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Commission Regulation (EU) No 389/2013Dangos y teitl llawn

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)

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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

(Text with EEA relevance)

THE EUROPEAN COMMISSION,

Having regard to the Treaty on the Functioning of the European Union,

Having regard to Directive 2003/87/EC of the European Parliament and of the Council of 13 October 2003 establishing a system for greenhouse gas emission allowance trading within the Community and amending Council Directive 96/61/EC(1), and in particular Article 19 thereof,

Having regard to Decision No 280/2004/EC of the European Parliament and of the Council of 11 February 2004 concerning a mechanism for monitoring Community greenhouse gas emissions and for implementing the Kyoto Protocol(2), and in particular the first subparagraph, second sentence, Article 6(1) thereof,

Having regard to Decision No 406/2009/EC of the European Parliament and of the Council of 23 April 2009 on the effort of Member States to reduce their greenhouse gas emissions to meet the Community's greenhouse gas emission reduction commitments up to 2020(3), and in particular Article 11(3) thereof,

Having consulted the European Data Protection Supervisor,

Whereas:

(1) The registries system ensures the accurate accounting of transactions under the Union emissions trading scheme (ETS) set up by Directive 2003/87/EC, the Kyoto Protocol and Decision No 406/2009/EC. Registries are standardised and secured electronic databases containing common data elements to track the issue, holding, transfer and cancellation of the relevant units, to provide for public access and confidentiality as appropriate and to ensure that there are no transfers which are incompatible with the obligations resulting from Directive 2003/87/EC, the Protocol to the United Nations Framework Convention on Climate Change (the Kyoto Protocol) and Decision No 406/2009/EC.

(2) Article 19(1) of Directive 2003/87/EC requires that all allowances issued from 1 January 2012 onwards are held in a Union Registry on accounts managed by the Member States. Commission Regulation (EU) No 920/2010 of 7 October 2010 for a standardised and secured system of registries pursuant to Directive 2003/87/EC of the European Parliament and of the Council and Decision No 280/2004/EC of the European Parliament and of the Council(4) provided for such a Union Registry.

(3) Directive 2003/87/EC has been substantially amended by Directive 2009/29/EC of the European Parliament and of the Council of 23 April 2009 amending Directive 2003/87/EC so as to improve and extend the greenhouse gas emission allowance trading scheme of the Community(5), requiring major changes to the registries system. The amendments apply from the trading period starting in 2013. At present, there is no international agreement replacing the Kyoto Protocol in force that would apply to Member States after 2012. Aviation allowances were auctioned from 2012 on the basis of 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(6), in the same way as general allowances. Therefore, Commission Regulation (EU) No 1193/2011 of 18 November 2011 establishing a Union Registry for the trading period commencing on 1 January 2013, and subsequent trading periods, of the Union emissions trading scheme pursuant to Directive 2003/87/EC of the European Parliament and of the Council and Decision No 280/2004/EC of the European Parliament and of the Council and amending Commission Regulations (EC) No 2216/2004 and (EU) No 920/2010(7) was adopted pursuant to Article 19 of Directive 2003/87/EC and applies to the trading period of the Union emissions trading scheme commencing on 1 January 2013 and to subsequent periods. It also applies to aviation allowances auctioned in 2012.

(4) In order to ensure that Kyoto units and allowances can be held on the same Union Registry accounts, the Union Registry must conform to the functional and technical specifications for data exchange standards for registry systems under the Kyoto Protocol, adopted by Decision 12/CMP.1 of the Conference of the Parties to the UNFCCC serving as the Meeting of the Parties to the Kyoto Protocol (Decision 12/CMP.1).

(5) Article 20 of Directive 2003/87/EC requires that an independent transaction log, the European Union Transaction Log (EUTL) is established to record the issue, transfer and cancellation of allowances. Article 6(2) of Decision No 280/2004/EC requires that information on the issue, holding, transfer, acquisition, cancellation and withdrawal of assigned amount units, removal units, emission reduction units and certified emission reductions and the carryover of assigned amount units, emission reduction units and certified emission reductions is made available to the transaction log.

(6) The Union Registry should contain the accounts in which the processes and operations needed to apply the provisions of Directive 2003/87/EC should be registered. Each account should be created in accordance with standardised procedures to ensure the integrity of the registries system and public access to information held in this system. Allowances should be issued in the Union Registry.

(7) Transactions with allowances within the Union Registry should be carried out through a communication link involving the EUTL, whereas transactions with Kyoto units should be carried out through a communication link involving both the EUTL and the United Nations Framework Convention on Climate Change (UNFCCC) International Transaction Log (ITL).

(8) As allowances and Kyoto units exist only in dematerialised form and are fungible, the title to an allowance or Kyoto unit should be established by their existence in the account of the Union Registry in which they are held. Moreover, to reduce the risks associated with the reversal of transactions entered in a registry, and the consequent disruption to the system and to the market that such reversal may cause, it is necessary to ensure that allowances and Kyoto units are fully fungible. In particular, transactions cannot be reversed, revoked or unwound, other than as defined by the rules of the registry, after a moment set out by those rules. Nothing in this Regulation should prevent an account holder or a third party from exercising any right or claim resulting from the underlying transaction that they may have in law to recovery or restitution in respect of a transaction that has entered a system, such as in case of fraud or technical error, as long as this does not lead to the reversal, revocation or unwinding of the transaction. Furthermore, the acquisition of an allowance or Kyoto unit in good faith should be protected.

(9) The central administrator's main responsibilities are to provide, operate and maintain the Union Registry and the EUTL, to manage central accounts and to perform operations which are carried out centrally. The national administrators' main responsibilities are to be the contact point with their respective account holders in the Union Registry and perform all operations involving direct contact with them, including the opening, suspension and closure of accounts.

(10) Where Member States allocate allowances free of charge on the basis of Article 10c of Directive 2003/87/EC, these allowances should be issued in accordance with Article 10c of that Directive and Commission Decisions adopted pursuant to it. To this end, the relevant national allocation tables should take into account the applications pursuant to Article 10c(5) of Directive 2003/87/EC of Member States concerned as well as the relevant Commission Decisions pursuant to Article 10c(6) of that Directive.

(11) Where a Member State, taking into account its application pursuant to Article 10c(5) of Directive 2003/87/EC and the relevant Commission Decision pursuant to Article 10c(6) of that Directive, delays the issuance of the allowances to be granted free of charge on the basis of Article 10c of Directive 2003/87/EC (ex-post issuance of allowances), that Member State should include in its national allocation table pursuant to Article 51(1) of this Regulation the allocation to be granted free of charge on the basis of investments already undertaken or financial transfers already made at the time of the notification of the table.

(12) Where a Member State, taking into account its application pursuant to Article 10c(5) of Directive 2003/87/EC and the relevant Commission Decision pursuant to Article 10c(6) of that Directive, issues the allowances to be granted free of charge on the basis of Article 10c of Directive 2003/87/EC irrespective of investments already undertaken (ex-ante issuance of allowances), the Member State should include in the national allocation table the allocation to be granted free of charge in accordance with Article 10c of Directive 2003/87/EC for the period 2013 to 2019, when notifying the national allocation table to the Commission pursuant to Article 51(1) of this Regulation.

(13) Based on the reports to be submitted to the Commission pursuant to Article 10c(1) of Directive 2003/87/EC, Member States should make changes to the national allocation tables to reflect the advancement of investments undertaken and the status of financial transfers made in accordance with Article 10c of Directive 2003/87/EC and corresponding Commission decisions respectively.

