Commission Regulation (EU) No 1031/2010 of 12 November 2010 on the timing, administration and other aspects of auctioning of greenhouse gas emission allowances pursuant to Directive 2003/87/EC of the European Parliament and of the Council establishing a scheme for greenhouse gas emission allowances trading within the Community (Text with EEA relevance) (c. 1031)

[F1 ANNEX I U.K.

Textual Amendments

F1 Substituted by Commission Regulation (EU) No 1210/2011 of 23 November 2011 amending Regulation (EU) No 1031/2010 in particular to determine the volume of greenhouse gas emission allowances to be auctioned prior to 2013 (Text with EEA relevance).

Allowances auctioned in 2012 pursuant to Article 10(1)

Member State	Volume
Belgium	2 979 000
Bulgaria	3 277 000
Czech Republic	5 503 000
Denmark	1 472 000
Germany	23 531 000
Estonia	1 068 000
Ireland	1 100 000
Greece	4 077 000
Spain	10 145 000
France	6 434 000
Italy	11 324 000
Cyprus	307 000
Latvia	315 000
Lithuania	637 000
Luxemburg	141 000
Hungary	1 761 000
Malta	120 000
Netherlands	3 938 000
Austria	1 636 000
Poland	14 698 000
Portugal	2 065 000
Romania	5 878 000
Slovenia	520 000
Slovakia	1 805 000
Finland	1 965 000
Sweden	1 046 000
United Kingdom	12 258 000
Total	120 000 000]

ANNEX II U.K. List of the elements referred to in Article 20(3)

1. Proof of eligibility pursuant to Article 18(1) or (2). U.K.

2. The applicant’s name, address, telephone and facsimile numbers. U.K.

3. The account identifier of the applicant’s nominated holding account. U.K.

4. Full details of the applicant’s nominated bank account. U.K.

5. The name, address, telephone and facsimile numbers, as well as the electronic mail address of one or more representatives of the bidder as defined in the third subparagraph of Article 6(3). U.K.

6. For legal persons, proof of: U.K.

(a)

their incorporation stating: the legal form of the applicant; the law by which it is governed; whether or not the applicant is a publicly listed company of one or more recognised stock exchange(s);

(b)

if applicable, the registration number of the applicant in the relevant register where the applicant is registered, failing which the applicant shall provide the memorandum, statutes or other document attesting to its incorporation.

7. For legal persons and/or legal arrangements, such information as is required to identify the beneficial owner and understand the ownership and control structure of such legal person or arrangement. U.K.

8. For natural persons, proof of their identity, by means of an identity card, driving licence, passport or similar government issued document containing the full name, photograph, date of birth and permanent residential address in the Union of the applicant concerned, which may be supported by other appropriate corroborating documents wherever necessary. U.K.

9. For operators, the permit referred to in Article 4 of Directive 2003/87/EC. U.K.

10. For aircraft operators, proof of their being listed pursuant to Article 18a(3) of Directive 2003/87/EC or the monitoring plan submitted and approved pursuant to Article 3g of that Directive. U.K.

11. Such information as is required to carry out the customer due diligence measures referred to in Article 19(2)(e). U.K.

12. The applicant’s latest audited annual report and accounts including the profit and loss account and balance sheet, if any; if none, a VAT return, or such further information as required to be satisfied as to the applicant’s solvency and creditworthiness. U.K.

13. The VAT registration number, if any, and, where the applicant is not registered for VAT, any other means of identifying the applicant by the tax authorities of the Member State of establishment or where it is tax resident, or such further information as required to be satisfied as to the applicant’s fiscal status within the Union. U.K.

14. A statement that, to the best of the applicant’s knowledge, the applicant satisfies the requirements of Article 19(2)(f). U.K.

15. Proof of compliance with the requirements of Article 19(2)(g). U.K.

16. Proof that the applicant satisfies the requirements of Article 19(3). U.K.

17. A statement that the applicant has the necessary legal capacity and authority to bid on its own account or on behalf of others in an auction. U.K.

18. A statement that to the best of the applicant’s knowledge there is no legal, regulatory, contractual or any other impediment preventing it from performing its obligations under this Regulation. U.K.

