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Document 02013R0389-20190722
Commission Regulation (EU) No 389/2013 of 2 May 2013 establishing a Union Registry pursuant to Directive 2003/87/EC of the European Parliament and of the Council, Decisions No 280/2004/EC and No 406/2009/EC of the European Parliament and of the Council and repealing Commission Regulations (EU) No 920/2010 and No 1193/2011 (Text with EEA relevance)Text with EEA relevance
Consolidated text: Commission Regulation (EU) No 389/2013 of 2 May 2013 establishing a Union Registry pursuant to Directive 2003/87/EC of the European Parliament and of the Council, Decisions No 280/2004/EC and No 406/2009/EC of the European Parliament and of the Council and repealing Commission Regulations (EU) No 920/2010 and No 1193/2011 (Text with EEA relevance)Text with EEA relevance
Commission Regulation (EU) No 389/2013 of 2 May 2013 establishing a Union Registry pursuant to Directive 2003/87/EC of the European Parliament and of the Council, Decisions No 280/2004/EC and No 406/2009/EC of the European Parliament and of the Council and repealing Commission Regulations (EU) No 920/2010 and No 1193/2011 (Text with EEA relevance)Text with EEA relevance
02013R0389 — EN — 22.07.2019 — 004.002
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COMMISSION REGULATION (EU) No 389/2013 of 2 May 2013 establishing a Union Registry pursuant to Directive 2003/87/EC of the European Parliament and of the Council, Decisions No 280/2004/EC and No 406/2009/EC of the European Parliament and of the Council and repealing Commission Regulations (EU) No 920/2010 and No 1193/2011 (OJ L 122 3.5.2013, p. 1) |
Amended by:
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Official Journal |
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date |
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COMMISSION DELEGATED REGULATION (EU) 2015/1844 of 13 July 2015 |
L 268 |
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15.10.2015 |
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L 39 |
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13.2.2018 |
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COMMISSION DELEGATED REGULATION (EU) 2019/401 of 19 December 2018 |
L 72 |
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14.3.2019 |
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COMMISSION DELEGATED REGULATION (EU) 2019/1122 of 12 March 2019 |
L 177 |
3 |
2.7.2019 |
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Corrected by:
COMMISSION REGULATION (EU) No 389/2013
of 2 May 2013
establishing a Union Registry pursuant to Directive 2003/87/EC of the European Parliament and of the Council, Decisions No 280/2004/EC and No 406/2009/EC of the European Parliament and of the Council and repealing Commission Regulations (EU) No 920/2010 and No 1193/2011
(Text with EEA relevance)
TITLE I
COMMON GENERAL PROVISIONS
CHAPTER 1
Subject matter, scope and definitions
Article 1
Subject matter
This Regulation lays down general, operational and maintenance requirements concerning the Union Registry for the trading period commencing on 1 January 2013 and subsequent periods, concerning the independent transaction log provided for in Article 20(1) of Directive 2003/87/EC, and concerning registries provided for in Article 6 of Decision No 280/2004/EC.
This Regulation also provides for a communication system between the Union Registry and the ITL.
Article 2
Scope
This Regulation applies to allowances created for the trading period of the Union emissions trading scheme commencing on 1 January 2013 and subsequent periods, annual emission allocation units and Kyoto units.
This Regulation also applies to aviation allowances to be auctioned that were created for the trading period from 1 January 2012 to 31 December 2012.
Article 3
Definitions
Unless otherwise indicated, terms used in Title II of this Regulation have the same meaning as under Directive 2003/87/EC. Moreover, the definitions set out in Article 3 of Regulation (EU) No 1031/2010 and in Article 3 of Commission Decision 2011/278/EU apply. The following definitions also apply:
‘account holder’ means a natural or legal person that holds an account in the registries system;
‘central administrator’ means the person designated by the Commission pursuant to Article 20 of Directive 2003/87/EC;
‘competent authority’ means the authority or authorities designated by a Member State pursuant to Article 18 of Directive 2003/87/EC;
‘external trading platform’ means any type of multilateral exchange that brings together or facilitates the bringing together of multiple third-party buying and selling interests as defined in Article 4 of Directive 2004/39/EC of the European Parliament and of the Council ( 1 ), where the interests bought and sold are in allowances or Kyoto units;
‘verifier’ means a verifier as defined in Article 3(3) of Commission Regulation (EU) No 600/2012 ( 2 );
‘assigned amount units’ (‘AAUs’) means units issued pursuant to Article 7(3) of Decision No 280/2004/EC;
‘aviation allowances’ means allowances created pursuant to Article 3c(2) of Directive 2003/87/EC;
‘general allowances’ means all other allowances created pursuant to Directive 2003/87/EC;
‘long-term certified emission reductions (‘lCERs’) means units issued for an afforestation or reforestation project activity under the clean development mechanism (‘CDM’) which, subject to Decision 5/CMP.1 of the Conference of the Parties serving as the meeting of the Parties to the Kyoto Protocol, expire at the end of the emission reduction crediting period of the afforestation or reforestation project activity under the CDM for which they were issued;
‘removal units’ (‘RMUs’) means units issued pursuant to the relevant provisions in the annex to Decision 13/CMP.1;
‘temporary certified emission reductions’ (‘tCERs’) means units issued for an afforestation or reforestation project activity under the CDM which, subject to Decision 5/CMP.1, expire at the end of the Kyoto Protocol commitment period following the one during which they were issued;
‘Kyoto units’ means AAUs, emission reduction units (‘ERUs’), certified emission reductions (‘CERs’), RMUs, lCERs and tCERs.
‘process’ means an automated technical means to carry out an action relating to an account, a unit or a portion of the credit entitlement in a registry;
‘transaction’ means a process in the Union registry that includes the transfer of an allowance, a Kyoto unit, an annual emission allocation unit or a portion of the credit entitlement from one account to another account;
‘surrender’ means the accounting of an allowance by an operator or aircraft operator against the verified emissions of its installation or aircraft;
‘cancellation’ means the definitive disposal of a Kyoto unit by its holder without accounting it against verified emissions;
‘deletion’ means the definitive disposal of an allowance by its holder without accounting it against verified emissions;
‘retirement’ means the accounting of a Kyoto unit by a party to the Kyoto Protocol against the reported emissions of that Party;
‘money laundering’ means money laundering as defined in Article 1(2) of Directive 2005/60/EC of the European Parliament and the Council ( 3 );
‘serious crime’ means serious crime as defined in point (5) of Article 3 of Directive 2005/60/EC;
‘terrorist financing’ means terrorist financing as defined in Article 1(4) of Directive 2005/60/EC;
‘national administrator’ means the entity responsible for administering on behalf of a Member State a set of user accounts under the jurisdiction of a Member State in the Union Registry, designated in accordance with Article 8;
‘directors’ means the persons effectively directing the day-to-day operations of a legal person
‘Central European Time’ means Central European Summer Time during the summer-time period as defined in Articles 1, 2 and 3 of Directive 2000/84/EC;
‘national administrative platform’ means an external system operated by a national administrator or a competent authority that is securely connected to the Union Registry for the purposes of automating functions related to the administering of accounts and of compliance obligations in the Union Registry;
‘international credits’ means CERs, ERUs and credits from projects or other emission reducing activities which may be used pursuant to Article 11a(5) of Directive 2003/87/EC;
‘annual emission allocation unit’ (‘AEA’) means a subdivision of a Member State's annual emission allocation as determined pursuant to Article 3(2) and Article 10 of Decision No 406/2009/EC equal to one tonne of carbon dioxide equivalent;
‘credit entitlement’ means the right of a Member State, expressed as a number equal to a percentage of its 2005 greenhouse gas emissions as specified in Article 5(4) of Decision No 406/2009/EC, to use credits referred to in Article 5 of Decision No 406/2009/EC in order to comply with its obligations under Article 3 of Decision No 406/2009/EC;
‘unused credit entitlement’ means a Member State's credit entitlement less the sum of international credits, tCERs or lCERs held in the ESD Compliance Account at the moment of determination of the compliance status figures pursuant to Article 79 of this Regulation.
‘compliance period’ means the period from 1 January 2013 to 31 December 2020 during which the Member States shall limit their greenhouse gas emissions pursuant to Article 3 of Decision No 406/2009/EC.
CHAPTER 2
The registries system
Article 4
Union Registry
Article 5
National and Union KP registries
Article 6
European Union transaction log
Article 7
Communication links between registries, the ITL and the EUTL
Article 8
National administrators and KP registry administrators
CHAPTER 3
Accounts
Article 9
Accounts
Article 10
Account status
Article 11
The administering of accounts
Article 12
Notifications from the central administrator
The central administrator shall notify the account representatives and the national administrator of the initiation and completion or termination of any process related to the account, and of the change of status of the account, through an automated mechanism described in the data exchange and technical specifications provided for in Article 105.