(14) Article 11 of Directive 2003/87/EC provides that competent authorities are to issue by 28 February of each year allowances that are to be allocated that year. Where an operator has submitted information pursuant to Article 24 of Commission Decision 2011/278/EU of 27 April 2011 determining transitional Union-wide rules for harmonised free allocation of emission allowances pursuant to Article 10a of Directive 2003/87/EC of the European Parliament and of the Council(8) that affects the number of allowances to be allocated to that operator, the allocation of the operator will need to be recalculated and notified pursuant to Article 24(2) of that Decision before a transfer of the allowances to the operator can occur pursuant to Article 53(2) of this Regulation.

(15) Nothing in this Regulation should prevent a competent authority from requiring an operator to transfer a number of allowances, received in excess of its adjusted allocation for the relevant year, to the EU Allocation Account in cases where there has been an over allocation of allowances, including as a result of an error in the original allocation or the operator having failed to correctly or completely submit to the competent authority information pursuant to Article 24 of Decision 2011/278/EU by the date set out in that Article, provided that the central administrator has made a change to the national allocation table of the Member State pursuant to Article 52(2) of this Regulation to adjust the allocation accordingly.

(16) Article 11b of Directive 2003/87/EC forbids the issuance of certified emissions reductions (CERs) and emission reduction units (ERUs) after 31 December 2012 that result in double counting of greenhouse gas emission reductions. However, Article 5(2) of Commission Decision 2006/780/EC of 13 November 2006 on avoiding double counting of greenhouse gas emission reductions under the Community emissions trading scheme for project activities under the Kyoto Protocol pursuant to Directive 2003/87/EC of the European Parliament and of the Council(9) allows allowances in the set-asides established pursuant to Article 3 of that Decision to be converted into assigned amount units (AAUs) or to be sold as 2008-2012 period allowances. Moreover, Member States should be able to issue until 30 April 2013 ERUs from projects involving activities only included in the scope of Directive 2003/87/EC from 1 January 2013 in respect of emission reductions which took place until 31 December 2012.

(17) The Union, the Member States and a number of third countries have taken economy-wide reduction commitments for emissions during the period 2008-2012. Member States have legally binding economy-wide emission reduction targets from 2013 to 2020, as established in Directive 2003/87/EC and Decision No 406/2009/EC. An amendment of the Kyoto Protocol should put in place internationally legally binding quantified emission targets from 2013 to 2020 for parties listed in its Annex B once it has entered into force for those parties. Decision 13/CMP.1 of the Conference of the Parties to the UNFCCC serving as the Meeting of the Parties to the Kyoto Protocol (Decision 13/CMP.1) requires that ERUs only be issued by converting AAUs or removal units (RMUs), which have a serial number comprising the commitment period for which they are issued. ERUs cannot be issued if the commitment period marked in the relevant serial number does not match the period during which the emissions reductions took place. Emission trading scheme (ETS) accounts in the Union Registry should not hold ERUs inconsistent with these rules. To this end, ERUs issued by third countries which do not have legally binding quantified emission targets from 2013 to 2020 as set out within an amendment to the Kyoto Protocol pursuant to its Article 3, paragraph 9, or that have not deposited an instrument of ratification relating to such an amendment to the Kyoto Protocol, should only be held in the Union Registry if they have been certified to relate to emission reductions verified as having taken place before 2013. Such ERUs transferred to the Union Registry after 1st May 2013 are expected to be issued pursuant to the verification procedure under the Joint Implementation Supervisory Committee set out in Decision 9/CMP.1 of the Conference of the Parties to the UNFCCC serving as the Meeting of the Parties to the Kyoto Protocol (Decision 9/CMP.1) (pursuant to the so-called ‘track 2 procedure’).

(18) Article 11a of Directive 2003/87/EC provides for the use of CERs and ERUs from project activities before the entry into force of an international agreement on climate change, by setting up the possibility for operators to exchange such units against allowances.

(19) Third countries or their sub-federal or regional entities should be able to open accounts in the Union Registry once modalities to link the ETS to another mandatory greenhouse gas emissions trading system with an absolute emission cap have been agreed with a third country.

(20) Article 11 of Decision No 406/2009/EC provides that the accurate accounting of transactions under that Decision be ensured in the registries system.

(21) Annual emission allocation units should be issued in the Effort Sharing Decision (ESD) Compliance Accounts in the Union Registry in the quantities determined pursuant to Article 3(2) and 10 of Decision No 406/2009/EC. Annual emission allocation units (AEAs) may only be held in in the ESD Compliance Accounts in the Union Registry.

(22) The Union Registry should enable the implementation of the annual compliance cycle under Decision No 406/2009/EC by providing the processes for the introduction in the ESD Compliance Accounts of the annual reviewed greenhouse gas emissions, for the determination of the compliance status figure for each Member State's ESD Compliance Account for each year and for the application of corrective action pursuant to Article 7 of Decision No 406/2009/EC if necessary.

(23) The Union Registry should ensure the accurate accounting of transactions provided by Article 3(3), (4), and (5) and Article 5 of Decision No 406/2009/EC.

(24) The EUTL should perform automated checks on all processes in the registries system concerning allowances, verified emissions, accounts, annual emission allocation units, the credit entitlement and Kyoto units, and the ITL should perform automated checks on processes concerning Kyoto units to ensure that there are no irregularities. Processes that fail these checks should be terminated in order to ensure that transactions in the Union registries system comply with the requirements of Directive 2003/87/EC, Decision No 406/2009/EC and the requirements elaborated pursuant to the UNFCCC and the Kyoto Protocol.

(25) Adequate and harmonised requirements on opening of accounts, authentication and access rights should be applied to protect the security of information held in the integrated registries system and to avoid fraud. The review of these requirements should be considered in the future with a view to ensuring their effectiveness while taking into account proportionality. Records concerning all processes, operators and persons in the registries system should be kept.

(26) The central administrator should ensure that interruptions to the operation of the registries system are kept to a minimum by taking all reasonable steps to ensure the availability of the Union Registry and the EUTL and by providing for robust systems and procedures to safeguard relevant information.

(27) Since it may be desirable to provide for additional account types or other means that would facilitate the holding of allowances or Kyoto units on behalf of third parties, or the taking of a security interest in them, these issues should be examined in the context of a future review of this Regulation.

(28) In accordance with Directive 2003/4/EC of the European Parliament and of the Council of 28 January 2003 on public access to environmental information and repealing Council Directive 90/313/EEC(10) and Decision 13/CMP.1, specific reports should be made public on a regular basis to ensure that the public has access to information held within the integrated system of registries, subject to certain confidentiality requirements.

(29) National administrators, the central administrator and the Commission should comply with Union and national legislation concerning the protection of individuals with regard to the processing of personal data and on the free movement of such data, in particular Directive 95/46/EC of the European Parliament and of the Council of 24 October 1995 on the protection of individuals with regard to the processing of personal data and on the free movement of such data(11) and the national law implementing it, and Regulation (EC) No 45/2001 of the European Parliament and of the Council of 18 December 2000 on the protection of individuals with regard to the processing of personal data by the Community institutions and bodies and on the free movement of such data(12), where these are applicable to information held and processed pursuant to this Regulation for which they are the controllers.

