Sustainability criteria for the production of biofuels and bioliquids for energy applications - Principles, criteria, indicators and verifiers - Part 2: Conformity assessment including chain of custody and mass balance

This Technical Specification defines requirements for provision by economic operators of the required evidence that biofuels and bioliquids fulfil the sustainability criteria as defined in the Renewable Energy Directive [1]. This Technical Specification is applicable to the initial biomass production or to the point of collection for waste and residue and to each stage within the chain of custody. It also defines requirements on conformity assessment bodies when checking compliance with the present standard.
This revision is basically a small amendment to align the text with the new requirements following the iLUC Directive and include the changes listed in in document N 224 as agreed upon during the plenary meeting.

Nachhaltigkeitskriterien für die Herstellung von Biokraftstoffen und flüssigen Biobrennstoffen für Energieanwendungen - Grundsätze, Kriterien, Indikatoren und Prüfer - Teil 2: Konformitätsbewertung einschließlich überwachter Lieferkette und Massenbilanz

Dieses Dokument legt eine Reihe von Regeln und Verfahren als Rahmen für die Konformitätsbewertung fest, die Biokrafstoffe und flüssige Biobrennstoffe als Gegenstand der Konformitätsbewertung beschreiben, die die anwendbaren festgelegten Anforderungen identifizieren und die Methodik zur Durchführung der Konformitätsbewertung bereitstellen. Es (diese Reihe von Regeln und Verfahren) legt Anforderungen dafür fest, wie die Wirtschaftsteilnehmer nachzuweisen haben, dass Biokraftstoffe und flüssige Biobrennstoffe die Nachhaltigkeitskriterien entsprechend den Festlegungen der Erneuerbare-Energien-Richtlinie [1] und der Richtlinie 2015/1513 [3] erfüllen. Dieses Dokument ist auf die Urproduktion der Biomasse oder Sammelstelle von Abfällen und Reststoffen sowie auf alle Abschnitte innerhalb der überwachten Lieferkette anwendbar. Außerdem werden Anforderungen an Konformitätsbewertungsstellen bei der Überprüfung der Übereinstimmung mit dem derzeitigen Standard festgelegt.
ANMERKUNG 1   Diese Ausgabe der Norm deckt die Anforderungen der Richtlinie (EU) 2018/2001 (Neufassung der Erneuerbare-Energien-Richtlinie; bezeichnet als RED II) nicht ab.
ANMERKUNG 2   Ein Beispiel für eine Lieferkette von Biokraftstoffen und flüssigen Biobrennstoffen, die von der überwachten Lieferkette zu erfassen ist, wird in Bild 1 dargestellt. Diese Lieferkette ist vereinfacht dargestellt, die tatsächlichen Lieferketten sind im Allgemeinen komplexer.

Critères de durabilité pour la production de biocarburants et de bioliquides pour des applications énergétiques - Principes, critères, indicateurs et vérificateurs - Partie 2: évaluation de la conformité, incluant chaîne de surveillance et bilan massique

Merila trajnostnosti za proizvodnjo biogoriv in biotekočin za uporabo v energetiki - Načela, merila, kazalniki in preskuševalniki - 2. del: Ugotavljanje skladnosti, vključno s postopki nadzora in masne bilance

General Information

Status
Published
Public Enquiry End Date
30-Jan-2019
Publication Date
05-Nov-2020
Technical Committee
Current Stage
6060 - National Implementation/Publication (Adopted Project)
Start Date
14-Oct-2020
Due Date
19-Dec-2020
Completion Date
06-Nov-2020

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SLOVENSKI STANDARD
SIST-TS CEN/TS 16214-2:2020
01-december-2020
Nadomešča:
SIST-TS CEN/TS 16214-2:2014

Merila trajnostnosti za proizvodnjo biogoriv in biotekočin za uporabo v energetiki -

Načela, merila, kazalniki in preskuševalniki - 2. del: Ugotavljanje skladnosti,
vključno s postopki nadzora in masne bilance

Sustainability criteria for the production of biofuels and bioliquids for energy applications

- Principles, criteria, indicators and verifiers - Part 2: Conformity assessment including

chain of custody and mass balance
Nachhaltigkeitskriterien für die Herstellung von Biokraftstoffen und flüssigen

Biobrennstoffen für Energieanwendungen - Grundsätze, Kriterien, Indikatoren und Prüfer

- Teil 2: Konformitätsbewertung einschließlich überwachter Lieferkette und
Massenbilanz

Critères de durabilité pour la production de biocarburants et de bioliquides pour des

applications énergétiques - Principes, critères, indicateurs et vérificateurs - Partie 2:

évaluation de la conformité, incluant chaîne de surveillance et bilan massique
Ta slovenski standard je istoveten z: CEN/TS 16214-2:2020
ICS:
27.190 Biološki viri in drugi Biological sources and
alternativni viri energije alternative sources of energy
SIST-TS CEN/TS 16214-2:2020 en,fr,de

2003-01.Slovenski inštitut za standardizacijo. Razmnoževanje celote ali delov tega standarda ni dovoljeno.

---------------------- Page: 1 ----------------------
SIST-TS CEN/TS 16214-2:2020
---------------------- Page: 2 ----------------------
SIST-TS CEN/TS 16214-2:2020
CEN/TS 16214-2
TECHNICAL SPECIFICATION
SPÉCIFICATION TECHNIQUE
September 2020
TECHNISCHE SPEZIFIKATION
ICS 75.160.40; 27.190 Supersedes CEN/TS 16214-2:2014
English Version
Sustainability criteria for the production of biofuels and
bioliquids for energy applications - Principles, criteria,
indicators and verifiers - Part 2: Conformity assessment
including chain of custody and mass balance

Critères de durabilité pour la production de Nachhaltigkeitskriterien für die Herstellung von

biocarburants et de bioliquides pour des applications Biokraftstoffen und flüssigen Biobrennstoffen für

énergétiques - Principes, critères, indicateurs et Energieanwendungen - Grundsätze, Kriterien,

vérificateurs - Partie 2: évaluation de la conformité, Indikatoren und Prüfer - Teil 2:

incluant chaîne de surveillance et bilan massique Konformitätsbewertung einschließlich überwachter

Lieferkette und Massenbilanz

This Technical Specification (CEN/TS) was approved by CEN on 17 August 2020 for provisional application.

