ETS 免费分配过渡规则

碳 Article 1 — scope (free allocation from 2021)

This Regulation shall apply to the free allocation of emission allowances under Chapter III (Stationary installations) of Directive 2003/87/EC as regards the allocation periods as from 2021, with the exception of transitional free allocation of emission allowances for the modernisation of electricity generation pursuant to Article 10c of Directive 2003/87/EC.

本条例适用于 2003/87/EC 号指令第三章（固定设施）项下自 2021 年起各分配期的免费配额分配，但依据该指令第 10c 条为发电现代化所作的过渡期免费分配除外。

碳 Article 2(1) — incumbent installation

‘incumbent installation’ means any installation carrying out one or more activities listed in Annex I to Directive 2003/87/EC ... which obtained a greenhouse gas emission permit before or on: (a) 30 June 2019 for the period 2021-2025, (b) 30 June 2024 for the period 2026-2030;

“既有设施”指从事 2003/87/EC 号指令附件一所列一项或多项活动……且于下列日期或之前取得温室气体排放许可的任何设施：(a) 2021–2025 年期间为 2019 年 6 月 30 日；(b) 2026–2030 年期间为 2024 年 6 月 30 日。

碳环境 Article 4(1)–(2) — application for free allocation

The operator of an installation eligible for free allocation pursuant to Article 10a of Directive 2003/87/EC may submit to the competent authority an application for free allocation for an allocation period. That application shall be submitted before 30 May 2019 as regards the first allocation period and every five years thereafter. ... An application for free allocation submitted pursuant to paragraph 1 shall be accompanied by the following particulars: (a) a baseline data report verified as satisfactory ... containing each parameter listed in Annex IV ...; (b) the monitoring methodology plan which formed the basis for the baseline data report and the verification report ...; (c) a verification report issued ... on the baseline data report.

依据 2003/87/EC 号指令第 10a 条有资格获得免费配额的设施运营者可向主管机关提交某一分配期的免费配额申请。首次分配期的申请应于 2019 年 5 月 30 日前提交，其后每五年一次。……依第 1 款提交的免费配额申请应附具下列材料：(a) 经核查为合格的基准数据报告……载有附件四所列每项参数……；(b) 作为基准数据报告基础的监测方法学计划及核查报告……；(c) 就该基准数据报告出具的核查报告。

碳 Recital (17) — process-emissions multiplier reduced to 91 %

Free allocation for process emissions not covered by product benchmarks is based on the grandfathering of historical emissions. Since 2013 free allocation has been given at the level of 97 % of the historical emissions. To incentivise the reduction of such process emissions ... it is necessary to reduce the level of free allocation for process emissions not covered by product benchmarks to 91 %, equivalent to an annual reduction of 0,3 % ... The reduced multiplication factor should apply from 1 January 2028 ...

产品基准未涵盖的工序排放的免费分配基于历史排放的祖父法。自 2013 年起按历史排放的 97% 给予免费分配。为激励此类工序排放的削减……有必要将产品基准未涵盖的工序排放的免费分配水平降至 91%，相当于每年减少 0.3%……降低后的乘数应自 2028 年 1 月 1 日起适用……

碳 Recital (7) — no free allocation for CBAM-covered products; CN-code evidence

Directive 2003/87/EC provides that no free allocation shall be given in relation to the production of products covered by the Carbon Border Adjustment Mechanism (CBAM) ... with a gradual phase-out of free allocation during a transitional period. To ensure a harmonised implementation of this provision, operators should provide information and evidence, in particular based on Combined Nomenclature (CN) codes ... on the goods produced.

指令 2003/87/EC 规定，对碳边境调节机制（CBAM）涵盖产品的生产不予免费分配……并在过渡期内逐步取消免费分配。为确保该规定统一实施，运营者应就所生产货物提供信息与证据，特别是基于综合命名法（CN）编码的信息。

碳环境 Recital (21) — conditionality on energy-efficiency measures

To provide further incentives to reduce greenhouse gas emissions a provision on conditionality of free allocation on implementation of energy efficiency improvement measures was introduced in Article 10a, third subparagraph, of Directive 2003/87/EC ... Operators of non-compliant installations facing the 20 % reduction of free allocation should provide verified evidence to the competent authority on the implementation of all recommended measures to ensure recovery of free allocation reduced due to conditionality.

为进一步激励温室气体减排，指令 2003/87/EC 第 10a 条第三段引入了以实施能效改进措施为条件的免费分配规定……面临 20% 免费分配削减的不合规装置运营者，应向主管机关提供已实施全部建议措施的核查证据，以恢复因附加条件而削减的免费分配。