(30) Commission Regulation (EU) No 920/2010 of 7 October 2010 for a standardised and secured system of registries pursuant to Directive 2003/87/EC of the European Parliament and of the Council and Decision No 280/2004/EC of the European Parliament and of the Council(13) should apply until all operations required in relation to the trading period between 2008 and 2012 are completed. It should be amended to provide for the replacement of aviation allowances held by users at the end of the trading period between 2008 and 2012 by aviation allowances valid for the trading period starting in 2013, with immediate effect. Regulation (EU) No 920/2010 should therefore be repealed with effect from 1 October 2013.

(31) Regulation (EU) No 1193/2011 should therefore be repealed and replaced by a Regulation including the provisions required by Directive 2003/87/EC, Decision No 280/2004/EC and Decision No 406/2009/EC with immediate effect.

(32) Regulation (EU) 1193/2011 provided deadlines for the terms of cooperation between the central administrator and national administrators to be agreed and for the notification of national allocation tables and national aviation allocation tables. While Regulation (EU) 1193/2011 is repealed, those obligations should be maintained.

(33) It is appropriate that this Regulation enters into force as a matter of urgency.

(34) The measures provided for in this Regulation are in accordance with the opinion of the Climate Change Committee,

HAS ADOPTED THIS REGULATION:

TITLE IU.K.COMMON GENERAL PROVISIONS

CHAPTER 1U.K.Subject matter, scope and definitions

[F1Article 1U.K.Subject matter

This Regulation lays down requirements concerning the Registry.]

Textual Amendments

[F1Article 2U.K.Scope

This Regulation applies to Kyoto units.]

Textual Amendments

[F1Article 3U.K.Definitions

1.Unless otherwise indicated, terms used in this Regulation have the same meaning as under Directive 2003/87/EC and relevant international climate law.

2.In addition, in this Regulation—

(a)“account holder” means a person that holds an account in the Registry;

(b)“allowances” means allowances created pursuant to Directive 2003/87/EC;

(c)“assigned amount units” (“AAUs”) means—

(i)units issued before IP completion day pursuant to Article 7(3) of Decision No 280/2004/EC; or

(ii)units corresponding to the United Kingdom’s emission levels determined pursuant to the Kyoto Protocol and issued on or after IP completion day;

(d)“cancellation” means the definitive disposal of a Kyoto unit by its holder;

(e)“designated national authority” means an entity that gives approval of an Article 6 project activity required by Article 6(1)(a) of the Kyoto Protocol or of voluntary participation in an Article 12 project activity required by Article 12(5)(a) of the Kyoto Protocol;

(f)“directors” means the persons effectively directing the day-to-day operations of a legal person;

(g)“the Kyoto Protocol” means the protocol to the UNFCCC signed at Kyoto on 11th December 1997;

(h)“Kyoto units” means AAUs, emission reduction units (“ERUs”), certified emission reductions (“CERs”), RMUs, lCERs and tCERs;

(i)“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;

(j)“money laundering” has the meaning given by section 340(11) of the Proceeds of Crime Act 2002;

(k)“the national administrator” means the Environment Agency;

(l)“out of band confirmation” means a communication from the national administrator to an account holder or authorised representative for the purpose of ensuring compliance with UNFCCC security requirements;

(m)“process” means an automated technical means to carry out an action relating to an account or a unit in the Registry;

(n)“the Registry” means the registry administered on behalf of the United Kingdom for the purposes of its obligations as a party to the Kyoto Protocol;

(o)“relevant international climate law” means—

(i)the UNFCCC;

(ii)the Kyoto Protocol; and

(iii)the decisions adopted pursuant to the UNFCCC or the Kyoto Protocol, as adopted and amended from time to time;

(p)“removal units” (“RMUs”) means units issued pursuant to the relevant provisions in the annex to Decision 13/CMP.1 of the Conference of the Parties serving as the meeting of the Parties to the Kyoto Protocol;

(q)“second commitment period” means the period from 1st January 2013 to 31st December 2020 during which a party to the Kyoto Protocol shall limit their greenhouse gas emissions;

(r)“serious crime” means an offence listed in Part 1 (England & Wales), Part 1A (Scotland) or Part 2 (Northern Ireland) of Schedule 1 to the Serious Crime Act 2007;

(s)“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 of the Conference of the Parties serving as the meeting of the Parties to the Kyoto Protocol, expire at the end of the Kyoto Protocol commitment period following the one during which they were issued;

(t)“terrorist financing” has the meaning given by regulation 3 of the Money Laundering, Terrorist Financing and Transfer of Funds (Information on the Payer) Regulations 2017;

(u)“transaction” means a process in the Registry that includes the transfer of a Kyoto unit from one account to another account;

(v)“the UNFCCC” means the United Nations Framework Convention on Climate Change signed at New York on 9th May 1992;

(w)“working day” means any day other than—

(i)Saturday, Sunday, Good Friday, or Christmas Day; or

(ii)a day which is a bank holiday under the Banking and Financial Dealings Act

1971.]

Textual Amendments

CHAPTER 2U.K.The registries system

F2Article 4U.K.Union Registry

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Textual Amendments

F2Article 5U.K.National and Union KP registries

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Textual Amendments

F2Article 6U.K.European Union transaction log

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Textual Amendments

F2Article 7U.K.Communication links between registries, the ITL and the EUTL

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Textual Amendments

[F3Article 8U.K.National administrator

The national administrator must administer the Registry in accordance with this Regulation and relevant international climate law.]

Textual Amendments

CHAPTER 3U.K.Accounts

Section 1U.K.General provisions applicable to all accounts

[F4Article 9U.K.Accounts

1.The Secretary of State must ensure that the Registry contains accounts as required by relevant international climate law.

2.Each account type may hold the unit types permitted by relevant international climate law.]

Textual Amendments

Article 10U.K.Account status

1.Accounts shall be in one of the following status: open F5... or closed.

F62.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

3.No processes may be initiated from closed accounts. A closed account may not be re-opened, and may not acquire units.

F74.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

F75.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

F76.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Textual Amendments

Article 11U.K.The administering of accounts

[F81.The national administrator must administer every account on behalf of the Secretary of State]

F92.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

3.The [F10national administrator must] open, suspend, limit access to, or close an account F11..., approve authorised representatives, permit changes to account details that require the approval of the [F12national administrator] F13... in accordance with the provisions of this Regulation.

4.The [F14national administrator] may require the account holders and its representatives to agree to comply with reasonable terms and conditions consistent with this Regulation having regard to the issues set out in Annex II.

F155.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Textual Amendments

F16Article 12U.K.Notifications from the central administrator

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Textual Amendments

Section 2U.K.Opening and updating accounts

[F17Article 13U.K.Party holding accounts

1.At the request of the Secretary of State, the national administrator must open a party holding account for each year of the second commitment period within the period of 28 days beginning with the day after that on which the national administrator receives the information set out in Annex 3 from the Secretary of State

2.The national administrator must act as the authorised representative of the account, unless the Secretary of State nominates another person.

3.The Secretary of State must provide the national administrator with the information set out in Table 8-1 of Annex 8 for each authorised representative of a party holding account.]

Textual Amendments

F18Article 14U.K.Opening national administrative platform accounts in the Union Registry

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Textual Amendments

F18Article 15U.K.Opening an auction delivery account in the Union Registry

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Textual Amendments

F18Article 16U.K.Opening operator holding accounts in the Union Registry

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Textual Amendments

F18Article 17U.K.Opening aircraft operator holding accounts in the Union Registry

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Textual Amendments

Article 18U.K.Opening person holding F19... accounts F20...

1.A request for opening a person holding account F21... [F22must] be submitted to the national administrator by the prospective account holder. The prospective account holder [F22must] provide information as required by the national administrator, which [F22must] include, at a minimum, the information set out in Annex IV.

