EN    EN EN 
 
EN    EN  COMMISSION OF THE E UROPEAN COMMUNITIES 
Brussels, 26.06.2008 
SEC(2008) 2132  
  
STAFF WORKING PAPER  
accompanying the  
COMMUNICATION FROM THE COMMISSI ON ON NOTIFICATIONS OF 
POSTPONEMENTS OR ATTAINMENT DEADLINES AND EXEMPTIONS FROM 
THE OBLIGATION TO APPLY CERTAI N LIMIT VALUES PURSUANT TO 
ARTICLE 22 OF DIRECTIVE 2008/50/EC  ON AMBIENT AIR QUALITY AND 
CLEANER AIR FOR EUROPE 
{COM(2008) 403 final} 
 
EN    EN 1. INPUT INFORMATION FOR THE ASSESSMENT OF NOTIFICATIONS OF 
POSTPONEMENTS OR EXEMPTIONS  
1.1. Introduction 
According to Article 22 of Directive 2008/50/EC  of the European Parliament and of the 
Council of 21 May 2008 on ambient air quality and cleaner air for Europe1, hereinafter "the 
new Directive", Member States may, in respect of certain zones or agglomerations, postpone 
the deadline for attaining compliance with the li mit values for nitrogen dioxide or benzene for 
a maximum period of five years, where thos e limit values cannot be complied with by 1 
January 2010, or be exempt from the obligation to apply the limit values for particulate matter 
(PM 10) during a three year period ending June  2011. The postponement or exemption is 
subject to Member States demonstrating that the following conditions are met in a given zone 
or agglomeration: 
– the limit values for nitrogen dioxide and benzene cannot be achi eved by 1 January 
2010; 
– all appropriate measures have been taken at national, regional and local level to 
meet the deadlines for the PM 10 limit values, i.e. 1 January 2005; 
– in respect of PM 10 exemptions, the limit values cannot be achieved because of one 
or more of the following elements: site-spe cific dispersion characteristics, adverse 
climatic conditions or transboundary contributions; 
– compliance with the limit values will be achieved at the expiry of the 
postponement or exemption period. 
Member States bear the burden of proof that those conditions are fulfilled and they must 
therefore provide the Commission with all the relevant informa tion needed for its assessment. 
If the Commission considers that those conditions  have not been met, it may raise objections 
within nine months of recei pt of a notification of such postponement or exemption.  
Further guidance on the sc ope of the conditions attached to  the postponements or exemptions 
as well as on the notifica tion procedure can be found in Commission Communication 
(COM(…)..) on notifications of postponements of  attainment deadlines and exemptions from 
the obligation to apply certain  limit values pursuant to Arti cle 22 of Directive 2008/50/EC, 
hereinafter "the Communication". 
1.2. Objective 
This Staff Working Paper specifies the input information required from Member States for 
substantiating that the conditions for a postponement or exemption are fulfilled.  
Postponements or exemptions will, in accordance with Article 22 of the new Directive, apply 
in respect of a given zone or agglomeration and, as a conseq uence, the information required 
must reflect that level, i.e. the data must be relevant not only to the national and regional level 
but also the local level. This degree of detail puts a significant burden on both Member States 
                                                 
1 OJ L 152, 11.6.2008, p. 1. 
 
EN    EN and the Commission and, in order to lessen that  burden and to facil itate the notification 
procedure for Member States and ensure an efficient and transparent assessment of the 
notifications by the Commission, a set of fo rms have been drawn up summarizing the 
essential information required.  
Commission Decision 2004/224/EC  of 20 February 2004 laying down arrangements for the 
submission of information on plans or prog rammes required under Council Directive 
96/62/EC in relation to limit values for certain pollutants in ambient air2 has served as a basis 
for developing the forms in this Staff Working Paper. 
The forms may serve as a checklist for Member St ates that all necessary information has been 
provided and Member States are therefore strongly recommended to use them for submitting their notifications. Moreover, they allow Me mber States to use one document covering 
several zones, instead of submitting several ex tensive and sometimes overlapping documents 
for every single zone concerned. However, it should be stressed that the forms do not replace 
the obligation to provide an air quality plan for each zone or agglomeration concerned. 
In completing the forms, common sense should be applied. The forms have been drawn up in 
order to respond to the diversity that charac terises ambient air qual ity in the Community. 
Against that background, Member States need only  to enter information that is relevant to 
their specific cases and that should reasonabl y be available as esse ntial elements of the 
compulsory air quality plan or  as elements supporting the fu lfilment of the conditions. The 
intention is not to  require Member States to develop ne w data, for instance through modelling. 
Where information is relevant for several zone s, bundling together of that information is 
recommended.  
In order to ensure equal treatment it is important for the Commission to be able to carry out 
the assessments on the basis of comparable da ta. It will use the forms for that purpose to 
structure the information provided.  
1.3. General description of the forms 
The bulk of the information essential for the assessment of the condi tions under Article 22 
Directive 2008/50/EC is well covered by the mini mum requirements of the air quality plan as 
outlined in Section A of Annex XV to that Directive. A well established practice for providing this minimum information is defi ned by Decision 2004/224/EC, which has been 
developed together with the Member States fo r the purpose of communica ting the existence of 
a plan with all its essential elements. This sa me structure is now considered, with the forms 
deviating from Decision 2004/224/EC  only in the following points: 
• information not necessary for the assessment is indicated in strike-through mode (forms 
from Decision 2004/224/EC are used), new or revised parts are shown in bold while the 
parts which are identical to the forms in Decision 2004/224/EC are shown in grey; 
• source apportionment and the esti mate of the spatial impact of the measure are slightly 
more elaborate to enable the Commission to carry out its overall assessment exercise 
including the assessment of the impact of  existing and planned Community measures; 
                                                
 
2 OJ L 68, 6.3.2004, p. 27. 
 
EN    EN Annexes have been added to  the initial forms of Deci sion 2004/224/EC to enable a 
structured presentation of this data; 
• notes to several forms are updated for clarity and to facilitate f illing in the forms; 
• new forms are added as compared to Deci sion 2004/224/EC to hold additional essential 
information, where required by the explicit condi tions of Article 22, e.g. Form 3 has been 
replaced by Forms 3A and 3B, optional Form 6 has been replaced by a new form, Forms 8-
10 are added; some are to be filled only wh ere appropriate; new forms follow the internal 
structure of Decision 2004/224/EC and ar e accompanied by comprehensive notes.  
1.4. Rationale of the Forms 
1.4.1.  Form 1  
Form 1 covers general informati on on the notification as well as practical information, such as 
contact persons. It should be stressed that tw o contact persons are requested. The Annex to 
Form 1 provides placeholders for information on relevant publications used for the purposes 
of drawing up the notification and the Air Quality plan. This info rmation is relevant in order 
to fully assess and understand the elements included in the Air Quality Plan.  
1.4.2.  Form 2 
Form 2 is intended to create a link between th e assessed exceedances (monitored or modelled) 
and the abatement measures. It thus always refers  to a certain 'reference year' for which this 
exceedance has been assessed (see Section 4.1 in the Communication for which reference 
year to use).  
The 'exceedance situation' is the minimum spatial area which the abatement measures should 
be targeting. This enables a clear distinction, where necessary, between different types of exceedances within a single zone that have pr ompted different measures. Examples would be 
a larger agglomeration where there is a 'classic'  exceedance mainly due to traffic in the centre, 
and a specific industry related exceedance situ ation in the suburban industrial zone. Such 
distinction facilitates as well al l subsequent description of abat ement measures also across air 
quality zones, as 'similar' exceedance situations  may be bundled within the subsequent forms, 
for example those linked to source apportionment (Form 3A), failure to comply by the initial 
deadline (Form 3B), or speci fic conditions (Form 10).  
1.4.3.  Form 3A  
Source apportionment in Form 3A represents the essential information needed for the 
preparation of a pollution abatement strategy. It mu st therefore be consid ered for each specific 
exceedance situation as the local sources may vary. A detailed analysis may, however, only be 
necessary for a few representative situations allowing the results of the analysis to be applied throughout the Member State, adjusting it only as necessary due to the local specificity. Form 
3A enables to use single source apportionment for several exceedance situations if the Member States finds that appropriate. The meth odology that should be referred to in the Form 
is expected to provide more detail on the underlying assumptions.  
 
