Commission Regulation (EU) No 63/2011 of 26 January 2011 laying down detailed provisions for the application for a derogation from the specific CO 2 emission targets pursuant to Article 11 of Regulation (EC) No 443/2009 of the European Parliament and of the Council Text with EEA relevance

Article 1

Subject matter

This Regulation specifies the information to be provided by manufacturers for the purpose of demonstrating that the conditions for a derogation pursuant to Article 11(1) or (4) of Regulation (EC) No 443/2009 are satisfied.

Article 2

Definitions

In addition to the definitions set out in Articles 2 and 3 of Regulation (EC) No 443/2009, the following definitions shall apply:

(a) ‘applicant’ means a manufacturer within the meaning of Article 11(1) or (4) of Regulation (EC) No 443/2009;

(b) ‘vehicle characteristics’ means the features of the vehicle, including mass, its specific CO2 emissions, the number of seats, engine performance, power to mass ratio and top speed;

(c) ‘characteristics of the market’ means information on vehicle characteristics, and names and price ranges of cars directly competing with the vehicles for which a derogation is sought;

(d) ‘own production facility’ means a manufacturing or assembly plant used solely by the applicant for the purpose of manufacturing or assembling new passenger cars exclusively for that manufacturer, including, where relevant, passenger cars which are intended for export;

(e) ‘own design centre’ means a facility in which the whole vehicle is designed and developed, and which is under the control and exclusive use of the applicant.

Article 3

Application for a derogation pursuant to Article 11(1) and (4) of Regulation (EC) No 443/2009

Article 4

Information on eligibility criteria

The applicant shall provide the following information on the eligibility criteria:

(a) information on the ownership structure of the manufacturer or group of connected manufacturers, together with the relevant declaration set out in Annex III;

(b) for the manufacturer applying for a derogation pursuant to Article 11(1) of Regulation (EC) No 443/2009, or the group of connected manufacturers in accordance with point (b) of Article 11(1) of that Regulation, or for the member of a group of connected manufacturers in accordance with point (c) of Article 11(1) of that Regulation, the number of passenger cars officially registered in the Union in the three calendar years preceding the date of application, or where such data is not available, one of the following: — an estimate based on verifiable data of the number of cars registered in the period referred to in point (b) for which the applicant is responsible, — if no cars were registered in the period referred to in point (b), the number of cars registered in the last calendar year for which such data is available.

Article 5

Specific emissions target and reduction potential pursuant to Article 11(2) of Regulation (EC) No 443/2009

The applicant shall provide the following information on its activity:

(a) for the calendar year preceding the date of application, the number of employees and the size of the production facility in square metres;

(b) the operational model of the production facility specifying which design and production activities are performed by the applicant or outsourced;

(c) in the case of a connected undertaking, if the technology is shared by the manufacturers, and which activities are outsourced;

(d) for five calendar years preceding the date of application, the sales volumes, yearly turnover, net profit, and R & D spending, and in the case of a connected undertaking, the net transfers to the parent company;

(e) the characteristics of their market;

(f) the price list for all versions of cars to be covered by the derogation in the calendar year preceding the date of application, and the expected price list for the cars planned to be launched and to be covered by the derogation.

When an application is submitted by a manufacturer responsible for more than 100 cars per year, the information referred to in point (d) shall be accompanied by the official certified accounts, or shall be certified by an independent auditor.

The applicant shall provide the following information on its technological potential:

(a) the list of CO2 reducing technologies used in its passenger cars deployed on the market in 2007 or, where those data are not available, for the following year closest to 2007, or in case of manufacturers planning to enter the market, for the year in which the derogation starts to apply;

(b) the list of CO2 reducing technologies used in its passenger cars under the reduction programme and the additional costs of these technologies for each vehicle version covered by the application.

The specific emissions target or yearly specific emissions targets shall be determined so that the average specific emissions at the expiry of the derogation period are reduced in comparison to the average specific emissions of CO2 referred to in paragraph 1.

The reduction programme shall specify the following:

(a) the timetable for introduction of CO2 reducing technologies in the applicant’s fleet;

(b) the estimated Union registrations per year for the period of the derogation and the expected average specific emissions of CO2 and average mass;

(c) in the case of yearly specific emissions targets, yearly improvement of specific CO2 emissions of the vehicle versions for which CO2 reducing technologies are introduced.