2.The [F23Secretary of State may] require as a condition for opening a person holding F24... account that the prospective account holders have their permanent residence or registration in the [F25United Kingdom].

3.The [F26Secretary of State may] require as a condition for opening a person holding F27... account that prospective account holders are registered for value added tax (VAT) in the [F28United Kingdom].

4.Within 20 working days of the receipt of a complete set of information in accordance with paragraph 1 of this Article and Article 24, the national administrator [F29must] open a person holding account F30... in the F31... Registry or inform the prospective account holder of the refusal to open the account, pursuant to Article 22.

Textual Amendments

F32Article 19U.K.Opening national holding accounts in the Union Registry

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Textual Amendments

F32Article 20U.K.Opening external trading platform accounts in the Union Registry

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Textual Amendments

F32Article 21U.K.Opening verifier accounts in the Union Registry

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Textual Amendments

Article 22U.K.Refusal to open an account

1.The national administrator [F33must] verify whether the information and documents provided for account opening are complete, up-to-date, accurate and true.

2.[F34The national] administrator may refuse to open an account:

(a)if the information and documents provided are incomplete, out-of-date or otherwise inaccurate or false;

(b)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;

(c)if the national administrator has reasonable grounds to believe that the accounts may be used for fraud involving F35... Kyoto units, money laundering, terrorist financing or other serious crimes;

[F36(d)if the national administrator is not satisfied that the proposed account holder is a fit and proper person to hold such an account.]

[F373.If the national administrator refuses to open an account, the person requesting the account opening may appeal against the decision in accordance with Article 110c.]

Textual Amendments

[F38Article 23U.K.Authorised representatives

1.Each account must have at least two authorised representatives. The authorised representatives may initiate transactions and other processes on behalf of the account holder.

2.In addition to the authorised representatives specified in paragraph 1, accounts may also have authorised representatives with “view only” access to the account.

3.The approval of an authorised representative is required in order to initiate a transaction.

4.The data exchange and technical specifications may set a maximum number of authorised representatives for each account type.

5.Authorised representatives must be natural persons over 18 years of age. All authorised representatives of a single account must be different persons but the same person can be an authorised representative on more than one account. The Secretary of State may require that at least one of the authorised representatives of an account is a permanent resident in the United Kingdom.]

Textual Amendments

Article 24U.K.Nominating and approval of authorised representatives F39...

1.When requesting the opening of an account, the prospective account holder [F40must] nominate a number of authorised representatives F41... in accordance with Article 23.

2.When nominating an authorised representative F42..., the account holder [F43must] provide information as required by the [F44national administrator]. That information [F43must] include, at a minimum, the information set out in Annex VIII.

3.Within 20 working days of the receipt of a complete set of information required in accordance with paragraph 2, the national administrator [F45must] approve an authorised representative F46..., or inform the account holder of its refusal. Where evaluation of the nominee information requires more time, the [F47national administrator may] extend the evaluation process by up to 20 additional working days, and notify the extension to the account holder.

4.The national administrator [F48must] verify whether the information and documents provided for nominating an authorised representative F49... are complete, up-to-date, accurate and true.

5.A national administrator may refuse to approve an authorised representative F50...:

(a)if the information and documents provided are incomplete, out-of-date or otherwise inaccurate or false;

(b)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;

[F51(c)if the national administrator is not satisfied that the proposed authorised representative is a fit and proper person to act as an authorised representative.]

[F526.If the national administrator refuses to approve an authorised representative, the account holder may appeal against the decision in accordance with Article 110c.]

Textual Amendments

Article 25U.K.Updating of account information and information on authorised representatives

1.All account holders [F53must] notify the national administrator within 10 working days of changes to the information submitted for the opening of an account. In addition, account holders [F53must] confirm to the national administrator by 31 December each year that the information for their account remains complete, up-to-date, accurate and true.

F542.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

3.The notification of change [F55must] be supported by information as required by the national administrator in conformity with this Section. Within 15 working days of the receipt of such a notification and supporting information, the [F56national administrator] [F55must] [F57determine whether to] approve the update of the information. [F58The national administrator] may refuse to update the information in accordance with Article 24(4) and (5). The account holder [F55must] be notified of any such refusal. [F59If the national administrator refuses to update the information, the account holder may appeal against the decision in accordance with Article 110c.]

4.At least once every three years, the national administrator [F60must] review whether the information submitted for the opening of an account remains complete, up-to-date, accurate and true, and [F60must] request that the account holder notify any changes as appropriate.

F615.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

6.[F62No] account holder may sell or divest of the ownership of its account to another person.

7.An authorised representative F63... may not transfer its status as such to another person.

8.An account holder may request the removal of an authorised representative from an account. Upon receipt of the request the national administrator [F64must] suspend the access of the authorised representative F65.... Within 10 working days of the receipt of the request, the [F66national administrator] [F64must] remove the authorised representative.

9.An account holder may nominate new authorised representatives F67... in accordance with Article 24.

F6810.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

F6911.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Textual Amendments

Article 26U.K.Trusted account list

[F701.Person holding accounts may have a trusted account list in the Registry]

2.Accounts held by the same account holder shall be automatically included on the trusted account list.

F713.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Textual Amendments

Section 3U.K.Closure of accounts

Article 27U.K.Closure of accounts

Subject to Article 32(1), within 10 working days of the receipt of a request from the account holder F72... the [F73national administrator must] close the account.

Textual Amendments

F74Article 28U.K.Closure of operator holding accounts

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Textual Amendments

F74Article 29U.K.Closure of aircraft operator holding accounts

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Textual Amendments

F74Article 30U.K.Closure of verifier accounts

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Textual Amendments

F74Article 31U.K.Closure of the ESD Compliance Account

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Textual Amendments

Article 32U.K.Positive balance on accounts under closure

1.If there is a positive balance of F75... Kyoto units on an account which [F76the national administrator] is to close in accordance with [F77Article 27], [F78the national administrator] [F79must] request the account holder to specify another account to which such F75... Kyoto units shall be transferred. If the account holder has not responded to [F80the national administrator’s] request within 40 working days, [F78the national administrator] [F79must] transfer the F81... Kyoto units to [F82a party holding account].

2.If there is a positive balance of F83... Kyoto units on an account to which access was suspended in accordance with Article 34, the [F84Secretary of State] may require that the F85... Kyoto units are transferred immediately to [F86a party holding account].

Textual Amendments

Article 33U.K.Closure of accounts and removal of authorised representative on the [F87national administrator’s] initiative

1.If the situation giving rise to the suspension of access to accounts pursuant to Article 34 is not resolved within a reasonable period despite repeated notifications, the [F88Secretary of State] may instruct the national administrator to close F89... those accounts for which access is suspended until the [F88Secretary of State] determines that the situation giving rise to the suspension no longer subsists.

2.If a person holding account F90... has a zero balance and no transactions have been recorded for a period of one year, the national administrator may notify the account holder that the person holding account F90... will be closed within 40 working days unless the national administrator receives a request that the account be maintained. If the national administrator does not receive any such request from the account holder, the national administrator may close the account.

F913.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

4.The national administrator may remove an authorised representative F92... if it considers that the approval of the authorised representative F92... should have been refused in accordance with Article 24(3), and in particular if it discovers that the documents and identification information provided upon nomination were incomplete, out-of-date or otherwise inaccurate or false.