EN    EN 1.4.4.  Form 3B  
Form 3B is intended to minimize the inform ation and resources re quired to assess why 
compliance could not be achieved by the initial d eadline. This single form replaces a detailed 
description of the process within a particular zone or agglomeration (for example assessment 
of the situation in 2003, following development and implementation of plans and programmes 
and their abatement measures, analysis of impact of individual measures) which would 
otherwise be required. The information required in this Form presupposes that the Member 
State has been working under the assumption that  all measures are taken with a view to 
achieve compliance by the deadline, and thus  only provides a way to explain why this 
assumption was not realized (for example le ss reduction in transboundary contribution than 
expected, lower efficiency of a specific measur e etc.), structured according to the source 
apportionment. The detail of the explanation sh ould be in proportion to the importance of the 
contribution to the exceedance and fu rther referenced, where appropriate. 
The Commission expects that for zones or ag glomerations for which a notification of a 
postponement or exemption is being considered, such analysis has already been made within 
the last two years, in order to identify which pollution sources have not yet been successfully 
addressed, update the air quality plans, and for considering the m easures listed in Section B of 
Annex XV. It should not requir e additional information gath ering, for instance through 
modelling, but only the provision of available information in the appropriate sectoral 
placeholders. Again, if appropriate, the same information may be presented for several 
exceedance situations together.  
1.4.5.  Forms 4A, 4B, and Forms 5A, 5B and Anne xes to those Form s, and Form 7 and 
Annexes to that Form 
Air quality is continuously changing due to impl ementation of existing measures and external 
developments, and due to additional measures being taken in order to ensure compliance. The 
snapshot of this continuous change is described by the baseline (Forms 4) and the total impact 
of the measures in Forms 5A and B and Annexes to those Forms.  
All measures need to be iden tified only once through Form 7, where they are given a code. 
This code is then referred to in other Forms as relevant (such as in Form 3B, or Forms 5). 
National measures will, for example, appear wh en addressing any exceedance situation. Their 
impact may, however, be different (for exampl e the impact of a national measure addressing 
chicken farming would not be significan t in most cases of urban exceedance).  
Often the impact of individual measures is not possible to determine or cannot be determined 
with reasonable accuracy – in those cases bund ling of impacts (such as in the Annexes to 
Form 7) of related measures, for examples  those addressing public transport in an 
agglomeration, should be considered. That is easily achieved by referring to all bundled 
measures in the appropriate 'Code(s) of the measure' row.  
The description of the efforts to achieve compliance by the original deadline is addressed 
already through Form 3B. Annex A to Form 7, Form 5A and the Annex to Form 5A 
complement Form 3B in providing placeholde rs for explaining specific aspects of the 
measures taken. Those Forms may, however, be considered optional, as it is possible to 
present the information essential fo r the assessment onl y through Form 3B. 
 
EN    EN 1.4.6.  Forms 6, 8, 9 and 10 
Forms 6, 8, 9 and 10 cover specific assessment requi rements resulting from the Directive, i.e. 
the information required pursuant to Section B of Annex XV to the Directive and the specific 
condition applying to PM10 exemptions.  
2. NOTES TO ALL FORMS  
2.1. General notes on completion of the forms 
In completing the forms, references must be gi ven to documentation pr ovided as part of the 
notification, including to the relevant pages, in addition to the summary information presented 
in the forms. Providing only references wi thout a summary (or, where relevant, the 
quantitative indicator)  is to be avoided. 
All empty (not dashed) cells in  the forms must be completed. The following codes are to be 
used, if necessary: 
• 'N/A' (not applicable) is entered where the info rmation is not relevant for the assessment in 
the specific case (e.g. cells related to pr imary NO2 for PM10 or benzene exceedance 
situations);  
• 'UNAVAILABLE' is entered whenever the info rmation for a given cell is unknown or not 
available. As this might impair the ability to assess, a justification of why this information 
is unavailable plus a reference to related information that might support the assessment 
must be provided. It is recommended that this code is used also in those cases where the 
Member State considers that the requested info rmation is not significant for the assessment 
in order to indicate that a further request for such information by the Commission would 
not be successful; 
• 'NS' (not significant) is to be used primarily  in cells describing non-significant quantitative 
information. The symbol indicates that the re quired specific inform ation/value is roughly 
known (at least in terms of 's maller than' but considered not  to be significant for the 
presentation of the overall information). Ex amples include sources with a contribution 
lower than 3% to the stated exceedance (e.g. a sector contribution in total source apportionment, an individual IPPC installation within contribution of industrial sector); 
• 'I' (included) indicates that this information is included within some other cell (for example 
off-road machinery sources included within indu stry or agriculture). Clarification within 
the Form and/or reference to further doc umentation is expected in such case. 
2.2. Form 1: General information on the notification 
This Form is required in the assessment pr ocess to provide the following information: 
• Essential information from the air quality plan 
• A list of the exceedance situati ons covered in forms 2 to 10 
• Contact details for requests for additional information or clarification for the purposes of 
the assessment of the notification 
 
EN    EN Form 1: General information on the air quality plan 
a. Reference year   
b. Member State   
c. Reference to the notification    
d. List of the code numbers of the exceedance situations 
described in Forms 2 to  10   
e. Name of the authority responsible for drafting the 
notification  addressing the exceedance situation   
f. Postal address of th e responsible authority   
g. Name s of the contact person s     
h. Postal address es of the contact person s     
i. Telephone number s of the contact person s     
j. Fax number s of the contact person s     
k. E-mail address es of the contact person s     
l. Comments for clarification if needed   
 
Notes on Form 1   
Sub a: Year for which this exceedance has been assessed (see Section 4.1 in the Comm unication for which reference 
year to use). It is expected that the same reference year is used in the air quality plan and subsequent Forms, unless 
explicitly identified otherwise in the Forms.  
Sub b: The Member State shall be indicated using the follo wing codes Belgium: BE; Bulgaria: BU; Czech Republic: CZ; 
Denmark: DK; Germany: DE; Estonia: EE; Ireland: IE; ; Greece: EL; Spain: ES; France: FR; Italy: IT; Cyprus: CY; Latvia: 
LV; Lithuania: LT; Luxemburg: LU; Hungary: HU; Malta: MT ; Netherlands: NL; Austria; AT; Poland: PL; Portugal: PT; 
Romania: RO; Slovenia: SI; Slovakia: SK; Fi nland; FI; Sweden: SE; United Kingdom: UK.  
Sub c: The reference to the notification  shall be a complete and detailed reference to the document(s) in which the 
notification is fully described. Detail is to be provided in Annex to Form 1. 
Sub g: Enter contact details of at least two persons. If th e Commission requires further information on any aspect of 
this reporting sheet it will contact one of those persons.  
 
EN    EN 2.3. Annex to Form 1: Details and summary  of relevant pub lications for the 
notification 
This form is used in the assessment proces s for effective filing and information access, 
providing the following information: 
• An overview of the documentation used for the notifications from which the information 
found in forms 2 to 10 has been derived 
• An overview of other available relevant documentation. 
Annex to Form 1: Details and summary of  relevant publications for notification 
a. Reference   
b. Title of publications/documents/work relevant to the air quality plan(s)   
c. Author(s)   
d. Date of publication   
e. Where published (e.g. consultancy report, academic journal)   
f. Weblink   
g. Summary of contents (no mo re than 0.5 pages of A4)   
h. Code number(s) of the exceedance situation(s) to which it is relevant   
i. Relevant page numbers   
Notes on the Annex to Form 1  
Note: Only documents containing relevant information for th e assessment should be included in the Annex to Form 1. 
Examples of documents that should be included here include  modelling reports, emissions inventory reports etc. It is 
important that references given in sub a are used consistently in all forms. 
Sub a: A unique short reference ID, preferably desc riptive (i.e. PLAN, MAPS, EM_INV, EMEP_07_1, DELEEUW08 
etc.). 
Sub f: If available for direct download, otherwise it should be attached  to the notification. 
Sub g: May be attached in a separate word document. 
Sub h: These should correspond to the code number of the exceedance situation on Form 2 sub a. Optional. 
Sub i: Prescribed format : p.[page number] ([data to be found there]); Example p.29 (e missions data for exceedance 
situation 1); p.40-44 (assumptions used in the measures for exceedance situation 1). Optional. 
 
EN    EN 2.4. Form 2: Description of the exceedance of the limit value 
This form is required in the assessment pr ocess to provide the following information: 
• Essential information from the air quality plan 
• Essential information on the exceedance situation in the reference year as stated in Form 1. 
If information for another year is also provide d, this must be clearly indicated by the code 
number in Sub a, and through a comment in S ub o, in order to avoid inappropriate mixing 
and merging of information.  
 
