Staff working paper accompanying the communication from the Commission on notifications of postponements or attainment deadlines and exemptions from the obligation to apply certain limit values pursuant to article 22 of directive 2008/50/EC on ambient air quality and cleaner air for Europe {COM(2008) 403 final}
Date: 2008-06-26
Institutions: European Commission
Subjects: air quality, disclosure of information, environmental law, pollution control, pollution control measures, reduction of gas emissions

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COMMISSION OF THE EUROPEAN COMMUNITIES 

Brussels, 26.06.2008 
SEC(2008) 2132  

STAFF WORKING PAPER  
accompanying the  

COMMUNICATION FROM THE COMMISSION ON NOTIFICATIONS OF 
POSTPONEMENTS OR ATTAINMENT DEADLINES AND EXEMPTIONS FROM 
THE OBLIGATION TO APPLY CERTAIN LIMIT VALUES PURSUANT TO 
ARTICLE 22 OF DIRECTIVE 2008/50/EC ON AMBIENT AIR QUALITY AND 
CLEANER AIR FOR EUROPE 

{COM(2008) 403 final} 

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1. 

INPUT 
INFORMATION 
POSTPONEMENTS OR EXEMPTIONS 

FOR  THE  ASSESSMENT  OF  NOTIFICATIONS  OF 

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 limit values for nitrogen dioxide or benzene for 
a  maximum  period  of  five  years,  where  those  limit  values  cannot  be  complied  with  by  1 
January 2010, or be exempt from the obligation to apply the limit values for particulate matter 
(PM10)  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 achieved by 1 January 

2010; 

–  all  appropriate  measures  have  been  taken  at  national,  regional  and  local  level  to 

meet the deadlines for the PM10 limit values, i.e. 1 January 2005; 

–  in respect of PM10 exemptions, the limit values cannot be achieved because of one 
or more of the following elements: site-specific 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 information needed for its assessment. 
If the Commission considers that those conditions have not been met, it may raise objections 
within nine months of receipt of a notification of such postponement or exemption.  

Further guidance on the scope of the conditions attached to the postponements or exemptions 
as  well  as  on  the  notification  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  Article  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 consequence, 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. 

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and  the  Commission  and,  in  order  to  lessen  that  burden  and  to  facilitate  the  notification 
procedure  for  Member  States  and  ensure  an  efficient  and  transparent  assessment  of  the 
notifications  by  the  Commission,  a  set  of  forms  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  programmes  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 States that all necessary information has been 
provided and Member States are therefore strongly recommended to use them for submitting 
their  notifications.  Moreover,  they  allow  Member  States  to  use  one  document  covering 
several zones, instead of submitting several extensive 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  characterises  ambient  air  quality  in  the  Community. 
Against  that  background,  Member  States  need  only  to  enter  information  that  is  relevant  to 
their  specific  cases  and  that  should  reasonably  be  available  as  essential  elements  of  the 
compulsory  air  quality  plan  or  as  elements  supporting  the  fulfilment  of  the  conditions.  The 
intention is not to require Member States to develop new data, for instance through modelling. 
Where  information  is  relevant  for  several  zones,  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  data.  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  conditions  under  Article  22 
Directive 2008/50/EC is well covered by the minimum 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  defined  by  Decision  2004/224/EC,  which  has  been 
developed together with the Member States for the purpose of communicating the existence of 
a plan with all its essential elements. This same 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  estimate  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. 

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Annexes  have  been  added  to  the  initial  forms  of  Decision  2004/224/EC  to  enable  a 
structured presentation of this data; 

•  notes to several forms are updated for clarity and to facilitate filling in the forms; 

•  new  forms  are  added  as  compared  to  Decision  2004/224/EC  to  hold  additional  essential 
information, where required by the explicit conditions 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 where appropriate; new forms follow the internal 
structure of Decision 2004/224/EC and are accompanied by comprehensive notes.  

1.4. 

Rationale of the Forms 

1.4.1.  Form 1  

Form 1 covers general information on the notification as well as practical information, such as 
contact  persons.  It  should  be  stressed  that  two  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 information 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 the 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 prompted 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  situation  in  the  suburban  industrial  zone.  Such 
distinction facilitates as well all subsequent description of abatement 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 specific 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 must therefore be considered 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 methodology that should be referred to in the Form 
is expected to provide more detail on the underlying assumptions.  

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1.4.4.  Form 3B  

Form  3B  is  intended  to  minimize  the  information  and  resources  required  to  assess  why 
compliance could not be achieved by the initial deadline. 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  less  reduction  in  transboundary  contribution  than 
expected,  lower  efficiency  of  a  specific  measure  etc.),  structured  according  to  the  source 
apportionment. The detail of the explanation should be in proportion to the importance of the 
contribution to the exceedance and further referenced, where appropriate. 