Article 13
Opening accounts administered by the central administrator
Article 14
Opening national administrative platform accounts in the Union Registry
Article 15
Opening an auction delivery account in the Union Registry
Article 16
Opening operator holding accounts in the Union Registry
Article 17
Opening aircraft operator holding accounts in the Union Registry
Article 18
Opening person holding and trading accounts in the Union Registry
Article 19
Opening national holding accounts in the Union Registry
The competent authority of a Member State shall instruct the national administrator to open a national holding account in the Union Registry within 20 working days of the receipt of the information set out in Annex III.
Article 20
Opening external trading platform accounts in the Union Registry
Article 21
Opening verifier accounts in the Union Registry
Article 22
Refusal to open an account
A national administrator may refuse to open an account:
if the information and documents provided are incomplete, out-of-date or otherwise inaccurate or false;
if the prospective account holder, or, if it is a legal person, any of the directors of the prospective account holder, is under investigation or has been convicted in the preceding five years for fraud involving allowances or Kyoto units, money laundering, terrorist financing or other serious crimes for which the account may be an instrument;
if the national administrator has reasonable grounds to believe that the accounts may be used for fraud involving allowances or Kyoto units, money laundering, terrorist financing or other serious crimes;
for reasons set out in national law.
Article 23
Authorised representatives
Accounts may have one or more additional authorised representatives. The approval of an additional authorised representative is required, in addition to the approval of an authorised representative, in order to initiate a transaction, except for:
transfers to an account on the trusted account list in the Union Registry of the account holder;
transactions initiated by external trading platforms, whose accounts are opened pursuant to Article 20; and
the exchange of allowances pursuant to Article 60, the surrender of allowances pursuant to Article 67, the deletion of allowances pursuant to Article 68 and the cancellation of Kyoto units pursuant to Article 69, if no additional authorised representative has been nominated. In such a case, the transaction initiation shall be confirmed by another account representative.
Article 24
Nominating and approval of authorised representatives and additional authorised representatives
A national administrator may refuse to approve an authorised representative or additional authorised representative:
if the information and documents provided are incomplete, out-of-date or otherwise inaccurate or false;
if the prospective representative is under investigation or has been convicted in the preceding five years for fraud involving allowances or Kyoto units, money laundering, terrorist financing or other serious crimes for which the account may be an instrument;
for reasons set out in national law.
Article 25
Updating of account information and information on authorised representatives
Article 26
Trusted account list
Article 27
Closure of accounts
Subject to Article 32(1), within 10 working days of the receipt of a request from the account holder of an account other than those specified in Articles 28, 29, 30 and 31, the administrator shall close the account.
Article 28
Closure of operator holding accounts
Article 29
Closure of aircraft operator holding accounts
Aircraft operator holding accounts shall only be closed by the national administrator if instructed by the competent authority to do so because the competent authority has discovered that the aircraft operator merged into another aircraft operator or the aircraft operator has ceased all its operations covered by Annex I of Directive 2003/87/EC, either through a notification by the account holder or through other evidence.
Article 30
Closure of verifier accounts
The competent authority may also instruct the national administrator to close a verifier account where one of the following conditions is fulfilled:
the verifier's accreditation has expired or has been withdrawn,
the verifier ceased operation.
Article 31
Closure of the ESD Compliance Account
Article 32
Positive balance on accounts under closure
Article 33
Closure of accounts and removal of authorised representative on the administrator's initiative
Article 34
Suspension of access to accounts
An administrator may suspend the access of an authorised representative or an additional authorised representative to any account in the registry or to processes to which that authorised representative would otherwise have access if the administrator has reasonable grounds to believe that the authorised representative has:
attempted to access accounts or processes for which he is not authorised;
repeatedly attempted to access an account or a process using an incorrect username and password; or
attempted to compromise the security, the availability, the integrity or the confidentiality of the Union Registry or the EUTL, or of the data handled or stored therein.
An administrator may suspend the access of all authorised representatives or additional authorised representatives of a specific account where one of the following conditions is fulfilled:
the account holder died without a legal successor or ceased to exist as a legal person;
the account holder did not pay fees;
the account holder violated the terms and conditions applicable to the account;
the account holder did not agree to changes in the terms and conditions set by the national administrator or the central administrator;
the account holder did not notify changes to account information or provide evidence concerning the changes to account information, or evidence concerning new account information requirements;
the account holder failed to maintain the required minimum number of authorised representatives for the account;
the account holder failed to maintain compliance with the Member State requirement to have an authorised representative with a permanent residence in the Member State of the national administrator;
the account holder failed to maintain compliance with the Member State requirement that the account holder have a permanent residence or registration in the Member State of the administrator of the account.
An administrator may suspend the access of all authorised representatives or additional authorised representatives to a specific account and the possibility to initiate processes from that account:
for a maximum period of four weeks if the administrator has reasonable grounds to believe that the account was used or will be used for fraud, money laundering, terrorist financing, corruption or other serious crimes, or
on the basis of and in accordance with national law provisions that pursue a legitimate objective.
TITLE II
SPECIFIC PROVISIONS FOR THE UNION REGISTRY FOR THE UNION EMISSIONS TRADING SCHEME
CHAPTER 1
Verified emissions and compliance
Article 35
Verified emissions data for an installation or aircraft operator
Article 36
Blocking of accounts due to a failure to submit verified emissions
Article 37
Calculation of compliance status figures
CHAPTER 2
Transactions
Article 38
Only transactions expressly provided for in this Regulation for each account type shall be initiated by that account type.
Article 39
Execution of transfers
A transfer confirmed at any other time shall be initiated on the same day Monday to Friday with the exception of public holidays as referred to in the first subparagraph, at 10:00 Central European Time, if it is confirmed before 10:00 Central European Time, or on the following day, Monday to Friday with the exception of public holidays as referred to in the first subparagraph, at 10:00 Central European Time, if it is confirmed after 16:00 Central European Time.
Article 40
Nature of allowances and finality of transactions
Subject to Article 70 and the reconciliation process provided for in Article 103, a transaction shall become final and irrevocable upon its finalisation pursuant to Article 104. Without prejudice to any provision of or remedy under national law that may result in a requirement or order to execute a new transaction in the Union Registry, no law, regulation, rule or practice on the setting aside of contracts or transactions shall lead to the unwinding in the registry of a transaction that has become final and irrevocable under this Regulation.
An account holder or a third party shall not be prevented from exercising any right or claim resulting from the underlying transaction that they may have in law, including to recovery, restitution or damages, in respect of a transaction that has become final in the Union Registry, for instance in case of fraud or technical error, as long as this does not lead to the reversal, revocation or unwinding of the transaction in the Union Registry.
Article 41
Creation of allowances
From the day following the one on which both ratification instruments concerning the Withdrawal Agreement have been deposited, allowances created for 2019 and 2020 shall not be identified with a country code if compliance with Directive 2003/87/EC for emissions taking place during these years is required by an agreement setting out arrangements for the withdrawal of such a Member State from the European Union.
Article 42
Transfer of general allowances to be auctioned
Article 43
Transfer of general allowances to be allocated free of charge
The central administrator shall, in a timely manner, transfer general allowances from the EU Total Quantity Account into the EU Allocation Account in a quantity corresponding to the sum of the allowances allocated free of charge according to the national allocation tables of each Member State.
Article 44
Transfer of general allowances for the new entrant reserve
Article 45
Transfer of aviation allowances to be auctioned
Article 46
Transfer of aviation allowances to be allocated free of charge
Article 47
Transfer of aviation allowances to the special reserve
Article 48
Transfer of general allowances to the EU Total Quantity-Account
At the end of each trading period, the central administrator shall transfer all allowances remaining on the EU Allocation Account and on the EU New Entrant Reserve Account to the EU Total Quantity Account.
Article 49
Transfer of aviation allowances to the EU Aviation Total Quantity Account
At the end of each trading period, the central administrator shall transfer all allowances remaining on the EU Special Reserve Account to the EU Aviation Total Quantity Account.
Article 50
Deletion of aviation allowances
The central administrator shall ensure that, at the end of each trading period, all allowances remaining on the EU Aviation Allocation Account shall be transferred to the Union allowance deletion account.
Article 51
Entry of national allocation tables into the EUTL
Article 52
Changes to the national allocation tables
The national administrator shall carry out changes to the national allocation table in the EUTL where:
an installation's permit has been revoked or has otherwise expired;
an installation ceased operations;
an installation was split into two or more installations;
two or more installations were merged into one installation.
A Member State shall notify the Commission of changes to its national allocation table, concerning:
allocations to new entrants or allocations to new entrants following significant capacity extensions;
partial cessations of operations and significant capacity reductions;
allocation free of charge pursuant to Article 10c of Directive 2003/87/EC that is justified in the light of advancement of the investments that have been undertaken and reported to the Commission pursuant to Article 10c(1) of that Directive;
any other change not referred to in paragraph 1.
