Proposal for a DIRECTIVE OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL on energy efficiency and repealing Directives 2004/8/EC and 2006/32/EC
Date: 2011-06-22
Institutions: European Commission
Subjects: budget financing, climate change, energy saving, environmental protection, reduction of gas emissions, renewable energy

EUROPEAN COMMISSION 

Brussels, 22.6.2011 
COM(2011) 370 final 

2011/0172 (COD) 

Proposal for a 

DIRECTIVE OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL 

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

{SEC(2011) 779 final} 
{SEC(2011) 780 final} 

 
 
  
 
EXPLANATORY MEMORANDUM 

1. 

CONTEXT OF THE PROPOSAL 

Grounds for and objectives of the proposal 

1.1. 
The EU has set itself the objective of achieving 20 % primary energy savings in 20201 and has 
made  this  objective  one  of  the  five  headline  targets  of  the  Europe  2020  Strategy  for  smart, 
sustainable and inclusive growth2.  

The Commission’s latest estimations, which take into account the national energy efficiency 
targets  for  2020  that  Member  States  have  set  in  the  context  of  the  Europe  2020  strategy, 
suggest that the EU will achieve only half of the 20 % target in 20203. The European Council4 
and the European Parliament5 have urged the Commission to adopt a new ambitious strategy 
on energy efficiency for determined action to tap the considerable potential. 

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

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

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

1.2. 

General context 

Against a backdrop of rising EU imports of energy at rising prices, access to energy resources 
will  in  the  medium  term  play  a  more  important  role  with  the  potential  to  risk  seriously 
compromising EU economic growth. This explains why energy efficiency is one of the main 
aspects  of  the  Europe  2020  flagship  initiative  for  a  resource-efficient  Europe6.  Energy 
efficiency is the most cost-effective and fastest way to increase security of supply, and is an 
effective  way  to  reduce  the  greenhouse  gases  emissions  responsible  for  climate  change.  As 
outlined  in  the  Commission  Communication  ‘A  Roadmap  for  moving  to  a  competitive  low 
carbon economy in 2050’7, energy efficiency can help the EU achieve and even outperform its 
greenhouse gas emission reduction target.  

Making  the  EU  economy  more  energy  efficient  will  also  have  positive  impacts  in  terms  of 
economic  growth  and  job  creation.  Energy  savings  free  up  financial  resources  that  can  be 
reinvested  elsewhere  in  the  economy  and  can  help  alleviate  public  budgets  that  are  under 
strain.  For  individuals,  energy  efficiency  means  paying  less  on  their  energy  bills.  Energy 
poverty  can  be  tackled  strategically  by  taking  energy  efficiency  improvement  measures. 

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5 
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7 

7224/1/07, REV 1. 
COM(2010)2020. 
SEC(2011)277. 
EUCO 2/1/11. 
2010/2107(INI). 
COM(2011)21. 
COM(2011)112. 

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Finally, producing more with less energy should improve EU industries’ competitiveness and 
give them the lead in the global markets for energy efficiency technologies. Energy efficiency 
and  savings  benefit  the  EU  economy  as  a  whole,  the  public  sector,  business  and  private 
individuals.  For  these  reasons,  the  European  Energy  Strategy  2020  identified  energy 
efficiency as one of the key priorities of EU energy policy for the following years. 

1.3. 

Existing provisions  

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

Other provisions overlapping with the provisions of the new Directive are Article 9(1) and (2) 
of Directive 2010/30/EU on energy labelling9, which will be repealed when the new Directive 
enters into force.  

1.4. 

Consistency with other EU policies and objectives 

This  proposal  is  anchored  in  the  Europe  2020  Strategy  for  smart,  sustainable  and  inclusive 
growth10, as the EU’s 20 % energy efficiency target is part of one of the five headline targets 
under this Strategy. It is one of the proposals planned for 2011 to deliver on one of the seven 
key  initiatives  of  the  Strategy,  the  Europe  2020  flagship  initiative  for  a  resource-efficient 
Europe. It is consistent and complementary with EU climate policy.  

The decreased energy consumption aimed at by this proposal should also help Member States 
to  reach  their  targets  on  the  share  of  energy  from  renewable  sources  set  by  Directive 
2009/28/EC on the promotion of the use of energy from renewable sources11. 

2. 

CONSULTATION OF INTERESTED PARTIES AND IMPACT ASSESSMENT 

2.1. 

Consultation, data collection and use of expertise 

The  proposal  was  developed  on  the  basis  of  a  broad  range  of  contributions  from  Member 
States and interested parties provided on various occasions, including a general online public 
consultation12.  Another  broad  consultation  exercise  was  launched  in  January  2011  by  the 
working groups of the Bucharest forum on sustainable energy (which include Member State 
representatives  and  stakeholders)13.  A  comprehensive  analysis  of  the  impact  of  the  options 
proposed was carried out using the results of three models and numerous studies. The analysis 
studied the economic, social and environmental impact of the options, taking into account the 
subsidiarity and proportionality principles.  

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13 

OJ L 144, 27.4.2008, p. 64. 
OJ L 153, 18.6.2010, p. 1. 
EUCO 13/10. 
OJ L 140, 23.4.2009, p. 16. 
For more details, see section 1.2 of the accompanying IA and Annexes I and II. 
The draft reports available at: http://ec.europa.eu/energy/efficiency/bucharest. 

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2.2. 

Impact assessment 

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

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

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

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

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

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

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

The  IA  also  analyses  which  measures  could  help  tap  energy  efficiency  potential  in  energy 
transformation  and  distribution.  It  rejects  the  options  involving  a  continuation  of  the 

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

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

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

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

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

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

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3. 

LEGAL ELEMENTS OF THE PROPOSAL 

3.1. 

Summary of proposed action 

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

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

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

information  and  awareness-raising  actions,  requirements  concerning 

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

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

3.2. 

Legal basis 

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

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3.3. 

Subsidiarity principle 

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

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

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

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

3.4. 

Proportionality principle and choice of legal instrument 

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

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

4. 

BUDGETARY IMPLICATION 

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

5. 

ADDITIONAL INFORMATION 

5.1. 

Simplification of the ‘acquis’ 

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

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

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

5.2. 

Repeal of existing legislation 

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

5.3. 

Review/revision/sunset clause  

The proposal includes several review clauses. 

5.4. 

Recasting 

The proposal does not involve recasting. 

5.5. 

Correlation table 

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

5.6. 

European Economic Area (EEA) 

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

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2011/0172 (COD) 

Proposal for a 

DIRECTIVE OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL 

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

THE EUROPEAN PARLIAMENT AND THE COUNCIL OF THE EUROPEAN UNION, 

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

Having regard to the proposal from the European Commission14, 

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

Having regard to the opinion of the European Economic and Social Committee15, 

Having regard to the opinion of the Committee of the Regions16, 

Acting in accordance with the ordinary legislative procedure, 

Whereas: 

(1) 

(2) 

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

The  Presidency  Conclusions  of  the  European  Council  of  8  and  9  March  2007 
emphasized  the  need  to  increase  energy  efficiency  in  the  Union  to  achieve  the 
objective  of  saving  20%  of  the  Union’s  primary  energy  consumption  by  2020 
compared  to  projections.  This  amounts  to  a  reduction  of  the  Union's  primary  energy 
consumption of 368 Mtoe in 202017.  

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

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(3) 

(4) 

(5) 

(6) 

(7) 

(8) 

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

The  Commission  Communication  on  Energy  202018  places  energy  efficiency  at  the 
core  of  the  EU  energy  strategy  for  2020  and  outlines  the  need  for  a  new  energy 
efficiency  strategy  that  will  enable  all  Member  States  to  decouple  energy  use  from 
economic growth.  