The  Commission  expects  that  for  zones  or  agglomerations  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 measures listed in Section B of 
Annex  XV.  It  should  not  require  additional  information  gathering,  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  Annexes  to  those  Forms,  and  Form  7  and 

Annexes to that Form 

Air quality is continuously changing due to implementation 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 identified 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 when addressing any exceedance situation. Their 
impact may, however, be different (for example the impact of a national measure addressing 
chicken farming would not be significant 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  bundling  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  placeholders  for  explaining  specific  aspects  of  the 
measures  taken.  Those  Forms  may,  however,  be  considered  optional,  as  it  is  possible  to 
present the information essential for the assessment only through Form 3B. 

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1.4.6.  Forms 6, 8, 9 and 10 

Forms 6, 8, 9 and 10 cover specific assessment requirements 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 given to documentation provided as part of the 
notification, including to the relevant pages, in addition to the summary information presented 
in  the  forms.  Providing  only  references  without  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 information is not relevant for the assessment in 
the  specific  case  (e.g.  cells  related  to  primary  NO2  for  PM10  or  benzene  exceedance 
situations);  

•  'UNAVAILABLE' is entered whenever the information 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 information 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 required specific information/value is roughly 
known  (at  least  in  terms  of  'smaller  than'  but  considered  not  to  be  significant  for  the 
presentation  of  the  overall  information).  Examples  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  industry  or  agriculture).  Clarification  within 
the Form and/or reference to further documentation is expected in such case. 

2.2. 

Form 1: General information on the notification 

This Form is required in the assessment process to provide the following information: 

•  Essential information from the air quality plan 

•  A list of the exceedance situations covered in forms 2 to 10 

•  Contact details for requests for additional information or clarification for the purposes of 

the assessment of the notification 

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Form 1: General information on the air quality plan 
a. 

Reference year 

b. 

c. 

d. 

e. 

f. 

g. 

h. 

i. 

j. 

k. 

l. 

Member State 

Reference to the notification 

List  of  the  code  numbers  of  the  exceedance  situations 
described in Forms 2 to 10 

Name  of 
notification addressing the exceedance situation 

the  authority 

responsible 

for  drafting 

the 

Postal address of the responsible authority 

Names of the contact persons 

Postal addresses of the contact persons 

Telephone numbers of the contact persons 

Fax numbers of the contact persons 

E-mail addresses of the contact persons 

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 Communication 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  following  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; Finland; 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 the Commission requires further information on any aspect of 
this reporting sheet it will contact one of those persons.  

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2.3. 

Annex  to  Form  1:  Details  and  summary  of  relevant  publications  for  the 
notification 

This  form  is  used  in  the  assessment  process  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 more 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 the 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 descriptive (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 (emissions data for exceedance 
situation 1); p.40-44 (assumptions used in the measures for exceedance situation 1). Optional. 

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2.4. 

Form 2: Description of the exceedance of the limit value 

This form is required in the assessment process 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 provided, this must be clearly indicated by the code 
number in Sub a, and through a comment in Sub o, in order to avoid inappropriate mixing 
and merging of information.  

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Form 2: Description of the exceedance of the limit value  

a. 

b. 

c. 

Code number of the exceedance situation 

Pollutant 

Zone code 

d.  Name of the city(-ies) or municipality(-ies) 

e. 

f. 

g. 

h. 

To be filled in only if the pollutant is SO2, NO2, benzene or PM10: NO2 and benzene limit value for which 
the LV+MOT was exceeded, PM10 limit value [h/d/a] 

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 

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 

Concentration level in the reference year expressed in relation 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 previously 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 coordinates 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 the level was above the LV in the reference year*1 

n. 

o. 

Estimate of the total population exposed to a level above the LV in the reference year*1 

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 pollutant 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 shall be indicated by “NO2”, “PM10”, "C6H6” for benzene. 

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Sub  c:  The  zone  code  shall  be  identical  to  the  one  submitted  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 found by modelling, the highest level in the 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: concentration”. 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 (Commission 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 format 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 in 
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 found 
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  case  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  average  number  of  people  present  during  the 
exceedance of the limit value. 

Sub o: Provide information regarding the exposure of children 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  PM10,  provide  year-specific 
clarification also if any of the historical data provided under sub i are not corrected to account for potential bias of 
the non-reference method used.  