EN    EN Form 2: Description of the exceedance of the limit value     
a. Code number of the exceedance situation   
b. Pollutant   
c. Zone code   
d. Name of the city(-ies) or municipality(-ies)   
e. To be filled in only if the pollutant is SO2,  NO2, benzene or PM 10: NO2 and benzene limit value for which 
the LV+MOT was exceeded, PM 10 limit value [h/d/a]   
f. Concentration level in the reference year:   
  Concentration in µg/m3, or* 1   
  Maximum 8 -hour mean CO concentration in mg/m3 if applicable, or *2   
  Total number of exceedances expressed in relation to the LV+MOT * 1   
g. To be filled in only if the LV is expressed as number of exceedances of  a numerical concentration: total 
number of exceedances in the reference year expressed in relation to the LV * 1   
h. Concentration level in the reference year expressed in re lation to the other health related LV of the pollutant 
concerned, if such an LV exists:    
  Concentration in µg/m3if applicable, or* 1   
  Total number of exceedances expressed in relation to the LV if applicable* 1   
i. Concentrations observed in previous years if available and not previousl y communicated to the Commission    
  Year and concentration in µg/m3if applicable, or*1   
  Year and total number of exceedances expressed in relation to the LV+MOT or LV  if applicable *1   
j. If the exceedance was found by measurement:    
  Code of the station where the exceedance was observed* 1   
  Geographical coordi nates of the station* 1   
  Classification of the station* 1   
k. If the exceedance was found by model calculation:   
  Indication of the location of the exceedance area* 1   
  Classification of the area* 1   
l. Estimate of the surface area (km2) where the level was above the LV in the reference year* 1   
m. Estimate of the length of road (km) where th e level was above the LV in the reference year *1   
n. Estimate of the total population exposed to a level above the LV in the reference year *1   
o. Comments for clarification* 1   
1 Give page reference(s) to from where this information is derived in the notification supporting documents, e.g. the 
air quality plan. 
2 Not to be filled in because CO is not a polluta nt covered in the time extensions assessment  
Notes on Form 2   
Sub a: Each exceedance situation shall be given a code number that is unique within the Member State. 
Sub b: The pollutant shal l be indicated by “NO 2”, “PM10”, "C 6H6” for benzene. 
 
EN    EN Sub c: The zone code shall be identical to the one s ubmitted in the annual questionnaire 2004/461/EC or 2001/839/EC as 
appropriate of the reference year. In the case where zone codes or affiliation of the exceedance situation to a specific 
zone have changed before or after the reference year, all relevant zone codes have to be presented using the following 
format CODE [2001:CODE1;2004:CODE2;2006:CODE3]. CODE specifies zone code in  the reference year.  
Sub d: If the exceedance area extends over more than one city or  municipality, all cities and municipalities where exceedance 
was found shall be mentioned, separated by a semicolon. 
Sub e: The limit value for which the LV+MOT was exceeded, or the limit value for PM10 shall be identified as “h” (based on 
hourly means), “d” (daily means) or “a” (annual means). 
Sub f and h: If the exceedance has been f ound by modelling, the highest level in th e exceedance area shall be given in this 
and the following forms. Deviation from this rule must be explicitly referenced and potential implications of the 
deviation explained. 
Sub i: The information should be given in the form “year: con centration”. Entries for several years should be separated by a 
semicolon. Non-availability of data shall be indicated by “UNAVAILABLE” or more specifically "year: 
UNAVAILABLE".  
Sub i: Annual average concentrations or total number of exceedances each year must be provided between 2001 and 2006 
Data must be provided for each  station listed under sub j or in  adequate summary indicator (e.g. highest modelled 
concentration)  if modelled. While inclusion of data from all monitoring stations with observed exceedance is 
recommended, a data subset may be chosen that is considered to adequately present the situation. It is expected that, 
as far as available, every city or municipality within the exceedance area is represented in the subset.  
Sub j: “Code of the station where the exceedance was observed”  shall be the code that has been used in the annual 
questionnaire of the reference year (Commiss ion Decision 2001/839/EC, 2004/461/EC as relevant ). If the code is different 
than the EOI code, provide the EOI code as well, using fo rmat CODE [EOI:CODEEOI]. Indicate also if the station 
code has been changing through the reported years.  
Sub j: For “geographical coordinates of the station” and “classification of the station”, the specifications that are already i n 
use for the exchange of data under the Exchange of Information Decision 97/101/EC shall be used. 
Sub k: The codes for “classification of station” shall also be used for “classification of the area”. If the exceedance area fo und 
by modelling includes more than one class, the class codes shall be given, separated by a semicolon. 
Sub l and m: The “surface area (km2) above the LV” indicates the size of the exceedance area concerned. It may be left blank 
for traffic stations or traffic areas. The “length of road (km) where the level was above the LV” shall only be given for 
exceedances at traffic stations or, in cas e of modelling, traffic areas. It indicates the total length of road sections where 
exceedance occurred on one or both sides. 
Sub n: “Population exposure above the LV ” indicates an estimate of the averag e number of people present during the 
exceedance of the limit value. 
Sub o: Provide information regarding the exposure of ch ildren or other sensitive groups, where appropriate. 
Sub o: For PM10 exceedances state whether the monitoring sites listed in sub j, for which data is presented in sub i, 
use the reference method, an equivalent method (if so give a page reference to further documentation on 
demonstration of equivalence), or whether the method is not equivalent. In case of PM 10, provide year-specific 
clarification also if any of the historic al data provided under sub i are not corrected to account for potential bias of 
the non-reference method used.  
 
EN    EN 2.5. Annex to Form 2: Map of exceedance situation 
The Annex to Form 2 is required in the assessment process to provide the following 
information: 
A visual indication of the location and ex tent of the exceedance within each zone 
Annex to Form 2: Map of exceedance situation 
  Paste maps here : (Can be reference if attached to the notification
or on-line) 
Notes on the Annex to Form 2 
The following information must be shown on the map:  
• code of the exceedance situation (should correspond to the codes given in Form 2a) 
• pollutant and metric of the exceedance situation (e.g. PM 10 daily) 
• zone/city boundaries (+ zone codes) 
• scale bar 
• map legend 
• measurement stations for the relevant pollutant within the zone (Please gi ve the EoI code of each station) 
• geographical extent of the exceedance of the limit value 
• geographical extent of the exceedance of the limit  value + margin of tolerance (if applicable) 
GIS information is not required and the maps should be prov ided as an image document (either pasted into Annex 2, 
or as a separate, referenced docume nt) rather than as a GIS file.  Availability of access to GIS files may be indicated. 
 
EN    EN 2.6. Form 3A: Quantitative source apportionment 
Form 3A is required to provide a source appor tionment of the exceedance situation for the 
reference year as indicated in Form 1. This  Form replaces Form 3 of Decision 2004/224/EC 
by providing cells for a more explicit split be tween contributions of different sectors at 
different spatial scales. Please follow instruct ions under point 2.1, in cas e specific information 
is included somewhere else, not available or considered  not to be significant. 
If the reference year indicated in Form 1 is different from 2005 for PM10 or 2008 for NO 2 
and benzene, sub g should indicate whether the source apportionment for the reference year is 
relevant also for the situati on in 2005 or 2008, as the case ma y be. Where there are significant 
differences between the source contributions  in the reference year and 2005/2008, those 
differences must be explained. That explanation may be effec tively provided through a second 
source apportionment for the year in question. In such case the di fferent sets should be clearly 
identified through the different code of th e exceedance situation (see also Form 2).  
The information provided in Form 3A will primar ily be used to assess whether the predicted 
reductions in future years are realistic, as the potential impact of measures addressing a 
certain source is closely linked to its contribution to the exceedance.  
The information provided in Form 3A will also  be used to determine which categories of 
measures would be appropriate for each exceedan ce and for assessing whether all appropriate 
measures have been taken to achieve co mpliance by the initial attainment dates. 
The Form can be used to describe several exc eedance situations, if appr opriate. This is also 
one of the reasons why the source apporti onment is expressed in percentages.  
 
EN    EN  
Form 3A: Quantitative source apportionment   
a. Code(s) of exceedance situation   
b. Estimate of split for regional background PM 10*1   
 Total *2  
  From within Member State*2   
  Transboundary*2   
  Natural*2   
  Other (please specify)*2   
c. Estimate of split for regional background NOX / benzene   
 Total*2   
 From within Member State*2   
 Transboundary*2   
d. Estimate of split for (urban) background PM10 / NOX / benzene increment  
 Total*2  
  Traffic*2  
  Industry including heat and power production*2  
  Agriculture*2   
  Commercial and residential*2  
  Shipping*2   
  Off road mobile machinery2   
  Natural*2   
 Transboundary urban background (please specify the source)*2   
  Other (please specify)*2   
e. Estimate of split for local PM10 component / NOx / benzene increment   
 Total*2  
  Traffic*2   
  Industry including heat and power production*2   
  Agriculture*2 
  
  Commercial and residential*2   
  Shipping*2   
  Off road mobile machinery*2   
  Natural*2   
 Transboundary local (please specify the source)*2  
  Other (please specify)*2   
f. Reference to the emission inventory used in the course of the analysis*2  
g. Comments for clarification   
 
1 The split needs to be completed to the maximum extent; in  specific situations, a further split may be necessary to 
justify the claim (e.g. where claiming transboundary condition, the split within/outside Member State). A split 
primary/secondary PM 10 as well as contributions from outside Member State/outside EU may also be provided but 
only if it is considered significant for the assessment. As a general principle, the Commission will, where required, 
make a rough assumption on the split based on geographic location of the exceedance. 
 