The period of validity of this CEN/TS is limited initially to three years. After two years the members of CEN will be requested to

submit their comments, particularly on the question whether the CEN/TS can be converted into a European Standard.

CEN members are required to announce the existence of this CEN/TS in the same way as for an EN and to make the CEN/TS

available promptly at national level in an appropriate form. It is permissible to keep conflicting national standards in force (in

parallel to the CEN/TS) until the final decision about the possible conversion of the CEN/TS into an EN is reached.

CEN members are the national standards bodies of Austria, Belgium, Bulgaria, Croatia, Cyprus, Czech Republic, Denmark, Estonia,

Finland, France, Germany, Greece, Hungary, Iceland, Ireland, Italy, Latvia, Lithuania, Luxembourg, Malta, Netherlands, Norway,

Poland, Portugal, Republic of North Macedonia, Romania, Serbia, Slovakia, Slovenia, Spain, Sweden, Switzerland, Turkey and

United Kingdom.
EUROPEAN COMMITTEE FOR STANDARDIZATION
COMITÉ EUROPÉEN DE NORMALISATION
EUROPÄISCHES KOMITEE FÜR NORMUNG
CEN-CENELEC Management Centre: Rue de la Science 23, B-1040 Brussels

© 2020 CEN All rights of exploitation in any form and by any means reserved Ref. No. CEN/TS 16214-2:2020 E

worldwide for CEN national Members.
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SIST-TS CEN/TS 16214-2:2020
CEN/TS 16214-2:2020 (E)
Contents Page

European foreword ....................................................................................................................................................... 3

Introduction .................................................................................................................................................................... 4

1 Scope .................................................................................................................................................................... 6

2 Normative references .................................................................................................................................... 6

3 Terms and definitions ................................................................................................................................... 7

4 Principle ............................................................................................................................................................. 7

5 Requirements for conformity assessment ............................................................................................. 7

5.1 Basic elements .................................................................................................................................................. 7

5.2 Requirements for sustainability ................................................................................................................ 8

5.3 Requirements for economic operators ................................................................................................... 9

5.4 Competence of conformity assessment bodies .................................................................................... 9

5.5 Requirements for the conformity assessment process ..................................................................... 9

5.5.1 General requirements ................................................................................................................................... 9

5.5.2 Conformity assessment process ................................................................................................................ 9

6 Requirements for chain of custody control – mass balance method ......................................... 10

6.1 Basic elements for application of the mass balande method ....................................................... 10

6.2 Product declaration – Identification of compliant consignment ................................................ 11

6.3 Management system requirements ....................................................................................................... 12

6.3.1 General ............................................................................................................................................................. 12

6.3.2 Commitment .................................................................................................................................................. 12

6.3.3 Responsibilities and authorities ............................................................................................................. 12

6.3.4 Documentation .............................................................................................................................................. 12

6.3.5 Records ............................................................................................................................................................ 13

Annex A (informative) Examples of conformity assessments procedures ........................................... 14

Annex B (informative) Checklists ........................................................................................................................ 15

B.1 Initial audit (focus on management system)...................................................................................... 15

B.2 Surveillance audit (focus on data verification) ................................................................................. 16

Annex C (informative) Example of use of self-declaration documents in a group-auditing

scheme ............................................................................................................................................................. 18

Annex D (informative) Example of use of conformity of specific consignments ................................ 20

Annex E (informative) Example of mass balance........................................................................................... 22

Annex F (informative) Examples for GHG balance ........................................................................................ 26

Annex G (informative) Example of product declaration ............................................................................. 29

Annex H (informative) Relationship between this document and the Essential
Requirements of EU Directives 2009/28/EC and 98/70/EC, amended by Directive

2015/1513 ...................................................................................................................................................... 30

Bibliography ................................................................................................................................................................. 34

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SIST-TS CEN/TS 16214-2:2020
CEN/TS 16214-2:2020 (E)
European foreword

This document (CEN/TS 16214-2:2020) has been prepared by Technical Committee CEN/TC 383

“Sustainably produced biomass for energy applications”, the secretariat of which is held by NEN.

Attention is drawn to the possibility that some of the elements of this document may be the subject of

patent rights. CEN shall not be held responsible for identifying any or all such patent rights.

This document supersedes CEN/TS 16214-2:2014.
It has been aligned with amended regulations [3].

According to the CEN/CENELEC Internal Regulations, the national standards organisations of the

following countries are bound to announce this Technical Specification: Austria, Belgium, Bulgaria,

Croatia, Cyprus, Czech Republic, Denmark, Estonia, Finland, France, Germany, Greece, Hungary, Iceland,

Ireland, Italy, Latvia, Lithuania, Luxembourg, Malta, Netherlands, Norway, Poland, Portugal, Republic of

North Macedonia, Romania, Serbia, Slovakia, Slovenia, Spain, Sweden, Switzerland, Turkey and the United

Kingdom.
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SIST-TS CEN/TS 16214-2:2020
CEN/TS 16214-2:2020 (E)
Introduction

Directive 2009/28/EC of the European Commission on the promotion of the use of energy from

renewable sources, referred to as the Renewable Energy Directive (RED, [1]), incorporates an advanced

binding sustainability scheme for biofuels and bioliquids for the European market. The RED contains

binding sustainability criteria for greenhouse gas savings, land with high biodiversity value, land with

high carbon stock and agro-environmental practices. Several articles in the RED present requirements to

European Member States and to economic operators in Europe. Non-EU countries may have different

requirements and criteria on, for instance, the GHG emission reduction set-off in the framework of their

own national legislation.