In  its  Resolution  of  15  December  2010  on  the  Revision  of  the  Energy  Efficiency 
Action  Plan19,  the  European  Parliament  called  on  the  Commission  to  include  in  its 
revised Energy Efficiency Action Plan measures to close the gap to reach the overall 
EU energy efficiency objective in 2020.  

One  of  the  flagship  initiatives  of  the  Europe  2020  Strategy  is  the  resource-efficient 
Europe  flagship  adopted  by  the  Commission  on  26  January  201120.  This  identifies 
energy efficiency as a major element in ensuring the sustainability of the use of energy 
resources.  

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

On 8 March 2011, the Commission adopted the Energy Efficiency Plan 201121. This 
confirmed  that  the  Union  is  not  on  track  to  achieve  its  energy  efficiency  target.  To 
remedy this, it spelled out a series of energy efficiency policies and measures covering 
the full  energy chain,  including  energy generation, transmission  and  distribution; the 
leading  role  of  the  public  sector  in  energy  efficiency;  buildings  and  appliances; 
industry;  and  the  need  to  empower  final  customers  to  manage  their  energy 
consumption.  Energy  efficiency  in  the  transport  sector  was  considered  in  parallel  in 
the White Paper on Transport, adopted on 28 March 201122. In particular, Initiative 26 
of the White Paper calls for appropriate standards for CO2 emissions of vehicles in all 
modes,  where  necessary  supplemented  by  requirements  on  energy  efficiency  to 
address all types of propulsion systems.  

(9) 

On  8  March  2011,  the  Commission  also  adopted  a  Roadmap  for  moving  to  a 
competitive low carbon economy in 205023, identifying the need from this perspective 
for more focus on energy efficiency. 

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22 
23 

COM/2010/0639 final. 
2010/2107(INI). 
COM(2011)21. 
COM(2011) 109 final. 
COM(2011) 144 final. 
COM(2011) 112 final 

EN 

9 

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(10) 

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

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

(12)  An integrated approach must be taken to tap all the existing energy saving potential, 
encompassing savings in the energy supply and the end-use sectors. At the same time, 
the provisions of Directive 2004/8/EC on promotion of cogeneration based on a useful 
heat demand in the internal energy market25 and Directive 2006/32/EC on energy end-
use efficiency and energy services26 should be strengthened.  

(13) 

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

(14)  The  total  volume  of  public  spending  is  equivalent  to  19%  of  the  Union's  gross 
domestic product. For this reason the public sector constitutes an important driver to 

24 
25 
26 

OJ L 140, 5.6.2009, p.136.  
OJ L 52, 21.2.2004, p. 50. 
OJ L 144, 27.4.2008, p. 64. 

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10 

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(15) 

stimulate  market  transformation  towards  more  efficient  products,  buildings  and 
services, as well as to trigger behavioural changes in energy consumption by citizens 
and  enterprises.  Furthermore,  decreasing  energy  consumption  through  energy 
efficiency  improvement  measures  can  free  up  public  resources  for  other  purposes. 
Public  bodies  at  national,  regional  and  local  level  should  fulfil  an  exemplary  role  as 
regards energy efficiency. 

The  rate  of  building  renovation  needs  to  be  increased,  as  the  existing  building  stock 
represents the single biggest potential sector for energy savings. Moreover, buildings 
are crucial to achieving the EU objective of reducing greenhouse gas emissions by 80-
95%  by  2050  compared  to  1990.  Buildings  owned  by  public  bodies  account  for  a 
considerable  share  of  the  building  stock  and  have  high  visibility  in  public  life.  It  is 
therefore  appropriate  to  set  an  annual  rate  of  renovation  of  all  buildings  owned  by 
public  bodies  to  upgrade  their  energy  performance.  This  renovation  rate  should  be 
without prejudice to the obligations with regard to nearly-zero energy buildings set in 
Directive 2010/31/EU of the European Parliament and of the Council of 19 May 2010 
on the energy performance of buildings27. The obligation to renovate public buildings 
complements the provisions of that Directive, which requires Member States to ensure 
that  when  existing  buildings  undergo  major  renovation  their  energy  performance  is 
upgraded so that they meet minimum energy performance requirements. 

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

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

(18)  An assessment of the possibility of establishing a "white certificate" scheme at Union 
level  has  shown  that,  in  the  current  situation,  such  a  system  would  create  excessive 
administrative costs and that there is a risk that energy savings would be concentrated 
in  a  number  of  Member  States  and  not  introduced  across  the  Union.  The  latter 
objective  can  better  be  achieved,  at  least  at  this  stage,  by  means  of  national  energy 
efficiency  obligation  schemes  or  other  alternative  measures  that  achieve  the  same 
amount  of  energy  savings.  The  Commission  should  however  define,  by  a  delegated 
act, the conditions under which a Member State could in future recognise the energy 

27 

OJ L 153, 18.6.2010, p. 13. 

EN 

11 

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savings achieved in another Member State. It is appropriate for the level of ambition 
of  such  schemes  to  be  established  in  a  common  framework  at  Union  level  while 
providing significant flexibility to Member States to take full account of the national 
organisation  of  market  actors,  the  specific  context  of  the  energy  sector  and  final 
customers' habits. The common framework should give energy utilities the option of 
offering  energy  services  to  all  final  customers,  not  only  to  those  to  whom  they  sell 
energy.  This  increases  competition  in  the  energy  market  because  energy  utilities  can 
differentiate their product by providing complementary energy services. The common 
framework  should  allow  Member  States  to  include  requirements  in  their  national 
scheme that pursue a social aim, notably in order to ensure that vulnerable customers 
have access to the benefits of higher energy efficiency. It should also allow Member 
States  to  exempt  small  companies  from  the  energy  efficiency  obligation.  The 
Commission Communication “Small Business Act”28 sets out principles that should be 
taken  into  account  by  Member  States  that  decide  to  abstain  from  applying  this 
possibility. 

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

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

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

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

(23)  High-efficiency  cogeneration  (CHP)  and  district  heating  and  cooling  has  significant 
potential for saving primary energy which is largely untapped in the Union. Member 
States  should  draw  up  national  plans  to  develop  high-efficiency  CHP  and  district 
heating  and  cooling.  These  plans  should  cover  a  sufficiently  long  period  to  provide 
investors with information concerning national development plans and contribute to a 
stable and supportive investment environment. New electricity generation installations 
and  existing  installations  which  are  substantially  refurbished  or  whose  permit  or 
licence is updated should be equipped with high-efficient CHP units to recover waste 

28 

COM(2008)394 Final. 

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12 

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heat  stemming  from  the  production  of  electricity.  This  waste  heat  could  then  be 
transported where it is needed through district heating networks. To this end, Member 
States should adopt authorisation criteria to ensure the location of installations in sites 
close  to  heat  demand  points.  Member  States  should  however  be  able  to  lay  down 
conditions for exemption from these obligations where certain conditions are met. 

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

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

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

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

(28)  Directive 2010/75/EU of the European Parliament and of the Council of 24 November 
2010  on  industrial  emissions29  includes  energy  efficiency  among  the  criteria  for 
determining the Best Available Techniques that should serve as a reference for setting 
the  permit  conditions  for  installations  within  its  scope,  including  combustion 
installations  with  a  total  rated  thermal  input  of  50  MW  or  more.  However,  that 
Directive  gives  Member  States  the  option  not  to  impose  requirements  relating  to 
energy  efficiency  on  combustion  units  or  other  units  emitting  carbon  dioxide  on  the 
site,  for  the  activities  listed  in  Annex  I  to  Directive  2003/87/EC  of  the  European 
Parliament  and  of  the  Council  of  13  October  2003  establishing  a  scheme  for 
greenhouse  gas  emission  allowance  trading  within  the  Community30.  To  ensure  that 
significant  energy  efficiency  improvements  are  achieved  in  electricity  and  heat 
generation  installations  and  mineral  oil  and  gas  refineries,  actual  energy  efficiency 
levels  should  be  monitored  and  compared  with  the  relevant  energy  efficiency  levels 
associated  with  the  application  of  the  Best  Available  Techniques.  The  Commission 

29 
30 

OJ L 334, 17.12.2010, p.17. 
OJ L 275, 25.10.2003, p. 32. 