EN    EN 2 Give page reference(s) to from where this information is derived in the notification supporting documents, e.g. air 
quality plan. 
Notes on the Form 3A 
Sub a: This corresponds to the code number(s ) of the exceedance s ituation on Form 2a. If more than once exceedance 
situation is described, delimit their codes with semicolon.  
Sub b, c, d and e : The background level is the concentratio n of pollutants on a larger scale than the exceedance area. 
The regional background level is the level that is estimated to occur in the abse nce of sources within  a distance of the 
order of 30 km. For locations in a city, this would be the background level in the absence of the city. For exceedance 
due to long-range transport of air pollution, the regio nal background can be equal to the exceedance reported in 
Form 2. The total (urban) background in crement is the concentration level in a ddition to regional background that is 
estimated to occur in the absence of local sources (with high chimneys within about 5 km and low sources within 
roughly 0.3 km – this distance could be smaller, e.g. for residential heating, or larger, e.g. for steel mills). The total 
background level increment excludes the regional background level. Local increment identifies contributions from 
sources in the immediate vicinity.  
Sub b, c, d and e:  
Indicate a percentage contribution of each of the spatial contributions regional/urban/local and sub sectors. The total 
contribution presented in the 'Total' boxes for regio nal background, urban background increment and local 
increment must sum up roughly to 100 %. The percentage contribution of each of the sub sectors must roughly sum 
up to the percentage contribution of the total for the contribution at that spatial scale. Please note that the source 
apportionment for the short term limit value must be for th e exceedance days only. This me ans that if an annual mean 
equivalent method has been used to calculate the number of exceedance days, the source apportionment must still 
focus on the exceedance days only. If that is not the case this should be clearly identified in comments and reflection 
on the potential difference provided.  
Provide an estimate of the uncertainty in the format of source apportionment ± uncertainty (in percentages e.g. 20% ± 
5%). 
Contributions below 3% may be labe lled as "NS" (not significant). 
If certain contribution is significant but has been included in  other sector, this should be labelled "I" (included) and 
further information provided in the Sub-g.  
Give a page reference to the method used to calculate the source apportionment.  
Sub b, d and e: Where the ‘other’ category is used , give details of what this is in Form 3A. 
Sub b: Split of total only to be provided for PM10 exceedance situations.  
Sub c: Only to be provided for NO2 and benzene exceedance situations. 
Sub d and e: To be provided for all exceedance situations. The split is important as it enables assessment of impact of 
Community measures and the impact of specific nation al/regional measures (e.g. on off-road machinery)  
Sub e: Provide page references to the description of the emi ssions data used in the air quality plan. This reference 
should include details of emissions es timates in tonnes/yr from local sources  (e.g. a nearby industrial plant, the 
emissions per unit length of a nearby road). 
Sub f: Include a page reference to methodology used to calc ulate the source apportionment presented in Form 3A. 
This methodology should include  a description of how the unc ertainty has been estimated. 
General note:  
Where the exceedance situation covers a distinct geographical area (as opposed to a point exceedance at a monitoring 
site) the source apportionment in the exceedance area at the location of highest measured or modelled concentration 
should be given in Form 3A. Deviation fr om this rule must be explicitly refe renced and potential implications of the 
deviation explained. 
Extra local and urban background source apportionment categor ies of shipping and off road mobile machinery have 
been added to the Form 3A compared to the original categories in 2004/224/ EC Form 3. This is because Member 
States and the Community as a whole may employ specific ty pes of measures to address these categories so the impact 
of these measures will need to be assessed separately in the time extensions notification process. 
The source apportionment categories are defined in Table 7.1 below. 
 
EN    EN Table 1: Definitions of what is included in each source category. 
Source Definition of source 
Traffic Road traffic emissions only (excludes emissions from off road mobile machinery) 
Industry including heat and 
power production Emissions arising directly from industrial pr ocesses and combustion (e.g. sinter plants, 
BOS furnaces). This excludes emissions from o ff road mobile machinery used in industry. 
Because industry is such a broad category, a page reference to where the relevant 
information about the relative contribution of di fferent processes can be found in the full 
air quality plan should be given. 
Agriculture Emissions arising directly from agricultura l activities (e.g. chicken farming). This excludes 
emissions from off road mobile machinery used in agriculture.  
Commercial and residential Emissions from commercial or resi dential heating (e.g. domesti c boilers). This excludes 
emissions from off road mobile machinery us ed in commercial and residential sectors. 
Ships Emissions from shipping (e xcludes emissions from off road  mobile machinery used at 
ports). 
Off road mobile machinery This include s off road mobile machinery used in  industry, agriculture, commercial and 
residential sector s and shipping. 
Natural Sources which are not influe nced by human activity*1. 
Other  
1 For the purpose of this source apportionment, only those sources with natural origin which are strictly independent 
of human activity can be listed under “natural”. E.g., dust resuspended from roads, even if having Saharan origin, 
must be listed under “traffic”; wind-blown dust from  crop fields must be listed under “agriculture”.  
 
EN    EN 2.7. Form 3B: Reflection on the failure to deliver compliance by the original 
deadline 
Form 3B is required to support the claim that all appropriate measures have been taken to 
achieve the original deadline (2005 for PM 10). In order to substantiate this claim, evidence 
must be given relating to for which sources  the measures (additi onal or baseline) had 
delivered differently than expected, resu lting in the exceedance in the year 2005.  
This Form can be used to describe several exce edance situations, if appropriate. Where that is 
done, it is understood that no specific local measure has been taken to achieve compliance by the original deadline. 
Only significant source contributions (>3%) need to  be analysed. It is important to note that 
while the exceedance situation code might be re ferring to a reference year which is not the 
original attainment date, the reflection has to be  provided for the original attainment date in 
accordance with Article 22 of the Directive. 
It is assumed that the efforts by the Member States were geared towards compliance by the 
original deadline. If, for example, the annual average of PM
10 at the attainment date (2005) 
was above the limit value, this may be attributed to various reasons following the ex-post analysis, among others:  
• transboundary air pollution in 2005 was hi gher than it was expected when the 
original air quality plan
3 was prepared; 
• the effect of measures according to existi ng legislation (baselin e) was smaller than 
it was expected when the original  air quality plan was prepared; 
• the effect of measures from the air quality plan was smaller than expected. 
Just identifying contributing sources is no t enough. A summary explanation of causes and 
effects is necessry already with in the Form, while a more comprehensive analysis can be 
referenced. I.e. the principal quantitative indi cators can be effectivel y presented using Form 
5A and the Annex to Form 5A and Annex A to Form 7. 
If a notification is submitted for NO 2 before 2010, the same assessment applies to the 
projected gap  between estimated levels of NO 2 in 2010 (baseline + all measures under Form 
5A) and the limit value.  
The reflection is represented by a single number th at states in relative terms (%) how much of 
the exceedance in 2005 can be attributed to the l ack of estimated reduction of the particular 
source contribution.  
                                                 
3 “Air quality plan” corr esponds to “plan or pr ogramme“ according to th e Air Quality Framework 
Directive.  
 
EN    EN  
Columns filled for each situation 
Form 3B: Reflection on the fa ilure to deliver compliance b y the 
original deadline Contribu-
tion to 
exceedance2  Measures 
3 Justifi-
cation 4 
a. Code(s) of exceedance situation  
b. Estimate of split for regional background PM10       
 Total*1    
 From within Member State*1    
 Transboundary*1    
  Natural*1       
  Other (please specify)*1       
c. Estimate of split for regional background NOX / benzene    
 Total*1    
 From within Member State*1    
 Transboundary*1    
d. Estimate of split for urban background PM10 / NOX / benzene increment       
 Total*1    
  Traffic*1       
  Industry including heat and power production*1       
  Agriculture*1       
  Commercial and residential*1       
  Shipping*1       
  Off road mobile machinery*1       
  Natural*1       
 Transboundary urban background (please specify the source)*1    
  Other (please specify)*1       
e. Estimate of split for local PM10 component / NOx / benzene increment       
 Total*1    
  Traffic*1       
  Industry including heat and power production*1       
  Agriculture*1       
  Commercial and residential*1       
  Shipping*1       
  Off road mobile machinery*1       
  Natural*1       
 Transboundary local (please specify the source)*1    
  Other (please specify)*1       
f. Comments for clarification       
 