The sustainability criteria for biofuels are also mandated in Directive 98/70/EC relating to the quality of

petrol and diesel fuels [2], via the amending Directive 2009/30/EC (as regards the specification of petrol,

diesel and gas-oil and introducing a mechanism to monitor and reduce greenhouse gas emissions, [43]).

Directive 98/70/EC is referred to as the Fuels Quality Directive (FQD).

Directive 2015/1513 [3], referred to as the ILUC Directive, amends both the RED and the FQD.

Created in 2008, CEN/TC 383 initiated the elaboration of a standardization programme on sustainability

criteria for biomass for energy application. After being contacted by CEN, the European Commission in

return in May 2009 formally wrote to request CEN to work on standard(s) on:
— the implementation of the mass balance method of custody chain management;

— the provisions of evidence that the production of raw material has not interfered with nature

protection purpose;

— the auditing by member states and by voluntary schemes using them of the information submitted

by economic operators.

Both the EC and CEN agreed that these may play a role in the implementation of the EU biofuel and

bioliquid sustainability scheme. In the Communication from the Commission on the practical

implementation of the EU biofuels and bioliquids sustainability scheme and on counting rules for biofuels

(2010/C 160/02, [54]), awareness of the CEN work is indicated.

It is widely accepted that sustainability at large encompasses environmental, social and economic

aspects. The European Directives make mandatory the compliance of several sustainability criteria for

biofuels and bioliquids. This European Standard has been developed with the aim to assist EU Member

States and economic operators with the implementation of EU biofuel and bioliquids sustainability

requirements mandated by the European Directives. This document is limited to certain aspects relevant

for a sustainability assessment of biomass produced for energy applications. Therefore compliance with

parts of CEN/TS 16214 or parts of EN 16214 alone does not substantiate claims of the biomass being

produced sustainably.

This document defines requirements for the verification of compliance with the sustainability criteria for

biofuels and bioliquids, in accordance with legal requirements, such as in Article 18 of the RED [1]. In

particular, this document defines requirements for an adequate standard of independent auditing of the

information submitted by economic operators (Clause 5), and the implementation by economic

operators, of the mass balance method of chain of custody control (Clause 6).

This document is a tool that can be used as part of voluntary schemes, national systems or bilateral

agreements.
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SIST-TS CEN/TS 16214-2:2020
CEN/TS 16214-2:2020 (E)
This document defines requirements for a mass balance system which:

a) allows consignments of raw material or biofuel or bioliquids with differing sustainability

characteristics to be mixed;

b) requires information about the sustainability characteristics and sizes of the consignments referred

to in a) to remain assigned to the mixture; and

c) provides for the sum of all consignments withdrawn from the mixture to be described as having the

same sustainability characteristics, in the same quantities, as the sum of all consignments added to

the mixture.

Each economic operator in the chain of custody is responsible for the data supplied in the product

declarations submitted to the next economic operator as detailed in 5.1. The validity of these declarations

is assessed through conformity assessment procedures carried out as described in Clause 5 of this

document.

Where applicable, the different parts of CEN/TS 16214 and EN 16214 contain at the end an annex that

informs the user of the link between the requirements in the European Directive and the requirements

in the CEN Standard.
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SIST-TS CEN/TS 16214-2:2020
CEN/TS 16214-2:2020 (E)
1 Scope

This document specifies a set of rules and procedures as a framework for conformity assessment

describing biofuels and bioliquids as the objects of conformity assessment, identifying the applicable

specified requirements and providing the methodology for performing conformity assessment. It (this

set of rules and procedures) defines requirements for provision by economic operators of the required

evidence that biofuels and bioliquids fulfil the sustainability criteria as defined in the Renewable Energy

Directive [1] and in Directive 2015/1513 [3]. This document is applicable to the initial biomass

production or to the point of collection for waste and residue and to each stage within the chain of

custody. It also defines requirements on conformity assessment bodies when checking compliance with

the present standard.

NOTE 1 This edition of the standard does not cover the requirements in Directive 2018/EU/2001, the recast of

the Renewable Energy Directive (referred to as RED II).

NOTE 2 An example of supply chain of biofuels and bioliquids to be covered by the chain of custody is given in

Figure 1. This supply chain is a simple representation, actual supply chains are typically more complex.

Figure 1 — Example of a supply chain of biofuels and bioliquids
2 Normative references

The following documents are referred to in the text in such a way that some or all of their content

constitutes requirements of this document. For dated references, only the edition cited applies. For

undated references, the latest edition of the referenced document (including any amendments) applies.

EN 16214-1:2012, Sustainability criteria for the production of biofuels and bioliquids for energy

applications - Principles, criteria, indicators and verifiers - Part 1: Terminology

EN 16214-3, Sustainability criteria for the production of biofuels and bioliquids for energy applications –

Principles, criteria, indicators and verifiers – Part 3: Biodiversity and environmental aspects related to

nature protection purposes

EN 16214-4, Sustainability criteria for the production of biofuels and bioliquids for energy applications -

Principles, criteria, indicators and verifiers - Part 4: Calculation methods of the greenhouse gas emission

balance using a life cycle analysis approach
---------------------- Page: 8 ----------------------
SIST-TS CEN/TS 16214-2:2020
CEN/TS 16214-2:2020 (E)
EN ISO/IEC 17000:2004, Conformity assessment – Vocabulary and general principles
(ISO/IEC 17000:2004)

EN ISO/IEC 17050-1, Conformity assessment – Supplier’s declaration of conformity – Part 1: General

requirements (ISO/IEC 17050-1)

EN ISO/IEC 17050-2, Conformity assessment – Supplier’s declaration of conformity – Part 2: Supporting

documentation (ISO/IEC 17050-2)
3 Terms and definitions

For the purposes of this document, the terms and definitions given in EN ISO/IEC 17000:2004 and

EN 16214-1:2012 apply.