[F935.In accordance with Article 110c, the account holder may appeal against—

(a)a decision to close an account under paragraph 1 within the period of 30 days beginning with the day on which the account is closed; or

(b)a decision to remove an authorised representative under paragraph 4 within the period of 30 days beginning with the day on which the authorised representative is removed.]

Textual Amendments

Section 4U.K.Suspension of access to accounts

Article 34U.K.Suspension of access to accounts

1.[F94The national administrator] may suspend the access of an authorised representative F95... to any account in the [F96Registry] or to processes to which that authorised representative would otherwise have access if [F97the national administrator] has reasonable grounds to believe that the authorised representative has:

(a)attempted to access accounts or processes for which he is not authorised;

(b)repeatedly attempted to access an account or a process using an incorrect username and password; or

(c)attempted to compromise the security, the availability, the integrity or the confidentiality of [F98the Registry], or of the data handled or stored therein.

2.[F99The national administrator] may suspend the access of all authorised representatives F100... of a specific account where one of the following conditions is fulfilled:

(a)the account holder died without a legal successor or ceased to exist as a legal person;

(b)the account holder did not pay fees;

(c)the account holder violated the terms and conditions applicable to the account;

(d)the account holder did not agree to changes in the terms and conditions set by the national administrator F101...;

(e)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;

(f)the account holder failed to maintain the required minimum number of authorised representatives for the account;

(g)the account holder failed to maintain compliance with the F102... requirement to have an authorised representative with a permanent residence in the [F103United Kingdom];

(h)the account holder failed to maintain compliance with the F104... requirement that the account holder have a permanent residence or registration in the [F105United Kingdom].

3.[F106The national administrator] may suspend the access of all authorised representatives F107... to a specific account and the possibility to initiate processes from that account:

(a)for a maximum period of four weeks if the [F108national 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 [F109crimes.]

F110(b). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

4.The national administrator may suspend access to an account if it considers that the opening of the account should have been refused in accordance with Article 22 or that the account holder no longer meets the requirements for the opening of the account.

5.The [F111national administrator must] reverse the suspension immediately once the situation giving rise to the suspension is resolved.

[F1126.In accordance with Article 110c, the account holder may appeal against a decision to suspend access under paragraph 1 or 3 within the period of 30 days beginning with the day on which access is suspended]

7.The [F113Secretary of State] may also instruct the national administrator F114... to implement a suspension for one of the grounds set in paragraphs 1, 2, 3 and 4.

F1158.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

F1159.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

F11510.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Textual Amendments

TITLE IIU.K.[F116PROVISIONS FOR THE REGISTRY]

F117CHAPTER 1U.K.Verified emissions and compliance

F117Article 35U.K.Verified emissions data for an installation or aircraft operator

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F117Article 36U.K.Blocking of accounts due to a failure to submit verified emissions

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F117Article 37U.K.Calculation of compliance status figures

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Textual Amendments

CHAPTER 2U.K.Transactions

Section 1U.K.General

Article 38U.K.

Only transactions expressly provided for in this Regulation for each account type shall be initiated by that account type.

[F118Article 39U.K.Execution of transfers

1.For all transactions specified in this Chapter, an out of band confirmation must be required by the Registry before the transaction can be initiated. A transaction may only be initiated where an authorised representative has confirmed the transaction out of band.

2.If an account representative suspects that a transfer was initiated fraudulently, the account representative may request the national administrator to cancel the transfer on behalf of the account representative before the transfer is communicated for finalisation.]

Textual Amendments

[F119Article 40U.K.Nature of Kyoto units and finality of transactions

1.The record of the Registry constitutes sufficient evidence of title over a Kyoto unit and of any other matter which is by this Regulation directed or authorised to be recorded in the Registry.

2.Any recovery or restitution obligations that may arise under United Kingdom law in respect of a Kyoto unit only apply to the Kyoto unit in kind.

3.Subject to this paragraph, a transaction is final and irrevocable upon its finalisation pursuant to Article 104. Except where a transaction may be reversed in accordance with relevant international climate law, and without prejudice to any provision of or remedy under United Kingdom law that may result in a requirement or order to execute a new transaction in the Registry, the national administrator may not reverse or revoke any transaction that has become final and irrevocable under this Regulation.

4.A purchaser and holder of a Kyoto unit acting in good faith acquires title to that Kyoto unit free of any defects in the title of the transferor.]

Textual Amendments

Section 2U.K.Creation of allowances

F120Article 41U.K.Creation of allowances

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Textual Amendments

Section 3U.K.Account transfers before auctions and allocation

F120Article 42U.K.Transfer of general allowances to be auctioned

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Textual Amendments

F120Article 43U.K.Transfer of general allowances to be allocated free of charge

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Textual Amendments

F120Article 44U.K.Transfer of general allowances for the new entrant reserve

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Textual Amendments

F120Article 45U.K.Transfer of aviation allowances to be auctioned

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Textual Amendments

F120Article 46U.K.Transfer of aviation allowances to be allocated free of charge

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Textual Amendments

F120Article 47U.K.Transfer of aviation allowances to the special reserve

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Textual Amendments

F120Article 48U.K.Transfer of general allowances to the EU Total Quantity-Account

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Textual Amendments

F120Article 49U.K.Transfer of aviation allowances to the EU Aviation Total Quantity Account

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Textual Amendments

F120Article 50U.K.Deletion of aviation allowances

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Textual Amendments

Section 4U.K.Allocation to stationary installations

F120Article 51U.K.Entry of national allocation tables into the EUTL

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Textual Amendments

F120Article 52U.K.Changes to the national allocation tables

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Textual Amendments

F120Article 53U.K.Free allocation of general allowances

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Textual Amendments

Section 5U.K.Allocation to aircraft operators

F120Article 54U.K.Entry of national aviation allocation tables into the EUTL

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Textual Amendments

F120Article 55U.K.Changes to the national aviation allocation tables

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Textual Amendments

F120Article 56U.K.Free allocation of aviation allowances

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Textual Amendments

F120Article 57U.K.Return of aviation allowances

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Textual Amendments

Section 6U.K.Use of CERs and ERUs

F120Article 58U.K.International credit holdings in the Union Registry

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Textual Amendments

F120Article 59U.K.Entry of international credit entitlement tables into the EUTL

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Textual Amendments

F120Article 60U.K.Use of international credits through allowance exchange

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Textual Amendments

F120Article 61U.K.Calculation of remaining international credit entitlement

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Textual Amendments

Section 7U.K.Auction

F120Article 62U.K.Entry of auction tables into the EUTL

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Textual Amendments

F120Article 63U.K.Changes to the auction tables

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Textual Amendments

F120Article 64U.K.Auctioning of allowances

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Textual Amendments

Section 8U.K.Trading

[F121Article 65U.K.Transfers of Kyoto units initiated by an account holder

The Secretary of State must ensure that the Registry provides for the carrying out of any request from an account holder to transfer Kyoto units to any other account, unless such a transfer is prevented by the status of the initiating or receiving account.]

Textual Amendments

F122Article 66U.K.Transfers of allowances or Kyoto units initiated by a trading account

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Textual Amendments

Section 9U.K.Surrender of allowances

F122Article 67U.K.Surrender of allowances

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Textual Amendments

Section 10U.K.Deletion of allowances and cancellation of Kyoto units

F122Article 68U.K.Deletion of allowances

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Textual Amendments

[F123Article 69U.K.Cancellation of Kyoto units

The Secretary of State must ensure that the Registry provides for the carrying out of any request from an account holder 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 Registry.]