 
EN    EN For each exceedance situation, three columns have to be filled in: 
1 Give page reference(s) to from where this information is derived in the notification supporting documents, e.g. air 
quality plan . 
2 The relative contribution (in %) by th e source to the difference between limit value and actual concentrations at the 
original attainment date. When positive, all measures on the source had 'underachieved', if negative, contribution to 
improvement is larger than ex pected. In total, the contribut ions under b, c, d, e should  roughly equal 100%. There is 
no specific methodology prescrib ed for the quantification, or modelling required. If only expert  estimation of causes is 
considered an adequate reflection by the Member state, such information should be provided rather than indicate 
'UNAVAILABLE'. The same applies for uncertainty of quanti fication. A reference to th e methodology is to be 
provided.  
Example PM 10: Form 3B describes measured annual PM 10 concentration of 52 µg/m³, annual LV is 40 µg/m³. 
Difference (52-40)µg/m³ = 12 µg/m³ equals 100%. If traffic related measures have contributed by approximately 3 
µg/m³ less reduction in urban background increment and 4 µg /m³ less locally than expected, the contributions would 
be 25 and 33 % respectively. If, for example, the reduction in  the industrial sector has been according to expectations 
the contribution is 0. Uncertainty is estimated at 20%. 
Example NO 2 : NO 2 annual average baseline of Form 4A, subtracting sum of impacts of measures in implementation 
by 2010. Form 5A describes the estimated concentration in  2010 NO2 concentration of 48 µg/m³ = (52 – 2 – 1 – 1) 
µg/m³, annual LV is 40 µg/m³. The “gap” in NO2 concentration is (48-40) µg/m³ = 8 µg/m³. This gap must then be 
explained by a deviation in the NOx source apportionment. For the relationship between NO2 and NOx, the same 
assumptions can be made as in the Annex to Form 5A. Fo r example, if the relationsh ip between NO2 and NOx shows 
that a NO2 reduction of 8 µg/m³ corresponds to a NOx reduction of 12 µg/m³, the deviation in the NOx source 
apportionment is 12 µg/m³; this is  then split (in %) across sectors as appropriate and justified. 
3 Identify measure(s) related to the particular source. Through the form, all measures taken to comply with the 
original deadline must be presented with their respective codes. Measure may appear in several rows as it might have, 
for example, urban background and local impact. Insert 'BL'  if the deviation can be explained by a deviation in the 
baseline over time. If the deviation can also be explained by one or several measures showing a larger or smaller effect 
than expected, enter the code(s) of this/these measure(s). Codes of the measures are those described in Form 7 and 
(optionally for PM10) entered in Form 5A .  
4 Justification: Describe which effect of existing legi slation was larger/smaller than expected, or why a certain 
measure showed a larger/smaller effect than expected covering the measures identified in the previous column. Note 
that the measure could actually still be quite effective. In the above example, the local traffic reduction was perhaps 
projected to be 20 µg/m³, Justification is expected to demonstrate the reasons behind  the (possibly overambitious) 
prediction and/or difficulties in implemen tation, as appropriate. Th e level of detail of the justification should be in 
proportion to the contribution to the total deviation, and may include, where appropriate, references to external 
documents such as the plan, reports etc. The description of financial efforts and emission reduction can be effectively 
presented through the Form 5A, where also the impact of measures taken on the concentration levels at different 
spatial scales can be presented. 
Notes on the Form 3B 
The notes on the Form 3A apply. 
 
EN    EN 2.8. Form 4A and 4B: Baseline level 
Forms 4A and 4B are required in the assessment process to provide the following information 
• Essential information from the air quality plan  
• Form 4A: The estimated baseline levels for th e original deadline for compliance with the 
limit values:  
• Form 4A Baseline for 2005 for PM 10 is not needed  for the assessment as all 
essential information is contained in Form 3A and Form 3B. The same applies to 
the baseline for 2010 for NO2  if a notification is submitted after 1 January 2010.  
• If a time extension application for NO 2 is made early (i.e. already in 2008), the 
Form 4A baseline for 2010 is required and th e data from this Form should be used 
to fill in Form 3B. Due to proximity between 2008 and 2010 a robust estimate 
may perhaps be provided already th rough simple linear interpolation.  
• To prevent double counting the baseline must  not include any measures identified 
explicitly in Form 5A as a meas ure to achieve the initial deadline  
• Form 4B: The estimated baseline levels for the extended deadline for compliance with the 
limit values:  
• This information must be provided for all pollutants. The estimated baseline levels 
for the extended deadline  for compliance with the limit values (June 2011 for 
PM 10 and 2015 for NO 2 and benzene). This informa tion is required to show the 
magnitude of the gap between the limit value and the level expected at the end of the extended deadline, which has to be closed by additional measures. 
• To prevent double counting, th is baseline must include all measures identified 
explicitly in Form 5A as measures to ach ieve the initial deadli ne. If a measure has 
been significantly upgraded or changed scope, then the measure must not be 
included in the baseline but presented as a new separate measure also listed in 
Form 5B.  
Forms 4A and 4B are identical in  structure and information to the original Form 4 contained 
in Decision 2004/224/EC. They differ only in the reference year to which they apply. Note 
that, because of that, the information is provided  as concentration levels or exceedances rather 
than percentages as in the source apportionmen t Form 3A, and through total contribution to 
the level at the specific scale (i.e. urban background, at location of exceedance) ra ther than as 
increment. 
As consistently applied throughout the Forms, either NO 2 or NO x concentration levels can be 
provided in case of the exceedance  of nitrogen dioxide. Use of NO x is encouraged. If NO x 
levels are used, clarification should be pr ovided under Sub-e th at indicates that NO x levels are 
presented and, to the extent appropriate, the local primary NO 2 level used in the estimate of 
baseline levels.  
 
EN    EN Form 4A: Baseline level for orig inal deadline for compliance   
a. Code number of the exceedance situation   
b. Short description of the emission s cenario used for the baseline analysis:   
  Sources contributing to the regional background level *1   
  Regional sources contributing to the total bac kground level but not to the regional background 
level *1   
  Local sources as far as relevant *1   
c. Expected levels in the first year in which the limit value has to be met:   
  Regional background baseline level:   
  Annual mean concentration in µg/m3 if applicable, or *1   
 Maximum 8 hour mean CO concentration in mg/m3, or *2  
  Total number of exceedances expressed in relation to the LV if applicable *1   
  Total background baseline level:   
  Annual mean concentration in µg/m3 if applicable, or *1   
 Maximum 8 hour mean CO concentration in mg/m3, or *2  
  Total number of exceedances expressed in relation to the LV if applicable *1   
  Baseline level at location of exceedance:   
  Annual mean concentration in µg/m3 if applicable, or *1   
 Maximum 8 hour mean CO concentration in mg/m3, or *2  
  Total number of exceedances expressed in relation to the LV if applicable *1   
d. Were any measures beyond those re sulting from existing legislation n eeded to ensure that the limit 
value would be met by the original compliance date? [y/n] *1   
e. Comments for clarification if needed   
1 Give page reference(s) to from where this information is derived in the notification supporting documents, e.g. air 
quality plan. 
2 Not to be filled in because CO is not a pollu tant covered in the time extensions assessment 
Note to Form 4A 
Sub e. To be completed for NO2 exceedances only: Indicate whether NO2 or NOx levels are presented in the Form, 
and provide the local primary NO2 level used in estimating  baseline levels for the orig inal deadline for compliance. 
 
EN    EN Form 4B Baseline level for extended deadline for compliance   
a. Code number of the exceedance situation   
b. Short description of the emission s cenario used for the baseline analysis:   
  Sources contributing to the regional background level *1   
  Regional sources contributing to the total bac kground level but not to the regional background 
level *1   
  Local sources as far as relevant *1   
c. Expected levels in the year of the extended deadline.   
  Regional background baseline level:   
  Annual mean concentration in  µg/m3 if applicable, or *1   
  Maximum 8 -hour mean CO concentration in  mg/ m3 if applicable, or *2   
  Total number of exceedances expressed in relation to the LV if applicable *1   
  Total background baseline level:   
  Annual mean concentration in  µg/m3 if applicable, or *1   
  Maximum 8 -hour mean CO concentration in mg/m3 if applicable, or *2   
  Total number of exceedances expressed in relation to the LV if applicable *1   
  Baseline level at location of exceedance:   
  Annual mean concentration in  µg/m3 if applicable, or *1   
  Maximum 8 -hour mean CO concentration in mg/m3 if applicable, or *1   
  Total number of exceedances expressed in relation to the LV if applicable *1   
d. Are any measures beyond those resulting from existing legislation needed to ensure that the limit 
value will be met by the extended compliance date? [y/n] *1   
e. Comments for clarification if needed   
1 Give page reference(s) to from where this information is derived in the notification supporting documents, e.g. air 
quality plan. 
2 Not to be filled in because CO is not a pollu tant covered in the time extensions assessment 
Note to Form 4B 
Sub e. To be completed for NO2 exceedances only: Indicate whether NO2 or NOx levels are presented in the Form, 
and provide the local primary NO2 level used in estimating  baseline levels for the extended deadline for compliance. 
 