ISO and IEC maintain terminological databases for use in standardization at the following addresses:

— IEC Electropedia: available at http://www.electropedia.org/
— ISO Online browsing platform: available at https://www.iso.org/obp
4 Principle

This document defines the requirements for the economic operators, based on the following principles:

1) Economic operators transfer the data of their consignments to the next operator through a product

declaration, and need to meet the sustainability requirements as laid down in this document, and

2) Economic operators have the possibility to follow the conformity assessment procedures set out in

this document (see 5.1.5).
5 Requirements for conformity assessment
5.1 Basic elements

5.1.1 In order to ensure that the sustainability criteria for biofuels and bioliquids are fulfilled different

conformity assessment procedures as described in this clause shall be used.

5.1.2 Each economic operator shall issue a product declaration in accordance with 6.2 and on the basis

of EN ISO/IEC 17050-1 and EN ISO/IEC 17050-2 for each consignment it delivers. The product

declaration is the basis of further conformity assessment procedures.

5.1.3 The economic operator can be assessed whether it fulfils the requirements for economic

operators described in 5.3.

5.1.4 When an economic operator takes delivery from an economic operator which has not been

assessed according to 5.4, it shall take responsibility for the sustainability data of the delivering non-

assessed operator within its own assessment scope, including verification of supplier. This may be

extended to cover previous economic operators and up to the full chain of custody.

5.1.5 The economic operator shall be assessed.

NOTE This assessment can be done by a conformity assessment body in accordance with European and

national legislation in this regard, the requirements of EC recognized voluntary schemes or with the requirements

of a national system (see 5.5). The result of this assessment is a conformity assessment statement issued by the

conformity assessment body.
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SIST-TS CEN/TS 16214-2:2020
CEN/TS 16214-2:2020 (E)
5.2 Requirements for sustainability

5.2.1 The consignments taken into account for this document shall not be made from raw material

obtained from land with high biodiversity value, namely land that had one of the following statuses in or

after January 2008, whether or not the land continues to have that status:

a) primary forest and other wooded land, namely forest and other wooded land of native species, where

there is no clearly visible indication of human activity and the ecological processes are not

significantly disturbed;
b) areas designated:

1) by law or by the relevant competent authority for nature protection purposes; or

2) for the protection of rare, threatened or endangered ecosystems or species recognized by

international agreements or included in lists drawn up by intergovernmental organisations or

the International Union for the Conservation of Nature, unless evidence is provided that the

production of that raw material did not interfere with those nature protection purposes;

c) highly biodiverse grassland that is:

1) natural, namely grassland that would remain grassland in the absence of human intervention

and which maintains the natural species composition and ecological characteristics and

processes; or

2) non-natural, namely grassland that would cease to be grassland in the absence of human

intervention and which is species-rich and not degraded, unless evidence is provided that the

harvesting of the raw material is necessary to preserve its grassland status.

5.2.2 The consignments taken into account for this document shall not be made from raw material

obtained from land with high carbon stock, namely land that had one of the following statuses in January

2008 and no longer has that status:

a) wetlands, namely land that is covered with or saturated by water permanently or for a significant

part of the year;

b) continuously forested areas, namely land spanning more than one hectare with trees higher than five

metres and a canopy cover of more than 30 %, or trees able to reach those thresholds in situ;

c) land spanning more than one hectare with trees higher than five metres and a canopy cover of

between 10 % and 30 %, or trees able to reach those thresholds in situ, without providing that the

carbon stock of the area before and after conversion is included in the GHG balance of the

consignment,

The provisions of this paragraph shall not apply if, at the time the raw material was obtained, the land

had the same status as it had in January 2008.

5.2.3 The consignments taken into account for this document shall not be made from raw material

obtained from land that was peatland in January 2008, unless evidence is provided that the cultivation

and harvesting of that raw material does not involve drainage of previously undrained soil.

5.2.4 The greenhouse gas emission saving from the use of biofuels and bioliquids taken into account

for this document shall be at least 50 %.
---------------------- Page: 10 ----------------------
SIST-TS CEN/TS 16214-2:2020
CEN/TS 16214-2:2020 (E)

The greenhouse gas emission saving shall be at least 60 % for biofuels and bioliquids produced in

installations starting operation after 5th October 2017. An installation shall be considered to be in

operation if the physical production of biofuels or bioliquids has taken place.
5.3 Requirements for economic operators
Requirements for economic operators consist of:
a) Compliance with the land-related criteria:

1) For raw materials for biofuel production (except for waste and processing residues, but

including agricultural, aquaculture, fisheries and forestry residues) compliance with

environmental criteria in 5.2.1 to 5.2.3. EN 16214-3 shall be used as guidance for verifying

compliance as regards the exceptions from the land-use related requirements.

2) For agricultural material cultivated within EU, compliance with requirements referred under the

heading ‘Environment’ in part A and in point 9 of Annex II to Council regulation (EC) 73/2009

and with minimum requirements for good agricultural and environmental condition defined

pursuant to Article 6(1) of that regulation [6].
b) Compliance with the mass balance requirements detailed in 6.1.

c) Compliance with the requirements for GHG emission savings according to 5.2.4. EN 16214-4 shall be

used as guidance for calculating the GHG emission savings.

d) Compliance of the product declaration provided to the next economic operator in the chain of

custody to 6.2.
e) Compliance of the management system to 6.3.
5.4 Competence of conformity assessment bodies

All conformity assessment bodies doing any conformity assessment work under this document shall first

have demonstrated, and shall then continue to demonstrate, that they are competent to do that work.

One of the ways for conformity assessment bodies or individuals to demonstrate competence is to obtain

accreditation from their national accreditation body or approval from the responsible authority from a

EU Member State in accordance with such arrangements as are made by that government for

implementation of the directive in that country.
5.5 Requirements for the conformity assessment process
5.5.1 General requirements

Conformity assessment shall be undertaken by an independent conformity assessment body.

The requirements that shall be included in the conformity assessment process are specified in 5.2.