Article 6

Reduction target for a derogation pursuant to Article 11(4) of Regulation (EC) No 443/2009

Article 7

Assessment by the Commission

In the case of a rejection due to the incompleteness of the application or due to the Commission finding the proposed specific emissions target inconsistent with the applicant’s reduction potential, the applicant may submit a completed or revised application for a derogation.

Article 8

Public access to information

The exception from the right to public access to documents set out in Article 4(2) of Regulation (EC) No 1049/2001 of the European Parliament and of the Council (¹) shall be deemed to apply to the following types of information:

(a) details of the reduction programme referred to in Article 5, and in particular details concerning the development of the manufacturer’s product portfolio;

(b) expected impacts of CO2 reducing technologies on the production costs, purchase prices of vehicles and profitability of the company.

Article 9

Entry into force

This Regulation shall enter into force on the 20th day following its publication in the Official Journal of the European Union.

This Regulation shall be binding in its entirety and directly applicable in all Member States.

ANNEX I

Standard format of the application for a derogation to be submitted by manufacturers meeting the criteria of Article 11(1) of Regulation (EC) No 443/2009

The electronic version of the application shall be sent to the following email address:

EC-CO2-LDV-IMPLEMENTATION@ec.europa.eu

Names of manufacturer	Postal address	Contact person name	Contact person email	Contact person telephone number

2.1. Is the applicant part of a group of connected manufacturers? YES (declaration set out in Annex III to be attached) NO

2.2. Is the applicant part of a group of connected manufacturers but operates its own production facilities and design centre? YES (declaration set out in Annex III to be attached; see point 2.3) NO (see point 2.4 and 2.5)

2.3.	Number of registrations in the Union if the application refers to an unconnected manufacturer or connected manufacturer that operates its own production facilities and own design centre: 2.3.1.   Official figure in three calendar years preceding the date of application Year Number of EU registrations 2.3.2.   Where the official figure referred to in point 2.3.1 is not available for the period referred to therein, an estimate based on verifiable data Year Number of EU registrations 2.3.3.   Where the figures in point 2.3.1 and 2.3.2 are not available for that period, the figures for the last calendar year for which such data is available Year Number of EU registrations
Year
Number of EU registrations
Year
Number of EU registrations
Year
Number of EU registrations
2.4.	If the application refers to a group of connected manufacturers please provide the following: Names of manufacturer Postal address Contact person name Contact person e-mail Contact person telephone number
---	---	---	---
Names of manufacturer	Postal address	Contact person name	Contact person e-mail
2.5.	Number of registrations in the Union of a group of connected manufacturers if the application refers to a group of connected manufacturers and the applicant does not operate its own production facilities and own design centre: 2.5.1.   Official figure in three calendar years preceding the date of application Year Number of EU registrations 2.5.2.   Where the official figure referred to in point 2.5.1 is not available for the period referred to therein, an estimate based on verifiable data Year Number of EU registrations 2.5.3.   Where the figures in point 2.5.1 and 2.5.2 are not available for that period, the figure for the last calendar year for which such data is available Year Number of EU registrations
---	---	---	---
Year
Number of EU registrations
Year
Number of EU registrations
Year
Number of EU registrations
Number of calendar years (maximum 5)
---	---
Year
---	---	---	---
Average specific emission target (g CO2/km)
Year
---	---	---	---
Sales volumes
Year
---	---	---	---
Turnover

Information on planned products, not available on the market at the time of the application, should be provided in the confidential section of this application.

(a) the vehicle characteristics;

(b) the names and price ranges of directly competing vehicles in the year preceding the date of application;

(c) the price list of vehicles that are to be covered by the derogation in the calendar year preceding the date of application or in the closest year to the date of application.

CONFIDENTIAL SECTION OF THE APPLICATION

Year
Net profit
Year
---	---	---	---	---	---
R & D spending
Year
---	---	---	---	---	---
Net transfers

6.1.1. Vehicle characteristics;

6.1.2. Names and price ranges of directly competing vehicles in the year preceding the date of application;

6.1.3. Expected price list of vehicles to be covered by the derogation.

7.1. List of CO2 reducing technologies deployed in the applicant’s fleet in 2007;

7.2. Where the list referred to in point 7.1 is not available, the list for the following year closest to 2007;

7.3. In case of applicants planning to enter the Union market, the list referred to in point 7.1 should be provided for the first year of the derogation.