EN    EN 2.9. Forms 5A and 5B: Details of measures  beyond those already required by 
existing legislation 
These Forms are required in the assessment pro cess to provide the following information:  
• Essential information from the air quality plan 
• Measures that have been or will be implemented by Member States to comply with the 
limit values 
Form 5A provides details of all measures which have been or will be implemented before the 
original  deadline for compliance (2005 for PM 10, 2010 for NO 2 and benzene). This 
information will be used to check whether for PM 10 all appropriate measures have been taken 
to meet the original deadline for compliance, and to support the claim that limit values for 
NO 2/benzene cannot be achieved by 1 January 2010.  
If the Member State is of the opinion that Form  3B is already adequate ly presenting the effort 
of achieving compliance by the original deadline , Form 5A and the associated Annex to Form 
5A do not need to be used.  
Form 5B shall provide details of all measures which have been or will be implemented before 
the expiry of the postponement or exemption pe riod. This will be used to check whether the 
combination of measures proposed will be sufficient to meet the limit values by the extended deadlines.  
Forms 5A and 5B are identical in  structure and information to the original Form 5 contained 
in Decision 2004/224/EC; they differ only in the referen ce year to which they  apply, i.e. the 
year for which the impacts of measures are presented.  
Form 5A: Details of measures implemented before the original date of compliance 
a. Code number of the exceedance situation   
b. Code(s) of the measure(s)   
c. Planned  timetable of implementation *1   
d. Indicator(s) for monitoring the progress *1   
e. Funding allocated (year s; amount in EURO)  *1   
f. Estimated total costs (amount in EURO) *1   
g. Estimated level in the years when the limit value had/will have to be met (original deadline) , 
taking the additional measures into account *1   
h. Comments for clarification if needed   
1 Give page reference(s) to from where this information is derived in the notification supporting documents e.g. air 
quality plan. 
Notes on Form 5A 
If no additional measures are/were taken at the exceedance situation in order to comply with the original deadline the 
column will be empty. In such case, clarification has to be provided under Sub h.  
Sub b: Each measure must be indicated by a code, which refers to a measure described in Form 7. This cell is an explicit 
declaration/list of all measures taken in  order to comply with the original de adline. The codes are all expected to 
appear in the second column under Form 3B at the appropriate sectoral placeholders.  
 
EN    EN Sub c: Keywords on the various implementation steps must be  given followed by a date or period in the form “mm/yy”. 
Entries must be separa ted by a semicolon. 
Sub e and f: The funding allocated refers to public funds alone; the estimated total costs include also the costs borne by the 
sector(s) affected. For PM 10 this information should be related to fund s/costs before and in 2005 borne to comply with 
the original deadline. 
Sub g : This information must be coherent with the Form 3B th at analyses the failure to reac h the limit value by the original 
deadline. 
Form 5B: Details of measures to be implem ented before the extended date of compliance 
a. Code number of the exceedance situation   
b. Code(s) of the measure(s)   
c. Planned timetable of implementation *1   
d. Indicator(s) for monitoring the progress *1   
e. Funding allocated (y ears; amount in EURO)  *1   
f. Estimated total costs (amount in EURO)  *1   
g. Estimated level in the years when the limit value has to be met (extended deadline ), taking the 
additional measures into account *1   
h. Comments for clarification if needed   
2 Give page reference(s) to from where this information is derived in the notification supporting documents e.g. air 
quality plan.  
Notes on Form 5B  
Form 5B is to be completed only if the analysis required by Form 4B shows that it is not expected that the limit values 
will be attained at the end of the extended deadline by measures already required by existing legislation – these 
include all measures to achieve compliance by the initial deadline as listed in Form 5A. As the extended deadline for 
NO2/benzene is at maximum 2015 (shorter if possible), it is  expected that appropriate additional measures beyond 
existing legislation bundled in baseline Form 4B are presented. 
Sub b: Each measure must be indicated by a code, which refers to a measure or a measure bundle  described in Form 7. 
Sub c: Keywords on the various implementation steps must be  given followed by a date or period in the form “mm/yy”. 
Entries must be separa ted by a semicolon. 
Sub e and f: The funding allocated refers to public funds alone; the estimated total costs include also the costs borne by the 
sector(s) affected. This cell is an explic it declaration/list of all additional meas ures taken in order to comply with the 
extended deadline. Measures already taken to achieve compliance by the original deadline are already listed under 
Form 5A, and their impact at the extended deadline bundled within baseline Form 4B.  
 
EN    EN 2.10. Annexes to Forms 5A and 5B: The total impact of all measures on the 
exceedance situation 
The information provided in these Forms is re quired to demonstrate how the combined impact 
of the measures presented in Fo rms 5A and 5B will enable compliance with the limit values to 
be achieved by the deadline for compliance.  
The Annex to Form 5A complements Form 3B  in demonstrating the efforts to achieve 
compliance by the original deadline, i.e. that all appropriate measures were taken. If the Member State is of the opinion that Form 3B is  already adequately presenting the effort of 
achieving compliance by the original deadline, Form 5A and the associated Annex to Form 
5A do not need to be used.  
Annex to Form 5A: The total impact of all measures on the exceedance 
situation in the 
year of the ori ginal deadline for compliance with the limit 
value 
a. Code of exceedance situation   
b. Total emissions in the relevant spatial unit*1 without measures listed (PM10 / 
NOx / benzene)*2  
c. Total emission reduction in the rel evant spatial unit*1 of the measures 
combined (PM10 / NOx / benzene)*2   
d. Total impact of the measures combined on PM10 / NOx / benzene   
  Regional background*2   
  Urban background*2   
  Local*2   
e. Impact of measures on NO2*2   
f. Assumptions made regarding primary NO2 levels and regional oxidant levels 
(where relevant)*2   
g. Comments for clarification   
1 Local, zone or agglomeration, regional, national; see also notes to Form 7 
2 Give page reference(s) to from where this information is derived in the notification supporting documents e.g. air 
quality plan.  
Notes on the Annex to Form 5A 
Sub a: This should correspond to the code number of the exceedance situation in Form 2 sub a. 
Sub b, c: emissions for the reference year of  the original deadline (2005 for PM 10, 2010 for NO x/benzene). 
Sub d and e: For annual mean metrics this reduction should be presented in µg/m³ at the monitoring site where the 
highest levels are recorded. Where there is an exceedance situation without a monitoring site, the point of highest 
modelled concentrations should be used. Deviation fr om this rule has to be indicated and explained. 
Sub d and e: For short-term limit values th is should be presented as  the expected reduction in number of exceedances. 
Sub f: Regional oxidant should be provided in ppb. Primary NO 2 emissions should be exp ressed as a percentage of 
local NO X emissions by volume (which is the same as the mass of NO 2 as a percentage of the mass of NO X, with NO X 
expressed as NO 2) 
 
EN    EN  
Annex to Form 5B: The total impact of all measures on the exceedance 
situation in the year of the extended deadline for compliance with the limit 
value 
a. Code of exceedance situation   
b. Total emissions in the relevant spatial unit *1 without measures listed 
(PM10 / NOx / benzene)  
c. Total emission reduction in the relevant spatial unit *1 of the measures 
combined (PM10 / NOx / benzene) 
  
d Total impact of the measures combined on PM10 / NOx / benzene   
  Regional background *2   
  Urban background *2   
  Local *2   
e. Impact of measures on NO2 *2   
f. Assumptions made regarding primar y NO2 levels and regional oxidant 
levels (where relevant) *2   
g. Comments for clarification   
1 Local, zone or agglomeration, regional,  national; see also notes to Form 7 
2 Give page reference(s) to from where this information is derived in the notification supporting documents e.g. air 
quality plan.  
Notes on the Annex to Form 5B 
Sub a: This should correspond to the code number of the exceedance situation on Form 2 sub a.  
Sub b, c : emissions for the reference year of the extended deadline.  
Sub c : emission reductions should refer only to measures listed under Annex B to Form 7; the impact of measures 
listed under Annex A to Form 7 should be included under baseline. 
Sub d and e: For annual mean metrics this reduction should be presented in µg/m³ at the monitoring site where the 
highest levels are recorded. Where there is an exceedance situation without a monitoring site, the point of highest 
modelled concentrations should be used. Deviation fr om this rule has to be indicated and explained. 
Sub d and e: For short-term limit values th is should be presented as  the expected reduction in number of exceedences. 
Sub f: Regional oxidant should be provided in ppb. Primary NO 2 emissions should be exp ressed as a percentage of 
local NO X emissions by volume (which is the same as the mass of NO 2 as a percentage of the mass of NO X, with NO X 
expressed as NO 2). 
 
EN    EN 2.11. Form 6: Evidence that all measures have been considered 
Form 6 is required in the assessment pro cess to provide information on whether all 
appropriate measures have been considered for the attainment of compliance by the new 
deadline. It allows Member States to provide a justification if certain types of measures listed in Annex XV B (3) of the Air Quality Dire ctive are not or will not be implemented. 
This form replaces Form 6 of Decision 2004 /224/EC, which was an optional form for 
measures that have not yet been taken and long-term measures. 
Form 6: Evidence that appropriate measures have been considered 
a. Code of exceedance situation  
b. Emission control equipment for small and medium sized stationary 
combustion sources / replacement of combustion sources   
c. Retrofitting emission control equipment to vehicles   
d. Public procurement  
New vehicles, including low emission vehicles  
Cleaner vehicle transport services  
Low emission stationary combustion sources   
Low emission fuels for stationary and mobile sources  
e. Traffic planning and management  
 Low emission zones  
 Congestion pricing zones  
Differentation of parking fees  
Management of parking places   
Effective reduction of speed limits and control  
Slow modes (e.g. expansion of bicycle and pedestrian infrastructure)  
Freight transport   
Effective improvement of public transport  
 Land use planning to ensure sustainable transport facilities  
 Other  
f. Encouragement of shi ft of transport modes  
g. Low emission fuels for small, medium and large scale stationary sources and
in mobile sources  
 Regulations for fuel quality  
 