EN 

13 

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should compare energy efficiency levels and consider proposing additional measures if 
significant  discrepancies  exist  between  the  actual  energy  efficiency  levels  and  the 
levels  associated  with  the  application  of  the  Best  Available  Techniques.  The 
information  collected  on  the  actual  energy  efficiency  values  should  also  be  used  in 
reviewing the harmonised efficiency reference values for separate production of heat 
and electricity set out in Commission Decision 2007/74/EC of 21 December 200631.  

(29)  Member  States  should  establish,  on  the  basis  of  objective,  transparent  and  non-
discriminatory  criteria,  rules  governing  the  bearing  and  sharing  of  costs  of  grid 
connections and grid reinforcements and for technical adaptations needed to integrate 
new producers of  electricity produced  from high efficiency cogeneration,  taking into 
account  guidelines  and  codes  developed  in  accordance  with  Regulation  (EC)  No 
714/2009 of the European Parliament and of the Council of 13 July 2009 on conditions 
for  access  to  the  network  for  cross-border  exchanges  in  electricity  and  repealing 
Regulation  (EC)  No  1228/200332  and  Regulation  (EC)  715/2009  of  the  European 
Parliament and of the Council of 13 July 2009 on conditions for access to the natural 
gas transmission networks and repealing Regulation (EC) No 1775/200533. Producers 
of electricity generated from high-efficiency cogeneration should be allowed to issue a 
call  for  tender  for  the  connection  work.  Access  to  the  the  grid  system  for  electricity 
produced  from  high-efficiency  cogeneration,  especially  for  small  scale  and  micro-
cogeneration units, should be facilitated. 

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

(31) 

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

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

31 
32 
33 

OJ L 32, 6.2.2007, p. 183. 
OJ L 211, 14.8.2009, p. 15. 
OJ L 309, 24.11.2009, p. 87. 

EN 

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

(34) 

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

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

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

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

(38) 

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

(39)  All substantive  provisions  of Directive 2004/8/EC and Directive 2006/32/EC, except 
as  regards  Articles  4(1)  to  (4)  and  Annexes  I,  III  and  IV  of  the  latter,  should  be 
immediately repealed. Articles 9(1) and (2) of Directive 2010/30/EU of 19 May 2010 
on the indication by labelling and standard product information of the consumption of 

EN 

15 

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energy and other resources by energy-related products34, which foresees an obligation 
for  Member  States  only  to  endeavour  to  procure  products  having  the  highest  energy 
efficiency class, should also be repealed.  

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

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

HAVE ADOPTED THIS DIRECTIVE: 

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

Article 1 
Subject matter and scope 

1. 

2. 

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

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

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

Article 2 
Definitions 

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

1. 

2. 

'energy'  means  all  forms  of  energy  products,  as  defined  in  Regulation  (EC)  No 
1099/200835; 

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

34 
35 

OJ L 153, 18.6.2010, p. 1. 
OJ L 304, 14.11.2008, p. 1. 

EN 

16 

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3. 

4. 

5. 

6. 

7. 

8. 

9. 

10. 

11. 

12. 

13. 

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

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

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

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

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

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

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

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

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

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

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

14. 

'transmission  system  operator'  means  'transmission  system  operator'  as  defined  in 
Directive 2009/72/EC36 and Directive 2009/73/EC37; 

36 
37 

OJ L 211, 14.8.2009, p. 55. 
OJ L 211, 14.8.2009, p. 94. 

EN 

17 

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15. 

16. 

17. 

18. 

19. 

20. 

21. 

22. 

23. 

24. 

25. 

26. 

27. 

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

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

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

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

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

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

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

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

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

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

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

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

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

Article 3 
Energy efficiency targets 

1. 

Member States shall set a national energy efficiency target expressed as an absolute 
level of primary energy consumption in 2020. When setting these targets, they shall 
take into account the Union’s target of 20 % energy savings, the measures provided 

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for in this Directive, the measures adopted to reach the national energy saving targets 
adopted  pursuant  to  Article  4(1)  of  Directive  2006/32/EC  and  other  measures  to 
promote energy efficiency within Member States and at Union level.  

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

CHAPTER II 
Efficiency in energy use 

Article 4 
Public bodies  

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

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

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

2. 

1. 

2. 

3. 

(a) 

the floor area in m2; and 

(b) 

the energy performance of each building. 

4. 

Member States shall encourage public bodies to: 

(a) 

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

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

their plan. 

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Article 5 
Purchasing by public bodies 

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

Article 6 
Energy efficiency obligation schemes 

1. 

2. 

3. 

4. 

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

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

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

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

5. 

Within the energy efficiency obligation scheme, Member States may:  

(a) 

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

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

(c) 

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

6. 

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

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7. 

8. 

9. 

a) 

b) 

c) 

the energy savings achieved;  

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

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

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

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

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

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

10. 

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

Article 7 
Energy audits and energy management systems 

1. 

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

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

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2. 

3. 

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

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

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

4. 

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

Article 8 
Metering and informative billing 

1. 

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

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

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

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

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

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2. 

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

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

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

3. 

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

Article 9 
Penalties 

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

CHAPTER III 
Efficiency in energy supply 

Article 10 
Promotion of efficiency in heating and cooling 

1. 

2. 

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

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

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heating  and  cooling,  they  shall  to  the  extent  possible  opt  for  high-efficiency 
cogeneration rather than heat-only generation.  

3. 

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

a) 

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

b) 

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

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

4. 

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

a) 

b) 

c) 

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

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

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

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

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

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

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

5. 

6. 

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7. 

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

a) 

b) 

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

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

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

8. 

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

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

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

a) 

b) 

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

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

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

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

On the basis of the harmonised efficiency reference values referred to in Annex II (f), 
Member  States  shall  ensure  that  the  origin  of  electricity  produced  from  high-
efficiency  cogeneration  can  be  guaranteed  according  to  objective,  transparent  and 
non-discriminatory criteria laid down by each Member State. They shall ensure that 

9. 

10. 

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this  guarantee  of  origin  complies  with  the  requirements  and  contains  at  least  the 
information specified in Annex IX.  

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

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

11. 

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

Article 11 
Energy transformation  

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

Article 12 
Energy transmission and distribution  

1. 

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

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

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2. 

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

a) 

b) 

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

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

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

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

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

a) 

b) 

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

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

c)  when dispatching electricity generating installations, provide priority  dispatch 

of electricity from high efficiency cogeneration. 

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

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

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

3. 

4. 

5. 

6. 

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

7. 

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

CHAPTER IV 
Horizontal provisions 

Article 13 
Availability of certification schemes 

1. 

2. 

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

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

Article 14 
Energy services 

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

a) 

b) 

c) 

d) 

e) 

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

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

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

encouraging the development of voluntary quality labels; 

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

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Article 15 
Other measures to promote energy efficiency 

1. 

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

a) 

b) 

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

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

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

2. 

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

Article 16 
Conversion factors 

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

CHAPTER V 
Final provisions 

Article 17 
Delegated acts and adaptation of annexes 

1. 

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

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

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

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2. 

. 

1. 

2. 