Textual Amendments

Section 11U.K.Transaction reversal

F124Article 70U.K.Reversal of finalised processes initiated in error

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Textual Amendments

CHAPTER 3U.K.Links with other geenhouse gas emission trading schemes

F125Article 71U.K. Implementation of linking arrangements

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Textual Amendments

Textual Amendments

F126TITLE 3U.K.SPECIFIC PROVISIONS FOR KP REGISTRIES

F126Article 72U.K.Opening of person holding accounts in KP registries

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F126Article 73U.K.Execution of transfers

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F126Article 73aU.K. Transfer of CERs and ERUs exchanged in the EU ETS

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F126Article 73bU.K. Issuance and Deposit of AAUs

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F126Article 73cU.K. Transfer and use of units

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F126Article 73dU.K. Cancellation of units

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F126Article 73eU.K. Retirement of units

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F126Article 73fU.K. Carry-over in the Union Registry

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F126Article 73gU.K. Clearing Processes

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F126Article 73hU.K. Clearing process for countries not parties to a joint fulfilment agreement

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Textual Amendments

F127TITLE 4U.K.SPECIFIC PROVISIONS FOR ACCOUNTING TRANSACTIONS UNDER DECISION No 406/2009

F127Article 74U.K.Creation of AEAs

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F127Article 75U.K.Annual emission allocation units

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F127Article 76U.K.Transfer of AEAs to each ESD Compliance Account

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F127Article 77U.K.Introduction of the relevant greenhouse gas emissions data

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F127Article 78U.K.Calculation of the balance of the ESD Compliance Account

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F127Article 79U.K.Determination of the compliance status figures

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F127Article 80U.K.Application of Article 7(1) (a) and (c) of Decision No 406/2009/EC

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F127Article 81U.K.Use of international credits, tCERs and lCERs

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F127Article 82U.K.Carry forward of AEAs

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F127Article 83U.K.Carry over of AEAs

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F127Article 84U.K.Carry over of the unused credit entitlement

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F127Article 85U.K.Transfers of up to 5 % of a Member State's annual emission allocation

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F127Article 86U.K.Transfers after the calculation of the balance of the ESD Compliance Account

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F127Article 87U.K.Transfer of up to 3 % of the credit entitlement

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F127Article 88U.K.Adjustments

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F127Article 89U.K.Replacement of tCERs and lCERs

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F127Article 90U.K.Execution and reversal of transfers

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Textual Amendments

TITLE VU.K.COMMON TECHNICAL PROVISIONS

CHAPTER 1U.K.Technical requirements of the registries system

Section 1U.K.Availability

F128Article 91U.K.Availability and reliability of the Union Registry and the EUTL

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Textual Amendments

[F129Article 92U.K.Helpdesk

The national administrator must provide assistance and support to account holders and account representatives in relation to the Registry through a helpdesk.]

Textual Amendments

Section 2U.K.Security and authentication

F130Article 93U.K.Authentication of the Union Registry and national KP registries

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Textual Amendments

[F131Article 94U.K.Accessing accounts in the Registry

If the security of the credentials of an authorised representative has been compromised, the authorised representative must inform the national administrator, who may suspend access to the relevant account.]

Textual Amendments

F132Article 95U.K.Authentication and authorisation of authorised representatives in the Union Registry

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Textual Amendments

Article 96U.K.Suspension of all access due to a security breach or a security risk

1.The [F133Secretary of State] may F134... suspend access to the [F135Registry] or any part thereof where [F136the Secretary of State] has a reasonable suspicion that there is a breach of security of the [F135Registry] or that there exists a serious security risk to the [F135Registry] that threatens the integrity of the system F137....

F1382.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

3.If [F139the national administrator] becomes aware of a situation that requires the suspension of all access to the accounts that it manages in accordance with this Regulation, it [F140must] inform F141... account holders with such prior notice of the suspension as is practicable. F142...

4.The notice referred to in paragraph 3 [F143must] include the likely duration of the suspension and [F143must] be clearly displayed on the public area of the [F144Registry’s] web site.

Textual Amendments

[F145Article 97U.K.Suspension of access to Kyoto units in the case of a suspected fraudulent transaction

The national administrator, acting on request of the Secretary of State, may suspend access to Kyoto units in the Registry for a maximum period of four weeks if it suspects that the Kyoto units have been the subject of a transaction constituting fraud, money laundering, terrorist financing, corruption or other serious crime.]

Textual Amendments

F146Article 98U.K.Cooperation with competent authorities and notification of money laundering, terrorist financing or criminal activity

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Textual Amendments

F146Article 99U.K.Suspension of processes

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Textual Amendments

F146Article 99aU.K. Suspension of linking agreements

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Textual Amendments

Section 3U.K.[F147Completing of processes]

F148Article 100U.K.Automated checking of processes

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Textual Amendments

F148Article 101U.K.Detection of discrepancies

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Textual Amendments

F148Article 102U.K.Detection of discrepancies within the Union Registry and national KP registries

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Textual Amendments

F148Article 103U.K.Reconciliation - detection of inconsistencies by the EUTL

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Textual Amendments

Article 104U.K.Finalisation of processes

1.All transactions communicated to the ITL F149... shall be final when the ITL notifies the [F150Registry] that it has completed the process.

F1512.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

F1523.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Textual Amendments

Textual Amendments

F153Section 4U.K.Specifications and change management

F153Article 105U.K.Data exchange and technical specifications

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F153Article 106U.K.Change and release management

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Textual Amendments

CHAPTER 2U.K.Records, reports, confidentiality and fees

Article 107U.K.Processing of information and personal data

1.The [F154Secretary of State and national administrator must] ensure that the [F155Registry only stores and processes] the information concerning the accounts, account holders and account representatives as set out in Table III-I of Annex III F156... and Table VIII-I of Annex VIII.

[F1572.The Secretary of State and the national administrator must ensure that no special categories of personal data (within the meaning given in Article 9(1) of Regulation (EU) 2016/679, as amended from time to time) are recorded in the Registry.]

3.The [F158Secretary of State and national administrator must] ensure that only personal data related to transactions that transfer Kyoto units are transferred to the ITL.

Textual Amendments

F159Article 108U.K. Records

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Textual Amendments

F160Article 109U.K.Reporting

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Textual Amendments

[F161Article 110U.K.Confidentiality

1.Information held in the Registry, including the holding of accounts, all transactions made, the unique unit identification code of the allowances and the unique numeric value of the unit serial number of the Kyoto units held or affected by a transaction, must be considered confidential except as otherwise required by domestic or international law, including relevant international climate law.

2.The national administrator may provide information held in the Registry to the following entities—

(a)a designated national authority;

(b)the European Anti-fraud Office of the European Commission;

(c)law enforcement authorities, tax authorities or insolvency services in the United Kingdom;

(d)international law enforcement authorities, tax authorities or insolvency services;

(e)the UNFCCC;

(f)the administrator of a registry connected to the UNFCCC International Transaction Log.

3.Information may be provided to the entities referred to in paragraph 2 upon their request to the national administrator if such requests are justified and necessary for the purposes of investigation, detection, prosecution, tax administration or enforcement, auditing and financial supervision of fraud involving Kyoto units, or of money laundering, terrorism financing, other serious crime, or a market manipulation offence for which the accounts in the Registry may be an instrument.

4.An entity receiving information in accordance with paragraph 3 must ensure that the information received is only used for the purposes stated in the request in accordance with paragraph 3 and is not made available deliberately or accidentally to persons not involved in the intended purpose of the information use. This provision does not preclude these entities from making the information available to other entities listed in paragraph 2, if this is necessary for the purposes stated in the request made in accordance with paragraph 3.