8.1. Timetable for deployment of CO2 reducing technologies in the fleet;

8.3. CO2 reducing technologies to be deployed in the applicant’s fleet under the reduction programme;

8.4. The additional costs per vehicle version of the technologies to be deployed as part of the programme;

8.5. In the case of yearly targets, yearly improvement of specific CO2 emissions of the vehicle versions for which CO2 reducing technologies are introduced.

ANNEX II

Standard format of the application for derogation to be submitted by manufacturers meeting the criteria of Article 11(4) of Regulation (EC) No 443/2009

PUBLIC SECTION OF THE APPLICATION

Names of manufacturer	Postal address	Contact person name	Contact person e-mail	Contact person telephone number

2.1. Is the applicant part of a group of connected manufacturers? YES (declaration set out in Annex III to be attached; see point 2.3) NO (see point 2.2)

2.2.	Number of registrations in the Union if the application refers to unconnected manufacturer: 2.2.1.   Official figure in the last calendar year preceding the date of application Year Number of EU registrations 2.2.2. Where the official figure referred to in point 2.2.1 is not available for the period referred to therein, an estimate based on verifiable data Year Number of EU registrations 2.2.3. Where the figures in point 2.2.1 and 2.2.2 are not available for that period, the figure for the last calendar year for which such data is available Year Number of EU registrations
Year
Number of EU registrations
2.2.2.	Where the official figure referred to in point 2.2.1 is not available for the period referred to therein, an estimate based on verifiable data Year Number of EU registrations
Year
Number of EU registrations
2.2.3.	Where the figures in point 2.2.1 and 2.2.2 are not available for that period, the figure for the last calendar year for which such data is available Year Number of EU registrations
Year
Number of EU registrations
2.3.	If the application refers to a group of connected manufacturers: 2.3.1.   The names of connected manufacturers 2.3.2. The number of registrations in the Union in the calendar year preceding the date of application of a group of connected manufacturers Year Number of EU registrations 2.3.3. Where the figure referred to in point 2.3.2 is not available, the figure or an estimate based on verifiable data for the last calendar year for which such data is available Year Number of EU registrations
---	---
2.3.2.	The number of registrations in the Union in the calendar year preceding the date of application of a group of connected manufacturers Year Number of EU registrations
Year
Number of EU registrations
2.3.3.	Where the figure referred to in point 2.3.2 is not available, the figure or an estimate based on verifiable data for the last calendar year for which such data is available Year Number of EU registrations
Year
Number of EU registrations

Information on planned products, not available on the market at the time of the application, should be provided in the confidential section of this application.

3.1. Average specific CO2 emissions in 2007 if not included in Annex IV to this Regulation

3.2. If data for 2007 is not available, the following:

CONFIDENTIAL SECTION OF THE APPLICATION

5.1. Vehicle characteristics of all cars

5.2. List of cars grouped per vehicle class as set out in Annex V

5.3. Expected EU registrations of vehicles in the first year of the derogation

ANNEX III

Standard format of the declaration stating the structure of ownership

Article 11(1)(a) of Regulation (EC) No 443/2009

I hereby declare that I am legally empowered to represent [name] (the manufacturer) applying for a derogation as foreseen in Article 11(1) of Regulation (EC) No 443/2009 which is not part of a group of connected manufacturers as defined in Article 3(2) thereof. To the best of my knowledge the [name] (the manufacturer) is eligible to apply for a derogation as foreseen in Article 11(1) of Regulation (EC) No 443/2009 and that the information contained in the application is true and accurate. Information on the ownership structure of [name] (the manufacturer) is annexed.

Signature	Date
Director of [manufacturer]

Article 11(1)(b) or 11(4)(a) of Regulation (EC) No 443/2009

I hereby declare that I am legally empowered to represent [name] (the manufacturer) applying for a derogation as foreseen in Article 11[(1)] [(4)] (¹) of Regulation (EC) No 443/2009 which is part of a group of connected manufacturers as defined in Article 3(2) thereof. To the best of my knowledge the [name] (the manufacturer) is eligible to apply for a derogation as foreseen in Article 11[(1)] [(4)]) (1)  of Regulation (EC) No 443/2009 and that the information contained in the application is true and accurate. Information on the ownership structure of [name] (the manufacturer) is annexed.

Signature	Date
Director of [manufacturer]

Article 11(1)(c) of Regulation (EC) No 443/2009