On receiving a notification pursuant to the first subparagraph, the Commission shall instruct the central administrator to make the corresponding changes to the national allocation table held in the EUTL. if it considers that the changes to the national allocation table are in conformity with Directive 2003/87/EC, Decision 2011/278/EU and decisions adopted by the Commission in accordance with Article 10c(6) of Directive 2003/87/EC. It shall otherwise reject the changes within a reasonable period and inform the Member State concerned without delay, stating its reasons and setting out criteria to be fulfilled for a subsequent notification to be accepted.
Article 53
Free allocation of general allowances
Article 54
Entry of national aviation allocation tables into the EUTL
Article 55
Changes to the national aviation allocation tables
The national administrator shall carry out changes to the national aviation allocation table in the EUTL where:
an aircraft operator ceased all its operations covered by Annex I of Directive 2003/87/EC;
an aircraft operator was split into two or more aircraft operators;
two or more aircraft operators have merged into a single aircraft operator.
A Member State shall notify the Commission of changes to its national aviation allocation table, concerning:
any allocation from the special reserve pursuant to Article 3f of Directive 2003/87/EC;
any adjustment following the adoption of measures pursuant to Article 25a of Directive 2003/87/EC;
any other change not referred to in paragraph 1.
Article 56
Free allocation of aviation allowances
Article 57
Return of aviation allowances
When a change to the national aviation allocation table is carried out pursuant to Article 25a of Directive 2003/87/EC after the transfer of allowances to the aircraft operator holding accounts for a given year in accordance with Article 56 of this Regulation, the central administrator shall execute any transfer required by any measure adopted pursuant to Article 25a of Directive 2003/87/EC.
Article 58
International credit holdings in the Union Registry
The central administrator shall ensure that ERUs issued in respect of emission reductions taking place until 31 December 2012 but relating to projects hosted in Member States involving activities not listed in Annex I of Directive 2003/87/EC as amended by Regulation (EC) No 219/2009 of the European Parliament and of the Council ( 5 ), but listed in Annex I of Directive 2003/87/EC as amended by Directive 2009/29/EC of the European Parliament and of the Council ( 6 ), shall only be held in ETS accounts in the Union Registry if they are issued before 30 April 2013.
If the account holder has not responded to the administrator’s request within 40 working days, the administrator shall transfer the international credits to a national KP account.
Article 59
Entry of international credit entitlement tables into the EUTL
Article 60
Use of international credits through allowance exchange
An aircraft operator may request the exchange of an international credit for an aviation allowance pursuant to Article 11a(2) of Directive 2003/87/EC until 31 March 2015 and pursuant to Article 11a(3) and (4) of that Directive until 31 December 2020. It shall propose a transfer of international credits from the relevant aircraft operator holding account to the EU International Credit Account for aircraft operators in the Union Registry.
Upon a request, the central administrator shall ensure that the Union Registry carries out a transfer of international credits to the relevant EU International Credit Account if:
the transfer is allowed by the status of the initiating account;
the relevant international credit entitlement table has been entered into the EUTL and the operator or aircraft operator has an entry in the table pursuant to Article 59;
the number of units proposed in the transfer does not exceed the remaining credit entitlement pursuant to Article 61;
all units proposed in the transfer are eligible for use pursuant to Articles 11a and 11b of Directive 2003/87/EC, Article 58 of this Regulation and any measures adopted pursuant to Article 11a(9) of Directive 2003/87/EC.
Upon completion of the transfer pursuant to the second subparagraph of paragraph 1, the central administrator shall ensure that the Union Registry creates an equivalent number of aviation allowances as appropriate on the EU Credit Exchange Account for aircraft operators and transfers, on behalf of the relevant competent authority, an equivalent number of aviation allowances to the aircraft operator holding account from which the transfer was initiated.
Article 61
Calculation of remaining international credit entitlement
The central administrator shall ensure that the Union Registry automatically determines the remaining international credit entitlement for each operator or aircraft operator by subtracting from the total initial international credit entitlement indicated pursuant to Article 59:
the sum of all CERs and ERUs surrendered by an operator or aircraft operator pursuant to Article 11a of Directive 2003/87/EC as amended by Regulation (EC) No 219/2009;
the sum of all CERs and ERUs transferred to the EU International Credit Account pursuant to Article 60 of this Regulation.
Article 62
Entry of auction tables into the EUTL
Article 63
Changes to the auction tables
Article 64
Auctioning of allowances
Article 65
Transfers of allowances or Kyoto units initiated by a holding account
Operator holding accounts, aircraft operator holding accounts and person holding accounts may only transfer allowances or Kyoto units to an account on the trusted list set up pursuant to Article 26, except for:
the exchange of international credits pursuant to Article 60;
the surrender of allowances pursuant to Article 67;
the deletion of allowances pursuant to Article 68;
the cancellation of Kyoto units pursuant to Article 69.
Article 66
Transfers of allowances or Kyoto units initiated by a trading account
Upon request of a holder of a trading account, the central administrator shall ensure that the Union Registry shall carry out a transfer of allowances or Kyoto units to a holding or trading account in the Union Registry unless such a transfer is prevented by the status of the initiating account.
Article 67
Surrender of allowances
An operator or aircraft operator shall surrender allowances by proposing to the Union Registry to:
transfer a specified number of allowances created for compliance in the same trading period from the relevant operator holding account or aircraft operator holding account into the Union allowance deletion account;
record the number and type of transferred allowances as surrendered for the emissions of the operator's installation or the emissions of the aircraft operator in the current period.
Article 68
Deletion of allowances
The central administrator shall ensure that the Union Registry carries out any request from an account holder pursuant to Article 12(4) of Directive 2003/87/EC to delete allowances held in the accounts of the account holder by:
transferring a specified number of allowances from the relevant account into the Union allowance deletion account;
recording the number of transferred allowances as deleted for the current year.
Article 69
Cancellation of Kyoto units
The central administrator shall ensure that the Union Registry carries out any request from an account holder pursuant to Article 12(4) of Directive 2003/87/EC to cancel Kyoto units held in its accounts by transferring a specified type and number of Kyoto units from the relevant account into the cancellation account of the account administrator's KP registry or the cancellation account of the Union Registry.
Article 70
Reversal of finalised processes initiated in error
Account holders may propose the reversal of the following transactions:
surrender of allowances;
deletion of allowances;
exchange of international credits.
National administrators may propose the reversal of the following transactions:
allocation of general allowances;
allocation of aviation allowances.
The central administrator shall ensure that the Union Registry accepts the proposal for reversal made pursuant to paragraphs 1 and 4, blocks the units that are to be transferred by the reversal and forwards the proposal to the central administrator provided that all of the following conditions are met:
a transaction surrendering or deleting allowances to be reversed was not completed more than 30 working days prior to the account administrator's proposal in accordance with paragraph 3;
no operator would become non-compliant for a previous year as a result of the reversal;
the destination account of the transaction to be reversed still holds the amount of units of the type that were involved in the transaction to be reversed;
the allocation of general allowances to be reversed was carried out after the expiry date of the installation's permit.
CHAPTER 3
Links with other geenhouse gas emission trading schemes
Article 71
Implementation of linking arrangements
The central administrator may create accounts and processes and undertake transactions and other operations at appropriate times to implement agreements and arrangements made pursuant to Articles 25 and 25a of Directive 2003/87/EC.
TITLE 3
SPECIFIC PROVISIONS FOR KP REGISTRIES
Article 72
Opening of person holding accounts in KP registries
A request for a person holding account in a KP registry shall be submitted to the national administrator by the prospective account holder. The prospective account holder shall provide the same information as required by the national administrator pursuant to Article 18.
Article 73
Execution of transfers
For all transfers from accounts in KP registries, Articles 38, 39, 65 and 66 shall apply.
Article 73a
Transfer of CERs and ERUs exchanged in the EU ETS
The central administrator shall ensure that the EUTL prevents all transactions of units transferred pursuant to paragraph 1 with the exception of:
the cancellation of units in accordance with Article 10(1) of Regulation (EU) No 525/2013;
the retirement of units in accordance with Article 11 of Regulation (EU) No 525/2013;
the carry-over of units from the first to the second commitment period in accordance with Article 10(1) of Regulation (EU) No 525/2013;
the transfer of units within one KP registry.
TITLE 4
SPECIFIC PROVISIONS FOR ACCOUNTING TRANSACTIONS UNDER DECISION No 406/2009
Article 74
Creation of AEAs
Article 75
Annual emission allocation units
AEAs shall be valid only for the purpose of meeting the Member States' greenhouse gas emissions limitation requirements pursuant to Article 3 of Decision No 406/2009/EC and they shall be transferable only pursuant to conditions laid down in Article 3(3), (4), and (5) of that Decision.
Article 76
Transfer of AEAs to each ESD Compliance Account
At the beginning of the compliance period, the central administrator shall transfer a quantity of AEAs corresponding to the annual emission allocation for each Member State for each year as determined in the Decisions adopted pursuant to Articles 3(2) and 10 of Decision No 406/2009/EC, from the EU AEAs Total Quantity Account into the relevant ESD Compliance Account.