Conformity assessments based on this document are open for all conformity assessment bodies fulfilling

the requirements as stated in 5.4. The level of auditing recommended is a limited assurance level

according to ISAE 3000 [7].
5.5.2 Conformity assessment process
5.5.2.1 General

The conformity assessment process shall consist of conducting special audits described in 5.5.2.2 and

5.5.2.3. For a checklist that may be used see Annex B.
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SIST-TS CEN/TS 16214-2:2020
CEN/TS 16214-2:2020 (E)

Compliance with the sustainability requirements of this document may be demonstrated by conformity

assessment processes other than those defined in 5.1. In this case, economic operators may use the

following options to demonstrate compliance with:

— Group auditing systems (see Annex A, Example 3) - in particular for farmers, producer organisations

and cooperatives. Conformity assessment is done on a sample of units. Such an example is given in

Annex C. Group auditing for compliance with the scheme's land related criteria is only acceptable

when the areas concerned are near each other and have similar sustainability characteristics. Group

auditing for the purpose of calculating greenhouse gas savings is only acceptable when the units have

similar production systems and products.
— Conformity assessments of specific consignments as described in Annex D.

NOTE For ”small-holder” farmers, producer organisations and cooperatives relevant conformity assessment

processes can be used, e.g. “group auditing” regarding 2.2.2 in communication 2010/C 160/01 [5].

5.5.2.2 Initial audit

This is the first procedure for assessment if the economic operator has not been assessed previously or

has no valid conformity assessment statement according to this document (initial assessment, before

delivery of first consignment). The conformity assessment process will specifically check the conformity

of the management system as described in 6.3 and whether the operator fulfils all the requirements set

out in this document, as described in 5.2.
5.5.2.3 Surveillance audit

This is the assessment procedure used during the surveillance visits and when the economic operator

has been assessed previously and has a valid conformity assessment statement running according to this

document. The conformity assessment process will verify whether the conditions for issuing the first

conformity assessment statement are still in place.

Furthermore, it will check the conformity of the data supplied product declarations according to this

document, the conformity of the operator according to 5.2 as well as all the data requirements as set out

in 6.2 and the conformity of the mass balances with 6.1.
6 Requirements for chain of custody control – mass balance method
6.1 Basic elements for application of the mass balande method

The mass balance method shall balance the sustainability data, including GHG emission data, taken from

the product declarations as defined in 6.2, of all consignments at the end of the inventory period. An

example of such a mass balance is given in Annex E. The sustainability data from the proportion of

compliant consignments that are not destined for use as biofuels and bioliquids shall be excluded from

the mass balance calculation, to avoid allocation of sustainability data to only the bioenergy consignments

portion.

When consignments with different (or no) sustainability characteristics are mixed, the separate sizes and

sustainability characteristics of each consignment remain assigned to the mixture.

If a mixture is split up, any consignment taken out of it may be assigned any of the sets of sustainability

characteristics (accompanied with sizes) as long as the c
...

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kSIST-TS FprCEN/TS 16214-2:2019
01-januar-2019

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Sustainability criteria for the production of biofuels and bioliquids for energy applications -

Principles, criteria, indicators and verifiers - Part 2: Conformity assessment including

chain of custody and mass balance
Nachhaltigkeitskriterien für die Herstellung von Biokraftstoffen und flüssigen

Biobrennstoffen für Energieanwendungen - Grundsätze, Kriterien, Indikatoren und Prüfer

- Teil 2: Konformitätsbewertung einschließlich überwachter Lieferkette und
Massenbilanz

Critères de durabilité pour la production de biocarburants et de bioliquides pour des

applications énergétiques - Principes, critères, indicateurs et vérificateurs - Partie 2:

évaluation de la conformité, incluant chaîne de surveillance et bilan massique
Ta slovenski standard je istoveten z: FprCEN/TS 16214-2
ICS:
27.190 Biološki viri in drugi Biological sources and
alternativni viri energije alternative sources of energy
kSIST-TS FprCEN/TS 16214-2:2019 en,fr,de

2003-01.Slovenski inštitut za standardizacijo. Razmnoževanje celote ali delov tega standarda ni dovoljeno.

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kSIST-TS FprCEN/TS 16214-2:2019
FINAL DRAFT
TECHNICAL SPECIFICATION
FprCEN/TS 16214-2
SPÉCIFICATION TECHNIQUE
TECHNISCHE SPEZIFIKATION
November 2018
ICS 75.160.40; 27.190 Will supersede CEN/TS 16214-2:2014
English Version
Sustainability criteria for the production of biofuels and
bioliquids for energy applications - Principles, criteria,
indicators and verifiers - Part 2: Conformity assessment
including chain of custody and mass balance

Critères de durabilité pour la production de Nachhaltigkeitskriterien für die Herstellung von

biocarburants et de bioliquides pour des applications Biokraftstoffen und flüssigen Biobrennstoffen für

énergétiques - Principes, critères, indicateurs et Energieanwendungen - Grundsätze, Kriterien,

vérificateurs - Partie 2: évaluation de la conformité, Indikatoren und Prüfer - Teil 2:

incluant chaîne de surveillance et bilan massique Konformitätsbewertung einschließlich überwachter

Lieferkette und Massenbilanz

This draft Technical Specification is submitted to CEN members for Vote. It has been drawn up by the Technical Committee

CEN/TC 383.

CEN members are the national standards bodies of Austria, Belgium, Bulgaria, Croatia, Cyprus, Czech Republic, Denmark, Estonia,

Finland, Former Yugoslav Republic of Macedonia, France, Germany, Greece, Hungary, Iceland, Ireland, Italy, Latvia, Lithuania,

Luxembourg, Malta, Netherlands, Norway, Poland, Portugal, Romania, Serbia, Slovakia, Slovenia, Spain, Sweden, Switzerland,

Turkey and United Kingdom.

Recipients of this draft are invited to submit, with their comments, notification of any relevant patent rights of which they are

aware and to provide supporting documentation.

