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Commission Regulation (EU) No 389/2013Show full title

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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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.

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

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Textual Amendments

Article 11U.K.The administering of accounts

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

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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.

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Textual Amendments

F16Article 12U.K.Notifications from the central administrator

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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

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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.

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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.

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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.

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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.

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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.

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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.

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Textual Amendments

TITLE IIU.K.[F116PROVISIONS FOR THE REGISTRY]

F117CHAPTER 1U.K.Verified emissions and compliance

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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

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Textual Amendments

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

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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

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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.

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