Proposal for a COUNCIL DECISION on the position to be taken by the European Union in the EEA Joint Committee concerning an amendment to Annex XX (Environment) to the EEA Agreement
Date: 2012-06-20
Institutions: European Commission
Subjects: EU Member State, European Economic Area, auction sale, greenhouse gas, invitation to tender, reduction of gas emissions, revision of an agreement, tradeable emission permit

EUROPEAN COMMISSION 

Brussels, 20.6.2012  
COM(2012) 333 final 

2012/0161 (NLE) 

Proposal for a 

COUNCIL DECISION 

on the position to be taken by the European Union 
in the EEA Joint Committee 
concerning an amendment to Annex XX 
(Environment) 
to the EEA Agreement 

EN 

   EN 

 
 
 
  
 
EXPLANATORY MEMORANDUM 

1. 

CONTEXT OF THE PROPOSAL 

In  order  to  ensure  the  requisite  legal  security  and  homogeneity  of  the  Internal 
Market, the EEA Joint Committee is to integrate all the relevant EU legislation into 
the EEA Agreement as soon as possible after its adoption. 

2. 

RESULTS OF CONSULTATIONS WITH THE INTERESTED PARTIES AND 
IMPACT ASSESSMENTS 

The  draft  Decision  of  the  EEA  Joint  Committee  (annexed  to  the  proposed  Council 
Decision)  aims  to  incorporate  Directive  2009/29/EC  of  23  April  2009  amending 
Directive 2003/87/EC so as to improve and extend the EU Emission Trading Scheme 
(EU  ETS).  It  aims  to  incorporate,  as  well,  Commission  Regulation  (EU)  No 
1031/2010 of 12 November 2010 on the timing, administration and other aspects of 
auctioning of greenhouse gas emission allowances pursuant to Directive 2003/87/EC 
establishing a scheme for greenhouse gas emission allowances trading within the EU, 
as  amended  by  Commission  Regulation  (EU)  1210/2011  of  23 November  2011 
amending  Regulation  (EU)  No 1031/2010  in  particular  to  determine  the  volume  of 
greenhouse gas emission allowances to be auctioned prior to 2013, as well as other 
Commission  acts  adopted  pursuant  to  Directive  2003/87/EC  or  amending  previous 
Commission acts in the same field. 

The  EEA  EFTA  States  have  participated  in  the  EU  ETS  since  2008,  following  the 
incorporation  into  the  EEA  Agreement  of  Directive  2003/87/EC.  In  line  with  the 
principle  of  homogeneity  underpinning  the  European  Economic  Area,  the  acts 
purporting  to  revise  or  to  implement  the  EU  ETS  should  be  incorporated  into  the 
EEA Agreement.  

The adaptations proposed by the EFTA side are prompted by the extension of the EU 
ETS  to  the  EFTA  States.  They  concern  Directive  2003/87/EC,  as  amended  by 
Directive 2009/29/EC and Regulation (EU) No 1031/2010. 

A large number of adaptations included in the present draft JCD are already provided 
for  in  Annex  XX  to  the  EEA  Agreement,  in  relation  to  Directive  2003/87/EC.  The 
wording of the adaptations has been reviewed for simplification purposes. 

Moreover, the EFTA side proposes an adaptation aimed at adjusting Iceland’s share 
of allowances to be auctioned (see Article 1, point 2, letter (l) of the draft JCD). 

3. 

LEGAL ELEMENTS OF THE PROPOSAL 

Article  1(3)  of  Council  Regulation  (EC)  No  2894/94  concerning  arrangements  for 
implementing the EEA Agreement provides that the Council establishes the position 
to  be  adopted  on  the  Union’s  behalf  on  such  Decisions,  on  a  proposal  from  the 
Commission.  

EN 

2 

   EN 

The  Commission  submits  the  Draft  Decision  of  the  EEA  Joint  Committee  for 
adoption by the Council as the Union’s position. The Commission would hope to be 
able to present it in the EEA Joint Committee at the earliest possible opportunity. 

EN 

3 

   EN 

2012/0161 (NLE) 

Proposal for a 

COUNCIL DECISION 

on the position to be taken by the European Union 
in the EEA Joint Committee 
concerning an amendment to Annex XX 
(Environment) 
to the EEA Agreement 

THE COUNCIL OF THE EUROPEAN UNION, 

Having  regard  to  the  Treaty  on  the  Functioning  of  the  European  Union,  and  in  particular 
Article 192(1) in conjunction with Article 218(9) thereof, 

Having  regard  to  Council  Regulation  (EC)  No  2894/94  of  28  November  1994  concerning 
arrangements  for  implementing  the  Agreement  on  the  European  Economic  Area1,  and  in 
particular Article 1(3) thereof, 

Having regard to the proposal from the European Commission, 

1 

OJ L 305, 30.11.1994, p. 6. 