Warning : This document is not a Technical Specification. It is distributed for review and comments. It is subject to change

without notice and shall not be referred to as a Technical Specification.
EUROPEAN COMMITTEE FOR STANDARDIZATION
COMITÉ EUROPÉEN DE NORMALISATION
EUROPÄISCHES KOMITEE FÜR NORMUNG
CEN-CENELEC Management Centre: Rue de la Science 23, B-1040 Brussels

© 2018 CEN All rights of exploitation in any form and by any means reserved Ref. No. FprCEN/TS 16214-2:2018 E

worldwide for CEN national Members.
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Contents Page

European foreword ....................................................................................................................................................... 3

Introduction .................................................................................................................................................................... 4

1 Scope .................................................................................................................................................................... 6

2 Normative references .................................................................................................................................... 6

3 Terms and definitions ................................................................................................................................... 7

4 Principle ............................................................................................................................................................. 7

5 Requirements for conformity assessment ............................................................................................. 7

5.1 Basic elements .................................................................................................................................................. 7

5.2 Requirements for sustainability ................................................................................................................ 8

5.3 Requirements for economic operators ................................................................................................... 9

5.4 Competence of conformity assessment bodies .................................................................................... 9

5.5 Requirements for the conformity assessment process ..................................................................... 9

5.5.1 General requirements ................................................................................................................................... 9

5.5.2 Conformity assessment process ............................................................................................................. 10

6 Requirements for chain of custody control – mass balance method ......................................... 10

6.1 Basic elements for application of the mass balande method ....................................................... 10

6.2 Product declaration – Identification of compliant consignment ................................................ 11

6.3 Management system requirements ....................................................................................................... 12

6.3.1 General ............................................................................................................................................................. 12

6.3.2 Commitment .................................................................................................................................................. 12

6.3.3 Responsibilities and authorities ............................................................................................................. 12

6.3.4 Documentation .............................................................................................................................................. 13

6.3.5 Records ............................................................................................................................................................ 13

Annex A (informative) Examples of conformity assessments procedures ........................................... 14

Annex B (informative) Checklists ........................................................................................................................ 15

B.1 Initial audit (focus on management system)...................................................................................... 15

B.2 Surveillance audit (focus on data verification) ................................................................................. 17

Annex C (informative) Example of use of self-declaration documents in a group-auditing

scheme ............................................................................................................................................................. 18

Annex D (informative) Example of use of conformity of specific consignments ................................ 20

Annex E (informative) Example of mass balance........................................................................................... 22

Annex F (informative) Examples for GHG balance ........................................................................................ 26

Annex G (informative) Example of product declaration ............................................................................. 29

Annex H (informative) Relationship between this Technicla Specification and the Essential

Requirements of EU Directives 2009/28/EC and 98/70/EC, amended by Directive

2015/1513 ...................................................................................................................................................... 30

Bibliography ................................................................................................................................................................. 34

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European foreword

This document (FprCEN/TS 16214-2:2018) has been prepared by Technical Committee CEN/TC 383

“Sustainably produced biomass for energy applications”, the secretariat of which is held by NEN.

This document is currently submitted to the Formal Vote.
This document will supersede CEN/TS 16214-2:2014.
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Introduction

Directive 2009/28/EC of the European Commission on the promotion of the use of energy from

renewable sources, referred to as the Renewable Energy Directive (RED, [1]), incorporates an advanced

binding sustainability scheme for biofuels and bioliquids for the European market. The RED contains

binding sustainability criteria for greenhouse gas savings, land with high biodiversity value, land with

high carbon stock and agro-environmental practices. Several articles in the RED present requirements

to European Member States and to economic operators in Europe. Non-EU countries may have different

requirements and criteria on, for instance, the GHG emission reduction set-off in the framework of their

own national legislation.

The sustainability criteria for biofuels are also mandated in Directive 98/70/EC relating to the quality

of petrol and diesel fuels [2], via the amending Directive 2009/30/EC (as regards the specification of

petrol, diesel and gas-oil and introducing a mechanism to monitor and reduce greenhouse gas

emissions, [43]). Directive 98/70/EC is referred to as the Fuels Quality Directive (FQD).

Directive 2015/1513 [3], referred to as the ILUC Directive, amends both the RED and the FQD.

Created in 2008, CEN/TC 383 initiated the elaboration of a standardization programme on

sustainability criteria for biomass for energy application. After being contacted by CEN, the European

Commission in return in May 2009 formally wrote to request CEN to work on standard(s) on:

— the implementation of the mass balance method of custody chain management;

— the provisions of evidence that the production of raw material has not interfered with nature

protection purpose;

— the auditing by member states and by voluntary schemes using them of the information submitted

by economic operators.

Both the EC and CEN agreed that these may play a role in the implementation of the EU biofuel and

bioliquid sustainability scheme. In the Communication from the Commission on the practical

implementation of the EU biofuels and bioliquids sustainability scheme and on counting rules for

biofuels (2010/C 160/02, [54]), awareness of the CEN work is indicated.

It is widely accepted that sustainability at large encompasses environmental, social and economic

aspects. The European Directives make mandatory the compliance of several sustainability criteria for

biofuels and bioliquids. This European Standard has been developed with the aim to assist EU Member

States and economic operators with the implementation of EU biofuel and bioliquids sustainability

requirements mandated by the European Directives. This document is limited to certain aspects

relevant for a sustainability assessment of biomass produced for energy applications. Therefore

compliance with this document or parts thereof alone does not substantiate claims of the biomass being

produced sustainably.

This document defines requirements for the verification of compliance with the sustainability criteria

for biofuels and bioliquids, in accordance with legal requirements, such as in Article 18 of the RED [1].

In particular, this Technical Specification defines requirements for an adequate standard of

independent auditing of the information submitted by economic operators (Clause 5), and the

implementation by economic operators, of the mass balance method of chain of custody control

(Clause 6).

This document is a tool that can be used as part of voluntary schemes, national systems or bilateral

agreements.
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This document defines requirements for a mass balance system which:

a) allows consignments of raw material or biofuel or bioliquids with differing sustainability

characteristics to be mixed;

b) requires information about the sustainability characteristics and sizes of the consignments referred

to in a) to remain assigned to the mixture; and

c) provides for the sum of all consignments withdrawn from the mixture to be described as having the

same sustainability characteristics, in the same quantities, as the sum of all consignments added to

the mixture.