Article 77
Introduction of the relevant greenhouse gas emissions data
Article 78
Calculation of the balance of the ESD Compliance Account
Article 79
Determination of the compliance status figures
Article 80
Application of Article 7(1) (a) and (c) of Decision No 406/2009/EC
Article 81
Use of international credits, tCERs and lCERs
The central administrator shall ensure that, upon request of a Member State, the Union Registry carries out a transfer of international credits, tCERs or lCERs to that Member State's ESD Compliance Account for a given year of the compliance period. Such transfer shall not be carried out where:
the Member State's request is submitted before the calculation of the balance of the ESD Compliance Account or after the determination of the compliance status figure for the given year; or
the conditions laid down in Article 5 of Decision No 406/2009/EC are not complied with.
Article 82
Carry forward of AEAs
The central administrator shall ensure that, upon request of a Member State, the Union Registry carries out a transfer of AEAs to that Member State's ESD Compliance Account for a given year of the compliance period from its ESD Compliance Account for the following year of the compliance period. Such transfer shall not be carried out where:
the Member State's request is submitted before the calculation of the balance of the ESD Compliance Account or after the determination of the compliance status figure for the given year; or
the transferred amount exceeds 5 percent of the following year's annual emission allocation as determined pursuant to Article 3(2) of Decision No 406/2009/EC, or a higher percentage if an increased carry forward has been granted by the Commission pursuant to the second subparagraph of Article 3(3) of No Decision 406/2009/EC.
Article 83
Carry over of AEAs
The central administrator shall ensure that, upon request of a Member State, the Union Registry carries out a transfer of AEAs from that Member State's ESD Compliance Account for a given year of the compliance period to its ESD Compliance Account for any of the following years of the compliance period. Such transfer shall not be carried out where:
the Member State's request is submitted before the calculation of the balance of the ESD Compliance Account for the given year;
the transferred amount exceeds the positive balance of the account as calculated pursuant to Article 78;or
the status of the ESD Compliance Account initiating the transfer does not allow the transfer.
Article 84
Carry over of the unused credit entitlement
The central administrator shall ensure that, upon request of a Member State, the Union Registry carries out a transfer of the whole or portions of the unused credit entitlement from that Member State's ESD Compliance Account for a given year of the compliance period to its ESD Compliance Account for any of the following years of the compliance period. Such transfer shall not be carried out where the transfer is initiated before the determination of the compliance status figure for the given year.
Article 85
Transfers of up to 5 % of a Member State's annual emission allocation
The central administrator shall ensure that, upon request of a Member State, the Union Registry carries out a transfer of AEAs from the ESD Compliance Account for a given year of that Member State to the ESD Compliance account of another Member State. Such transfer shall not be carried out where:
the transferred amount exceeds five percent of the given year's annual emission allocation of the initiating Member State as determined pursuant to Article 3(2) of Decision No 406/2009/EC or the remaining amount available;
the Member State has requested the transfer to an ESD Compliance Account for a year previous than the given year, or
the status of the ESD Compliance Account initiating the transfer does not allow the transfer.
Article 86
Transfers after the calculation of the balance of the ESD Compliance Account
The central administrator shall ensure that, upon request of a Member State, the Union Registry carries out a transfer of AEAs from the ESD Compliance Account for a given year of that Member State to the ESD Compliance Account of another Member State. Such transfer shall not be carried out where:
the Member State's request is submitted before the calculation of the balance of the account pursuant to Article 78;
the transferred amount exceeds the positive balance of the account as calculated pursuant to Article 78; or
the status of the ESD Compliance Account initiating the transfer does not allow the transfer.
Article 87
Transfer of up to 3 % of the credit entitlement
The central administrator shall ensure that, upon request of a Member State, the Union Registry carries out a transfer of the whole or a portion of the credit entitlement from the ESD Compliance Account for a given year of that Member State to the ESD Compliance Account of another Member State. Such transfer shall not be carried out where:
the Member State's request is submitted before the calculation of the compliance status figure for the given year;
the transferred quantity exceeds a Member State's allowed quantity equal to three percent as specified pursuant to Article 5(6) of Decision No 406/2009/EC less the sum of international credits, tCERs or lCERs held in the ESD Compliance Account at the moment of determination of the compliance status figures pursuant to Article 79 of this Regulation; or
the status of the ESD Compliance Account initiating the transfer does not allow the transfer.
Article 88
Adjustments
Article 89
Replacement of tCERs and lCERs
Article 90
Execution and reversal of transfers
TITLE V
COMMON TECHNICAL PROVISIONS
CHAPTER 1
Technical requirements of the registries system
Article 91
Availability and reliability of the Union Registry and the EUTL
The central administrator shall take all reasonable steps to ensure that:
the Union Registry is available for access by account representatives and national administrators 24 hours a day, 7 days a week;
the communication links referred to in Article 7 between the Union Registry, the EUTL and the ITL are maintained 24 hours a day, 7 days a week;
backup hardware and software necessary in the event of a breakdown in operations of the primary hardware and software is provided for;
the Union Registry and the EUTL respond promptly to requests made by account representatives.
Article 92
Helpdesks
Article 93
Authentication of the Union Registry and national KP registries
Article 94
Accessing accounts in the Union Registry
Article 95
Authentication and authorisation of authorised representatives in the Union Registry
Article 96
Suspension of all access due to a security breach or a security risk
Article 97
Suspension of access to allowances or Kyoto units in the case of a suspected fraudulent transaction
A national administrator or a national administrator acting on request of the competent authority may suspend access to allowances or Kyoto units in the part of the Union Registry it administers:
for a maximum period of four weeks if it suspects that the allowances or Kyoto units have been the subject of a transaction constituting fraud, money laundering, terrorist financing, corruption or other serious crime, or
on the basis of and in accordance with national law provisions that pursue a legitimate objective.
Article 98
Cooperation with competent authorities and notification of money laundering, terrorist financing or criminal activity
The national administrator, its directors and its employees, shall cooperate fully with the FIU referred to in Article 21 of Directive 2005/60/EC by promptly:
informing the FIU, on their own initiative, where they know, suspect or have reasonable grounds to suspect that money laundering, terrorist financing or criminal activity is being or has been committed or attempted;
providing the FIU, at its request, with all necessary information, in accordance with the procedures established by the applicable legislation.
Article 99
Suspension of processes
Article 99a
Suspension of linking agreements
In case of suspension or termination of an agreement under Article 25 of Directive 2003/87/EC, the central administrator shall take the measures in accordance with the agreement.
Article 100
Automated checking of processes
Article 101
Detection of discrepancies
Article 102
Detection of discrepancies within the Union Registry and national KP registries
Article 103
Reconciliation - detection of inconsistencies by the EUTL
Article 104
Finalisation of processes
Article 105
Data exchange and technical specifications
Article 106
Change and release management
If a new version or release of the Union Registry software is required, the central administrator shall ensure that the testing procedures set out in the data exchange and technical specifications provided for in Article 105 are completed before a communication link is established and activated between the new version or release of that software and the EUTL or ITL.
CHAPTER 2
Records, reports, confidentiality and fees
Article 107
Processing of information and personal data
Article 108
Records
Article 109
Reporting
Article 110
Confidentiality
The central administrator or national administrator may provide data stored in the Union Registry and the EUTL to the following entities:
the law enforcement and tax authorities of a Member State;
the European Anti-fraud Office of the European Commission;
the European Court of Auditors;
Eurojust;
the competent authorities referred to in Article 11 of Directive 2003/6/EC of the European Parliament and of the Council ( 7 ) and in Article 37(1) of Directive 2005/60/EC;
competent national supervisory authorities;
the national administrators of Member States and the competent authorities referred to in Article 18 of Directive 2003/87/EC.
Article 111
Fees
Article 112
Interruption of operation
The central administrator shall ensure that interruptions to the operation of the Union Registry are kept to a minimum by taking all reasonable steps to ensure the availability and security of the Union Registry and the EUTL and by providing for robust systems and procedures to safeguard all information.
TITLE IV
TRANSITIONAL AND FINAL PROVISIONS
Article 113
Implementation
Member States shall bring into force the laws, regulations and administrative provisions necessary to implement this Regulation, and in particular for national administrators to comply with their obligations to verify and review information submitted pursuant to Articles 22(1), 24(4) and 25(4).
Article 114
Further use of accounts
Accounts, as specified in Chapter 3 of Title I of this Regulation, opened or used pursuant to Regulation (EU) No 920/2010 shall remain in use for the purposes of this Regulation.
Trading platform accounts opened pursuant to Regulation (EU) No 920/2010 shall remain in use as external trading platform accounts for the purposes of this Regulation.
Article 115
Entry into force of use restrictions
The central administrator shall provide national administrators with a list of the ETS accounts holding international credits which cannot be used pursuant to measures adopted pursuant to Article 11a(9) of Directive 2003/87/EC after the date set by those measures. On the basis of this list, the national administrator shall request the account holder to specify a KP account to which such international credits shall be transferred.