EN 

4 

   EN 

                                                 
Whereas: 

(1) 

(2) 

(3) 

(4) 

(5) 

The Agreement on the European Economic Area2 (“the EEA Agreement”) entered into 
force on 1st January 1994. 

Pursuant  to  Article  98  of  the  Agreement,  the  EEA  Joint  Committee  may  decide  to 
amend, among others, Annex XX to the EEA Agreement. 

Annex  XX  to  the  EEA  Agreement  contains  provisions  and  arrangements  concerning 
the environment. 

It is appropriate to incorporate Directive 2009/29/EC of the European Parliament and 
of the Council of 23 April 2009 amending Directive 2003/87/EC so as to improve and 
extend  the  greenhouse  gas  emission  allowance  trading  scheme  of  the  European 
Union3, into the EEA Agreement. 

It  is  appropriate  to  incorporate  Commission  Regulation  (EU)  No  1031/2010  of  12 
November  2010  on  the  timing,  administration  and  other  aspects  of  auctioning  of 
greenhouse  gas  emission  allowances  pursuant  to  Directive  2003/87/EC  of  the 
European  Parliament  and  of  the  Council  establishing  a  scheme  for  greenhouse  gas 
emission  allowances  trading  within  the  Community4,  as  amended  by  Commission 
Regulation  (EU)  1210/2011  of  23 November  2011  amending  Regulation  (EU) 
No 1031/2010  in  particular  to  determine  the  volume  of  greenhouse  gas  emission 
allowances to be auctioned prior to 20135, into the EEA Agreement, as well as other 
Commission acts adopted pursuant to Directive 2003/87/EC. 

(6) 

Certain  adaptations  should  be  provided  for  in  relation  to  Directive  2003/87/EC,  as 
amended  by  Directive  2009/29/EC  and  Regulation  (EU)  No  1031/2010;  they  are 
justified by the extension of the emission trading scheme of the European Union to the 
EEA EFTA States. 

(7) 

 Annex XX to the EEA Agreement should therefore be amended accordingly. 

(8) 

The position of the European Union in the EEA Joint Committee should be based on 
the attached draft Decision, 

HAS ADOPTED THIS DECISION:  

2 
3 
4 
5 

OJ L 1, 3.1.1994, p. 3.  
OJ L 140, 5.6.2009, p. 63. 
OJ L 302, 18.11.2010, p.1. 
OJ L 308, 24.11.2011, p. 2. 

EN 

5 

   EN 

                                                 
Article 1 

The position to be taken by the European Union in the EEA Joint Committee on the proposed 
amendment to Annex XX (Environment) to the EEA Agreement shall be based on the draft 
Decision of that Committee, attached to this Decision. 

Minor changes to the draft Decision may be agreed to by the representatives of the Union in 
the EEA Joint Committee without further decision of the Council.  

After its adoption, the Decision of the EEA Joint Committee shall be published in the Official 
Journal of the European Union.  

Article 2 

Article […] 

This Decision shall enter into force on the day of its adoption. 

Done at Brussels,  

For the Council 
The President 

EN 

6 

   EN 

 
 
ANNEX  

DECISION OF THE EEA JOINT COMMITTEE  
No  

amending Annex XX (Environment) to the EEA Agreement 

of  

THE EEA JOINT COMMITTEE, 

Having regard to the Agreement on the European Economic Area, as amended by the Protocol 
adjusting  the  Agreement  on  the  European  Economic  Area,  hereinafter  referred  to  as  ‘the 
Agreement’, and in particular Article 98 thereof, 

Whereas: 

(1) 

(2) 

(3) 

(4) 

(5) 

Annex XX to the Agreement was amended by Decision of the EEA Joint Committee 
No …/… of …1. 

Commission  Regulation  (EU)  No  1031/2010  of  12  November  2010  on  the  timing, 
administration  and  other  aspects  of  auctioning  of  greenhouse  gas  emission 
allowances pursuant to Directive 2003/87/EC of the European Parliament and of the 
Council  establishing  a  scheme  for  greenhouse  gas  emission  allowances  trading 
within the Community2 is to be incorporated into the Agreement. 

Commission Regulation (EU) No 550/2011 of 7 June 2011 on determining, pursuant 
to  Directive  2003/87/EC  of  the  European  Parliament  and  of  the  Council,  certain 
restrictions  applicable  to  the  use  of  international  credits  from  projects  involving 
industrial gases3 is to be incorporated into the Agreement. 

Commission  Regulation  (EU)  No  1210/2011  of  23  November  2011  amending 
Regulation (EU) No 1031/2010 in particular to determine the volume of greenhouse 
gas emission allowances to be auctioned prior to 20134 is to be incorporated into the 
Agreement. 

Directive  2009/29/EC  of  the  European  Parliament  and  of  the  Council  of  23  April 
2009  amending  Directive  2003/87/EC  so  as  to  improve  and  extend  the  greenhouse 
gas emission allowance trading scheme of the Community5 is to be incorporated into 
the Agreement. 