Each economic operator in the chain of custody is responsible for the data supplied in the product

declarations submitted to the next economic operator as detailed in 5.1. The validity of these

declarations is assessed through a conformity assessment procedures carried out as described in

Clause 5 of this document.

Where applicable, the parts of this standard contain at the end an annex that informs the user of the link

between the requirements in the European Directive and the requirements in the CEN Standard.

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1 Scope

This document defines requirements for provision by economic operators of the required evidence that

biofuels and bioliquids fulfil the sustainability criteria as defined in the Renewable Energy Directive [1]

and in Directive 2015/1513 [3]. This Technical Specification is applicable to the initial biomass

production or to the point of collection for waste and residue and to each stage within the chain of

custody. It also defines requirements on conformity assessment bodies when checking compliance with

the present standard.

NOTE An example of supply chain of biofuels and bioliquids to be covered by the chain of custody is given in

Figure 1. This supply chain is a simple representation, actual supply chains are typically more complex.

Figure 1 — Example of a supply chain of biofuels and bioliquids
2 Normative references

The following documents are referred to in the text in such a way that some or all of their content

constitutes requirements of this document. For dated references, only the edition cited applies. For

undated references, the latest edition of the referenced document (including any amendments) applies.

EN 16214-1:2012, Sustainability criteria for the production of biofuels and bioliquids for energy

applications - Principles, criteria, indicators and verifiers - Part 1: Terminology

EN 16214-3, Sustainability criteria for the production of biofuels and bioliquids for energy applications –

Principles, criteria, indicators and verifiers – Part 3: Biodiversity and environmental aspects related to

nature protection purposes

EN 16214-4, Sustainability criteria for the production of biofuels and bioliquids for energy applications -

Principles, criteria, indicators and verifiers - Part 4: Calculation methods of the greenhouse gas emission

balance using a life cycle analysis approach
EN ISO/IEC 17000:2004, Conformity assessment – Vocabulary and general principles
(ISO/IEC 17000:2004)
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EN ISO/IEC 17050-1, Conformity assessment – Supplier’s declaration of conformity – Part 1: General

requirements (ISO/IEC 17050-1)

EN ISO/IEC 17050-2, Conformity assessment – Supplier’s declaration of conformity – Part 2: Supporting

documentation (ISO/IEC 17050-2)
3 Terms and definitions

For the purposes of this document, the terms and definitions given in EN ISO/IEC 17000:2004 and

EN 16214 1:2012 apply.

ISO and IEC maintain terminological databases for use in standardization at the following addresses:

• IEC Electropedia: available at http://www.electropedia.org/
• ISO Online browsing platform: available at http://www.iso.org/obp
4 Principle

This document defines the requirements for the economic operators, based on the following principles:

1) Economic operators transfer the data of their consignments to the next operator through a product

declaration, and need to meet the sustainability requirements as laid down in this document, and

2) Economic operators have the possibility to follow the conformity assessment procedures set out in

this document (see 5.1.5).
5 Requirements for conformity assessment
5.1 Basic elements

5.1.1 In order to ensure that the sustainability criteria for biofuels and bioliquids are fulfilled

different conformity assessment procedures as described in this clause shall be used.

5.1.2 Each economic operator shall issue a product declaration in accordance with 6.2 and on the

basis of EN ISO/IEC 17050 1 and EN ISO/IEC 17050 2 for each consignment it delivers. The product

declaration is the basis of further conformity assessment procedures.

5.1.3 The economic operator can be assessed whether it fulfils the requirements for economic

operators described in 5.3.

5.1.4 When an economic operator takes delivery from an economic operator which has not been

assessed according to 5.4, it shall take responsibility for the sustainability data of the delivering non-

assessed operator within its own assessment scope, including verification of supplier. This may be

extended to cover previous economic operators and up to the full chain of custody.

5.1.5 The economic operator shall be assessed.

NOTE This assessment can be done by a conformity assessment body in accordance with European and

national legislation in this regard, the requirements of EC recognized voluntary schemes or with the requirements

of a national system (see 5.5). The result of this assessment is a conformity assessment statement issued by the

conformity assessment body.
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5.2 Requirements for sustainability

5.2.1 The consignments taken into account for this Technical Specification shall not be made from

raw material obtained from land with high biodiversity value, namely land that had one of the following

statuses in or after January 2008, whether or not the land continues to have that status:

a) primary forest and other wooded land, namely forest and other wooded land of native species,

where there is no clearly visible indication of human activity and the ecological processes are not

significantly disturbed;
b) areas designated:

1) by law or by the relevant competent authority for nature protection purposes; or

2) for the protection of rare, threatened or endangered ecosystems or species recognized by

international agreements or included in lists drawn up by intergovernmental organisations or

the International Union for the Conservation of Nature, unless evidence is provided that the

production of that raw material did not interfere with those nature protection purposes;

c) highly biodiverse grassland that is:

1) natural, namely grassland that would remain grassland in the absence of human intervention

and which maintains the natural species composition and ecological characteristics and

processes; or

2) non-natural, namely grassland that would cease to be grassland in the absence of human

intervention and which is species-rich and not degraded, unless evidence is provided that the

harvesting of the raw material is necessary to preserve its grassland status.

5.2.2 The consignments taken into account for this Technical Specification shall not be made from

raw material obtained from land with high carbon stock, namely land that had one of the following

statuses in January 2008 and no longer has that status:

a) wetlands, namely land that is covered with or saturated by water permanently or for a significant

part of the year;

b) continuously forested areas, namely land spanning more than one hectare with trees higher than

five metres and a canopy cover of more than 30 %, or trees able to reach those thresholds in situ;

c) land spanning more than one hectare with trees higher than five metres and a canopy cover of

between 10 % and 30 %, or trees able to reach those thresholds in situ, without providing that the

carbon stock of the area before and after conversion is included in the GHG balance of the

consignment,

The provisions of this paragraph shall not apply if, at the time the raw material was obtained, the land

had the same status as it had in January 2008.