If the account holder has not responded to the administrator’s request within 40 working days, the administrator shall transfer the international credits to a national KP account.
Article 116
Amendments to Regulation (EU) No 920/2010
Regulation (EU) No 920/2010 is amended as follows:
Articles 3 to 28 are deleted;
Article 32 is replaced by the following:
‘Article 32
Excluded aircraft operator holding accounts
in Article 41, paragraph 4 is replaced by the following:
Article 57 is replaced by the following:
‘Article 57
Banking between periods
Within ten working days of the completion of the clearing transactions set out in Article 56, the Union registry shall delete Chapter II allowances valid for the 2008-2012 period held in user accounts in the Union registry and issue an equal amount of Chapter II allowances valid for the 2013-2020 period to the same accounts and delete Chapter III allowances valid for the 2008-2012 period held in user accounts in the Union registry and issue an equal amount of Chapter III allowances valid for the 2013-2020 period to the same accounts.’;
in Article 52, paragraph 4 is replaced by the following:
Articles 59 to 79 are deleted.
Article 117
Repeal
Regulation (EU) No 1193/2011 is repealed.
Regulation (EU) No 920/2010 is repealed with effect from 1 October 2013.
Article 118
Entry into force
This Regulation shall enter into force on the 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
Table I-I
Account types and unit types that may be held in each account type (Article 9)
|
Account type name |
Account holder |
Account Administrator |
No. of accounts of this type |
Non-Kyoto units |
Kyoto units |
||||||
|
Allowances |
AEAs |
AAU |
CER |
ERU |
lCER/tCER |
RMU/ERU from RMU |
|||||
|
General allowances |
Aviation allowances |
||||||||||
|
I. ETS management accounts in the Union Registry |
|||||||||||
|
EU Total Quantity Account |
EU |
central administrator |
1 |
Yes |
No |
No |
No |
No |
No |
No |
No |
|
EU Aviation Total Quantity Account |
EU |
central administrator |
1 |
No |
Yes |
No |
No |
No |
No |
No |
No |
|
EU Auction Account |
EU |
central administrator |
1 |
Yes |
No |
No |
No |
No |
No |
No |
No |
|
EU Allocation Account |
EU |
central administrator |
1 |
Yes |
No |
No |
No |
No |
No |
No |
No |
|
EU New Entrant Reserve Account |
EU |
central administrator |
1 |
Yes |
No |
No |
No |
No |
No |
No |
No |
|
EU Aviation Auction Account |
EU |
central administrator |
1 |
No |
Yes |
No |
No |
No |
No |
No |
No |
|
EU Special Reserve Account |
EU |
central administrator |
1 |
No |
Yes |
No |
No |
No |
No |
No |
No |
|
EU Aviation Allocation Account |
EU |
central administrator |
1 |
No |
Yes |
No |
No |
No |
No |
No |
No |
|
Union Deletion Account |
EU |
central administrator |
1 |
Yes |
Yes |
No |
No |
No |
No |
No |
No |
|
Auction Delivery Account |
Auctioneer, Auction platform, Clearing System or Settlement System |
national administrator that has opened the account |
one or more for each auction platform |
Yes |
Yes |
No |
No |
No |
No |
No |
No |
|
EU International Credit Account |
EU |
central administrator |
2 |
No |
No |
No |
No |
Yes (*2) |
Yes (*2) |
No |
No |
|
EU Credit Exchange Account |
EU |
central administrator |
2 |
Yes |
Yes |
No |
No |
No |
No |
No |
No |
|
II. ETS holding accounts in the Union Registry |
|||||||||||
|
Operator holding account |
Operator |
national administrator of the Member State where installation is located |
one for each installation |
Yes |
No |
No |
No |
Yes (*2) |
Yes (*2) |
No |
No |
|
Aircraft operator holding account |
Aircraft operator |
national administrator of the Member State administering the aircraft operator |
one for each aircraft operator |
Yes |
Yes |
No |
No |
Yes (*2) |
Yes (*2) |
No |
No |
|
Person holding account |
Person |
national administrator or central administrator that has opened the account |
as approved |
Yes |
Yes |
No |
No |
Yes (*2) |
Yes (*2) |
No |
No |
|
National holding account |
Member State |
national administrator of the Member State holding the account |
one or more for each Member State |
Yes |
Yes |
No |
No |
Yes (*2) |
Yes (*2) |
No |
No |
|
III. ETS trading accounts in the Union Registry |
|||||||||||
|
Trading account |
Person |
national administrator or central administrator that has opened the account |
as approved |
Yes |
Yes |
No |
No |
Yes (*2) |
Yes (*2) |
No |
No |
|
IV. Other ETS accounts in the Union Registry |
|||||||||||
|
External trading platform account |
External trading platform |
national administrator that has opened the account |
one per Member State for each external trading platform |
This account type does not hold any unit. |
|||||||
|
Verifier account |
Verifier |
national administrator that has opened the account |
one per Member State for each verifier |
This account type does not hold any unit. |
|||||||
|
National administrative platform account |
Member State |
central administrator |
maximum one for each Member State |
This account type does not hold any unit. |
|||||||
|
V. KP accounts in the consolidated system of European registries |
|||||||||||
|
Party holding Account |
party to the Kyoto Protocol |
KP registry administrator (in the Union Registry: the central administrator) |
at least 1 |
No |
No |
No |
Yes |
Yes |
Yes |
Yes |
Yes |
|
Cancellation Account |
1 |
No |
No |
No |
Yes |
Yes |
Yes |
Yes |
Yes |
||
|
Retirement Account |
1 |
No |
No |
No |
Yes |
Yes |
Yes |
Yes |
Yes |
||
|
ETS AAU Deposit Account |
1 |
No |
No |
No |
Yes |
No |
No |
No |
No |
||
|
tCER Replacement Account |
EU |
central administrator |
1 |
No |
No |
No |
Yes |
Yes |
Yes |
Yes |
Yes |
|
lCER Replacement Account |
EU |
central administrator |
1 |
No |
No |
No |
Yes |
Yes |
Yes |
Yes |
Yes |
|
Person holding account (*3) |
Person |
national administrator or central administrator that has opened the account |
1 |
No |
No |
No |
by MS (*1) |
by MS (*1) |
by MS (*1) |
by MS (*1) |
by MS (*1) |
|
VI. Accounts for the purpose of accounting transactions under Title 4 |
|||||||||||
|
EU AEA Total Quantity Account |
EU |
central admininistrator |
1 |
No |
No |
Yes |
No |
No |
No |
No |
No |
|
ESD Deletion Account |
EU |
central admininistrator |
1 |
No |
No |
Yes |
No |
No |
No |
No |
No |
|
ESD Compliance Account |
Member State |
central administrator |
1 for each of the 8 compliance years for each Member State |
No |
No |
Yes |
No |
Yes |
Yes |
Yes |
No |
|
(*1)
The MS national administrator can decide whether the account type may hold this type of unit.
(*2)
Excluding units which are not eligible for use pursuant to Articles 11a and 11b of Directive 2003/87/EC, Article 58 of this Regulation and measures adopted pursuant to Article 11a(9) of Directive 2003/87/EC.
(*3)
KP operator holding accounts existing in national KP registries before the consolidation referred to in Article 8(4) can hold the same unit types. |
|||||||||||
ANNEX II
Terms and conditions (Article 11)
Payment of fees
1. The terms and conditions regarding any registry fees for establishing and maintaining accounts.
Modification of core terms and conditions
2. Modification of the core terms to reflect changes to this Regulation or changes to domestic legislation.
Dispute resolution
3. Provisions relating to disputes between account holders and choice of court for national administrator.
Responsibility and liability
4. The limitation of liability for the national administrator.
5. The limitation of liability for the account holder.
ANNEX III
Information to be submitted with requests for opening an account (Articles 13, 14 and 19)