(6) 

Commission  Decision  2010/2/EU  of  24  December  2009  determining,  pursuant  to 
Directive 2003/87/EC of the European Parliament and of the Council, a list of sectors 

1 
2 
3 
4 
5 

OJ L … 
OJ L 302, 18.11.2010, p.1. 
OJ L 149, 8.6.2011, p. 1. 
OJ L 308, 24.11.2011, p. 2. 
OJ L 140, 5.6.2009, p. 63. 

EN 

7 

   EN 

                                                 
(7) 

(8) 

(9) 

(10) 

(11) 

(12) 

and  subsectors  which  are  deemed  to  be  exposed  to  a  significant  risk  of  carbon 
leakage6 is to be incorporated into the Agreement. 

Commission Decision 2010/345/EU of 8 June 2010 amending Decision 2007/589/EC 
as  regards  the  inclusion  of  monitoring  and  reporting  guidelines  for  greenhouse  gas 
emissions  from  the  capture,  transport  and  geological  storage  of  carbon  dioxide7 
(CO2) is to be incorporated into the Agreement. 

Commission  Decision  2010/670/EU  of  3  November  2010  laying  down  criteria  and 
measures  for  the  financing  of  commercial  demonstration  projects  that  aim  at  the 
environmentally safe capture and geological storage of CO2 as well as demonstration 
projects  of  innovative  renewable  energy  technologies  under  the  scheme  for 
greenhouse  gas  emission  allowance  trading  within  the  Community  established  by 
Directive  2003/87/EC  of  the  European  Parliament  and  of  the  Council8  is  to  be 
incorporated into the Agreement. 

Commission  Decision  2011/278/EU  of  27  April  2011  determining  transitional 
Union-wide rules for harmonised free allocation of emission allowances pursuant to 
Article 10a of Directive 2003/87/EC of the European Parliament and of the Council9 
is to be incorporated into the Agreement. 

Commission  Decision  2011/540/EU  of  18 August  2011  on  amending  Decision 
2007/589/EC  as  regards  the  inclusion  of  monitoring  and  reporting  guidelines  for 
greenhouse gas emissions from new activities and gases10 is to be incorporated into 
the Agreement. 

Commission  Decision  2011/745/EU  of  11 November  2011  amending  Decisions 
2010/2/EU and 2011/278/EU as regards the sectors and subsectors which are deemed 
to be exposed to a significant risk of carbon leakage11 is to be incorporated into the 
Agreement. 

This  Joint  Committee  Decision  does  not  affect  the  autonomy  of  the  Contracting 
Parties with respect to international negotiations on climate change, in particular in 
the context of the United Nations Framework Convention on Climate Change and the 
Kyoto Protocol or any other international agreement on climate change, other than in 
respect  of  aspects  relevant  to  the  EU Emission  Trading  Scheme  (EU  ETS)  that  are 
incorporated  into  the  EEA  Agreement.  However,  the  EFTA  States  shall  take  due 
account of the obligations they have undertaken in the EEA Agreement. Each EFTA 
State  is  responsible  for  implementing  policies  and  measures  to  comply  with  its 
international  commitments  under  the  United  Nations  Framework  Convention  on 
Climate Change, the Kyoto Protocol and any other international agreement related to 
climate change. 

(13) 

The  participation  of  the  EFTA  States  in  the  EU  ETS  is  without  prejudice  to  the 
EFTA States’ participation in any flexible instruments for mitigating emissions. 

6 
7 
8 
9 
10 
11 

OJ L 1, 5.1.2010, p. 10. 
OJ L 155, 22.6.2010, p. 34. 
OJ L 290, 6.11.2010, p. 39. 
OJ L 130, 17.5.2011, p. 1. 
OJ L 244, 21.9.2011, p. 1. 
OJ L 299, 17.11.2011, p. 9. 

EN 

8 

   EN 

                                                 
(14) 

(15) 

The extension of the scheme to installations in the EFTA States implies an increase 
of the total quantity of allowances in the EU ETS as a whole under Articles 9 and 9a 
of Directive 2003/87/EC of the European Parliament and of the Council. The EFTA 
States  provide  in  Part  A  of  the  Appendix  to  the  Directive,  the  relevant  figures  in 
order  to  allow  the  Commission  to  determine  the  average  annual  EEA-wide  total 
quantity of allowances. 

The Commission shall keep the EFTA States informed regarding the negotiation and 
conclusion  of  agreements  with  third  countries  as  referred  to  in  Article  11a  of 
Directive  2003/87/EC  and  the  consequence  this  might  have  on  the  use  of  Certified 
Emission Reductions (CERs). 

(16)  When  an  agreement  pursuant  to  Articles  11a  or  25  of  Directive  2003/87/EC  is 
concluded, the EFTA States and their operators shall not be discriminated against as 
compared to EU Member States and their operators. 

(17) 

(18) 

(19) 

The Commission shall keep the EFTA States informed regarding the implementation 
of Article  24a(1)  of Directive 2003/87/EC and the  consequence  this might have  on 
the amount of allowances in the EU ETS. 