3. 

4 

5. 

1. 

2. 

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

Article 18 
Exercise of the delegation  

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

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

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

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

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

Article 19 
Review and monitoring of implementation  

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

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

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3. 

4. 

5. 

6. 

7. 

8. 

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

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

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

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

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

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

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

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

a) 

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

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b) 

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

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

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

Article 20 

Committee procedure 

The Commission shall be assisted by a Committee. 

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

9. 

10. 

1. 

2. 

Article 21 
Repeal 

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

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

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

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

Article 22 
Transposition 

1. 

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

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

2. 

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

Article 23 
Entry into force 

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

Article 24 
Addressees 

This Directive is addressed to the Member States. 

Done at Brussels,  

For the European Parliament 
The President 

For the Council 
The President 

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ANNEX I 
General principles for the calculation of electricity from cogeneration 

PART I. General principles 

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

(a) 

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

(i) 

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

(ii) 

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

(b) 

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

ECHP=HCHP*C 

where: 

ECHP is the amount of electricity from cogeneration 

C is the power to heat ratio 

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

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

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Type of the unit 

Default power to heat ratio, C 

Combined  cycle  gas  turbine  with  heat 
recovery 

0,95 

Steam back pressure turbine 

0,45 

Steam condensing extraction turbine 

0,45 

Gas turbine with heat recovery 

0,55 

Internal combustion engine 

0,75 

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

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

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

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

(d) 

(e) 

(f) 

PART II. Cogeneration technologies covered by this Directive 

(a) 

(b) 

(c) 

(d) 

(e) 

(f) 

Combined cycle gas turbine with heat recovery 

Steam backpressure turbine 

Steam condensing extraction turbine 

Gas turbine with heat recovery 

Internal combustion engine 

Microturbines 

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(g) 

(h) 

(i) 

(j) 

Stirling engines 

Fuel cells 

Steam engines 

Organic Rankine cycles 

Any other type of technology or combination thereof falling under the definition laid 

(k) 
down in Article 2 (19). 

PART III. Detailed principles 

When implementing and applying the general principles for the calculation of electricity from 
cogeneration,  Member  States  shall  use  the  detailed  Guidelines  established  by  Decision 
2008/952/EC38. 

38 

OJ L 338, 17.12.2008, p. 55. 

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ANNEX II 
Methodology for determining the efficiency of the cogeneration process 

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

(a) 

High-efficiency cogeneration 

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

– 

– 

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

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

(b) 

Calculation of primary energy savings 

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

Where: 

PES is primary energy savings. 

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

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

CHP  Eη  is  the  electrical  efficiency  of  the  cogeneration  production  defined  as  annual 
electricity from cogeneration divided by the fuel input used to produce the sum of useful heat 
output  and  electricity  from  cogeneration.  Where  a  cogeneration  unit  generates  mechanical 
energy,  the  annual  electricity  from  cogeneration  may  be  increased  by  an  additional  element 
representing the amount of electricity which is equivalent to that of mechanical energy. This 

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additional  element  will  not  create  a  right  to  issue  guarantees  of  origin  in  accordance  with 
Article 10(10). 

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

(c) 

Calculations of energy savings using alternative calculation  

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

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

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

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

(d) 

(e) 

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

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

(f) 

Efficiency reference values for separate production of heat and electricity 

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

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

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

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1. 

2. 

3. 

4. 

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

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

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

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

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

Public bodies that purchase products, services or buildings shall: 

a) 

b) 

c) 

d) 

e) 

f) 

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

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

purchase office equipment products covered by Council Decision [2006/1005/EC39] 
that comply with energy efficiency requirements not less demanding than those listed 
in Annex C of the Agreement attached to that Decision;  

purchase only tyres that comply with the criterion of having the highest fuel energy 
efficiency  class,  as  defined  by  Regulation  (EC)  No  1222/200940.  This  requirement 
shall not prevent public bodies from purchasing tyres with the highest wet grip class 
or external rolling noise class where justified by safety or public health reasons; 

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

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

39 
40 

OJ L 381, 28.12.2006, p. 24. 
OJ L 342, 22.12.2009, p. 46. 

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ANNEX IV 
Energy content of selected fuels for end use –conversion table41 

Energy commodity  

kJ (NCV) 

kgoe (NCV) 

kWh (NCV) 

1 kg coke 

1 kg hard coal 

28500 

0,676 

7,917 

17200 — 30700 

0,411 — 0,733 

4,778 — 8,528 

1 kg brown coal briquettes 

20000 

0,478 

5,556 

1 kg black lignite 

1 kg brown coal 

1 kg oil shale 

1 kg peat  

10500 — 21000 

0,251 — 0,502 

2,917 — 5,833 

5600 — 10500 

0,134 — 0,251 

1,556 — 2,917 

8000 — 9000 

0,191 — 0,215 

2,222 — 2,500 

7800 — 13800 

0,186 — 0,330 

2,167 — 3,833 

1 kg peat briquettes 

16000 — 16800 

0,382 — 0,401 

4,444 — 4,667 

1 kg residual fuel oil (heavy oil)  

40000 

42300 

44000 

40000 

46000 

47200 

45190 

13800 

16800 

1 kg light fuel oil 

1 kg motor spirit (petrol) 

1 kg paraffin  

1 kg liquefied petroleum gas 

1 kg natural gas [1] 

1 kg liquefied natural gas 

1 kg wood (25 % humidity) [2]  

1 kg pellets/wood bricks 

1 kg waste  

1 MJ derived heat  

1 kWh electrical energy  

Source: Eurostat. 

0,955 

1,010 

1,051 

0,955 

1,099 

1,126 

1,079 

0,330 

0,401 

11,111 

11,750 

12,222 

11,111 

12,778 

13,10 

12,553 

3,833 

4,667 

7400 — 10700  

0,177 — 0,256 

2,056 — 2,972 

1000 

3600 

0,024 

0,086 

0,278 

1 [3] 

[1] 

[2] 

[3] 

93 % methane. 

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

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

41 

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

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ANNEX V 
Energy efficiency obligation schemes 

1. 

Measures that target short-term savings 

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

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

b) distribution or installation of energy efficient shower heads; 

c) energy audits; 

d) information campaigns.  

2. 

Calculation of energy savings  

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

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

a) 

b) 

c) 

d) 

engineering estimates; 

metering; 

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

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

3. 

European default values according to equipment type 

3.1. Household appliances 

a. FREEZERS AND REFRIGERATOR-FREEZERS DISTINGUISHED 

refrigerator-
freezers 

Freezers 

*Class A+ Deemed savings 
(kWh/year) 

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

64

76

62

73

EN 

42 

   EN 

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

129

193

123

185

b. FREEZERS AND REFRIGERATOR-FREEZERS NOT DISTINGUISHED 

refrigerator-freezers 
and freezers 

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

c. DOMESTIC WASHING MACHINES 
*Until 30 November 
2013 
Class A+ deemed 
savings (kWh/year) 
Class A++ deemed 
savings (kWh/year) 
Class A+++ deemed 
savings (kWh/year) 

*From 1 December 2013 
Class A++ deemed 
savings (kWh/year) 
Class A+++ deemed 
savings (kWh/year) 

20 

37 

64   

75   

128   

191   

26

46

63

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

d. DOMESTIC DISHWASHERS 

Until 30 November 2013** 

Class A+ deemed savings 
(kWh/year) 

Class A++ deemed savings 
(kWh/year) 

37

69

EN 

43 

   EN 

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

97

**From 1 December 
2013 
Class A++ 
deemed savings 
(kWh/year) 
Class A+++ 
deemed savings 
(kWh/year) 

32 

60 

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

3.2. 