1. The information set out in Table III-I.
Table III-I
Account details for all accounts
|
|
A |
B |
C |
D |
E |
F |
|
Item No. |
Account detail item |
Mandatory or Optional? |
Type |
Can be updated? |
Update requires the approval of the administrator? |
Displayed on the EUTL public website? |
|
1 |
Account ID (given by Union Registry) |
M |
Preset |
No |
n.a. |
No |
|
2 |
Account type |
M |
Choice |
No |
n.a. |
Yes |
|
3 |
Commitment period |
M |
Choice |
No |
n.a. |
Yes |
|
4 |
Account holder ID (given by Union Registry) |
M |
Free |
Yes |
Yes |
No |
|
5 |
Account holder name |
M |
Free |
Yes |
Yes |
Yes |
|
6 |
Account identifier (given by account holder) |
M |
Free |
Yes |
No |
No |
|
7 |
Account holder's address – country |
M |
Choice |
Yes |
Yes |
Yes |
|
8 |
Account holder's address - region or state |
O |
Free |
Yes |
Yes |
Yes |
|
9 |
Account holder's address – city |
M |
Free |
Yes |
Yes |
Yes |
|
10 |
Account holder's address – postcode |
M |
Free |
Yes |
Yes |
Yes |
|
11 |
Account holder's address – line 1 |
M |
Free |
Yes |
Yes |
Yes |
|
12 |
Account holder's address – line 2 |
O |
Free |
Yes |
Yes |
Yes |
|
13 |
Account holder's company registration number |
M |
Free |
Yes |
Yes |
Yes |
|
14 |
Account holder's telephone 1 |
M |
Free |
Yes |
No |
No |
|
15 |
Account holder's telephone 2 |
M |
Free |
Yes |
No |
No |
|
16 |
Account holder's email address |
M |
Free |
Yes |
No |
No |
|
17 |
Date of birth (for natural persons) |
M for natural persons |
Free |
No |
n.a. |
No |
|
18 |
Place of birth – city (for natural persons) |
M for natural persons |
Free |
No |
n.a. |
No |
|
19 |
Place of birth - country |
O |
Free |
No |
n.a. |
No |
|
20 |
Type of document supporting identity (for natural persons) |
M |
Choice |
Yes |
Yes |
No |
|
21 |
Identity document number (for natural persons) |
M |
Free |
Yes |
Yes |
No |
|
22 |
Identity document expiry date |
O |
Free |
Yes |
Yes |
No |
|
23 |
VAT registration number with country code |
M where assigned |
Free |
Yes |
Yes |
No |
|
24 |
Account opening date |
M |
Preset |
No |
n.a. |
Yes |
|
25 |
Account closing date |
O |
Preset |
Yes |
Yes |
Yes |
2. The account identifier shall be unique within the registry system.
ANNEX IV
Information to be provided for opening an auction delivery account, a person holding account, a trading accounts or an external trading platform accounts (Articles 15, 18 and 20)
1. The information set out in Table III-I of Annex III. (The account ID and the alphanumeric identifier are unique within the registry system.)
2. Proof that the person requesting the account opening has an open bank account in a Member State of the European Economic Area.
3. Evidence to support the identity of the natural person requesting the account opening, which may be a copy of one of the following:
an identity card issued by a State that is a member of the European Economic Area or the Organisation for Economic Cooperation and Development;
a passport.
4. Evidence to support the address of the permanent residence of the natural person account holder, which may be a copy of one of the following:
the identity document submitted under point 3, if it contains the address of the permanent residence;
any other government-issued identity document that contains the address of permanent residence;
if the country of permanent residence does not issue identity documents that contain the address of permanent residence, a statement from the local authorities confirming the nominee's permanent residence;
any other document that is customarily accepted in the Member State of the administrator of the account as evidence of the permanent residence of the nominee.
5. The following documents in case of a legal person requesting the account opening:
a copy of the instruments establishing the legal entity and a copy of a document proving the registration of the legal entity;
bank account details;
a confirmation of VAT registration;
information on the legal entity's beneficial owner as defined in Directive 2005/60/EC including the type of ownership or control they are exercising;
list of directors;
a copy of the annual report or of the latest audited financial statements, or if no audited financial statements available, a copy of the financial statements stamped by the tax office or the financial director.
6. Evidence to support the registered address of the legal person account holder, if this is not clear from the document submitted in accordance with point 5.
7. The criminal record of the natural person requesting the account opening or if it is a legal person, of its directors.
8. Any copy of a document submitted as evidence under this annex must be certified as a true copy by a notary public or other similar person specified by the national administrator. Regarding documents issued outside the Member State requesting a copy, the copy must be legalised. The date of the certification or legalisation must not be more than three months prior to the date of application.
9. The administrator of the account may require that the documents submitted are accompanied with a certified translation into a language specified by the administrator.
10. Instead of obtaining paper documents, the administrator of the account may use electronic mechanisms to check the evidence to be submitted in accordance with this Annex.
ANNEX V
Additional information to be provided for opening a verifier account (Article 21)
1. A document proving that the person requesting the account opening is accredited as a verifier in accordance with Article 15 of Directive 2003/87/EC.
ANNEX VI
Information to be provided for opening an operator holding account (Article 16)
1. The information set out in Table III-I of Annex III.
2. Under the data provided in accordance with Table III-I of Annex III, the operator of the installation shall be named the account holder. The name provided for the account holder should be identical to name of the natural or legal person that is the holder of the relevant greenhouse gas permit.
3. The information set out in Table VI-I and VI-II of this Annex.
Table VI-I
Account details for operator holding accounts
|
|
A |
B |
C |
D |
E |
F |
|
Item No. |
Account detail item |
Mandatory or Optional? |
Type |
Can be updated? |
Update requires the approval of the administrator? |
Displayed on the EUTL public website? |
|
1 |
Installation ID |
M |
Preset |
No |
— |
Yes |
|
2 |
Permit ID |
M |
Free |
Yes |
Yes |
Yes |
|
3 |
Permit entry into force date |
M |
Free |
No |
— |
Yes |
|
4 |
Permit expiry date |
O |
Free |
Yes |
Yes |
Yes |
|
5 |
Installation name |
M |
Free |
Yes |
Yes |
Yes |
|
6 |
Installation activity type |
M |
Choice |
Yes |
Yes |
Yes |
|
7 |
Installation address – country |
M |
Preset |
Yes |
Yes |
Yes |
|
8 |
Installation address - region or state |
O |
Free |
Yes |
Yes |
Yes |
|
9 |
Installation address – city |
M |
Free |
Yes |
Yes |
Yes |
|
10 |
Installation address – postcode |
M |
Free |
Yes |
Yes |
Yes |
|
11 |
Installation address – line 1 |
M |
Free |
Yes |
Yes |
Yes |
|
12 |
Installation address – line 2 |
O |
Free |
Yes |
Yes |
Yes |
|
13 |
Installation telephone 1 |
M |
Free |
Yes |
No |
No |
|
14 |
Installation telephone 2 |
M |
Free |
Yes |
No |
No |
|
15 |
Installation email address |
M |
Free |
Yes |
No |
No |
|
16 |
Parent company |
O |
Free |
Yes |
No |
Yes |
|
17 |
Subsidiary company |
O |
Free |
Yes |
No |
Yes |
|
18 |
EPRTR identification number |
M where assigned |
Free |
Yes |
No |
Yes |
|
19 |
Latitude |
O |
Free |
Yes |
No |
Yes |
|
20 |
Longitude |
O |
Free |
Yes |
No |
Yes |
Table VI-II
Details of the installation contact person
|
|
A |
B |
C |
D |
E |
F |
|
Item No. |
Account detail item |
Mandatory or Optional? |
Type |
Can be updated? |
Update requires the approval of the administrator? |
Displayed on the EUTL public website? |
|
1 |
Verifier |
O |
Choice |
Yes |
No |
No |
|
|
Company name |
O |
Free |
Yes |
No |
No |
|
|
Company department |
O |
Free |
Yes |
No |
No |
|
2 |
Contact person within Member State first name |
O |
Free |
Yes |
No |
No |
|
3 |
Contact person within Member State last name |
O |
Free |
Yes |
No |
No |
|
4 |
Contact person address – country |
O |
Preset |
Yes |
No |
No |
|
5 |
Contact person address - region or state |
O |
Free |
Yes |
No |
No |
|
6 |
Contact person address – city |
O |
Free |
Yes |
No |
No |
|
7 |
Contact person address – postcode |
O |
Free |
Yes |
No |
No |
|
8 |
Contact person address – line 1 |
O |
Free |
Yes |
No |
No |
|
9 |
Contact person address – line 2 |
O |
Free |
Yes |
No |
No |
|
10 |
Contact person telephone 1 |
O |
Free |
Yes |
No |
No |
|
11 |
Contact person telephone 2 |
O |
Free |
Yes |
No |
No |
|
12 |
Contact person email address |
O |
Free |
Yes |
No |
No |
ANNEX VII
Information to be provided for opening an aircraft operator holding account (Article 17)
1. The information set out in Table III-I of Annex III and VII-I of Annex VII.
2. Under the data provided in accordance with Table III-I, the aircraft operator shall be named as the account holder. The name recorded for the account holder shall be identical to the name in the Monitoring Plan. In case the name in the Monitoring Plan is obsolete, the name in the trading registry or the name used by Eurocontrol shall be used.
Table VII-I
Account details for aircraft operator holding accounts
|
|
A |
B |
C |
D |
E |
F |
|
Item No. |
Account detail item |
Mandatory or Optional? |
Type |
Can be updated? |
Update requires the approval of the administrator? |
Displayed on the EUTL public website? |
|
1 |
Aircraft operator ID (assigned by Union Registry) |
M |
Free |
No |
— |
Yes |
|
2 |
Unique code under Commission Regulation 748/2009 |
M |
Free |
Yes |
Yes |
Yes |
|
3 |
Call sign (ICAO designator) |
O |
Free |
Yes |
Yes |
Yes |
|
4 |
Monitoring plan ID |
M |
Free |
Yes |
Yes |
Yes |
|
5 |
Monitoring plan – first year of applicability |
M |
Free |
No |
— |
Yes |
|
6 |
Monitoring plan – year of expiry |
O |
Free |
Yes |
Yes |
Yes |
3. The call sign is International Civil Aviation Organisation (ICAO) designator in box 7 of the flight plan or, if not available, the registration marking of the aircraft.
