515311179.
xls, Guidelines and conditions 03/21/2021, [Link]
GUIDELINES AND CONDITIONS
1 Directive 2003/87/EC (the "ETS Directive") requires operators of installations and aircraft operators which are included in the Union Emission Trading Scheme (the
EU ETS) to hold a valid GHG emission permit and/or monitoring plan issued by the relevant Competent Authority and to monitor and report their emissions, and
have the reports verified in accordance with Article 15 of the EU ETS Directive and the Regulation pursuant to that Article.
The Directive can be downloaded from:
[Link]
2 The Monitoring and Reporting Regulation (Commission Regulation (EU) No 601/2012 of 21 June 2012, hereinafter the "MRR"), defines further requirements for
monitoring and reporting. The MRR can be downloaded from:
[Link]
3 This file constitutes a tool developed by the Commission services for the purpose of harmonising the approach for preparing a risk assessment in
accordance with Article 58(2) point (a) and Article 12(1) point (b) of the MRR.
Using this tool for submitting the result of the risk assessment is OPTIONAL. Alternative approaches may be used, where considered more useful.
This is the final version of the optional tool for the operator's risk assessment in accordance with Article 58(2) point
(a) and Article 12(1) point (b) of the MRR, dated October 2013.
4 All Commission guidance documents on the Monitoring and Reporting Regulation can be found at:
[Link]
5
EU Websites:
EU-Legislation: [Link]
EU ETS general: [Link]
Monitoring and Reporting in the EU ETS:
[Link]
Other Websites:
<to be provided by Member State>
Helpdesk:
<to be provided by Member State, if relevant>
6 How to use this file:
In order to protect formulae against unintended modifications, which usually lead to wrong and misleading results, it is of utmost importance NOT TO
USE the CUT & PASTE function. If you want to move data, first COPY and PASTE them, and thereafter delete the unwanted data in the old (wrong) place.
Colour codes and fonts:
Black bold text: This is text provided by the Commission template. It should be kept as it is.
Smaller italic text: This text gives further explanations. Member States may add further explanations in MS specific versions of the template.
Light yellow fields indicate that an input is optional.
Green fields show automatically calculated results. Red text indicates error messages (missing data etc.).
Shaded fields indicate that an input in another field makes the input here not relevant.
Grey shaded areas should be filled by Member States before publishing a customised version of the template.
Light grey areas are dedicated for navigation and hyperlinks.
7 This template has been locked against data entry except for yellow fields. However, for transparency reasons, no password has been set. This allows for complete
viewing of all formulae. When using this file for data entry, it is recommended to keep the protection in force. The sheets should only be unprotected for checking
the validity of formulae. It is recommended to do this in a separate file.
8 Data fields have not been optimized for specific numerical and other formats. However, sheet protection has been limited so as to allow you to use your own
formats. In particular, you may decide about the number of decimal places displayed. The number of places is in principle independent from the precision of the
calculation. In principle the option "Precision as displayed" of MS Excel should be deactivated. For more details, consult MS Excel's "Help" function on this topic.
9
DISCLAIMER: All formulae have been developed carefully and thoroughly. However, mistakes cannot be fully excluded.
As described above, full transparency for checking the validity of calculations is ensured. Neither the authors of this file nor the European
Commission can be held liable for eventual damages resulting from wrong or misleading results of the provided calculations.
It is the full responsibility of the user of this file (i.e. the operator of an EU ETS installation) to ensure that correct data is reported to the competent
authority.
10 Member State-specific guidance is listed here:
1/4
Parameters for the Risk Assessment
In this sheet the parameters for the risk assessment are specified. The risk assessment itself can then be carried out in the sheet "RiskTable".
a) Average annual emissions
Please enter here the average annual emissions of the installation or aircraft operator.
t CO2e
b) Impact levels
Please enter here for each impact level the share of annual emissions. If no values are entered under i. the automatically displayed default values under ii. will be
used.
1 2 3 4 5
i. Share of a): ###
ii. Value used: 0.05% 0.50% 1.00% 5.00% 20.00%
c) Probability levels
Please enter here the thresholds for the probability levels. You can select between:
- Occurences per year, e.g. happens up to 10 times per year, OR
- Probability of occurence, e.g. there is a 10% chance this incident will occur in a year.
i. "Occurences per year" or "Probability of occurence"? ###
Please select here either "Occurences per year" or "Probability of occurence". Depending on your selection conditional formatting will be triggered. If no entries are
made here under i. or if entries under ii. or iii. are not consistent with i. default values under iv. will be used.
1 2 3 4 5
ii. Occurences: ###
iii. Probability: ###
iv. Value used: 0.005 0.01 0.1 0.2 0.5 ###
d) Thresholds for low/medium/high risk
Please enter here thresholds for identifiying low/medium/high risks as the share of the total annual emissions.
Corresponding colour codes will apply to each cell in the risk matrix under e) below.
- Green: Every risk below this threshold is considered to be low and no immediate action is required.
- Yellow: Every risk below the high risk threshold but above the low risk threshold is considered to medium and action may be required or recommended.
- Red: Every risk above this threshold is considered to be high with a potential direct consequence of non-conformities or misstatements.
Share of a) Threshold
i. Threshold for low risk (green colour coding) 0.01% - t CO2e
ii. Threshold for high risk (red colour coding) 0.15% - t CO2e
e) Risk matrix
Values for each level of probability and impact will be taken from entries under b) and c) above.
The result for the risk in each cell of the matrix will be "Risk = Probability x Impact".
Depending on entries under d) above colour coding will indicate the severity of each risk.
Impact
Probability
1 2 3 4 5
0.0 0.0 0.0 0.0 0.0
1 0.005 0.0 0.0 0.0 0.0 0.0 ###
2 0.01 0.0 0.0 0.0 0.0 0.0 ###
3 0.1 0.0 0.0 0.0 0.0 0.0 ###
4 0.2 0.0 0.0 0.0 0.0 0.0 ###
5 0.5 0.0 0.0 0.0 0.0 0.0 ###
Inherent Risk Inherent Risk x Control Risk
Process/Activity Incident Type of risk
P I Risk Control Measure(s) P I Risk