5.2.3 The consignments taken into account for this document shall not be made from raw material

obtained from land that was peatland in January 2008, unless evidence is provided that the cultivation

and harvesting of that raw material does not involve drainage of previously undrained soil.

5.2.4 The greenhouse gas emission saving from the use of biofuels and bioliquids taken into account

for this Technical Specification shall be at least 50 %.
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The greenhouse gas emission saving shall be at least 60 % for biofuels and bioliquids produced in

installations starting operation after 5th October 2017. An installation shall be considered to be in

operation if the physical production of biofuels or bioliquids has taken place.
5.3 Requirements for economic operators
Requirements for economic operators consist of:
a) Compliance with the land-related criteria:

1) For raw materials for biofuel production (except for waste and processing residues, but

including agricultural, aquaculture, fisheries and forestry residues) compliance with

environmental criteria in 5.2.1 to 5.2.3. EN 16214 3 shall be used as guidance for verifying

compliance as regards the exceptions from the land-use related requirements.

2) For agricultural material cultivated within EU, compliance with requirements referred under

the heading ‘Environment’ in part A and in point 9 of Annex II to Council regulation (EC)

73/2009 and with minimum requirements for good agricultural and environmental condition

defined pursuant to Article 6(1) of that regulation [6].
b) Compliance with the mass balance requirements detailed in 6.1.

c) Compliance with the requirements for GHG emission savings according to 5.2.4. EN 16214 4 shall

be used as guidance for calculating the GHG emission savings.

d) Compliance of the product declaration provided to the next economic operator in the chain of

custody to 6.2.
e) Compliance of the management system to 6.3.
5.4 Competence of conformity assessment bodies

All conformity assessment bodies doing any conformity assessment work under this document shall

first have demonstrated, and shall then continue to demonstrate, that they are competent to do that

work.

One of the ways for conformity assessment bodies or individuals to demonstrate competence is to

obtain accreditation from their national accreditation body or approval from the responsible authority

from a EU Member State in accordance with such arrangements as are made by that government for

implementation of the directive in that country.
5.5 Requirements for the conformity assessment process
5.5.1 General requirements

Conformity assessment shall be undertaken by an independent conformity assessment body.

The requirements that shall be included in the conformity assessment process are specified in 5.2.

Conformity assessments based on this document are open for all conformity assessment bodies

fulfilling the requirements as stated in 5.4. The level of auditing recommended is a limited assurance

level according to ISAE 3000 [7].
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5.5.2 Conformity assessment process
5.5.2.1 General

The conformity assessment process shall consist of conducting special audits described in 5.5.2.2 and

5.5.2.3. For a checklist that may be used see Annex B.

Compliance with the sustainability requirements of this document may be demonstrated by conformity

assessment processes other than those defined in 5.1. In this case, economic operators may use the

following options to demonstrate compliance with:

— Group auditing systems (see Annex A, Example 3) - in particular for farmers, producer

organisations and cooperatives. Conformity assessment is done on a sample of units. Such an

example is given in Annex C. Group auditing for compliance with the scheme's land related criteria

is only acceptable when the areas concerned are near each other and have similar sustainability

characteristics. Group auditing for the purpose of calculating greenhouse gas savings is only

acceptable when the units have similar production systems and products.
— Conformity assessments of specific consignments as described in Annex D.

NOTE For ”small-holder” farmers, producer organisations and cooperatives relevant conformity assessment

processes can be used, e.g. “group auditing” regarding 2.2.2 in communication 2010/C 160/01 [5].

5.5.2.2 Initial audit

This is the first procedure for assessment if the economic operator has not been assessed previously or

has no valid conformity assessment statement according to this Technical Specification (initial

assessment, before delivery of first consignment). The conformity assessment process will specifically

check the conformity of the management system as described in 6.3 and whether the operator fulfils all

the requirements set out in this Technical Specification, as described in 5.2.
5.5.2.3 Surveillance audit

This is the assessment procedures used during the surveillance visits and when the economic operator

has been assessed previously and has a valid conformity assessment statement running according to

this Technical Specification The conformity assessment process will verify whether the conditions for

issuing the first conformity assessment statement are still in place. Furthermore, it will check the

conformity of the data supplied product declarations according to this Technical Specification, the

conformity of the operator according to 5.2. as well as all the data requirements as set out in 6.2. and

the conformity of the mass balances with 6.1.
6 Requirements for chain of custody control – mass balance method
6.1 Basic elements for application of the mass balande method

The mass balance method shall balance the sustainability data, including GHG emission data, taken from

the product declarations as defined in 6.2, of all consignments at the end of the inventory period. An

example of such a mass balance is given in Annex E. The sustainability data from the proportion of

compliant consignments that are not destined for use as biofuels and bioliquids shall be excluded from

the mass balance calculation, to avoid allocation of sustainability data to only the bioenergy

consignments portion.

When consignments with different (or no) sustainability characteristics are mixed, the separate sizes

and sustainability characteristics of each consignment remain assigned to the mixture.

If a mixture is split up, any consignment taken out of it may be assigned any of the sets of sustainability

characteristics (accompanied with sizes) as long as the combination of all consignments taken out of the

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mixture has the same sizes for each of the sets of sustainability characteristics that were in the mixture.

It is necessary for appropriate arrangements to be in place to ensure that the balance is respected. The

amount of compliant material going out of a mixture shall be equal to the amount of compliant material

going into the mixture (provided that corresponding conversion values have been applied).

Non-compliant consignments shall not be used in calculating aggregated GHG emission saving data.

When a facility operates simultaneously for production of the same material both for energy and non-

energy application, the production for non-energy application is excluded from the GHG balance. When

a production facility cannot distinguish the process between bio-based material for energy purpose and

for other applications, the GHG impact of the production process will be deemed equal for all

applications.

When consignments with the same sustainability characteristics are mixed only the size of the

cons
...

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