ANNEX VIII
Information concerning authorised representatives and additional authorised representatives to be provided to the administrator of the account (Article 24)
1. The information set out in Table VIII-I of Annex VIII.
Table VIII-I
Authorised representative details
|
|
A |
B |
C |
D |
E |
F |
|
Item No. |
Account detail item |
Mandatory or Optional? |
Type |
Can be updated? |
Update requires the approval of the administrator? |
Displayed on the EUTL public website? |
|
1 |
Person ID |
M |
Free |
No |
n.a. |
No |
|
2 |
Type of account representative |
M |
Choice |
Yes |
No |
No |
|
3 |
First name |
M |
Free |
Yes |
Yes |
No |
|
4 |
Last name |
M |
Free |
Yes |
Yes |
No |
|
5 |
Title |
O |
Free |
Yes |
No |
No |
|
6 |
Job title |
O |
Free |
Yes |
No |
No |
|
|
Company name |
O |
Free |
Yes |
No |
No |
|
|
Company department |
O |
Free |
Yes |
No |
No |
|
7 |
Country |
M |
Preset |
No |
n.a. |
No |
|
8 |
Region or state |
O |
Free |
Yes |
Yes |
No |
|
9 |
City |
M |
Free |
Yes |
Yes |
No |
|
10 |
Postcode |
M |
Free |
Yes |
Yes |
No |
|
11 |
Address – line 1 |
M |
Free |
Yes |
Yes |
No |
|
12 |
Address – line 2 |
O |
Free |
Yes |
Yes |
No |
|
13 |
Telephone 1 |
M |
Free |
Yes |
No |
No |
|
14 |
Mobile phone |
M |
Free |
Yes |
Yes |
No |
|
15 |
E-mail address |
M |
Free |
Yes |
Yes |
No |
|
16 |
Date of birth |
M |
Free |
No |
n.a. |
No |
|
17 |
Place of birth – city |
M |
Free |
No |
n.a. |
No |
|
18 |
Place of birth – country |
M |
Free |
No |
n.a. |
No |
|
19 |
Type of document supporting identity |
M |
Choice |
Yes |
Yes |
No |
|
20 |
Identity document number |
M |
Free |
Yes |
Yes |
No |
|
21 |
Identity document expiry date |
O |
Free |
Yes |
Yes |
No |
|
22 |
Preferred language |
O |
Choice |
Yes |
No |
No |
|
23 |
Confidentiality level |
O |
Choice |
Yes |
No |
No |
|
24 |
Rights as additional account representative |
M |
Multiple Choice |
Yes |
Yes |
No |
2. A signed statement from the account holder indicating that it wishes to nominate a particular person as authorised representative or additional authorised representative, confirming that the authorised representative has the right to initiate or that additional authorised representative has the right to approve transactions on behalf of the account holder and indicating any limitations to that right.
3. Evidence to support the identity of the nominee, which may be a copy of one of the following:
an identity card issued by a state that is a member of the European Economic Area or the Organisation for Economic Cooperation and Development;
a passport.
4. Evidence to support the address of the permanent residence of the nominee, which may be a copy of one of the following:
the identity document submitted under point 3., if it contains the address of the permanent residence;
any other government-issued identity document that contains the address of permanent residence;
if the country of permanent residence does not issue identity documents that contain the address of permanent residence, a statement from the local authorities confirming the nominee's permanent residence;
any other document that is customarily accepted in the Member State of the administrator of the account as evidence of the permanent residence of the nominee;
5. Criminal record of the nominee.
6. Any copy of a document submitted as evidence under this annex must be certified as a true copy by a notary public or other similar person specified by the national administrator. Regarding documents issued outside the Member State requesting a copy, the copy must be legalised. The date of the certification or legalisation must not be more than three months prior to the date of application.
7. The administrator of the account may require that the documents submitted are accompanied with a certified translation into a language specified by the national administrator.
8. Instead of obtaining paper documents, the administrator of the account may use electronic mechanisms to check the evidence to be submitted in accordance with this Annex.
ANNEX IX
Formats for submitting annual emissions data (Article 35)
1. Emissions data for operators shall contain the information set out in Table IX-I, having regard to the electronic format for submitting emissions data described in the data exchange and technical specifications provided for in Article 105.
Table IX-I
Emissions data for operators
|
1 |
Installation ID or aircraft operator ID: |
|
|
|
2 |
Reporting year |
|
|
|
Greenhouse Gas Emissions |
|||
|
|
in tons |
in tons of CO2eq |
|
|
3 |
CO2 emissions |
|
|
|
4 |
N2O emissions |
|
|
|
5 |
PFC emissions |
|
|
|
6 |
Total emissions |
— |
|
ANNEX X
National allocation table for the 2013-2020 period (Article 51)
|
Row No |
|
Quantity of general allowances allocated free of charge |
|
|||||
|
Pursuant to Art. 10a(7) of Directive 2003/87/EC |
Pursuant to Art. 10c of Directive 2003/87/EC (transferrable) |
Pursuant to another provision of Directive 2003/87/EC |
Total |
|
||||
|
1 |
Country code of Member State |
|
|
|
|
Manual input |
||
|
2 |
|
Installation ID |
|
|
|
|
Manual input |
|
|
3 |
|
Quantity to be allocated: |
|
|
|
|
|
|
|
4 |
|
|
in year 2013 |
|
|
|
|
Manual input |
|
5 |
|
|
in year 2014 |
|
|
|
|
Manual input |
|
6 |
|
|
in year 2015 |
|
|
|
|
Manual input |
|
7 |
|
|
in year 2016 |
|
|
|
|
Manual input |
|
8 |
|
|
in year 2017 |
|
|
|
|
Manual input |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
9 |
|
|
in year 2018 |
|
|
|
|
Manual input |
|
10 |
|
|
in year 2019 |
|
|
|
|
Manual input |
|
11 |
|
|
in year 2020 |
|
|
|
|
Manual input |
Rows No 2 to 11 shall be repeated for each installation.
ANNEX XI
National aviation allocation table for the 2013-2020 period (Article 54)
|
Row No |
|
Quantity of aviation allowances allocated free of charge |
|
||||
|
Pursuant to Art. 3e of Directive 2003/87/EC |
Pursuant to Art. 3f of Directive 2003/87/EC |
In Total |
|
||||
|
1 |
Country code of Member State |
|
|
|
Manual input |
||
|
2 |
|
Aircraft operator ID |
|
|
|
Manual input |
|
|
3 |
|
Quantity to be allocated |
|
|
|
|
|
|
4 |
|
|
in year 2013 |
|
|
|
Manual input |
|
5 |
|
|
in year 2014 |
|
|
|
Manual input |
|
6 |
|
|
in year 2015 |
|
|
|
Manual input |
|
7 |
|
|
in year 2016 |
|
|
|
Manual input |
|
8 |
|
|
in year 2017 |
|
|
|
Manual input |
|
9 |
|
|
in year 2018 |
|
|
|
Manual input |
|
10 |
|
|
in year 2019 |
|
|
|
Manual input |
|
11 |
|
|
in year 2020 |
|
|
|
Manual input |
Rows No 2 to 11 shall be repeated for each aircraft operator.
ANNEX XII
National international credit entitlement table for the 2008-2020 period (Article 59)
|
Row No |
|
International credit entitlement |
|
|||
|
Pursuant to third subparagraph Article 11a(8) of Directive 2003/87/EC |
Pursuant to another provision of Article 11a(8) of Directive 2003/87/EC |
Total |
|
|||
|
1 |
Country code of Member State |
|
|
|
Manual input |
|
|
2 |
|
Installation ID |
|
|
|
Manual input |
|
3 |
|
Initial international credit entitlement |
|
|
|
Manual input |
|
4 |
|
Aircraft operator ID |
|
|
|
Manual input |
|
5 |
|
Initial international credit entitlement |
|
|
|
Manual input |
Rows 2 to 3 shall be repeated for each installation.
Rows 4 to 5 shall be repeated for each aircraft operator.
