework)

The needs for administrative appropriations
shall be covered within the allocation already granted for managing this action
and/or redeployed within the DG, complemented as the case may be by any
additional allocation that might be granted to the managing DG in the framework
of the annual allocation procedure in the light of budgetary constraints.

EUR million (to 3
decimal places)

|| Year N [57] || Year N+1 || Year N+2 || Year N+3 || ... enter as many years as necessary to show the duration of the impact (see point 1.6) || TOTAL

HEADING 5 of the multiannual financial framework || || || || || || || ||

Human resources || 0.727 || 0.727 || 0.727 || 0.727 || 0.727 || 0.727 || 0.727 || 5.089

Other administrative expenditure || 0.086 || 0.086 || 0.086 || 0.086 || 0.086 || 0.086 || 0.086 || 0.602

Subtotal HEADING 5 of the multiannual financial framework || 0.813 || 0.813 || 0.813 || 0.813 || 0.813 || 0.813 || 0.813 || 5.691

Outside HEADING 5[58] of the multiannual financial framework || || || || || || || ||

Human resources || || || || || || || ||

Other expenditure of an administrative nature || || || || || || || ||

Subtotal outside HEADING 5 of the multiannual financial framework || || || || || || || ||

TOTAL || 0.813 || 0.813 || 0.813 || 0.813 || 0.813 || 0.813 || 0.813 || 5.691

3.2.3.2.  Estimated requirements of
human resources

–
 ̈  The proposal/initiative does not require the use of human
resources

–
x The proposal/initiative requires the use of the currently allocated
human resources, as explained below:

Estimate to be expressed in full amounts
(or at most to one decimal place)

|| || Year N || Year N+1 || Year N+2 || Year N+3 || ... enter as many years as necessary to show the duration of the impact (see point 1.6)

Ÿ Establishment plan posts (officials and temporary agents) ||

|| XX 01 01 01 (Headquarters and Commission’s Representation Offices) || 0.727 || 0.727 || 0.727 || 0.727 || 0.727 || 0.727 || 0.727

|| XX 01 01 02 (Delegations) || || || || || || ||

|| XX 01 05 01 (Indirect research) || || || || || || ||

|| 10 01 05 01 (Direct research) || || || || || || ||

|| Ÿ External personnel (in Full Time Equivalent unit: FTE)[59] ||

|| XX 01 02 01 (CA, INT, SNE from the "global envelope") || || || || || || ||

|| XX 01 02 02 (CA, INT, JED, LA and SNE in the delegations) || || || || || || ||

|| XX 01 04 yy [60] || - at Headquarters[61] || || || || || || ||

|| - in delegations || || || || || || ||

|| XX 01 05 02 (CA, INT, SNE - Indirect research) || || || || || || ||

|| 10 01 05 02 (CA, INT, SNE - Direct research) || || || || || || ||

|| Other budget lines (specify) || || || || || || ||

|| TOTAL || 0.727 || 0.727 || 0.727 || 0.727 || 0.727 || 0.727 || 0.727

XX is the
policy area or budget title concerned.

The human resources required
will be met by staff from the DG who are already assigned to management of the action
and/or have been redeployed within the DG, together if necessary with any
additional allocation which may be granted to the managing DG under the annual
allocation procedure and in the light of budgetary constraints.

Description of
tasks to be carried out:

Officials and temporary agents || Take appropriate actions to implement the various requirements upon Commission (e.g. review MS reports, launch and supervise studies, carry out analysis, develop support programmes for its implementation, monitor implementation)

External personnel ||

3.2.4.     Compatibility with the
current multiannual financial framework

–
x Proposal/initiative is compatible the current multiannual financial
framework.

–
 ̈  Proposal/initiative will entail reprogramming of the relevant
heading in the multiannual financial framework.

Explain what reprogramming is required,
specifying the budget lines concerned and the corresponding amounts.

....

–
 ̈  Proposal/initiative requires application of the flexibility
instrument or revision of the multiannual financial framework[62].

Explain what is required, specifying the
headings and budget lines concerned and the corresponding amounts.

........

3.2.5.     Third-party contributions

–
x The proposal/initiative does not provide for co-financing by third
parties

–
The proposal/initiative provides for the
co-financing estimated below:

Appropriations in EUR million (to 3 decimal places)

|| Year N || Year N+1 || Year N+2 || Year N+3 || ... enter as many years as necessary to show the duration of the impact (see point 1.6) || Total

Specify the co-financing body || || || || || || || ||

TOTAL appropriations cofinanced || || || || || || || ||

3.3.        Estimated impact on
revenue

–
x Proposal/initiative has no financial impact on revenue.

–
 ̈  Proposal/initiative has the following financial impact:

–
 ̈         on own resources

–
 ̈         on miscellaneous revenue

EUR million (to 3 decimal places)

Budget revenue line: || Appropriations available for the ongoing budget year || Impact of the proposal/initiative[63]

Year N || Year N+1 || Year N+2 || Year N+3 || ... insert as many columns as necessary in order to reflect the duration of the impact (see point 1.6)

Article ............. || || || || || || || ||

For miscellaneous
assigned revenue, specify the budget expenditure line(s) affected.