19. A statement of whether the applicant proposes to pay in euros or in a currency of a Member State that is not part of the euro-zone, with an indication of the currency chosen. U.K.

ANNEX III U.K. Auction platforms other than those appointed pursuant to Article 26(1) or (2), their appointing Member States and any applicable conditions or obligations referred to in Article 30(7)

[F2 Auction platforms appointed by Germany
1	Auction Platform	European Energy Exchange AG (EEX)
	Term of appointment	From 1 September 2012 at the earliest until at least 31 March 2013 and 31 December 2013 at the latest, without prejudice to the second subparagraph of Article 30(5).
	Conditions	Admission to the auctions shall not be dependent on becoming a member of or a participant in the secondary market organised by EEX or of any other trading place operated by EEX or by any third party.
	Obligations	Within two months from 1 September 2012 , EEX shall submit its exit strategy to Germany for consultation of the auction monitor. Within two months from receiving the auction monitor’s opinion, EEX shall review its exit strategy, taking the utmost account of that opinion. Germany shall notify the Commission of any substantive changes in relevant contractual relations with EEX.
[F3	Legal basis	Article 30(2)]
[F4 Auction platforms appointed by the United Kingdom
2	Auction platform	ICE Futures Europe (ICE)
	Term of appointment	From 10 November 2012 at the earliest until 9 November 2017 at the latest, without prejudice to the second subparagraph of Article 30(5).
	Definitions	For the purposes of the condition and obligations applying to ICE the following definitions shall apply: (a) ‘ ICE exchange rules ’ — means ICE Regulations, including in particular contract rules and procedures relating to the ICE FUTURES EUA AUCTION CONTRACT and the ICE FUTURES EUAA AUCTION CONTRACT; (b) ‘ exchange member ’ — means a member as defined in Section A.1 of ICE exchange rules; (c) ‘ client ’ — means a client of an exchange member, as well as clients of their clients down the chain, who facilitate the admission of persons to bid and act on behalf of bidders.
	Conditions	Admission to the auctions shall not be dependent on becoming an exchange member of or a participant in the secondary market organised by ICE or of any other trading place operated by ICE or by any third party.
	Obligations	1. ICE shall require that any decisions that have been taken by ICE’s exchange members or their clients with respect to granting admission to bid in the auctions, revoking or suspending such admission be communicated to ICE by the exchange members or their clients taking such decisions in the following way: (a) in case of decisions refusing to grant admission to bid and decisions revoking or suspending access to auctions, on an individual basis without delay; (b) in case of other decisions, upon request. ICE shall ensure that any such decisions may be subject to examination by ICE with regard to their compliance with the obligations incumbent upon the auction platform under this Regulation and that ICE’s exchange members or their clients abide by the results of any such examination by ICE. This may include, but not be limited to, recourse to any applicable ICE exchange rules, including diciplinary procedures, or any other action as appropriate to facilitate admission to bid in the auctions. 2. ICE shall draw up and maintain on its webpage a comprehensive and up-to-date list of exchange members or their clients that are eligible to facilitate access to SMEs and small emitters to the United Kingdom’s auctions on ICE together with readily comprehensible practical guidance informing SMEs and small emitters of the steps they need to take to access the auctions through such exchange members or their clients. 3. Within six months after the start of the auctions or two months from the appointment of the auction monitor whichever is the latest, ICE shall report to the auction monitor, on the coverage obtained under its cooperation model with exchange members and their clients, including the level of geographic coverage obtained and take the utmost account of the auction monitor’s recommendations in this regard so as to ensure fulfilment of its obligations under Article 35(3)(a) and (b) of this Regulation. 4. All fees and conditions applied by ICE and its clearing system to persons admitted to bid or bidders shall be clearly stated, easily understandable and publicly available on ICE’s webpage, which shall be kept up-to-date. ICE shall provide that where additional fees and conditions are applied by an exchange member or its client, for admission to bid, such fees and conditions shall also be clearly stated, easily understandable and publicly available on the webpages of those offering the services with direct references to those webpages available on ICE’s webpage. 5. Without prejudice to other legal remedies, ICE shall provide for the availability of the ICE Complaints Resolution Procedures to decide on complaints which may arise in connection with decisions on granting admission to bid in the auctions, refusing to grant admission to bid in the auctions, revoking or suspending admissions to bid in the auctions already granted as more specifically referred to in point 1, taken by ICE’s exchange members or their clients. 6. ICE shall amend its exchange rules to ensure full compliance with the condition and obligations for its listing which are set out in this Annex. In particular, the amended ICE exchange rules shall stipulate the obligations set out in points 1, 2, 4 and 5. 7. Within two months from 10 November 2012 , ICE shall submit its detailed exit strategy to the United Kingdom for consultation of the auction monitor. Within two months from receiving the auction monitor’s opinion, ICE shall review its exit strategy, taking the utmost account of that opinion. 8. The United Kingdom shall notify the Commission of any substantive changes in the contractual arrangements with ICE notified to the Commission on 30 April , 4 May and 14 June 2012 and communicated to the Climate Change Committee on 15 May and 3 July 2012 .
[F3	Legal basis	Article 30(1)]
[F3 Auction platforms appointed by Germany
3	Auction Platform	European Energy Exchange AG (EEX)
	Legal basis	Article 30(1)
	Term of appointment	From 15 November 2013 at the earliest until 14 November 2018 at the latest, without prejudice to the second subparagraph of Article 30(5).
	Conditions	Admission to the auctions shall not be dependent on becoming a member of or a participant in the secondary market organised by EEX or of any other trading place operated by EEX or by any third party.