5.Upon their request, the national administrator may provide access to transaction information which does not allow the direct identification of specific persons to the entities referred to in paragraph 2 for the purpose of looking for suspicious transaction patterns. Entities with such access may notify suspicious transaction patterns to other entities listed in paragraph 2.

6.The national administrator may decide to notify to law enforcement and tax authorities all transactions that involve a number of units above the number determined by the national administrator and to notify any account that is involved in a number of transactions within a period that is above a number determined by the national administrator.

7.The national administrator may not require account holders to submit price information concerning Kyoto units.

8.In this Article, “a market manipulation offence” means an offence under Part 7 of the Financial Services Act 2012.]

Textual Amendments

[F162Article 110aU.K.Provision of information

1.For the purpose mentioned in paragraph 4, the national administrator or the Secretary of State (a “relevant body”) may, by notice, require a person (“P”) to furnish the relevant body with such information as is specified in the notice.

2.A notice under this paragraph must specify—

(a)the form in which information is to be provided;

(b)the period within which, or time at which, the information must be provided.

3.The information which P may be required to furnish by a notice under paragraph 1 includes information, which, although it is not in P’s possession or would not otherwise come into P’s possession, is information which it is reasonable to require P to compile for the purpose of complying with the notice.

4.The purpose referred to in paragraph 1 is the performance of the relevant body’s functions.

5.A relevant body must not disclose or publish any information it has received under paragraph 1 except where—

(a)disclosure or publication is—

(i)required by this Regulation or otherwise by law;

(ii)necessary for the performance of the relevant body’s functions; or

(iii)made with the consent of the person by or on behalf of whom the information was provided; or

(b)disclosure is between the relevant bodies.

6.The Secretary of State may use any information held or obtained for the purposes of this Regulation, and may share such information with other government bodies, for the purpose of preparing and publishing national energy and emissions statistics, including the preparation and publication of a national inventory.

7.In this Article—

(a)“national inventory” means the estimation, under Article 4(1)(a) of the UNFCCC, of anthropogenic emissions of greenhouse gases by sources and removals of all greenhouse gases by sinks not controlled by the Montreal Protocol;

(b)“functions” means functions—

(i)under this Regulation; or

(ii)related to compliance with relevant international climate law.]

Textual Amendments

[F162Article 110bU.K.Right of appeal regarding Article 110a notices

1.Subject to paragraph 2, a person who is aggrieved by a notice served on them under Article 110a(1) may appeal against the notice to the First-tier Tribunal.

2.An appeal under paragraph 1 may not be made to the extent that the notice implements a direction given by—

(a)the Secretary of State under section 40 of the Environment Act 1995;

(b)the First-tier Tribunal under this Regulation.

3.The bringing of an appeal under paragraph 1 suspends the effect of the notice pending the final determination or withdrawal of the appeal.

4.Subject to paragraph 5, in determining an appeal under paragraph 1, the First-tier Tribunal may—

(a)affirm the notice;

(b)quash the notice; or

(c)vary any of the terms of the notice.

5.The First-tier Tribunal may not make a determination that would result in a notice which could not otherwise have been made under this Regulation.]

Textual Amendments

[F162Article 110cU.K.Right of appeal regarding national administrator decisions

1.This Article applies to an appeal against a decision under Article 22(3), 24(6), 25(3), 33(5) or 34(6)

2.An appeal may be made to the First-tier Tribunal.

3.The bringing of an appeal does not suspend the effect of the decision pending the final determination or withdrawal of the appeal.

4.Subject to paragraph 5, in determining an appeal, the First-tier Tribunal may give directions to the national administrator as to the exercise of its functions under this Regulation.

5.The First-tier Tribunal may not make a determination that would result in a decision which could not otherwise have been made under this Regulation.]

Textual Amendments

[F162Article 110dU.K.Guidance

1.The Secretary of State may issue guidance to the national administrator with respect to the carrying out of any of its functions—

(a)under this Regulation; or

(b)related to compliance with relevant international climate law.

2.The national administrator must have regard to any guidance issued under paragraph 1.]

Textual Amendments

[F162Article 110eU.K.Notices

Annex 8a (notices) has effect.]

Textual Amendments

F163Article 111U.K.Fees

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Textual Amendments

F164Article 112U.K.Interruption of operation

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Textual Amendments

TITLE IVU.K.TRANSITIONAL AND FINAL PROVISIONS

F165Article 113U.K.Implementation

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Textual Amendments

F165Article 114U.K.Further use of accounts

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Textual Amendments

F165Article 115U.K.Entry into force of use restrictions

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Textual Amendments

F165Article 116U.K.Amendments to Regulation (EU) No 920/2010

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Textual Amendments

F165Article 117U.K.Repeal

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Textual Amendments

F165Article 118U.K.Entry into force

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Textual Amendments

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

F166ANNEX IU.K.

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Textual Amendments

ANNEX IIU.K.Terms and conditions (Article 11)

Payment of feesU.K.

1.The terms and conditions regarding any registry fees for establishing and maintaining accounts.U.K.

Modification of core terms and conditionsU.K.

2.Modification of the core terms to reflect changes to this Regulation or changes to domestic legislation.U.K.

Dispute resolutionU.K.

3.Provisions relating to disputes between account holders and choice of court for national administrator.U.K.

Responsibility and liabilityU.K.

4.The limitation of liability for the national administrator.U.K.

5.The limitation of liability for the account holder.U.K.

ANNEX IIIU.K.Information to be submitted with requests for opening an account ([F167Article 13])

Textual Amendments

1.The information set out in Table III-I.U.K.

Table III-I
Account details for all accounts
ABCDEF168...
Item No.Account detail itemMandatory or Optional?TypeCan be updated?Update requires the approval of the [F169national administrator]?F168...
1Account ID (given by F170... Registry)MPresetNon.a.F168. . .
2Account typeMChoiceNon.a.F168. . .
3Commitment periodMChoiceNon.a.F168. . .
4Account holder ID (given by F170... Registry)MFreeYesYesF168. . .
5Account holder nameMFreeYesYesF168. . .
6Account identifier (given by account holder)MFreeYesNoF168. . .
7Account holder's address – countryMChoiceYesYesF168. . .
8Account holder's address - region or stateOFreeYesYesF168. . .
9Account holder's address – cityMFreeYesYesF168. . .
10Account holder's address – postcodeMFreeYesYesF168. . .
11Account holder's address – line 1MFreeYesYesF168. . .
12Account holder's address – line 2OFreeYesYesF168. . .
13Account holder's company registration numberMFreeYesYesF168. . .
14Account holder's telephone 1MFreeYesNoF168. . .
15Account holder's telephone 2MFreeYesNoF168. . .
16Account holder's email addressMFreeYesNoF168. . .
17Date of birth (for natural persons)M for natural personsFreeNon.a.F168. . .
18Place of birth – city (for natural persons)M for natural personsFreeNon.a.F168. . .
19Place of birth - countryOFreeNon.a.F168. . .
20Type of document supporting identity (for natural persons)MChoiceYesYesF168. . .
21Identity document number (for natural persons)MFreeYesYesF168. . .
22Identity document expiry dateOFreeYesYesF168. . .
23VAT registration number with country codeM where assignedFreeYesYesF168. . .
24Account opening dateMPresetNon.a.F168. . .
25Account closing dateOPresetYesYesF168. . .