The EFTA States fully support that the amount of allowances allocated by auctioning 
is increasing in the EU ETS, with a view to reaching no free allocation in 2027. It has 
always been the aim of the EFTA States to increase the percentage of allowances that 
are  allocated  against  payment.  The  EFTA  States  recall  adaptation  (e)  as  set  out  in 
Article  1  point  2  of  EEA  Joint  Committee  Decision  No  146/200712  incorporating 
Directive 2003/87/EC into the Agreement. 

The EFTA States will make use of the common auction platforms appointed pursuant 
to  Article  26  of  Regulation  1031/2010  and  appoint  the  auction  monitor  selected 
pursuant  to  Article  24  of  that  Regulation  for  monitoring  the  auctioning  of  their 
allowances.  Due  to  the  fact  that  the  EFTA  States  are  not  participating  in  the  joint 
action, they do not have to fulfil any specific tasks in the procurement procedures for 
appointing  the  common  auction  platforms  and  auction  monitor.  Once  these  are 
appointed, each EFTA State will use its best endeavours to enter into a contract with 
them. The Commission will, to the extent feasible, see to it that the auction platforms 
enter  into  a  contract  with  the  EFTA  States  subject,  mutatis  mutandis,  to  the  same 
conditions  envisaged  for  participating  EU  Member  States  in  the  contracts  resulting 
from the joint procurement procedures, provided that the EFTA States aggregate the 
auctioning of their allowances with the allowances of the participating EU Member 
States. For the auction monitor, the Commission will, to the extent feasible, see to it 
that the auction monitor enters into a contract with the EFTA States subject, mutatis 
mutandis,  to  the  same  conditions  applicable  to  either  the  participating  EU  Member 
States or the non-participating EU Member States depending on whether or not the 
EFTA  States  choose  to  aggregate  the  auctioning  of  their  allowances  with  the 
allowances of the participating EU Member States. 

(20) 

Budgetary  issues  are  not  part  of  the  Agreement.  Financial  contributions  from  the 
EFTA  States  to  the  EU  Member  States  are  negotiated  through  the  EEA  Financial 
Mechanisms. The application of the provisions of Directive 2003/87/EC concerning 

12 

OJ L 100, 10.4.2008, p. 92. 

EN 

9 

   EN 

                                                 
these  issues  and  the  application  of  the  criteria  for  distribution  amongst  certain  EU 
Member  States  of  certain  percentages  of  the  total  quantity  of  allowances  to  be 
auctioned pursuant to Article 10(2)(b) and (c) and Annexes IIa and IIb of Directive 
2003/87/EC is therefore without prejudice to the scope of the Agreement. 

(21) 

The  EFTA  Surveillance  Authority  shall  coordinate  closely  with  the  Commission 
whenever  it  is  called  to  undertake  tasks  relating  to  the  EFTA  States  for  which  the 
Commission  is  responsible  with  respect  to  the  EU  Member  States  pursuant  to 
Directive  2003/87/EC,  Regulation  (EC)  No  2216/2004,  Decision  2007/589/EC  and 
Decision 2006/780/EC. These tasks include inter alia the assessment of the national 
implementation  measures  referred  to  in  Article  11  and  any  application  for  the 
unilateral  inclusion  of  additional  activities  and  gases  under  Article  24  of  Directive 
2003/87/EC, 

HAS ADOPTED THIS DECISION: 

Annex XX to the Agreement shall be amended as follows: 

Article 1 

1. 

2. 

The  following  indent  shall  be  added  in  point  21al  (Directive  2003/87/EC  of  the 
European Parliament and of the Council): 

‘- 

32009  L  0029:  Directive  2009/29/EC  of  the  European  Parliament  and  of  the 
Council of 23 April 2009 (OJ L 140, 5.6.2009, p. 63).’ 

The adaptations in point 21al (Directive 2003/87/EC of the European Parliament and 
of the Council) shall be replaced by the following: 

‘The  provisions  of  the  Directive  shall,  for  the  purposes  of  this  Agreement,  be  read 
with the following adaptations: 

(a)  Without  prejudice  to  future  development  by  the  EEA  Joint  Committee,  it 
should  be  noted  that  the  following  Community  acts  are  not  incorporated  into 
the EEA Agreement: 

(i)  Council  Decision  2002/358/EC  of  25  April  2002  concerning  the 
approval, on behalf of the European Community, of the Kyoto Protocol 
to the United Nations Framework Convention on Climate Change and the 
joint fulfilment of commitments thereunder13, 

(ii)  Decision No 280/2004/EC of the European Parliament and of the Council 
of 11 February 2004 concerning a mechanism for monitoring Community 
greenhouse gas emissions and for implementing the Kyoto Protocol14. 

(b)  At the time of incorporation of the Directive, Liechtenstein does not have any 
aviation  activities  as  defined  in  the  Directive  operated  on  its  territory. 