Residential Lighting 

Unitary energy savings GLS42 to CFL 

16 kWh/year 

Unitary energy savings GLS43 to LED 

17 kWh/year 

4. 

Default lifetimes 

Energy  efficiency  improvement  measure  through 
replacement of component 

Default lifetime in years 

Boiler - condensing 

Boiler – direct evacuation 

Burners, oil and gas 

Control equipment 

Control system – central 

Control system – room control 

Heating control: Control valves, automatic 

Meters 

20 

20 

10 

15-20 

15-25 

15-25 

10 

10 

42 
43 

General Lighting Service or tungsten filament lamps 
General Lighting Service or tungsten filament lamps 

EN 

44 

   EN 

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

1. 

Minimum requirements for metering of individual energy consumption 

1.1. 

Individual meters  

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

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

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

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

a) 

b) 

c) 

d) 

e) 

in the last seven days, day by day; 

in the last complete week; 

in the last complete month;  

in the same complete month the previous year; 

in the last complete year. 

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

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

EN 

45 

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1.2. 

Heat cost allocators 

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

2. 

Minimum requirements for billing  

2.1 

Frequency of billing based on actual consumption 

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

a) 

b) 

c) 

d) 

On a monthly basis for electricity consumption. 

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

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

At least every two months for hot water billing. 

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

2.2.  Minimum information contained in the bill 

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

(a) 

(b) 

(c) 

(d) 

current actual prices and actual consumption of energy; 

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

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

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

2.3 

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

44 

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

EN 

46 

   EN 

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

EN 

47 

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ANNEX VII 
Planning for efficiency in heating and cooling 

1. 

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

(a) 

a description of heating and cooling demand; 

(b) 

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

(c) 

a map of the national territory, identifying: 

(i) 

heating and cooling demand points, including: 

– 

– 

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

industrial  zones  with  a 
consumption of more than 20 GWh; 

total  annual  heating  and  cooling 

(ii) 

existing and planned district heating and cooling infrastructure; 

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

– 

– 

– 

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

waste incineration plants; 

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

installations,  classified 

(d) 

(e) 

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

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

(f)  measures to be adopted up to 2020 and up to 2030 to realise the potential in (e) 

in order to meet the demand in (d), including: 

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

production and in electricity production; and 

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

EN 

48 

   EN 

 
 
(g) 

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

(h) 

an estimate of the primary energy to be saved; 

(i) 

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

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

Urban spatial plans shall be designed to ensure that:  

2. 

3. 

a) 

b) 

c) 

d) 

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

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

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

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

EN 

49 

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

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

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

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

A 

Maximum distance between 
proposed electricity 
installation and heat demand 
point 

B 

C 

Power station electrical 
Capacity 

Heat demand point estimated 
annual consumption 

< 100 km 

< 65 km  

< 15 km  

> 1999* MWe  

> 7500 TJ/year 

>500 

>1875 TJ/year 

> 20 MW 

> 50 TJ/year 

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

EN 

50 

   EN 

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

A 

Maximum distance between 
proposed industrial 
installations and heat demand 
point 

B 

Capacity 

C 

Heat demand point estimated 
annual consumption 

< 75 km 

< 60 km  

< 25 km  

< 15 km  

> 75 MW  

(at 60-70% load) 

> 50 MW at 60% load factor 

> 1600 TJ/year 

>1000 TJ/year 

> 50 MW  

> 400 TJ/year 

(> 85% load factor ) 

> 20 MW 

> 100 TJ/year  

EN 

51 

   EN 

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

a) 

Member States shall take measures to ensure that: 

i) 

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

– 

– 

– 

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

is accurate, reliable and fraud-resistant;  

is issued, transferred and cancelled electronically;  

ii) 

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

b) 

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

– 

– 

– 

– 

– 

– 

– 

– 

– 

– 

– 

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

the dates and places of production; 

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

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

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

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

the nominal electric and thermal efficiency of the plant; 

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

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

the date on which the installation became operational; and 

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

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

EN 

52 

   EN 

 
ANNEX X 
Inventory of energy efficiency data of energy transformation installations 

The inventories referred to in Article 11 shall include: 

a) 

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

– 

– 

– 

– 

– 

– 

– 

– 

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

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

plant type and technology employed at the installation;  

design efficiency and its conditions; 

operation start date; 

date of last substantial refurbishment; 

the number of annual average operating hours; 

annual average net operational efficiency. 

b) 

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

– 

– 

– 

– 

– 

– 

– 

– 

– 

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

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

plant type and technology employed at the installation;  

design efficiency and its conditions; 

heat load configuration; 

operation start date;  

date of last substantial refurbishment; 

the number of annual average operating hours; 

annual average net operational efficiency; 

c) 

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

– 

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

EN 

53 

   EN 

 
– 

– 

– 

– 

– 

– 

– 

– 

– 

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

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

design efficiency and its conditions; 

the designed electricity-only and heat-only efficiencies; 

annual average power to heat ratio; 

operation start date; 

date of last substantial refurbishment; 

the number of annual average operating hours;  

annual average net operational efficiency. 

d) 

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

– 

– 

– 

– 

– 

– 

– 

– 

– 

annual average installation energy input (MWth); 

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

annual average feedstock; 

plant type and technology employed at the installation;  

design efficiency (theoretical); 

operation start date; 

date of last substantial refurbishment; 

the number of annual average operating hours; 

annual average net operational efficiency.  

EN 

54 

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

1. 

2. 

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

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

a) 

b) 

c) 

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

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

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

d) 

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

e) 

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

f) 

the storage of energy. 

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

3. 

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

a) 

time-of-use tariffs; 

b) 

critical peak pricing; 

c) 

real time pricing; and  

d) 

peak time rebates. 

EN 

55 

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

Transmission and distribution system operators shall: 

a) 

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

b) 

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

(i) 

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

(ii) 

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

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

(c) 

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

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

EN 

56 

   EN 

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

• 

• 

• 

• 

• 

• 

• 

• 

• 

• 

• 

Clear and transparent list of the efficiency measures to be implemented  

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

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

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

Reference date(s) to establish achieved savings. 

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

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

Regulations specifying the inclusion of third parties (subcontracting). 

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

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

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

• 

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

EN 

57 

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ANNEX XIV 
General framework for reporting 

PART 1. 

General framework for annual reports 

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

a) 

an estimate of following indicators in the previous year: 

(i) 

primary energy consumption as defined in Article 2(2) 

(ii) 

total final energy consumption 

(iii)  final energy consumption by sector  

• 

• 

• 

• 

industry 

transport (split between passenger and freight transport) 

households  

services  

(iv)  gross value added by sector 

• 

• 

industry 

services 

(v)  disposable income of households 

(vi)  gross domestic product (GDP) 

(vii)  electricity generation from thermal power generation 

(viii)  heat generation from thermal power generation 

(ix)  fuel input for thermal power generation 

(x)  passenger kilometers (pkm) 

(xi) 

tonne kilometers (tkm) 

(xii)  population 

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

b) 

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

EN 

58 

   EN 

 
c) 

d) 

e) 

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

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

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

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

PART 2. General framework for supplementary reports 

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

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

1. 

Targets and strategies 

- 

- 

- 

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

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

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

2. 

Measures and energy savings  

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

a) 

Primary energy savings 

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

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

b) 

Final energy savings 

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

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The  first  and  second  reports  shall  also  include  the  measurement  and/or  calculation  methodology 
used for calculating the energy savings. If the "recommended methodology45" is applied, the report 
should provide references to this.  

3. 

Specific information related to provisions of this Directive 

3.1. 

Public bodies (Article 4) 

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

3.2.  Energy efficiency obligations (Article 6) 

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

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

.  

