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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 VU.K.COMMON TECHNICAL PROVISIONS

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

Section 1U.K.Availability

F1Article 91U.K.Availability and reliability of the Union Registry and the EUTL

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Textual Amendments

[F2Article 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.]

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Section 2U.K.Security and authentication

F3Article 93U.K.Authentication of the Union Registry and national KP registries

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[F4Article 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.]

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F5Article 95U.K.Authentication and authorisation of authorised representatives in the Union Registry

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

1.The [F6Secretary of State] may F7... suspend access to the [F8Registry] or any part thereof where [F9the Secretary of State] has a reasonable suspicion that there is a breach of security of the [F8Registry] or that there exists a serious security risk to the [F8Registry] that threatens the integrity of the system F10....

F112.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

3.If [F12the 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 [F13must] inform F14... account holders with such prior notice of the suspension as is practicable. F15...

4.The notice referred to in paragraph 3 [F16must] include the likely duration of the suspension and [F16must] be clearly displayed on the public area of the [F17Registry’s] web site.

Textual Amendments

[F18Article 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

F19Article 98U.K.Cooperation with competent authorities and notification of money laundering, terrorist financing or criminal activity

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F19Article 99U.K.Suspension of processes

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F19Article 99aU.K. Suspension of linking agreements

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Section 3U.K.[F20Completing of processes]

F21Article 100U.K.Automated checking of processes

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F21Article 101U.K.Detection of discrepancies

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F21Article 102U.K.Detection of discrepancies within the Union Registry and national KP registries

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F21Article 103U.K.Reconciliation - detection of inconsistencies by the EUTL

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Article 104U.K.Finalisation of processes

1.All transactions communicated to the ITL F22... shall be final when the ITL notifies the [F23Registry] that it has completed the process.

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F253.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

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F26Section 4U.K.Specifications and change management

F26Article 105U.K.Data exchange and technical specifications

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F26Article 106U.K.Change and release management

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

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

1.The [F27Secretary of State and national administrator must] ensure that the [F28Registry only stores and processes] the information concerning the accounts, account holders and account representatives as set out in Table III-I of Annex III F29... and Table VIII-I of Annex VIII.

[F302.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 [F31Secretary 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

F32Article 108U.K. Records

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F33Article 109U.K.Reporting

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[F34Article 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

[F35Article 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

[F35Article 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

[F35Article 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

[F35Article 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

[F35Article 110eU.K.Notices

Annex 8a (notices) has effect.]

Textual Amendments

F36Article 111U.K.Fees

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F37Article 112U.K.Interruption of operation

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Textual Amendments

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