13 
14 

OJ L 130, 15.5.2002, p. 1. 
OJ L 49, 19.2.2004, p. 1. 

EN 

10 

   EN 

                                                 
Liechtenstein will comply with the Directive when relevant aviation activities 
take place on its territory. 

(c)  The following subparagraph shall be added in Article 3c(4): 

“The EEA Joint Committee shall, in accordance with the procedures laid down 
in  the  Agreement  and  based  on  figures  provided  by  the  EFTA  Surveillance 
Authority in cooperation with Eurocontrol, decide on the EEA-wide historical 
aviation  emissions  by  adding  the  relevant  numbers  concerning  flights  within 
and between the territories of the EFTA States and flights between the EFTA 
States and third countries to the Commission decision when incorporating the 
latter into the EEA Agreement.” 

(d) 

In Article 3d(4), the second subparagraph shall be deleted. 

(e)  The following subparagraph shall be added in Articles 3e(2) and 3f(4): 

“By the same date, the EFTA States shall submit applications received to the 
EFTA  Surveillance  Authority,  which  shall  promptly  pass  them  onto  the 
Commission.” 

(f)  The following subparagraphs shall be added in Article 3e(3): 

“The EEA Joint Committee shall, in accordance with the procedures laid down 
in  the  Agreement  and  based  on  figures  provided  by  the  EFTA  Surveillance 
Authority  in  cooperation  with  Eurocontrol,  decide  on  the  EEA-wide  number 
for the total number of allowances, the number of allowances to be auctioned, 
the  number  of  allowances  in  the  special  reserve  and  the  number  of  free 
allowances,  by  adding  the  relevant  numbers  concerning  flights  within  and 
between the territories of the EFTA States and flights between the EFTA States 
and  third  countries  to  the  Commission  decision  when  incorporating  the  latter 
into the EEA Agreement. 

The  Commission  shall  decide  on  the  EEA-wide  benchmark.  During  the 
decision-making  process  the  Commission  shall  cooperate  closely  with  the 
EFTA  Surveillance  Authority.  The  calculation  and  publication  by  the  EFTA 
States  under  Article  3e(4)  shall  take  place  subsequent  to  the  decision  of  the 
EEA  Joint  Committee  incorporating  the  decision  adopted  by  the  Commission 
into the EEA Agreement.” 

(g)  The following subparagraph shall be added in Article 3f(5): 

“The  Commission  shall  decide  on  the  EEA-wide  benchmark.  During  the 
decision-making  process  the  Commission  shall  cooperate  closely  with  the 
EFTA  Surveillance  Authority.  The  calculation  and  publication  by  the  EFTA 
States  under  Article  3f(7)  shall  take  place  subsequent  to  the  decision  of  the 
EEA  Joint  Committee  incorporating  the  decision  adopted  by  the  Commission 
into the EEA Agreement.” 

(h)  The following paragraphs shall be inserted in Article 9: 

EN 

11 

   EN 

 
 
 
 
 
“The increase in the average annual total quantity of allowances in the EU ETS 
due to the extension of the scheme to cover Liechtenstein and Norway pursuant 
to paragraph 1 shall be in accordance with the EFTA Surveillance Authority’s 
decisions concerning their national allocation plans for the period from 2008 to 
2012. 

The increase in the average annual total quantity of allowances in the EU ETS 
due  to  the  extension  of  the  scheme  to  cover  Iceland  pursuant  to  paragraph  1 
shall correspond to 23 934 tonnes of CO2 equivalent.  

In  respect  of  the  EFTA  States,  the  figures  to  be  taken  into  account  for  the 
calculation  of  the  EEA-wide  quantity  of  allowances  to  be  issued  from  2013 
onwards pursuant to this Article are set out in Part A of the Appendix.” 

(i)  The following sentence shall be added in Article 9a(1): 

“For  Norway,  the  average  annual  quantity  of  allowances  issued  in  respect  of 
the installations mentioned in this paragraph is 878 850.” 

(j)  The following subparagraph shall be added in Article 9a(2): 

“With regard to installations in the EFTA States carrying out activities listed in 
Annex I  which  are  only  included  in  the  Community  scheme  from  2013 
onwards,  the  average  annual  emissions  of  the  reported  period  for  the 
adjustment shall be: 

Iceland: 1 862 571 tonnes of CO2 equivalent. 

Liechtenstein: 0 tonnes of CO2 equivalent. 

Norway: 5 269 254 tonnes of CO2 equivalent.” 

(k)  The following paragraphs shall be added after Article 9a(4): 

“5. 

6. 

In respect of the EFTA States, the figures to be taken into account for the 
adjustment  of  the  EEA-wide  quantity  of  allowances  to  be  issued  from 
2013  onwards  pursuant  to  this  Article  are  set  out  in  Part  A  of  the 
Appendix. 

The Commission shall calculate and adjust the annual EEA-wide quantity 
of allowances to be issued from 2013 onwards in accordance with Article 
9 and this Article in order to include the EFTA States’ figures as set out 
in  Part  A  of  the  Appendix.  The  Commission  shall  publish  the  adjusted 
EEA-wide quantities of allowances for 2013 and onwards.” 