EN    EN  Shift to installations using low emission fuels  
 Other  
h. Measures to reduce pollution through permit systems and economic 
instruments  
 LCP permits and national plans going beyond BAT  
 IPPC permits beyond BAT  
 
 
EN    EN  
 Introduction/increase of environment taxes  
 Introduction/increase of environment charges  
 Tradeable permit system  
 Introduction/increase of environmental funding  
 Other  
i. Measures to protect children or other sensitive groups   
j. Other   
k. Comments for clarification   
 
Notes on Form 6 
Sub b to i: For each exceedance situation, either the code(s) of the corresponding measure(s) from Forms 5A and 5B 
must be given or a justification of why no measure of this type has been implemented for that exceedance situation. It 
is sufficient to provide a justification for each empty section heading in sub b to i, i.e. for the subsections justifications 
only have to be given to the extent a ppropriate, however, with particular atte ntion given to those measures explicitly 
mentioned in Annex XV B. Placeholders 'other' are provided to appropriately structure the evidence of measures or 
justification.  
Where available, information can be added on measures of a certain type that have been considered but not taken, 
even if a single measure of  the type already exists. 
Sub h: See also green paper on mark et-based instruments for environment and related policy purposes (COM(2007) 
140 final) and Commission staff working document accompan ying the green paper on ma rket-based instruments for 
environment and related policy purposes (SEC(2007) 388) 
Sub j: List codes of remaining measures from Forms 5A or 5B  which are not listed under subs b to i. If all measures 
from Forms 5A or 5B are listed under subs b to i, leave sub j empty. 
 
EN    EN 2.12. Form 7: Summary of measures 
Form 7 is required for the assessment pro cess to provide the following information: 
• Essential information from the air quality plan 
• Essential descriptive information on indivi dual measures taken or planned to be 
taken in each exceedance area. 
A bundle of related individual measures such as  a national abatement approach to a certain 
source or source sector, or all measures improving bike/pedestrian infrastructure in a city, can 
be presented as a single measure. 
Form 7: Summary of measures    
a. Code of the measure   
b. Title   
c. Description *1 
 
d. Administrative level at whic h the measure could be taken *1   
e. Type of measure *1   
f. Is the measure regulatory? [y/n] *1   
g. Time scale of reduction *1   
h. Source sector(s) affected *1   
i. Spatial scale of the sources affected *1   
k. Comments for clarification if needed   
1 Give page reference(s) to from where this information is derived in the notification supporting documents e.g. air 
quality plan.  
Notes on Form 7  
Form 7 is to be used to describe the measures mentioned in  Forms 5A and 5B. One column of Form 7 must be 
completed for each measure. 
Sub a: Each measure (or measure bundle) must be given a unique code. 
Sub c: The description of the measure is a free text of typically 100 to 200 words. 
Sub d: The following codes must be used to characterise the administrative level at which the measure could be taken: 
A: local; B: regional; C: national. 
Sub e: The following codes must be used to characterise th e type of measure: A: economi c/fiscal; B: technical; C: 
education/information; D: other.  
 
EN    EN Sub g: The following codes must be used to characterise the time scale of the concentration reduction achieved by the 
measure: A.: short term; B: medium t erm (about a year); C: long term.  
Sub h: The following codes must be used to characterise the source sector affect ed by the measure: A: transport; B: 
industry including heat and power pro duction; C: agriculture; D: commercial  and residential sources; E: other. 
Sub e and h: If the code for “other” is used, it must be clarified at the entry “Comments for clarification”. 
Sub i: The spatial scale of the sources affe cted should be related to the zone fo r which the application is sought. Hence 
a differentiation in local, agglomerati on, zone and national is suggested. 
Sub d-i: If more than one code applies, they must be separated by a semicolon. 
2.13. Annexes A and B to Form 7: The impact of individual measures on the 
exceedance situation 
Annexes A and B to Form 7 summarise informa tion on the impacts of separate measures in 
each exceedance situation per spatial scale. This information is necessary to assess whether the estimated impact of each measure is realisti c and sufficient to meet the limit value by the 
extended deadline. 
Annex A to Form 7 documents the impact  of measures in the year of the original deadline  for 
compliance (2005 for PM
10; 2010 for NO 2 and benzene). For the purpose of the assessment, it 
is expected to be coherent in particular with Form 3B. 
Annex A to Form 7 is optional for PM 10 as the essential information and references to 
measures may be adequately provided in Form 3B. It can however be considered as an effective instrument to present the principal information on the measures taken in order to 
present the efforts already in place. 
For NO2/benzene Annex A to Form 7 is necessary
 as it provides precise information on the 
timing of the measure to achieve compliance by 2010.  
Annex B to Form 7 documents the impact  of measures in the year of the extended deadline. 
It is important as it brings specific inform ation on the timing of th e measure, required to 
assess the postponement time requested. 
Both forms are identical in structure and inform ation and only differ in the reference year to 
which the information applies. When the referen ce year is in the past (Annex A to Form 7 for 
PM 10) it is expected that the impact is an ex- post analysis, while for the future (Annex A to 
Form 7 for NO2/benzene, Annex B to Form 7 fo r all) the impact on different scales is a 
projection. The projection methodo logy is for the Member State to determine. For example, 
when a comprehensive assessment has been performed for the impact of a PM 10 measure in 
2010, the Member State may find in specific cases  that it is appropri ate to apply a simple 
interpolation into 2011.  
In instances where a measure to comply with  the initial deadline has been significantly 
upgraded or changed in scope, the measure is requ ired to be considered  as a new measure and 
its impacts need to be included in Annex B to  Form 7, Form 5B (when aggregating) and not 
aggregated under Form 4B (baselin e). In the descripti on of the measure, its reference to the 
existing measure listed under Form 5A must be  given. Thereby, impacts of measures will be 
adequately taken into ac count without double counting. 
 
EN    EN The impact of related measures (e.g. all improvement of public transport in the city) can be 
bundled together within a singl e description of the impact. While the bundle can already be 
identified as a single measure in Form 7, it can also be bundled ad-hoc in the Annex itself by 
separating codes of measures under Sub-b. 
 
EN    EN Annex A to Form 7: The impact of individual measures on the exceedance 
situation in the year of the or iginal deadline for compliance 
a. Code of exceedance situation   
b. Code(s) of measure(s)  
c. Time table for implementation of the measure   
  Implementation date *1    
  Date when the measure takes full effect *1   
  Other key dates for the measure *1   
d. Reduction in PM10 / NOx / benzene emissions relative to the baseline   
e. Local impact on primary NO2 emissions fraction f-NO2 *1   
f. Expected impact on ambient PM10 / NOx / benzene concentrations   
  Regional impact *1   
  Impact on urban background *1   
  Local impact *1   
g. Local impact on ambient NO2 concentrations if the measure is focussed on the primary 
NO2 emissions fraction *1   
h. Comments for clarification   
1 Give page reference(s) to from wh ere this information is derived in the notification supporting 
documents e.g. air quality plan. Annex B to Form 7: The impact of individual 
measures on the exceedance situation in the year of the extended deadline for 
compliance 
a. Code of exceedance situation   
b. Code(s) of measure(s)  
c. Time table for implementation of the measure   
  Implementation date *1    
  Date when the measure takes full effect *1   
  Other key dates for the measure *1   
d. Reduction in PM10 / NOx / benzene emissions relative to the baseline   
e. Local impact on primary NO2 emissions fraction f-NO2 *1   
f. Expected impact on ambient PM10 / NOx / benzene concentrations   
  Regional impact *1   
  Impact on urban background*1   
  Local impact *1   
g. Local impact on ambient NO2 concentrations if the measure is focussed on the primary 
NO2 emissions fraction *1   
h. Comments for clarification   
1 Give page reference(s) to from where this information is derived in the notification supporting documents e.g. air quality plan.  
Notes on the Annexes A and B to Form 7 
 
EN    EN Where there are several measures for a given exceedance situation, each measure must be entered in a separate 
column in this form. 
Sub a: This must correspond to the code number of the exceedance situation on Form 2 sub a.  
Sub c: For the box labelled other key dates for the measure, provide information in the format: First key date (short 
description of why this date is signific ant); second key date (short description of  why this date is significant) etc. 
Point d: The total emissions reduction at each scale is give n in ktonnes/yr. The original total must also be given in 
brackets to give an indication of the percentage reduction in emissions associated with each measure. 
Sub e and g: For NO2 limit values only. If there is an expect ed change then the new primary NO2 level caused by the 
measure must be given. If no change is expected from the base line level given in Form 4B, this must be stated in this 
box.  
Sub f and g. For annual mean metrics this reduction should be presented in µg/m³ at the monitoring site where the 
highest levels are recorded. Where there is an exceedance situation without a monitoring site, the point of highest 
modelled concentrations should be used. Deviation from this rule has to be indicated and explained in Sub h. 
Sub f and g. For short term limit values this must be presented as the expected reduction in the number of 
exceedances. 
 