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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 extent 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. PM10 daily) 

•  zone/city boundaries (+ zone codes) 

• 

scale bar 

•  map legend 

•  measurement stations for the relevant pollutant within the zone (Please give 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 provided as an image document (either pasted into Annex 2, 
or as a separate, referenced document) rather than as a GIS file. Availability of access to GIS files may be indicated. 

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2.6. 

Form 3A: Quantitative source apportionment 

Form  3A  is  required  to  provide  a  source  apportionment  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  between  contributions  of  different  sectors  at 
different spatial scales. Please follow instructions under point 2.1, in case 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  NO2 
and benzene, sub g should indicate whether the source apportionment for the reference year is 
relevant also for the situation in 2005 or 2008, as the case may 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 effectively provided through a second 
source apportionment for the year in question. In such case the different sets should be clearly 
identified through the different code of the exceedance situation (see also Form 2).  

The information provided in Form 3A will primarily 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 exceedance and for assessing whether all appropriate 
measures have been taken to achieve compliance by the initial attainment dates. 

The Form can be used to describe several exceedance situations, if appropriate. This is also 
one of the reasons why the source apportionment is expressed in percentages.  

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Form 3A: Quantitative source apportionment 

a. Code(s) of exceedance situation 

b. Estimate of split for regional background PM10*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 PM10  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. 

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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  situation  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 concentration of pollutants on a larger scale than the exceedance area. 
The regional background level is the level that is estimated to occur in the absence 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  regional  background  can  be  equal  to  the  exceedance  reported  in 
Form 2. The total (urban) background increment is the concentration level in addition 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 regional 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 the exceedance days only. This means 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 labelled 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 national/regional measures (e.g. on off-road machinery)  

Sub  e:  Provide  page  references  to  the  description  of  the  emissions  data  used  in  the  air  quality  plan.  This  reference 
should  include  details  of  emissions  estimates  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  calculate  the  source  apportionment  presented  in  Form  3A. 
This methodology should include a description of how the uncertainty 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 from this rule must be explicitly referenced and potential implications of the 
deviation explained. 

Extra local and urban background source apportionment categories 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 types 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. 

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Table 1: Definitions of what is included in each source category. 

Source 

Traffic 

Industry  including  heat  and 
power production 

Definition of source 

Road traffic emissions only (excludes emissions from off road mobile machinery) 

Emissions  arising  directly  from  industrial  processes  and  combustion  (e.g.  sinter  plants, 
BOS furnaces). This excludes emissions from off 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  different  processes  can  be  found  in  the full 
air quality plan should be given. 

Agriculture 

Emissions arising directly from agricultural activities (e.g. chicken farming). This excludes 
emissions from off road mobile machinery used in agriculture.  

Commercial and residential 

Emissions  from  commercial  or  residential  heating  (e.g.  domestic  boilers).  This  excludes 
emissions from off road mobile machinery used in commercial and residential sectors. 

Ships 

Emissions  from  shipping  (excludes  emissions  from  off  road  mobile  machinery  used  at 
ports). 

Off road mobile machinery 

This  includes  off  road  mobile  machinery  used  in  industry,  agriculture,  commercial  and 
residential sectors and shipping. 

Natural 

Other 

Sources which are not influenced by human activity*1. 

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”.  

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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  PM10).  In  order  to  substantiate  this  claim,  evidence 
must  be  given  relating  to  for  which  sources  the  measures  (additional  or  baseline)  had 
delivered differently than expected, resulting in the exceedance in the year 2005.  

This Form can be used to describe several exceedance 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  referring  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 PM10 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  higher  than  it  was  expected  when  the 

original air quality plan3 was prepared; 

•  the effect of measures according to existing legislation (baseline) 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  not  enough.  A  summary  explanation  of  causes  and 
effects  is  necessry  already  within  the  Form,  while  a  more  comprehensive  analysis  can  be 
referenced. I.e. the principal quantitative indicators can be effectively presented using Form 
5A and the Annex to Form 5A and Annex A to Form 7. 

If  a  notification  is  submitted  for  NO2  before  2010,  the  same  assessment  applies  to  the 
projected gap between estimated levels of NO2 in 2010 (baseline + all measures under Form 
5A) and the limit value.  

The reflection is represented by a single number that states in relative terms (%) how much of 
the exceedance in 2005 can be attributed to the lack of estimated reduction of the particular 
source contribution.  

3 

“Air  quality  plan”  corresponds  to  “plan  or  programme“  according  to  the  Air  Quality  Framework 
Directive.  