(l)  The following paragraph shall be added in Article 10(2):  

“For  the  purposes  of  point  (a),  in  respect  of  Liechtenstein  and  Norway,  their 
shares shall be calculated on the basis of the following emissions: 

Liechtenstein: 20 943 tonnes of CO2 equivalent.  

Norway: 18 635 669 tonnes of CO2 equivalent. 

EN 

12 

   EN 

 
 
 
 
 
 
 
 
 
 
 
In respect of Iceland, the share referred to in point (a) shall be calculated on the 
basis  of  36 196  tonnes  of  CO2  equivalent  adjusted  by  899 645  tonnes  of  CO2 
equivalent,  representing  the  share  of  verified  emissions  for  2005  from 
installations carrying out activities listed in Annex I, which are only included 
in  the  Community  scheme  from  2013  onwards.  Iceland's  share  shall  thus  be 
calculated on the basis of 935 841 tonnes of CO2 equivalent.” 

(m)  Article 10(3) shall not apply to the EFTA States. 

(n)  The  following  subparagraph  shall  be  added  after  the  fifth  subparagraph  of 

Article 11a(8): 

“In  respect  of  the  EFTA  States,  the  figures  to  be  taken  into  account  for  the 
calculation of the EEA-wide reductions pursuant to the fifth subparagraph are 
set out in Part B of the Appendix.” 

(o)  The second sentence in Article 16(3) shall be replaced by the following: 

“The  EFTA  States  shall  provide  for  excess  emissions  penalties  that  are 
equivalent to those in the EU Member States.” 

(p)  The following paragraph shall be inserted after Article 16(12): 

“13.  The EFTA States shall submit any requests pursuant to Article 16(5) and 
(10) to the EFTA Surveillance Authority, which shall promptly pass them 
on to the Commission.” 

(q)  The following subparagraph shall be added in Article 18a(1): 

“Reallocation of aircraft operators to the EFTA States should take place during 
year 2011, after fulfilment by the operator of its 2010 obligations. A different 
timeline  for  reallocation  of  aircraft  operators  initially  assigned  to  a  Member 
State  on  the  basis  of  the  criteria  mentioned  under  (b),  can  be  agreed  by  the 
initial administering Member State, further to an explicit request introduced by 
the  operator  within  6  months  from  the  adoption  by  the  Commission  of  the 
EEA-wide  list  of  operators  provided  for  in  Article  18a(3)(b).  In  this  case, 
reallocation  shall  take  place  no  later  than  in  2020  with  regard  to  the  trading 
period beginning in 2021.” 

(r) 

In Article 18a(3)(b), the words “for the whole EEA” shall be inserted after the 
words “aircraft operators”. 

(s)  The following subparagraph shall be added in Article 18b: 

“For  the  purposes  of  carrying  out  their  tasks  under  the  Directive,  the  EFTA 
States  and  the  EFTA  Surveillance  Authority  may  request  the  assistance  of 
Eurocontrol  or  another  relevant  organisation  and  may  conclude  to  that  effect 
any appropriate agreements with those organisations.” 

(t)  The following paragraph shall be added to Article 20: 

EN 

13 

   EN 

 
 
 
 
“4.  The issue, transfer and cancellation of allowances concerning the EFTA 
States,  their  operators  and  the  aircraft  operators  administered  by  them 
shall  be  registered  in  the  independent  transaction  log  referred  to  in 
paragraph 1. 

The  Central  Administrator  shall  be  competent  to  perform  the  tasks 
referred to in paragraphs 1 to 3 when the EFTA States, their operators or 
the aircraft operators administered by them are concerned.” 

(u)  The following paragraph shall be added to Article 25: 

“3.  Allowances  of  the  Community  system  include  allowances  issued  or 
traded  by  the  EFTA  States  or  their  operators  under  the  Community 
system. Upon conclusion by the Community of an agreement referred to 
in this Article, no distinction shall be made between such allowances.  

The Commission shall keep the EFTA States informed at an early stage 
regarding  the  negotiation  and  conclusion  of  agreements  or  non-binding 
arrangements according to this Article.” 

(v)  The  EFTA  States  participating  in  the  EU  Emission  Trading  Scheme  will 
provide  information  according  to  the  relevant  requirements  in  the  first 
subparagraph  of  Article  30(3),  while  the  reporting  requirements  under  the 
second subparagraph shall not apply to them. 

(w)  The following shall be added after Annex V: 

EN 

14 

   EN 

 
 
“APPENDIX 

PART A 

EFTA States’ figures relevant to the calculation and adjustment of  
the EEA-wide quantity of allowances to be issued from 2013 onwards  
pursuant to Articles 9 and 9a of Directive 2003/87/EC 

1. 

EFTA States’ figures pursuant to Article 9 

For the determination of these figures, the linear factor of 1.74% has been applied. 