	Obligations	1. Within two months from 15 November 2013 , EEX shall submit its exit strategy to Germany for consultation of the auction monitor. The exit strategy shall be without prejudice to the obligations upon EEX pursuant to the contract with the Commission and the Member States concluded pursuant to Article 26 and the rights of the Commission and those Member States under that contract. 2. EEX shall draw up and maintain on its webpage a comprehensive and up-to-date list of members admitted to bid that are licensed to bid on behalf of SMEs and small emitters with readily comprehensible practical guidance informing SMEs and small emitters of the steps they need to take to access the auctions through such members. 3. Within six months after the start of the auctions or two months from the appointment of the auction monitor, whichever is the latest, EEX shall report to the auction monitor on the coverage obtained, including the level of geographic coverage and take the utmost account of the auction monitor’s recommendations in this regard so as to ensure fulfilment of its obligations under Article 35(3)(a) and (b). 4. Germany shall notify the Commission of any substantive changes in relevant contractual relations with EEX notified to the Commission on 15 March 2013 and communicated to the Climate Change Committee on 20 March 2013 .] ]
[F5 Auction platforms appointed by the United Kingdom
4	Auction platform	ICE Futures Europe (ICE)
	Legal Basis	Article 30(1)
	Term of appointment	From 10 November 2017 at the earliest until 9 November 2022 at the latest without prejudice to the second subparagraph of Article 30(5).
	Definitions	For the purposes of the condition and obligations applying to ICE the following definitions shall apply: (a) ‘ ICE exchange rules ’ — means ICE Regulations, including in particular contract rules and procedures relating to the ICE FUTURES EUA AUCTION CONTRACT and the ICE FUTURES EUAA AUCTION CONTRACT; (b) ‘ exchange member ’ — means a member as defined in Section A.1 of ICE exchange rules; (c) ‘ client ’ — means a client of an exchange member, as well as clients of their clients down the chain, who facilitate the admission of persons to bid and act on behalf of bidders.
	Conditions	Admission to the auctions shall not be dependent on becoming an exchange member of or a participant in the secondary market organised by ICE or of any other trading place operated by ICE or by any third party.
	Obligations	1. ICE shall require that any decisions that have been taken by ICE's exchange members or their clients with respect to granting admission to bid in the auctions, revoking or suspending such admission, regardless of whether the decision is taken with regard to an admission to bid in the auction only or to an admission to bid in the auctions and also become a member of or participant in the secondary market, be communicated to ICE by the exchange members or their clients taking such decisions in the following way: (a) in case of decisions refusing to grant admission to bid and decisions revoking or suspending access to auctions, on an individual basis without delay; (b) in case of other decisions, upon request. ICE shall ensure that any such decisions may be subject to examination by ICE with regard to their compliance with the obligations incumbent upon the auction platform under Regulation (EU) No 1031/2010, and that ICE's exchange members or their clients abide by the results of any such examination by ICE. This may include, but not be limited to, recourse to any applicable ICE exchange rules, including disciplinary procedures, or any other action as appropriate to facilitate admission to bid in the auctions. 2. ICE shall draw up and maintain on its webpage a comprehensive and up-to-date list of exchange members or their clients that are eligible to facilitate admission to bid in the United Kingdom's auctions on ICE, and such list shall include auction only access providers as set out in the ICE exchange rules, and exchange members or their clients providing admission to bid in the auctions to persons who may also be members of or participants in the secondary market. In addition, ICE shall draw up and maintain on its webpage a readily comprehensible practical guidance informing SMEs and small emitters of the steps they need to take to access the auctions through such exchange members or their clients. 3. All fees and conditions applied by ICE and its clearing system to persons admitted to bid or bidders shall be clearly stated, easily understandable and publicly available on ICE's webpage, which shall be kept up-to-date. ICE shall provide that where additional fees and conditions are applied by an exchange member or its client, for admission to bid, such fees and conditions shall also be clearly stated, easily understandable and publicly available on the webpages of those offering the services with direct references to those webpages available on ICE's webpage, distinguishing between fees and conditions which are being applied to persons admitted to bid only in the auctions, if these are available, from fees and conditions applied to persons admitted to bid in the auctions who are also a member of or participant in the secondary market. 4. Without prejudice to other legal remedies, ICE shall provide for the availability of the ICE Complaints Resolution Procedures for complaints which may arise in connection with decisions on granting admission to bid in the auctions, refusing to grant admission to bid in the auctions, revoking or suspending admissions to bid in the auctions already granted as more specifically referred to in point 1, taken by ICE's exchange members or their clients, and all such complaints shall be eligible complaints for the purposes of ICE Complaints Resolution Procedures. 5. Within six months after the start of the auctions, ICE shall report to the auction monitor, on the coverage obtained under its cooperation model with exchange members and their clients, including the level of geographic coverage obtained. ICE shall take the utmost account of any recommendations provided by the auction monitor, in this regard so as to ensure fulfilment of its obligations under points (a) and (b) of Article 35(3) of Regulation (EU) No 1031/2010. 6. ICE shall ensure full compliance with the condition and obligations for its listing which are set out in this Annex. 7. The United Kingdom shall notify the Commission of any substantive changes in the contractual arrangements with ICE notified to the Commission.] ]