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Form  3B:  Reflection  on  the  failure  to  deliver  compliance  by  the 
original deadline 

Contribu-
 Measures 
to 
tion 
3 
exceedance2 

Justifi-
cation 4 

Columns filled for each situation 

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 

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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 the 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 expected. In total, the contributions under b, c, d, e should roughly equal 100%. There is 
no specific methodology prescribed 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  quantification.  A  reference  to  the  methodology  is  to  be 
provided.  

Example  PM10:  Form  3B  describes  measured  annual  PM10  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 NO2 : NO2 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. For example, if the relationship 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  legislation  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  implementation,  as  appropriate.  The  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. 

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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 the original deadline for compliance with the 

limit values:  

•  Form  4A  Baseline  for  2005  for  PM10  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  NO2  is  made  early  (i.e.  already  in  2008),  the 
Form 4A baseline for 2010 is required and the 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 through simple linear interpolation. 

•  To prevent double counting the baseline must not include any measures identified 

explicitly in Form 5A as a measure 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 
PM10  and  2015  for  NO2  and  benzene).  This  information  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,  this  baseline  must  include  all  measures  identified 
explicitly in Form 5A as measures to achieve the initial deadline. 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 apportionment Form 3A, and through total contribution to 
the level at the specific scale (i.e. urban background, at location of exceedance) rather than as 
increment. 

As consistently applied throughout the Forms, either NO2 or NOx concentration levels can be 
provided  in  case  of  the  exceedance  of  nitrogen  dioxide.  Use  of  NOx  is  encouraged.  If  NOx 
levels are used, clarification should be provided under Sub-e that indicates that NOx levels are 
presented and, to the extent appropriate, the local primary NO2 level used in the estimate of 
baseline levels.  

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Form 4A: Baseline level for original deadline for compliance 
a.  Code number of the exceedance situation 

b. 

Short description of the emission scenario used for the baseline analysis: 

Sources contributing to the regional background level *1 

Regional sources contributing to the total background 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 resulting from existing legislation needed 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 pollutant 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 original deadline for compliance. 

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Form 4B Baseline level for extended deadline for compliance 
a.  Code number of the exceedance situation 

b. 

Short description of the emission scenario used for the baseline analysis: 

Sources contributing to the regional background level *1 

Regional sources contributing to the total background 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 pollutant 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. 

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2.9. 

Forms  5A  and  5B:  Details  of  measures  beyond  those  already  required  by 
existing legislation 

These Forms are required in the assessment process 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  PM10,  2010  for  NO2  and  benzene).  This 
information will be used to check whether for PM10 all appropriate measures have been taken 
to  meet  the  original  deadline  for  compliance,  and  to  support  the  claim  that  limit  values  for 
NO2/benzene cannot be achieved by 1 January 2010.  

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.  

Form 5B shall provide details of all measures which have been or will be implemented before 
the expiry of the postponement or exemption period. 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 reference 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. 

b. 

c. 

d. 

e. 

f. 

g. 

Code number of the exceedance situation 

Code(s) of the measure(s) 

Planned timetable of implementation *1 

Indicator(s) for monitoring the progress*1 

Funding allocated (years; amount in EURO) *1 
Estimated total costs (amount in EURO) *1 

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  deadline.  The  codes  are  all  expected  to 
appear in the second column under Form 3B at the appropriate sectoral placeholders. 

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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 separated 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 PM10 this information should be related to funds/costs before and in 2005 borne to comply with 
the original deadline. 

Sub g : This information must be coherent with the Form 3B that analyses the failure to reach the limit value by the original 
deadline. 

Form 5B: Details of measures to be implemented before the extended date of compliance 
a. 

Code number of the exceedance situation 

b. 

c. 

d. 

e. 

f. 

g. 

Code(s) of the measure(s) 

Planned timetable of implementation *1 

Indicator(s) for monitoring the progress *1 

Funding allocated (years; amount in EURO) *1 

Estimated total costs (amount in EURO) *1 

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 separated 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 explicit declaration/list of all additional measures 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 required to demonstrate how the combined impact 
of the measures presented in Forms 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  original 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  relevant  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 PM10, 2010 for NOx/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 from this rule has to be indicated and explained. 

Sub d and e: For short-term limit values this should be presented as the expected reduction in number of exceedances. 

Sub f: Regional oxidant should be provided in ppb. Primary NO2 emissions  should  be expressed as a  percentage of 
local NOX emissions by volume (which is the same as the mass of NO2 as a percentage of the mass of NOX, with NOX 
expressed as NO2) 

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. 

c. 

Total  emissions  in  the  relevant  spatial  unit  *1 without  measures  listed 
(PM10 / NOx / benzene) 

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. 

g. 