Iceland 

These  figures  are  based  on  the  average  annual  verified  emissions  from  2005  to  2010  from 
activities falling in principle under Directive 2003/87/EC during the period from 2008 to 2012 
corresponding to 23 934 allowances. 

Year 

2013 

2014 

2015 

2016 

2017 

2018 

2019 

2020 

Amount of allowances 

22 684 

22 268 

21 851 

21 435 

21 018 

20 602 

20 186 

19 769 

Liechtenstein 

These figures are based on an average annual total quantity of allowances by Liechtenstein for 
the period from 2008 to 2012 corresponding to 17 943 allowances as set out in Liechtenstein’s 
National Allocation Plan. 

Year 

2013 

2014 

EN 

Amount of allowances 

17 006 

16 694 

15 

   EN 

 
 
2015 

2016 

2017 

2018 

2019 

2020 

Norway 

16 382 

16 070 

15 758 

15 445 

15 133 

14 821 

These figures are based on an average annual total quantity of allowances by Norway for the 
period  from  2008  to  2012  corresponding  to  14 255 268  allowances,  as  set  out  in  the 
Norwegian National Allocation Plan. 

Year 

2013 

2014 

2015 

2016 

2017 

2018 

2019 

2020 

Amount of allowances 

13 511 143 

13 263 101 

13 015 060 

12 767 018 

12 518 976 

12 270 935 

12 022 893 

11 774 851 

2. 

EFTA States’ figures pursuant to Article 9a(1) 

For the determination of these figures, the linear factor of 1.74% has been applied. 

Norway 

Year 

2013 

2014 

EN 

Amount of allowances 

832 974 

817 682 

16 

   EN 

 
 
2015 

2016 

2017 

2018 

2019 

2020 

802 390 

787 098 

771 806 

756 514 

741 222 

725 930 

3. 

EFTA States’ figures pursuant to Article 9a(2) 

For the determination of these figures, the linear factor of 1.74% has been applied. 

Iceland 

Year 

2013 

2014 

2015 

2016 

2017 

2018 

2019 

2020 

Norway  

Year 

2013 

2014 

2015 

2016 

EN 

Amount of allowances 

1 732 936 

1 700 527 

1 668 119 

1 635 710 

1 603 301 

1 570 892 

1 538 484 

1 506 075 

Amount of allowances 

4 994 199 

4 902 514 

4 810 829 

4 719 144 

17 

   EN 

 
 
2017 

2018 

2019 

2020 

4 627 459 

4 535 774 

4 444 089 

4 352 404 

EN 

18 

   EN 

 
PART B 

EFTA States’ figures relevant to the calculation of 
the EEA-wide reductions pursuant to the fifth subparagraph of Article 11a(8) 

Emissions in 2005 from 
existing sectors 
(in tonnes of CO2 equivalent)

Emissions in 2005 from new 
sectors included as of 2013 
(in tonnes of CO2 equivalent)

36 196

18 121

19 730 000

899 645

0

6 140 000

Iceland 

Liechtenstein 

Norway 

” 

3. 

The following points shall be inserted after point 21al (Directive 2003/87/EC of the 
European Parliament and of the Council): 

‘21ala.32010 R 1031: Commission Regulation (EU) No 1031/2010 of 12 November 
2010  on  the  timing,  administration  and  other  aspects  of  auctioning  of 
greenhouse  gas  emission  allowances  pursuant  to  Directive  2003/87/EC  of  the 
European Parliament and of the Council establishing a scheme for greenhouse 
gas emission allowances trading within the Community (OJ L 302, 18.11.2010, 
p.1), as amended by: 

- 

32011  R  1210:  Commission  Regulation  (EU)  No  1210/2011  of  23 
November 2011(OJ L 308, 24.11.2011, p. 2). 

The provisions of the Regulation shall, for the purposes of this Agreement, be 
read with the following adaptations: 

(a)  The first sentence in Article 22(7) shall read as follows: 

“The  EFTA  States  shall  notify  the  identity  of  the  auctioneer  and  its  contact 
details  to  the  EFTA  Surveillance  Authority,  which  will  forward  the 
information to the Commission.” 

(b)  The following sentences shall be added in Article 24(2): 

“The EFTA States shall contract  the auction monitor  appointed following  the 
joint  procurement  procedure  between  the  Commission  and  the  Member 
States to monitor all auction processes. In Article 25(1), (2), (3), (4) and 
(5), the term ‘Member State(s)’ shall be understood to include the EFTA 
States.” 

(c)  The following subparagraph shall be added in Article 26(1) and (2): 

“The EFTA States shall contract the auction platform appointed jointly by the 
Commission and the participating EU Member States for the auctioning 
of their shares of the allowances to be auctioned where the EFTA States 

EN 

19 

   EN 

 
choose  to  aggregate  the  auctioning  of  their  allowances  with  the 
allowances of the EU Member States participating in the joint action.  