ANNEX XIII
Auction table (Article 63)
|
Row No |
Information on the auction platform |
|
|||
|
|
|||||
|
1 |
Identification code of the auction platform |
|
|
||
|
2 |
Identity of the auction monitor |
|
|
||
|
3 |
The Auction Delivery Account number |
|
|
||
|
4 |
Information on individual auctions of (general allowances / aviation allowances) |
|
|||
|
5 |
Individual volume of the auction |
Date and time of delivery to the Auction Delivery Account |
Identity of the auctioneer(s) connected to each auction |
Manual input |
|
|
6 |
|
|
|
Manual input |
|
|
7 |
|
Manual input |
|||
|
8 |
|
Manual input |
|||
|
9 |
|
Manual input |
|||
|
10 |
|
Manual input |
|||
|
11 |
|
Manual input |
|||
|
12 |
|
Manual input |
|||
|
13 |
|
|
|
Manual input |
|
|
14 |
|
Manual input |
|||
|
15 |
|
Manual input |
|||
|
16 |
|
Manual input |
|||
|
17 |
|
Manual input |
|||
|
18 |
|
Manual input |
|||
|
19 |
|
Manual input |
|||
ANNEX XIV
Reporting requirements of the central administrator (Article 109)
I. UNION REGISTRY INFORMATION RELATED TO THE UNION EMISSIONS TRADING SCHEME
Information available to the public
1. The EUTL shall display on the public website of the EUTL the following information for each account:
all information indicated as to be ‘displayed on the EUTL public website’ in Tables III-I of Annex III, Table VI-I of Annex VI, and Table VII-I of Annex VII. This information shall be updated every 24 hours;
allowances allocated to individual account holders pursuant to Article 43 and Article 44. This information shall be updated every 24 hours;
the status of the account in accordance with Article 10(1). This information shall be updated every 24 hours;
the number of allowances surrendered in accordance with Article 67.
the verified emissions figure, along with its corrections for the installation related to the operator holding account for year X shall be displayed from 1 April onwards of year (X+1);
a symbol and a statement indicating whether the installation or aircraft operator related to the operator holding account surrendered a number of allowances by 30 April that is at least equal to all its emissions in all past years. The symbols and the statements to be displayed are set out in Table XIV-I. The symbol shall be updated on 1 May and, except for the addition of a * in cases described under row 5 of Table XIV-I, it shall not change until the next 1 May.
Table XIV-I
Compliance statements
|
Row No. |
Compliance status figure according to Article 34 |
Verified emissions are recorded for last complete year? |
Symbol |
Statement |
|
to be displayed on the EUTL public website |
||||
|
1 |
0 or any positive number |
Yes |
A |
‘The number of allowances surrendered by 30 April is greater than or equal to verified emissions’ |
|
2 |
any negative number |
Yes |
B |
‘The number of allowances surrendered by 30 April is lower than verified emissions’ |
|
3 |
any number |
No |
C |
‘Verified emissions for preceding year were not entered until 30 April’ |
|
4 |
any number |
No (because the allowance surrender process and/or verified emissions update process being suspended for the Member State's registry) |
X |
‘Entering verified emissions and/or surrendering was impossible until 30 April due to the allowance surrender process and/or verified emissions update process being suspended for the Member State's registry’ |
|
5 |
any number |
Yes or No (but subsequently updated by the competent authority) |
* [added to the initial symbol] |
‘Verified emissions were estimated or corrected by the competent authority.’ |
2. The EUTL shall display on the public website of the EUTL the following general information, and shall update it every 24 hours:
the national allocation table of each Member State, including indications of any changes made to the table in accordance with Article 52;
the national aviation allocation table of each Member State, including indications of any changes made to the table in accordance with Article 55;
the international credit entitlement table of each Member State;
the total number of allowances, ERUs and CERs held in the Union Registry in all user accounts on the previous day;
a listing of the types of Kyoto units other than CERs and ERUs that can be held in user accounts in KP registries administered by a particular national administrator in accordance with Annex I;
up-to-date information regarding the eligibility of international credits pursuant to Articles 11a and 11b of Directive 2003/87/EC, Article 58 of this Regulation and any measure adopted pursuant to Article 11a(9) of Directive 2003/87/EC;
the fees charged by national administrators in accordance with Article 111.
3. The EUTL shall display on its public website the following general information, on 30 April of each year:
the sum of verified emissions by Member State entered for the preceding calendar year as a percentage of the sum of verified emissions of the year before that year;
the percentage share belonging to accounts administered by a particular Member State in the number and volume of all allowance and Kyoto unit transfer transactions in the preceding calendar year;
the percentage share belonging to accounts administered by a particular Member State in the number and volume of all allowance and Kyoto unit transfer transactions in the preceding calendar year between accounts administered by different Member States.
4. The EUTL shall display on the public website of the EUTL the following information about each completed transaction recorded by the EUTL by 30 April of a given year on 1 May three years later.
account holder name and Account identifier of the transferring account;
account holder name and Account identifier of the acquiring account;
the amount of allowances or Kyoto units involved in the transaction, including the country code but without unique unit identification code of the allowances and the unique numeric value of the unit serial number of the Kyoto units;
transaction identification code;
date and time at which the transaction was completed (in Central European Time);
type of the transaction.
4a. On 1 May each year, the following information shall be published on agreements which are in force pursuant to Article 25 of Directive 2003/87/EC recorded by the EUTL by 30 April:
holdings of allowances issued in the linked emissions trading system on all accounts in the Union Registry;
number of allowances issued in the linked emissions trading system used for compliance in the EU ETS;
sum of allowances issued in the linked emissions trading system that were transferred to accounts in the Union Registry in the preceding calendar year;
sum of allowances that were transferred to accounts in the linked emissions trading system in the preceding calendar year.
Information available to account holders
5. The Union Registry shall display on the part of the Union Registry's website only accessible to the account holder the following information, and shall update it in real time:
current holdings of allowances and Kyoto units, including the country code but without the unique unit identification code of the allowances and the unique numeric value of the unit serial number of the Kyoto units;
list of proposed transactions initiated by that account holder, detailing for each proposed transaction
the elements in point 4 of this Annex;
the date and time at which the transaction was proposed (in Central European Time);
the current status of that proposed transaction;
any response codes returned consequent to the checks made by the registry and the EUTL;
a list of allowances or Kyoto units acquired by that account as a result of completed transactions, detailing for each transaction the elements in point 4;
list of allowances or Kyoto units transferred out of that account as a result of completed transactions, detailing for each transaction the elements in point 4 of this Annex.
Information available to national administrators
6. The Union Registry shall display on the part of the Union Registry's website only accessible to national administrators: account holders and authorised representatives whose access to any account in the Union Registry was suspended by any national administrator in accordance with Article 34.
II. INFORMATION RELATED TO ACCOUNTING OF TRANSACTIONS UNDER DECISION No 406/2009/EC
Information available to the public
7. The central administrator shall make publicly available the following information for each account and update it within 24 hours when relevant:
all information indicated as to be ‘displayed on the EUTL public website’ in Table III-I of Annex III;
Annual Emission Allocations as determined pursuant to Article 3(2) of Decision No 406/2009/EC and any further adjustment pursuant to Article 10 of Decision No 406/2009/EC;
the status of each ESD Compliance Account in accordance with Article 10;
the total number of ERUs, CERs, tCERs and lCERs used pursuant to Article 81;
the relevant greenhouse gas emissions data pursuant to Article 77;
the compliance status figure pursuant to Article 79 for each ESD Compliance Account as follows:
A for compliance,
I for noncompliance;
the quantity of greenhouse gas emissions introduced pursuant to Article 80;
the following information about each completed transaction recorded by the EUTL:
account holder name and account holder ID of the transferring account;
account holder name and account holder ID of the acquiring account;
the amount of AEAs or credit entitlement involved in the transaction, without unique unit identification code of the AEA;
transaction identification code;
date and time at which the transaction was completed (in Central European Time);
type of the transaction.
Information available to account holders
8. The Union Registry shall display on the part of the Union Registry’s website only accessible to the account holder the following information, and shall update it in real time:
current holdings of AEAs, credit entitlement and Kyoto units, without the unique unit identification code of the AEAs and the unique numeric value of the unit serial number of the Kyoto units;
list of proposed transactions initiated by that account holder, detailing for each proposed transaction;
the elements in point 7(f)(i) of this Annex;
the date and time at which the transaction was proposed (in central European time);
the current status of that proposed transaction;
any response codes returned consequent to the checks made by the registry and the EUTL;
a list of AEAs, Kyoto units and credit entitlement acquired by that account as a result of completed transactions, detailing for each transaction the elements in point 7(f) (i) of this Annex;
a list of AEAs and credit entitlement transferred out of that account as a result of completed transactions, detailing for each transaction the elements in point 7(f)(i) of this Annex.
( 1 ) OJ L 145, 30.4.2004, p. 1.
( 2 ) OJ L 181, 12.7.2012, p. 1.
( 3 ) OJ L 309, 25.11.2005, p. 15.
( 4 ) OJ L 290, 6.11.2010, p. 39.
( 5 ) OJ L 87, 31.3.2009, p. 109.
( 6 ) OJ L 140, 5.6.2009, p. 63.
( 7 ) OJ L 96, 12.4.2003, p. 16.
( 8 ) OJ L 121, 15.5.2009, p. 37.