Assumptions  made  regarding  primary  NO2  levels  and  regional  oxidant 
levels (where relevant) *2 

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 from this rule has to be indicated and explained. 

Sub d and e: For short-term limit values this should be presented as the expected reduction in number of exceedences. 

Sub f: Regional oxidant should be provided in ppb. Primary NO2 emissions  should  be expressed as a  percentage of 
local NOX emissions by volume (which is the same as the mass of NO2 as a percentage of the mass of NOX, with NOX 
expressed as NO2). 

EN 

   EN 

 
 
 
  
 
  
  
  
  
  
  
  
  
  
  
  
2.11. 

Form 6: Evidence that all measures have been considered 

Form  6  is  required  in  the  assessment  process  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 Directive 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 shift 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 appropriate, however, with particular attention 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 market-based instruments for environment and related policy purposes (COM(2007) 
140 final) and Commission staff working document accompanying the green paper on market-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 process to provide the following information: 

•  Essential information from the air quality plan 

•  Essential  descriptive  information  on  individual  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 which 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  the  type  of  measure:  A:  economic/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 term (about a year); C: long term.  

Sub h: The following codes must be used to characterise the source sector affected by the measure: A: transport; B: 
industry including heat and power production; 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 affected should be related to the zone for which the application is sought. Hence 
a differentiation in local, agglomeration, 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 information 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 realistic 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 PM10; 2010 for NO2 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  PM10  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  information  on  the  timing  of  the  measure,  required  to 
assess the postponement time requested. 

Both forms are identical in structure and information and only differ in the reference year to 
which the information applies. When the reference year is in the past (Annex A to Form 7 for 
PM10) 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  for  all)  the  impact  on  different  scales  is  a 
projection. The projection methodology is for the Member State to determine. For example, 
when a comprehensive assessment has been performed for the impact of a PM10 measure in 
2010,  the  Member  State  may  find  in  specific  cases  that  it  is  appropriate  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 required 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 (baseline). In the description 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 account 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 single 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 original 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.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 significant); second key date (short description of why this date is significant) etc. 

Point  d:  The  total  emissions  reduction  at  each  scale  is  given  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 expected 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  directives  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 level, and measures taken under that Directive are consequential 
for  achieving  compliance  with  the  limit  values  for  PM10,  NO2  and  benzene  in  zones  and 
agglomerations.  Specific  information  on  the  implementation  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 already be available to the Commission. 

Form 8: Demonstration that other directives have been implemented by the Member State 

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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 updated 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 only required for those Directives concerned by 
infringement procedures, derogations, or where implementation is otherwise incomplete. 

Annex to Form 8 – Information on directives 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 information on relevant Directives 

The information in Form 9 provides additional detail on the status of implementation of those 
Directives listed in Form 8 that have an impact on air quality which differs from exceedance 
situation to exceedance situation.  

The information on individual installations in the zone or agglomeration concerned need to be 
provided  only  for  the  most  significant  individual  installations  which  jointly  contribute 
significantly  (>  3%)  to  the  exceedance  situation.  Alternatively,  the  significance  criterion  of 
3% can be applied more simply in respect 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 that 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 permits 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 levels set out in the BREFs and 
indicate what are the differences in waste gas concentrations (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 conditions 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 reduction plan (NERP) has been established, list the 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 identical for all exceedance 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 significance 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. 

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2.17. 

Form 10: Reasons for non-compliance for PM10 

Form 10 provides essential information needed for the assessment of claims that exceedances 
of the limit value(s) for PM10 are due to one or more of the following elements: site-specific 
dispersion characteristics, adverse climatic conditions, or transboundary contributions.  

Further  details  of  this  condition  are  provided  in  the  Communication.  For  the  most  basic 
justification of the condition, data may be provided under subs b, d, or f.  

Alternatively,  a  justification  can  be  provided  through  more  elaborate  means  and  other 
indicators,  referenced  under  subs  c,  e,  or  g.  The  condition  is  linked  to  the  exceedance 
situation. If a zone has several exceedance situations, the justification is needed for each, and 
they may in principle differ even within the same zone.  

Form 10 Reasons for non-compliance for PM10 

a.  Code of exceedance situation 

b.  Information related to site-specific dispersion 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  wind  speeds  for  all  days  with  PM10  concentrations  >  50 
µg/m³, starting in 2005 *2, or corresponding 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 

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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  transboundary  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 consulted, 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 least one of the sections b to g has to filled in: 

If site-specific dispersion characteristics are claimed using the method suggested in the 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 pollution is claimed using an alternative method, sub g has to be filled in 

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