(d)  The following sentence shall be added in Article 27(1) and Article 28(1): 

“Without  prejudice  to  the  arrangements  in  the  contract  to  be  concluded 
between the EFTA States and the auction platform, the auction platform 
appointed  following  the  joint  procurement  procedure  between  the 
Commission and the Member States participating in the joint action may 
provide the above-mentioned services also to the EFTA States.”  

(e)  Articles 30 to 32 shall not apply to the EFTA States, provided that they 
have contracted the auction platforms appointed according to Article 26 
in accordance with adaptation (c) above. 

(f)  The following subparagraphs shall be added in Article 52(3): 

“The share of the costs of the auction monitor relating to an auction platform 
appointed  pursuant  to  Article  26(1)  or  (2)  and  contracted  by  the  EFTA 
States shall be distributed between the Member States participating in the 
joint  action  and  the  EFTA  States  in  accordance  with  their  shares  of  the 
total volume of allowances auctioned on the auction platform concerned 
provided  that  the  EFTA  States  aggregate  the  auctioning  of  their 
allowances with the allowances of the EU Member States participating in 
the joint action. 

The  share  of  the  costs  of  the  auction  monitor  relating  to  an  auction  platform 
appointed  pursuant  to  Article  30(1)  or  (2)  and  contracted  by  an  EFTA 
State, including the cost of any report requested pursuant to Article 25(4), 
shall be borne by the EFTA State concerned in the same way as for EU 
Member States not participating in the joint action.” 

21alb.32010  D  0002:  Commission  Decision  2010/2/EU  of  24  December  2009 
determining, pursuant to Directive 2003/87/EC of the European Parliament and 
of the Council, a list of sectors and subsectors which are deemed to be exposed 
to  a  significant  risk  of  carbon  leakage  (OJ  L  1,  5.1.2010,  p.  10),  as  amended 
by: 

- 

32011  D  0745:  Commission  Decision  2011/745/EU  of  11 November 
2011 (OJ L 299, 17.11.2011, p. 9). 

21alc.32011  D  0278:  Commission  Decision  2011/278/EU  of  27  April  2011 
determining  transitional  Union-wide  rules  for  harmonised  free  allocation  of 
emission  allowances  pursuant  to  Article  10a  of  Directive  2003/87/EC  of  the 
European  Parliament  and  of  the  Council  (OJ  L  130,  17.5.2011,  p.  1),  as 
amended by: 

- 

32011  D  0745:  Commission  Decision  2011/745/EU  of  11 November 
2011 (OJ L 299, 17.11.2011, p. 9). 

21ald.32010  D  0670:  Commission  Decision  2010/670/EU  of  3  November  2010 
the  financing  of  commercial 

laying  down  criteria  and  measures  for 

EN 

20 

   EN 

demonstration  projects  that  aim  at  the  environmentally  safe  capture  and 
geological  storage  of  CO2  as  well  as  demonstration  projects  of  innovative 
renewable energy technologies under the scheme for greenhouse gas emission 
allowance trading within the Community established by Directive 2003/87/EC 
of the European Parliament and of the Council (OJ L 290, 6.11.2010. p. 39). 

21ale.32011 R 0550: Commission Regulation (EU) No 550/2011 of 7 June 2011 on 
determining, pursuant to Directive 2003/87/EC of the European Parliament and 
of the Council, certain restrictions applicable to the use of international credits 
from projects involving industrial gases (OJ L 149, 8.6.2011, p. 1).’ 

4. 

The  following  indents  shall  be  added  in  point  21am  (Commission  Decision 
2007/589/EC): 

‘- 

- 

32010 D 0345: Commission Decision 2010/345/EU of 8 June 2010 (OJ L 155, 
22.6.2010, p. 34), 

32011 D 0540: Commission Decision 2011/540/EU of 18 August 2011 (OJ L 
244, 21.9.2011, p. 1).’ 

Article 2 

The  texts  of  Regulations  (EU)  No  1031/2010,  (EU)  No  550/2011  and  (EU)  No 1210/2011, 
Directive 2009/29/EC and Decisions 2010/2/EU, 2010/345/EU, 2010/670/EU, 2011/278/EU, 
2011/540/EU and 2011/745/EU in the Icelandic and Norwegian languages, to be published in 
the EEA Supplement to the Official Journal of the European Union, shall be authentic. 

This  Decision  shall  enter  into  force  on  […]  or  the  day  following  the  last  notification  to  the 
EEA Joint Committee under Article 103(1) of the Agreement, whichever is the latest∗. 

Article 3 

This Decision shall be published in the EEA Section of, and in the EEA Supplement to, the 
Official Journal of the European Union. 

Article 4 

Done at Brussels, . 

For the EEA Joint Committee 

The President 

The Secretaries 
to the EEA Joint Committee 

∗ 

[No constitutional requirements indicated.] [Constitutional requirements indicated.] 

EN 

21 

   EN 

 
 
 
 
 
 
 
 
 
 
                                                 
EN 

22 

   EN