....

Specify the method for
calculating the impact on revenue.

....

[1]               7224/1/07, REV 1.

[2]               COM(2010)2020.

[3]               SEC(2011)277.

[4]               EUCO 2/1/11.

[5]               2010/2107(INI).

[6]               COM(2011)21.

[7]               COM(2011)112.

[8]               OJ L 144, 27.4.2008, p. 64.

[9]               OJ L 153, 18.6.2010, p. 1.

[10]             EUCO 13/10.

[11]             OJ L 140, 23.4.2009, p. 16.

[12]             For more details, see section 1.2 of the accompanying
IA and Annexes I and II.

[13]             The
draft reports available at: http://ec.europa.eu/energy/efficiency/bucharest.

[14]             OJ C , , p. .

[15]             OJ C , , p. .

[16]             OJ C , , p. .

[17]             Projections made in 2007 showed a primary energy
consumption in 2020 of 1842 Mtoe. A 20% reduction results in 1474 Mtoe in 2020,
i.e. a reduction of 368 Mtoe as compared to projections.

[18]             COM/2010/0639 final.

[19]             2010/2107(INI).

[20]             COM(2011)21.

[21]             COM(2011) 109 final.

[22]             COM(2011) 144 final.

[23]             COM(2011) 112 final

[24]             OJ L 140, 5.6.2009, p.136.

[25]             OJ L 52, 21.2.2004, p. 50.

[26]             OJ L 144, 27.4.2008, p. 64.

[27]             OJ L 153, 18.6.2010, p. 13.

[28]             COM(2008)394 Final.

[29]             OJ L 334, 17.12.2010, p.17.

[30]             OJ L 275, 25.10.2003, p. 32.

[31]             OJ L 32, 6.2.2007, p. 183.

[32]             OJ L 211, 14.8.2009, p. 15.

[33]             OJ L 309, 24.11.2009, p. 87.

[34]             OJ L 153, 18.6.2010, p. 1.

[35]             OJ L 304, 14.11.2008, p. 1.

[36]             OJ L 211, 14.8.2009, p. 55.

[37]             OJ L 211, 14.8.2009, p. 94.

[38]             OJ L 338, 17.12.2008, p. 55.

[39]             OJ L 381, 28.12.2006, p. 24.

[40]             OJ L 342, 22.12.2009, p. 46.

[41]             Member States may apply different conversion factors if
these can be justified.

[42]             General Lighting Service or tungsten filament lamps

[43]             General Lighting Service or tungsten filament lamps

[44]             EN 834 Standard on heat cost allocators for the determination of the consumption of
room heating radiators - appliances with electrical energy supply.

[45]             Recommendations on Measurement and Verification Methods
in the framework of the Directive 2006/32/EC on Energy End-Use Efficiency and
Energy Services.

[46]             ABM: Activity-Based Management – ABB: Activity-Based
Budgeting.

[47]             As referred to in Article 49(6)(a) or (b) of the
Financial Regulation.

[48]             Details of management modes and references to the
Financial Regulation may be found on the BudgWeb site: http://www.cc.cec/budg/man/budgmanag/budgmanag_en.html

[49]             As referred to in Article 185 of the Financial
Regulation.

[50]             Diff. = Differentiated appropriations / Non-Diff. =
Non-differentiated appropriations

[51]             EFTA: European Free Trade Association.

[52]             Candidate countries and, where applicable, potential
candidate countries from the Western Balkans.

[53]             Year N is the year in which implementation of the
proposal/initiative starts.

[54]             Technical and/or administrative assistance and
expenditure in support of the implementation of EU programmes and/or actions
(former "BA" lines), indirect research, direct research.

[55]             Year N is the year in which implementation of the
proposal/initiative starts.

[56]             Outputs are products and services to be supplied (e.g.:
number of student exchanges financed, number of km of roads built, etc.).

[57]             Year N is the year in which implementation of the
proposal/initiative starts.

[58]             Technical and/or administrative assistance and
expenditure in support of the implementation of EU programmes and/or actions
(former "BA" lines), indirect research, direct research.

[59]             CA= Contract Agent; INT= agency staff ("Intérimaire");
JED= "Jeune Expert en Délégation" (Young Experts in
Delegations); LA= Local Agent; SNE= Seconded National Expert;

[60]             Under the ceiling for external personnel from
operational appropriations (former "BA" lines).

[61]             Essentially for Structural Funds, European Agricultural
Fund for Rural Development (EAFRD) and European Fisheries Fund (EFF).

[62]             See points 19 and 24 of the Interinstitutional
Agreement.

[63]             As regards traditional own resources (customs duties,
sugar levies), the amounts indicated must be net amounts, i.e. gross amounts
after deduction of 25% for collection costs.