Textual Amendments

F2 Substituted by Commission Regulation (EU) No 784/2012 of 30 August 2012 amending Regulation (EU) No 1031/2010 to list an auction platform to be appointed by Germany and correcting Article 59(7) thereof (Text with EEA relevance).

F3 Inserted by Commission Regulation (EU) No 1143/2013 of 13 November 2013 amending Regulation (EU) No 1031/2010 on the timing, administration and other aspects of auctioning of greenhouse gas emission allowances pursuant to Directive 2003/87/EC of the European Parliament and of the Council establishing a scheme for greenhouse gas emission allowances trading within the Community in particular to list an auction platform to be appointed by Germany (Text with EEA relevance).

F4 Inserted by Commission Regulation (EU) No 1042/2012 of 7 November 2012 amending Regulation (EU) No 1031/2010 to list an auction platform to be appointed by the United Kingdom (Text with EEA relevance).

F5 Inserted by Commission Regulation (EU) 2017/1902 of 18 October 2017 amending Commission Regulation (EU) No 1031/2010 to align the auctioning of allowances with Decision (EU) 2015/1814 of the European Parliament and of the Council and to list an auction platform to be appointed by the United Kingdom (Text with EEA relevance).

[F6 ANNEX IV U.K. Adjustments to the volumes of allowances (in million) to be auctioned in 2013-2020 referred to in Article 10(2)

Textual Amendments

F6 Substituted by Commission Regulation (EU) 2017/1902 of 18 October 2017 amending Commission Regulation (EU) No 1031/2010 to align the auctioning of allowances with Decision (EU) 2015/1814 of the European Parliament and of the Council and to list an auction platform to be appointed by the United Kingdom (Text with EEA relevance).

Year	Volume of reduction
2013
2014	400
2015	300
2016	200
2017
2018
2019
2020	]