EN    EN 2.14. Form 8: Demonstration that other direc tives have been implemented by the 
Member State  
Form 8 is required in the assessment process to  provide information on the implementation of 
other Directives related to air quality as provided for in Annex XV Section B (2) to the 
Directive. Directive 2001/81/EC  on national emissions ceilings is an important tool for 
emissions control at national le vel, and measures taken under th at Directive are consequential 
for achieving compliance with the limit valu es for PM10, NO2 and benzene in zones and 
agglomerations. Specific information on the impl ementation of that Directive is therefore 
requested. This Form will allow Member States  to provide more up-to-date and relevant 
information than that which may alre ady be available to the Commission. 
Form 8: Demonstration that other directives have been implemented by the Member State 
    
70/220/EEC emissions from motor vehicles 
94/63/EC VOC emissions 
96/61/EC IPPC 97/68/EC non-road mobile machinery 98/70/EC quality of petrol and diesel fuels 
1999/13/EC organic solvents 1999/32/EC reduction in the sulphur content 
2000/76/EC incineration of waste 2001/80/EC LCP 2001/81/EC NEC 
2004/42/EC VOC emissions organic solvents 
2005/33/EC sulphur content of marine fuels 2005/55/EC emission of vehicles 
2006/32/EC energy efficiency a. Date of notification                             
b. Reference to 
national legislation                             
c. Infringement 
procedure (y/n)                             
d. Is there a 
derogation  
(y/n or N/A)                             
 
EN    EN e. Information related to the NEC Directive 
 Date of submission of programmes (which  were due on 31. December 2002) (Art. 8 2) 
 Date of submission of update d programmes (which were due on  31 December 2006) (Art. 8 2) 
 Reference to programme and updated programme 
 NOx: National emission ceiling for 2010 in kt 
 NOx: Projections for national emissions in 2010 in kt 
 SO2: National emission ceiling for 2010 in kt 
 SO2: Projections for national emissions in 2010 in kt 
 VOC: National emission ceiling for 2010 in kt 
 VOC: Projections for national emissions in 2010 in kt 
 NH3: National emission ceiling for 2010 in kt 
 NH3: Projections for national emissions in 2010 in kt 
 If applicable, list additional measures which were not included in the updated NEC programmes, but which 
were implemented in the meantime 
 Enter reference to energy and traffic projection used in the NEC programmes 
f.  Information related to the Energy Efficiency Directive 
 Date of submission of EEAP (Art. 14 (2)) 
 Reference to EEAP 
Note on Form 8 
One form to be filled in which covers all exceedance situations in one Member State. 
2.15. Annex to Form 8: Information on directives which are not completely 
implemented  
The information in the Annex to Form 8 is onl y required for those Dir ectives concerned by 
infringement procedures, derogations, or wh ere implementation is otherwise incomplete. 
Annex to Form 8 – Information on directiv es which are not completely implemented 
a. Code of exceedance situation   
b. Rating of the importance of incomplete implementation for the specific 
exceedance situation   
c. Justification for the rating of importance   
Notes on the Annex to Form 8 
One column has to be filled in for each exceedance situation 
Sub a. This should correspond to the code number of the exceedance situation in Form 2a.  
Sub b. Use the following rating of importance: 0: no effect , 1: small effect, 2: medium effect, 3: large effect.  
The rating has to be specific to the exceedance situation.  
 
EN    EN 2.16. Form 9: Additional inform ation on relevant Directives 
The information in Form 9 provides additional de tail on the status of implementation of those 
Directives listed in Form 8 that have an impa ct on air quality which differs from exceedance 
situation to exceedance situation.  
The information on individual instal lations in the zone or agglom eration concerned need to be 
provided only for the most significant indivi dual installations which jointly contribute 
significantly (> 3%) to the exceedance situation. Alternatively, the significance criterion of 
3% can be applied more simply in resp ect of the total emissions in the zone. 
 Form 9: Additional information on relevant directives 
a. Code of exceedance situation  
b. Information related to AQ Directives  
 Date of first adoption of plan or programme that includes measures related to the pollutant in question  
 Date of first adoption of short term action plan th at includes measures related to the pollutant in question  
 Link to short term action plan  
 c. Information related to the IPPC Directive   
 List installations under the IPPC regime which contribute to the exceedance, including installation ID from the 
EPER (or PRTR) database.   
 Do all installations have perm its in compliance with BAT? y/n   
 Do the permit conditions include emission limit values ensuring that emission levels are achieved which are within 
the BAT ranges as set out in the relevant BAT reference documents (BREFS)? y/n  
 List the installations with permit conditions allowing higher emissions than BAT leve ls set out in the BREFs and 
indicate what are the differences in waste gas concentrat ions (mg/Nm³) and overall emissions (t/year) between the
current emissions of the installation and those BAT levels   
 Are permits periodically updated? y/n   
 List the installations with stricter permit conditi ons than BAT according to Art. 10 IPPC-Directive   
 d. Information related to the LCP Directive   
 List installations under the LCP regime which contribute to the exceedance   
 List installations which comply with emission limit values given in the LCP Directive   
 If an LCP national emission reduc tion plan (NERP) has b een established, list th e installations covered   
e.  Information related to the Waste Incineration Directive   
 List installations under the waste incineration Directive which contribute to the exceedance   
 List installations which comply with emission limit values given in the waste incineration Directive   
f. Comments for clarification  
Notes on Form 9 
 
EN    EN Fill in one column for each exceedance situation. 
Sub a: This should correspond to the code number of the exceedance situation on Form 2 sub a. 
Sub b: The entries in these boxes are id entical for all exce edance situations within one zone or agglomeration. A link 
to the short term action plan has to be provided through weblink, and if not accessible over internet, by reference to 
an attached document. 
Sub f: The clarification may include information on how the si gnificance criterion has been applied or more details on 
the specific points under question above, for example, how permitting updates are performed etc. Reference to parts 
of external documents may be provided. 
 
EN    EN 2.17. Form 10: Reasons for non-compliance for PM 10 
Form 10 provides essential information needed for the assessment of claims that exceedances 
of the limit value(s) for PM 10 are due to one or more of th e following elements: site-specific 
dispersion characteristics, adverse climatic  conditions, or trans boundary contributions.  
Further details of this condition are provide d in the Communication. For the most basic 
justification of the condition, data ma y be provided under subs b, d, or f.  
Alternatively, a justification can be provi ded through more elaborate means and other 
indicators, referenced under subs c, e, or g. The condition is linke d to the exceedance 
situation. If a zone has several exceedance situations, the justifi cation is needed for each, and 
they may in principle differ even within the same zone.  
Form 10 Reasons for non-compliance for PM 10 
a. Code of exceedance situation 
b. Information related to site -specific dispers ion conditions: 
  Street length (m)*1 
  Average width of street (m)*1 
  Average height of buildings (m)*1 
  Evidence that the exceedance is restricted to the street geometry*1 
  Comments for clarification if needed 
c. Reference to document which explains in detail why the exceedance is due to site-specific dispersion characteristics 
d. Adverse climatic conditions: 
  Average wind speed (m/s)*1 or other indicator of adverse climate conditions 
  Location and averaging period used for the average wind speed*1 or other indicator 
  List of measured PM10 concentrations and average wi nd speeds for all days with PM10 concentrations > 50 
µg/m³, starting in 2005 *2, or correspondi ng correlation with other indicator*1 
   Comments for clarification if needed (necessary if other indicator than average wind is used) 
e. Reference to document which explains in detail why the exceedance is due to adverse climatic conditions. 
Continued on next page 
 
EN    EN  
f. Transboundary pollution:   
  For exceedances of the annual limit value: Transboundary contribution (µg/m³) to 
the annual PM10 average and reference to the method used, starting with the year 
2005 *1   
  Apportionment (estimate) of the transb oundary contribution to Member States 
and/or other countries *1   
  For exceedances of the daily limit value: Number of exceedance days which 
remain after subtracting days with exceedances due to transboundary pollution *1 
  Member State(s) which were consul ted, and date(s) of consultation   
  Topic of consultation   
  Reference to relevant documents   
  Outcome of the consultation (expected reduction of emissions of relevant sources 
and expected improvement of air quality)   
  Justification if no consultations were undertaken   
g. Reference to document which explains in detail why the exceedance is due to 
transboundary pollution   
h. Comments for clarification if needed   
1 Give page reference(s) to from where this information is derived in the notification supporting documents e.g. air 
quality plan. . 
Notes on Form 10 
One column to be filled in for each exceedance situation. 
Sub a. This should correspond to the code number of the exceedance situation on Form 2a. 
Sub b to g: For each exceedance situation, at leas t one of the sections b to g has to filled in: 
If site-specific dispersion characteristics are claimed usin g the method suggested in th e Communication, sub b has to 
be filled in 
If site-specific dispersion characteristics are claimed using an alternative method, sub c has to be filled in If adverse climatic conditions are claimed using the method suggested in the Communication, sub d has to be filled in 
If adverse climatic conditions are claimed using an alternative method, sub e has to be filled in 
If transboundary air pollution is claimed using the method suggested in the Communication, sub f has to be filled in 
If transboundary air pollu tion is claimed using an alternative method, sub g has to be filled in