3.3.  Energy audits and management systems (Article 7) 

Supplementary reports shall include: 

a) 

b) 

c) 

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

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

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

3.4. 

Promotion of efficient heating and cooling (Article 10) 

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

3.5. 

Energy transformation (Article 11) 

- 

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

3.6. 

Energy transmission and distribution (Article 12) 

- 

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

3.7.  Availability of certification schemes (Article 13) 

45 

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

EN 

60 

   EN 

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

3.8.  Energy Services (Article 14) 

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

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

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

EN 

61 

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ANNEX XV 
Correlation table 

Directive 2006/32/EC 

This Directive 

Article 1 

Article 2 

Article 3, point (a)  

Article 3, point (b) 

Article 3, point (c) 

Article 3, point (d) 

-- 

Article 3 point (e) 

Article 3, point (f) 

Article 3, point (g) 

Article 3, point (h) 

Article 3, point (i) 

-- 

-- 

-- 

Article 3, point (j) 

Article 3, point (k) 

Article 3, point (l) 

Article 3, point (m) 

Article 3, point (n) 

Article 3, point (o) 

Article 3, point (p) 

Article 1 

Article 1 

Article 1, point (1)  

-- 

-- 

-- 

Article 2, point (2) 

Article 2, point (3) 

-- 

-- 

-- 

-- 

Article 2, point (4) 

Article 2, point (5) 

Article 2, point (6) 

Article 2, point (13) 

-- 

Article 2, point (12) 

-- 

Article 2, point (10) 

Article 2, point (7) 

Article 2, point (8) 

EN 

62 

   EN 

 
 
 
Article 3, point (q) 

Article 3, point (r) 

Article 3, point (s) 

-- 

-- 

-- 

Article 4  

Article 5 

Article 6(1)(a) 

Article 6 (1)(b) 

Article 6 (2) 

Article 7(1) 

Article 7(2) 

Article 7(3) 

Article 8 

-- 

Article 9(1) 

Article 9(2) 

Article 10(1) 

Article 10(2) 

Article 11 

Article 12(1) 

Article 12(2) 

-- 

Article 12(3) 

Article 13(1) 

Article 2, point (9) 

-- 

-- 

Article 2, point (11) 

Article 2, point (14) 

Article 3 

-- 

Article 4, Article 5  

Article 6 (6) points (b) and (c) 

Article 6 (7) 

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

-- 

Article 15 (1) last indent 

-- 

Article 13(1) 

Article 13(2) 

--  

Article 14 points (b), (c) and (e) 

Article 12(4) 

Article 12(3) 

-- 

Article 7(1) 

-- 

Article 7(2) 

Article 7(3) 

Article 8(1) 

EN 

63 

   EN 

 
Article 13(2) 

-- 

-- 

-- 

-- 

-- 

-- 

-- 

Article 8(2) 

Article 9 

Article 11 

Article 12 (1) and (2) 

Article 14, points (a) and (d) 

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

Article 15(2) 

Article 16 

Article 14 (1) and (2) 

Article 19(1), (2), (3) 

Article 14 (3) 

-- 

Article 14 (4) and (5) 

Article 19(4) and (5)  

-- 

Article 15(1)  

Article 15(2) 

Article 15(3) 

Article 15(4) 

-- 

-- 

-- 

-- 

-- 

Article 16 

Article 17 

Article 18  

Article 19 

Article 20 

Annex I 

Article 17(1) 

Article 17(2) 

-- 

-- 

-- 

Article 18 

Article 19(7) 

Article 19(8) 

Article 19(9) 

Article 19(10) 

Article 20 

Article 21 

Article 22 

Article 23 

Article 24 

-- 

EN 

64 

   EN 

 
Annex II 

Annex III 

Annex IV  

Annex V 

Annex VI 

-- 

-- 

-- 

-- 

-- 

-- 

-- 

-- 

-- 

-- 

-- 

Annex IV 

-- 

-- 

-- 

Annex III 

Annex V 

Annex VI 

Annex VII 

Annex VIII 

Annex IX 

Annex X 

Annex XI 

Annex XII 

Annex XIII 

Annex XIV 

Annex XV 

Directive 2004/8/EC 

This Directive 

Article 1 

Article 2 

Article 3, point (a) 

Article 3, point (b) 

Article 3, point (c) 

Article 3, point (d)  

Article 3, point (e) 

Article 3, point (f) 

Article 3, point (g) 

Article 3, point (h) 

Article 1 

Article 1 

Article 2, point (15) 

Article 2, point (17) 

Article 2, point (16) 

Article 2, point (18) 

-- 

-- 

Article 2, point (20) 

-- 

EN 

65 

   EN 

 
Article 3, point (i) 

Article 3, point (j) 

Article 3, point (k) 

Article 3, point (l) 

Article 3, point (m) 

Article 3, point (n) 

Article 3, point (o) 

-- 

-- 

-- 

Article 4(1) 

-- 

Article 4(2) 

Article 4(3) 

Article 5 

Article 6 

Article 7(1) 

Article 7(2) 

Article 7(3) 

Article 8 

-- 

-- 

Article 9 

Article 10(1) and (2) 

Article 10(3) 

Article 11 

Article 12 

Article 2, point (19) 

-- 

Article 2, point (21) 

Article 2, point (22) 

Article 2, point (24) 

Article 2, point (23) 

-- 

Article 2, point (25) 

Article 2, point (26) 

Article 2, point (27) 

Annex II, point (f) first indent 

Article 10(1) to (9)  

Article 10(10) third indent 

-- 

Article 10(10) first and second indent 

-- 

Article 10(11) 

-- 

-- 

Article 12(5) 

Article 12(6)  

Article 12(7) 

-- 

-- 

Article 19(6) 

-- 

-- 

EN 

66 

   EN 

 
Article 13 

Article 14  

Article 15 

Article 16 

Article 17 

Article 18 

Annex I 

Annex II 

-- 

Annex III 

Annex IV 

Article 17(2)  

-- 

Article 22 

-- 

Article 23 

Article 24 

Annex I, Part II 

Annex I, Part I 

Annex I, Part III 

Annex II 

-- 

EN 

67 

   EN 

 
 
LEGISLATIVE FINANCIAL STATEMENT FOR PROPOSALS 

1. 

FRAMEWORK OF THE PROPOSAL/INITIATIVE  

1.1. 

Title of the proposal/initiative  

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

1.2. 

Policy area(s) concerned in the ABM/ABB structure46  

ENERGY [32] 

1.3. 

Nature of the proposal/initiative  

(cid:133) The proposal/initiative relates to a new action  

(cid:133) The proposal/initiative relates to a new action following a pilot project/preparatory action47  

(cid:133) The proposal/initiative relates to the extension of an existing action  

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

1.4. 

Objectives 

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

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

1.4.2. 

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

Specific objective No: 

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

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

ABM/ABB activities concerned: 

No 3: 32 04 03 

No 4: 32 04 06 

46 
47 

ABM: Activity-Based Management – ABB: Activity-Based Budgeting. 
As referred to in Article 49(6)(a) or (b) of the Financial Regulation. 

EN 

68 

   EN 

 
                                                 
1.4.3.  Expected result(s) and impact 

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

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

1.4.4. 

Indicators of results and impact  

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

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

1.5. 

Grounds for the proposal/initiative  

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

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

1.5.2.  Added value of EU involvement 

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

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

1.5.3.  Lessons learned from similar experiences in the past 

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

EN 

69 

   EN 

 
1.5.4.  Coherence and possible synergy with other relevant instruments 

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

EN 

70 

   EN 

 
1.6. 