2.The account identifier shall be unique within the registry system.U.K.

ANNEX IVU.K.[F171Information to be provided for opening a person holding account (Article 18)]

Textual Amendments

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.)U.K.

2.Proof that the person requesting the account opening has an open bank account in a Member State of the European Economic Area [F172or the United Kingdom].U.K.

Textual Amendments

3.Evidence to support the identity of the natural person requesting the account opening, which may be a copy of one of the following:U.K.

(a)

an identity card issued by a State that is a member of the European Economic Area or the Organisation for Economic Cooperation and Development;

(b)

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:U.K.

(a)

the identity document submitted under point 3, if it contains the address of the permanent residence;

(b)

any other government-issued identity document that contains the address of permanent residence;

(c)

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;

(d)

any other document that is customarily accepted in the [F173United Kingdom] as evidence of the permanent residence of the nominee.

Textual Amendments

5.The following documents in case of a legal person requesting the account opening:U.K.

(a)

a copy of the instruments establishing the legal entity and a copy of a document proving the registration of the legal entity;

(b)

bank account details;

(c)

a confirmation of VAT registration;

(d)

information on the legal entity's beneficial owner as defined in [F174regulation 3 of the Money Laundering, Terrorist Financing and Transfer of Funds (Information on the Payer) Regulations 2017] including the type of ownership or control they are exercising;

(e)

list of directors;

(f)

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.

Textual Amendments

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.U.K.

7. [F175Any criminal] record of the natural person requesting the account opening or if it is a legal person, of its directors.U.K.

Textual Amendments

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 [F176United Kingdom], 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.U.K.

Textual Amendments

9.The [F177national administrator] may require that the documents submitted are accompanied with a certified translation into a language specified by [F178the national administrator].U.K.

Textual Amendments

10.Instead of obtaining paper documents, the [F179national administrator] may use electronic mechanisms to check the evidence to be submitted in accordance with this Annex.U.K.

Textual Amendments

F180ANNEX VU.K.Additional information to be provided for opening a verifier account (Article 21)

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Textual Amendments

F180ANNEX VIU.K.Information to be provided for opening an operator holding account (Article 16)

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F180ANNEX VIIU.K.Information to be provided for opening an aircraft operator holding account (Article 17)

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ANNEX VIIIU.K.Information concerning authorised representatives F181... to be provided to the [F182national administrator] (Article 24)

Textual Amendments

1.The information set out in Table VIII-I of Annex VIII.U.K.

Table VIII-I
Authorised representative details
ABCDEF183...
Item No.Account detail itemMandatory or Optional?TypeCan be updated?Update requires the approval of the [F184national administrator]?F183...
1Person IDMFreeNon.a.F183. . .
2Type of account representativeMChoiceYesNoF183. . .
3First nameMFreeYesYesF183. . .
4Last nameMFreeYesYesF183. . .
5TitleOFreeYesNoF183. . .
6Job titleOFreeYesNoF183. . .
Company nameOFreeYesNoF183. . .
Company departmentOFreeYesNoF183. . .
7CountryMPresetNon.a.F183. . .
8Region or stateOFreeYesYesF183. . .
9CityMFreeYesYesF183. . .
10PostcodeMFreeYesYesF183. . .
11Address – line 1MFreeYesYesF183. . .
12Address – line 2OFreeYesYesF183. . .
13Telephone 1MFreeYesNoF183. . .
14Mobile phoneMFreeYesYesF183. . .
15E-mail addressMFreeYesYesF183. . .
16Date of birthMFreeNon.a.F183. . .
17Place of birth – cityMFreeNon.a.F183. . .
18Place of birth – countryMFreeNon.a.F183. . .
19Type of document supporting identityMChoiceYesYesF183. . .
20Identity document numberMFreeYesYesF183. . .
21Identity document expiry dateOFreeYesYesF183. . .
F185. . .F185. . .F185. . .F185. . .F185. . .F185. . .F183. . .
23Confidentiality levelOChoiceYesNoF183. . .
24Rights as additional account representativeMMultiple ChoiceYesYesF183. . .

2.A signed statement from the account holder indicating that it wishes to nominate a particular person as authorised representative F186..., confirming that the authorised representative has the right to initiate or F187... approve transactions on behalf of the account holder and indicating any limitations to that right.U.K.

Textual Amendments

3.Evidence to support the identity of the nominee, which may be a copy of one of the following:U.K.

(a)

an identity card issued by a state that is a member of the European Economic Area or the Organisation for Economic Cooperation and Development;

(b)

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:U.K.

(a)

the identity document submitted under point 3., if it contains the address of the permanent residence;

(b)

any other government-issued identity document that contains the address of permanent residence;

(c)

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;

(d)

any other document that is customarily accepted in the [F188United Kingdom] as evidence of the permanent residence of the nominee;

Textual Amendments

5. [F189Any criminal] record of the nominee.U.K.

Textual Amendments

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 [F190United Kingdom], 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.U.K.

Textual Amendments

7.The [F191national administrator] may require that the documents submitted are accompanied with a certified translation into a language specified by the national administrator.U.K.

Textual Amendments

8.Instead of obtaining paper documents, the [F192national administrator] may use electronic mechanisms to check the evidence to be submitted in accordance with this Annex.U.K.

Textual Amendments

[F193ANNEX 8aU.K.Notices (Article 110e)

Textual Amendments

1.In this Annex, “notice” means any notice served by the national administrator under this Regulation.U.K.

2.A notice must be in writing.U.K.

3.A notice may be served on a person (“P”) by—U.K.

(a)

delivering it to P in person;

(b)

sending it to a postal or email address provided by P for the purpose of service of notices;

(c)

leaving it at P’s proper address; or

(d)

sending it by post or electronic means to P’s proper address.

4.In the case of a body corporate, a notice may also be served on the secretary or clerk of that body.U.K.

5.In the case of a partnership, a notice may also be served on a partner or a person having control or management of the partnership business.U.K.

6.If a person (“Q”) to be served with a notice has specified an address in the United Kingdom (other than Q’s proper address) at which Q or someone on Q’s behalf will accept notices of that description, that address must instead be treated as Q’s proper address.U.K.

7.For the purposes of this Annex, “proper address” means, subject to paragraph 6—U.K.

(a)

in the case of a body corporate or its secretary or clerk—

(i)

the registered or principal office of that body, or

(ii)

the email address of the secretary or clerk;

(b)

in the case of a partnership or a partner or person having control or management of the partnership business—

(i)

the principal office of the partnership, or

(ii)

the email address (or, in the case of a partnership established outside the United Kingdom, the last known address) of a partner or a person having that control or management;

(c)

in any other case, a person’s last known address (which for the purpose of this point and point (b) includes an email address).

8.For the purposes of paragraph 7, where a body corporate registered outside the United Kingdom or a partnership established outside the United Kingdom has an office in the United Kingdom, the principal office of that body corporate or partnership is its principal office in the United Kingdom.]U.K.

F194ANNEX IXU.K.Formats for submitting annual emissions data (Article 35)

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Textual Amendments

F194ANNEX XU.K.National allocation table for the 2013-2020 period (Article 51)

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F194ANNEX XIU.K.National aviation allocation table for the 2013-2020 period (Article 54)

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F194ANNEX XIIU.K.National international credit entitlement table for the 2008-2020 period (Article 59)

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

F194ANNEX XIIIU.K.

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F194ANNEX XIVU.K.Reporting requirements of the central administrator (Article 109)

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