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

CHAPTER 2 Records, reports, confidentiality and fees

Article 107 Processing of information and personal data

1. The central administrator and Member States shall ensure that the Union Registry, the EUTL and other KP registries only store and process the information concerning the accounts, account holders and account representatives as set out in Table III-I of Annex III, Tables VI-I and VI-II of Annex VI, Table VII-I of Annex VII, and Table VIII-I of Annex VIII.

2. No special categories of data as defined in Article 8 of Directive 95/46/EC and Article 10 of Regulation (EC) No 45/2001 shall be recorded in the Union Registry, the EUTL or other KP registries.

3. The central administrator and Member States shall ensure that only personal data related to transactions that transfer Kyoto units are transferred to the ITL.

Article 108 Records

1. The central administrator shall ensure that the Union Registry stores records concerning all processes, log data and account holders for five years after the closure of an account.

The central administrator and Member States shall ensure that the Union Registry and other KP registries store records concerning all relevant KP processes, log data and account holders of KP accounts for 15 years after the closure of the account or until any issue of implementation relating to them arising within the context of the UNFCCC bodies has been resolved, whichever is the later.

2. The central administrator shall ensure that national administrators are able to access, query and export all records held in the Union Registry in relation to accounts that are or were administered by them.

Article 109 Reporting

1. The central administrator shall make available the information referred to in Annex XIV to the recipients set out in Annex XIV in a transparent and organised manner via the EUTL web site. The central administrator shall take all reasonable steps to make available the information referred to in Annex XIV at the frequencies set out in Annex XIV. The central administrator shall not release additional information held in the EUTL or in the Union Registry unless this is permitted under Article 110.

2. National administrators may also make available the part of the information referred to in Annex XIV that they have access to in accordance with Article 110 at the frequencies and to the recipients set out in Annex XIV in a transparent and organised manner on a site publicly accessible via the Internet. National administrators shall not release additional information held in the Union Registry unless this is permitted under Article 110.

Article 110 Confidentiality

1. Information, including the holdings of all 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, held in the EUTL, the Union Registry and any other KP registry shall be considered confidential except as otherwise required by Union law, or by provisions of national law that pursue a legitimate objective compatible with this Regulation and are proportionate.

2. The central administrator or national administrator may provide data stored in the Union Registry and the EUTL to the following entities:

(a) the law enforcement and tax authorities of a Member State;

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

(c) the European Court of Auditors;

(d) Eurojust;

(e) the competent authorities referred to in Article 11 of Directive 2003/6/EC of the European Parliament and of the Council(1) and in Article 37(1) of Directive 2005/60/EC;

(f) competent national supervisory authorities;

(g) the national administrators of Member States and the competent authorities referred to in Article 18 of Directive 2003/87/EC.

3. Data may be provided to the entities referred to in paragraph 2 upon their request to the central administrator or to a 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 allowances or Kyoto units, or of money laundering, terrorism financing, other serious crime, market manipulation for which the accounts in the Union registry or the KP registries may be an instrument, or of breaches of Union or national law ensuring the functioning the Union ETS.

4. An entity receiving data in accordance with paragraph 3 shall ensure that the data 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 data use. This provision shall not preclude these entities to make the data 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 central administrator may provide access to transaction data which do 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. Europol shall obtain permanent read-only access to data stored in the Union Registry and the EUTL for the purpose of the performance of its tasks in accordance with Council Decision 2009/371/JHA(2). Europol shall keep the Commission informed of the use it makes of the data.

7. National administrators shall make available through secure means to all other national administrators and the central administrator the names and identities of persons for whom they refused to open an account in accordance with points (a), (b) and (c) of Article 22(2), or whom they refused to nominate as an authorised representative or additional authorised representative in accordance with points (a) and (b) of Article 24(5), and the names and identities of the account holder, authorised representative or additional authorised representative of accounts to which access has been suspended in accordance with Article 34 or of accounts that have been closed in accordance with Article 33. National administrators shall inform the persons concerned.

8. National administrators may decide to notify to national 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.

9. The EUTL, the Union Registry and other KP registries shall not require account holders to submit price information concerning allowances or Kyoto units.

10. The auction monitor appointed pursuant to Article 24 of Regulation (EU) No 1031/2010 shall have access to all information concerning the auction delivery account held in the Union Registry.

Article 111 Fees

1. The central administrator shall not charge any fees to account holders in the Union Registry.

2. National administrators may charge reasonable fees to account holders administered by them.

3. National administrators shall notify the central administrator of the fees charged and of any changes in the fees within ten working days. The central administrator shall display fees on a public website.

Article 112 Interruption of operation

The central administrator shall ensure that interruptions to the operation of the Union Registry are kept to a minimum by taking all reasonable steps to ensure the availability and security of the Union Registry and the EUTL and by providing for robust systems and procedures to safeguard all information.

(1)

OJ L 96, 12.4.2003, p. 16.

(2)

OJ L 121, 15.5.2009, p. 37.