Duration and financial impact  

(cid:133) Proposal/initiative of limited duration  

–  (cid:133)  Proposal/initiative in effect from [DD/MM]YYYY to [DD/MM]YYYY  

–  (cid:133)  Financial impact from YYYY to YYYY  

⌧ Proposal/initiative of unlimited duration 

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

legislative process 

–  followed by full-scale operation. 

1.7.  Management mode(s) envisaged48  

⌧ Centralised direct management by the Commission  

(cid:133) Centralised indirect management with the delegation of implementation tasks to: 

–  (cid:133)  executive agencies  

–  (cid:133)  bodies set up by the Communities49  

–  (cid:133)  national public-sector bodies/bodies with public-service mission  

–  (cid:133)  persons entrusted with the implementation of specific actions pursuant to Title V of 
the  Treaty  on  European  Union  and  identified  in  the  relevant  basic  act  within  the 
meaning of Article 49 of the Financial Regulation  

(cid:133) Shared management with the Member States  

(cid:133) Decentralised management with third countries  

(cid:133) Joint management with international organisations (to be specified) 

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

Comments  

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

48 

49 

Details of management modes and references to the Financial Regulation may be found on the BudgWeb site: 
http://www.cc.cec/budg/man/budgmanag/budgmanag_en.html 
As referred to in Article 185 of the Financial Regulation. 

EN 

71 

   EN 

 
                                                 
2. 

MANAGEMENT MEASURES  

2.1.  Monitoring and reporting rules  

Specify frequency and conditions. 

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

2.2.  Management and control system  

2.2.1.  Risk(s) identified  

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

2.2.2.  Control method(s) envisaged  

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

2.3.  Measures to prevent fraud and irregularities  

Specify existing or envisaged prevention and protection measures. 

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

EN 

72 

   EN 

 
3. 

ESTIMATED FINANCIAL IMPACT OF THE PROPOSAL/INITIATIVE  

3.1. 

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

•  Existing expenditure budget lines  

In order of multiannual financial framework headings and budget lines. 

Budget line 

Type of  
expenditure

Contribution  

Number  
[Description…………………...……….] 

Diff./non-
diff 
(50) 

from 
EFTA51 
countries 

from 
candidate 
countries52 

from third 
countries 

within the meaning 
of Article 18(1)(aa) 
of the Financial 
Regulation  

32.04.03 [Support activities to the 
European energy policy and internal 
energy market] 

32.04.06 [[Competitiveness and Innovation 
Framework Programme — ‘Intelligent 
Energy — Europe’ programme] 

•  New budget lines requested – NO  

Diff. 

NO 

NO 

NO 

NO 

Diff. 

YES 

YES 

NO 

NO 

In order of multiannual financial framework headings and budget lines. 

Budget line 

Type of 
expenditure

Contribution  

Number  
[Heading…………………………………
…..] 

Diff./non-
diff. 

from 
EFTA 
countries 

from 
candidate 
countries 

from third 
countries 

within the meaning 
of Article 18(1)(aa) 
of the Financial 
Regulation  

[XX.YY.YY.YY] 

YES/NO  YES/NO  YES/NO 

YES/NO 

Heading of 
multiannual 
financial 
framework 

1A 

1A 

Heading of 
multiannual 
financial 
framework 

50 
51 
52 

Diff. = Differentiated appropriations / Non-Diff. = Non-differentiated appropriations 
EFTA: European Free Trade Association.  
Candidate countries and, where applicable, potential candidate countries from the Western Balkans. 

EN 

73 

   EN 

 
 
 
 
                                                 
3.2. 

Estimated impact on expenditure  

3.2.1. 

Summary of estimated impact on expenditure  

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

EUR million (to 3 decimal places) 

Heading of multiannual financial 
framework:  

Number 

[Heading 1A] 

DG: <ENER> 

(cid:121) Operational appropriations  

Number of budget line 32.04.03 

Number of budget line 32.04.06 

Appropriations 
administrative 
from the envelope for specific programmes54  

an 

of 

Number of budget line 32010406 

TOTAL appropriations 
for DG <ENER> 

Year 
N53 

Year 
N+1 

Year 
N+2 

Year 
N+3 

… enter as many years as 
necessary to show the duration 
of the impact (see point 1.6) 

TOTAL 

Commitments 

Payments 

Commitments 

Payments 

(1) 

(2) 

(1a) 

(2a) 

nature 

financed 

0.2 
0.06 
4.8 
1.44 

0.2 
0.2 
4.8 
3.36 

(3) 

=1+1a 
+3 

=2+2a 

Commitments 

Payments 

5 

5 

1.5 

3.56 

0.2 
0.2 
4.8 
4.8 

5 

5 

0.2 
0.2 
4.8 
4.8 

5 

5 

0.2 
0.2 
4.8 
4.8 

5 

5 

0.2 
0.2 
4.8 
4.8 

5 

5 

0.2 
0.2 
4.8 
4.8 

5 

5 

1.4 
1.26 
33.6 
28.8 

35.0 

30.06 

53 
54 

EN 

Year N is the year in which implementation of the proposal/initiative starts. 
Technical and/or administrative assistance and expenditure in support of the implementation of EU programmes and/or actions (former "BA" lines), indirect research, direct 
research. 

74 

EN 

 
  
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
                                                 
(cid:121) TOTAL operational appropriations  

Commitments 

Payments 

(cid:121)  TOTAL  appropriations  of  an  administrative  nature 
financed from the envelope for specific programmes  

+3 

(4) 

(5) 

(6) 

5 

1.5 

5 

3.56 

TOTAL appropriations  
under HEADING <1A> 
of the multiannual financial framework 

Commitments 

=4+ 6 

5 

5 

Payments 

=5+ 6 

1.5 

3.56 

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

(cid:121) TOTAL operational appropriations  

Commitments 

Payments 

(cid:121)  TOTAL  appropriations  of  an  administrative  nature 
financed from the envelope for specific programmes  

(4) 

(5) 

(6) 

TOTAL appropriations  
under HEADINGS 1 to 4 
of the multiannual financial framework 
(Reference amount) 

Commitments 

=4+ 6 

5 

5 

Payments 

=5+ 6 

1.5 

3.56 

5 

5 

5 

5 

5 

5 

5 

5 

5 

5 

5 

5 

5 

5 

5 

5 

5 

5 

5 

5 

5 

5 

5 

5 

5 

5 

5 

5 

5 

5 

35.0 

30.06 

35.0 

30.06 

35.0 

30.06 

EN 

75 

EN 

 
  
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
Heading of multiannual financial 
framework:  

5 

" Administrative expenditure " 

Year 
N 

Year 
N+1 

Year 
N+2 

Year 
N+3 

… enter as many years as 
necessary to show the duration 
of the impact (see point 1.6)  

TOTAL 

EUR million (to 3 decimal places) 

DG: <ENER> 

(cid:121) Human resources  
(cid:121) Other administrative expenditure  

0.727 

0.086 

0.727 

0.086 

0.727 

0.086 

0.727 

0.086 

0.727 

0.086 

0.727 

0.086 

0.727 

0.086 

TOTAL DG <ENER> 

Appropriations  

0.813 

0.813 

0.813 

0.813

0.813

0.813

0.813

5.089 

0.602 

5.691 

TOTAL appropriations 
under HEADING 5 
of the multiannual financial framework  

(Total 
= Total payments) 

commitments 

0.813 

0.813 

0.813 

0.813

0.813

0.813

0.813

5.691 

Year 
N55 

Year 
N+1 

Year 
N+2 

Year 
N+3 

… enter as many years as 
necessary to show the duration 
of the impact (see point 1.6) 

TOTAL 

EUR million (to 3 decimal places) 

TOTAL appropriations  
under HEADINGS 1 to 5 
of the multiannual financial framework  

Commitments 

Payments 

5,813 

5,813 

5,813 

5,813 

5,813 

5,813 

5,813 

2,313 

4,373 

5,813 

5,813 

5,813 

5,813 

5,813 

40,691 

35,751 

55 

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

EN 

76 

EN 

 
  
 
 
 
 
 
 
 
 
                                                 
3.2.2.  Estimated impact on operational appropriations  

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

framework) 

–  (cid:133)  The proposal/initiative requires the use of operational appropriations, as explained below: 

Commitment appropriations in EUR million (to 3 decimal places) 

Indicate 
objectives and 
outputs  

Year 
N 

Year 
N+1 

Year 
N+2 

Year 
N+3 

… enter as many years as necessary to show 
the duration of the impact (see point 1.6) 

TOTAL 

OUTPUTS 

(cid:216) 

Type 
of 
output
56 

Avera
ge 
cost  
of the 
output 

r
e
b
m
u
N

s
t
u
p
t
u
o

f
o

Cost 

r
e
b
m
u
N

s
t
u
p
t
u
o

f
o

Cost 

r
e
b
m
u
N

s
t
u
p
t
u
o

f
o

Cost 

r
e
b
m
u
N

s
t
u
p
t
u
o

f
o

Cost 

r
e
b
m
u
N

s
t
u
p
t
u
o

f
o

Cost 

r
e
b
m
u
N

s
t
u
p
t
u
o

f
o

Cost 

r
e
b
m
u
N

s
t
u
p
t
u
o

f
o

Cost 

Total 
number 
of 
outputs 

Total  
cost 

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

- Output 

study 

1 

1 

Sub-total for specific objective N°3 

1 

0.2 

0.2 

0.2 

0.2 

1 

0.2 

0.2 

1 

0.2 

0.2 

1 

1 

0.2 

0.2 

0.2 

0.2 

1 

0.2 

0.2 

7 

7 

1.4 

1.4 

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

- Output 

study 

1.4 

2 

2.8 

- Output 

Concerte
d action 

2 

0.3 

2 

2 

0.3 

2.8 

2 

2 

0.3 

2.8 

2 

2 

0.3 

2.8 

2 

2 

2.8 

0.3 

2 

2 

0.3

2.8 

2 

2 

0.3 

2.8 

2 

14 

2.1 

19.6 

14 

Sub-total for specific objective N°4 

2.3 

4.8 

2.3 

4.8 

2.3 

4.8 

2.3 

4.8 

2.3 

4.8 

2.3

4.8 

2.3 

4.8 

16.1 

33.6 

TOTAL COST 

5 

5 

5 

5 

5 

5 

5 

35 

56 

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

EN 

77 

EN 

 
  
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
                                                 
3.2.3.  Estimated impact on appropriations of an administrative nature 

3.2.3.1.  Summary  

–  (cid:133)  The  proposal/initiative  does  not 

require 

the  use  of  administrative 

appropriations  

–  ⌧ The  proposal/initiative  requires  the  use  of  administrative  appropriations,  as 

explained below: (the initiative is part of the current financial framework) 

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

EUR million (to 3 decimal places) 

Year 
N 57 

Year 
N+1 

Year 
N+2 

Year 
N+3 

… enter as many years as necessary 
to show the duration of the impact 
(see point 1.6) 

TOTAL 

HEADING 5 
of the multiannual 
financial framework 

Human resources  

0.727 

0.727 

0.727 

0.727 

0.727 

0.727 

0.727 

5.089 

0.086 

0.086 

0.086 

0.086 

0.086 

0.086 

0.086 

0.602 

0.813 

0.813 

0.813 

0.813

0.813

0.813 

0.813

5.691 

Other administrative 
expenditure  

Subtotal HEADING 5 
of the multiannual 
financial framework  

Outside HEADING 558 
of the multiannual 
financial framework  

Human resources  

Other expenditure  
of an administrative 
nature 

Subtotal  
outside HEADING 5 
of the multiannual 
financial framework  

TOTAL 

0.813 

0.813 

0.813 

0.813

0.813

0.813 

0.813

5.691

57 
58 

Year N is the year in which implementation of the proposal/initiative starts. 
Technical  and/or  administrative  assistance  and  expenditure  in  support  of  the  implementation  of  EU 
programmes and/or actions (former "BA" lines), indirect research, direct research. 

EN 

78 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
                                                 
3.2.3.2.  Estimated requirements of human resources  

–  (cid:133)  The proposal/initiative does not require the use of human resources  

–  ⌧ The  proposal/initiative  requires  the  use  of  the  currently  allocated  human 

resources, as explained below: 

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

Year 
N 

Year 
N+1 

Year 
N+2 

Year 
N+3 

… enter as many years as 
necessary to show the 
duration of the impact 
(see point 1.6) 

(cid:121) Establishment plan posts (officials and temporary agents) 
XX 01 01 01 (Headquarters and Commission’s 
Representation Offices) 
XX 01 01 02 (Delegations) 

0.727 

0.727 

0.727 

0.727 

0.727 

0.727 

0.727 

XX 01 05 01 (Indirect research) 

10 01 05 01 (Direct research) 
(cid:121) External personnel (in Full Time Equivalent unit: FTE)59 
XX 01 02 01 (CA, INT, SNE from the "global 
envelope") 
XX 01 02 02 (CA, INT, JED, LA and SNE in 
the delegations) 

XX 01 04 yy 60 

- at Headquarters61 
- in delegations  

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

Other budget lines (specify) 

TOTAL 

0.727 

0.727 

0.727 

0.727 

0.727 

0.727 

0.727 

XX is the policy area or budget title concerned. 

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

Description of tasks to be carried out: 

Officials and temporary agents 

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

External personnel 

59 

60 
61 

CA= Contract Agent; INT= agency staff ("Intérimaire"); JED= "Jeune Expert en Délégation" (Young 
Experts in Delegations); LA= Local Agent; SNE= Seconded National Expert;  
Under the ceiling for external personnel from operational appropriations (former "BA" lines). 
Essentially  for  Structural  Funds,  European  Agricultural  Fund  for  Rural  Development  (EAFRD)  and 
European Fisheries Fund (EFF). 

EN 

79 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
                                                 
3.2.4.  Compatibility with the current multiannual financial framework  

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

–  (cid:133)  Proposal/initiative  will  entail  reprogramming  of  the  relevant  heading  in  the 

multiannual financial framework. 

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

…. 

–  (cid:133)  Proposal/initiative requires application of the flexibility instrument or revision 

of the multiannual financial framework62. 

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

…….. 

3.2.5.  Third-party contributions  

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

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

Appropriations in EUR million (to 3 decimal places) 

Year 
N 

Year 
N+1 

Year 
N+2 

Year 
N+3 

… enter as many years as 
necessary to show the duration 
of the impact (see point 1.6) 

Total 

Specify  the  co-financing 
body  

TOTAL appropriations 
cofinanced  

62 

See points 19 and 24 of the Interinstitutional Agreement. 

EN 

80 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
                                                 
3.3. 

Estimated impact on revenue  

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

–  (cid:133)  Proposal/initiative has the following financial impact: 

– 

– 

(cid:133) 

(cid:133) 

on own resources  

on miscellaneous revenue  

Appropriations 
available for the 
ongoing budget 
year 

Budget revenue line: 

Article …………. 

EUR million (to 3 decimal places) 

Impact of the proposal/initiative63 

Year 
N 

Year 
N+1 

Year 
N+2 

Year 
N+3 

… insert as many columns as necessary 
in order to reflect the duration of the 
impact (see point 1.6) 

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

…. 

Specify the method for calculating the impact on revenue. 

…. 

63 

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

EN 

81 

   EN