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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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  1. Introductory Text

  2. TITLE I COMMON GENERAL PROVISIONS

    1. CHAPTER 1 Subject matter, scope and definitions

      1. Article 1.Subject matter

      2. Article 2.Scope

      3. Article 3.Definitions

    2. CHAPTER 2 The registries system

      1. Article 4.Union Registry

      2. Article 5.National and Union KP registries

      3. Article 6.European Union transaction log

      4. Article 7.Communication links between registries, the ITL and the EUTL

      5. Article 8.National administrator

    3. CHAPTER 3 Accounts

      1. Section 1 General provisions applicable to all accounts

        1. Article 9.Accounts

        2. Article 10.Account status

        3. Article 11.The administering of accounts

        4. Article 12.Notifications from the central administrator

      2. Section 2 Opening and updating accounts

        1. Article 13.Party holding accounts

        2. Article 14.Opening national administrative platform accounts in the Union Registry

        3. Article 15.Opening an auction delivery account in the Union Registry

        4. Article 16.Opening operator holding accounts in the Union Registry

        5. Article 17.Opening aircraft operator holding accounts in the Union Registry

        6. Article 18.Opening person holding and trading accounts in the Union Registry

        7. Article 19.Opening national holding accounts in the Union Registry

        8. Article 20.Opening external trading platform accounts in the Union Registry

        9. Article 21.Opening verifier accounts in the Union Registry

        10. Article 22.Refusal to open an account

        11. Article 23.Authorised representatives

        12. Article 24.Nominating and approval of authorised representatives ...

        13. Article 25.Updating of account information and information on authorised representatives

        14. Article 26.Trusted account list

      3. Section 3 Closure of accounts

        1. Article 27.Closure of accounts

        2. Article 28.Closure of operator holding accounts

        3. Article 29.Closure of aircraft operator holding accounts

        4. Article 30.Closure of verifier accounts

        5. Article 31.Closure of the ESD Compliance Account

        6. Article 32.Positive balance on accounts under closure

        7. Article 33.Closure of accounts and removal of authorised representative on the national administrator’s initiative

      4. Section 4 Suspension of access to accounts

        1. Article 34.Suspension of access to accounts

  3. TITLE II PROVISIONS FOR THE REGISTRY

    1. CHAPTER 1 Verified emissions and compliance

      1. Article 35.Verified emissions data for an installation or aircraft operator

      2. Article 36.Blocking of accounts due to a failure to submit verified emissions

      3. Article 37.Calculation of compliance status figures

    2. CHAPTER 2 Transactions

      1. Section 1 General

        1. Article 38.Only transactions expressly provided for in this Regulation for each...

        2. Article 39.Execution of transfers

        3. Article 40.Nature of Kyoto units and finality of transactions

      2. Section 2 Creation of allowances

        1. Article 41.Creation of allowances

      3. Section 3 Account transfers before auctions and allocation

        1. Article 42.Transfer of general allowances to be auctioned

        2. Article 43.Transfer of general allowances to be allocated free of charge

        3. Article 44.Transfer of general allowances for the new entrant reserve

        4. Article 45.Transfer of aviation allowances to be auctioned

        5. Article 46.Transfer of aviation allowances to be allocated free of charge

        6. Article 47.Transfer of aviation allowances to the special reserve

        7. Article 48.Transfer of general allowances to the EU Total Quantity-Account

        8. Article 49.Transfer of aviation allowances to the EU Aviation Total Quantity Account

        9. Article 50.Deletion of aviation allowances

      4. Section 4 Allocation to stationary installations

        1. Article 51.Entry of national allocation tables into the EUTL

        2. Article 52.Changes to the national allocation tables

        3. Article 53.Free allocation of general allowances

      5. Section 5 Allocation to aircraft operators

        1. Article 54.Entry of national aviation allocation tables into the EUTL

        2. Article 55.Changes to the national aviation allocation tables

        3. Article 56.Free allocation of aviation allowances

        4. Article 57.Return of aviation allowances

      6. Section 6 Use of CERs and ERUs

        1. Article 58.International credit holdings in the Union Registry

        2. Article 59.Entry of international credit entitlement tables into the EUTL

        3. Article 60.Use of international credits through allowance exchange

        4. Article 61.Calculation of remaining international credit entitlement

      7. Section 7 Auction

        1. Article 62.Entry of auction tables into the EUTL

        2. Article 63.Changes to the auction tables

        3. Article 64.Auctioning of allowances

      8. Section 8 Trading

        1. Article 65.Transfers of Kyoto units initiated by an account holder

        2. Article 66.Transfers of allowances or Kyoto units initiated by a trading account

      9. Section 9 Surrender of allowances

        1. Article 67.Surrender of allowances

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

        1. Article 68.Deletion of allowances

        2. Article 69.Cancellation of Kyoto units

      11. Section 11 Transaction reversal

        1. Article 70.Reversal of finalised processes initiated in error

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

      1. Article 71.Implementation of linking arrangements

  4. TITLE 3 SPECIFIC PROVISIONS FOR KP REGISTRIES

    1. Article 72.Opening of person holding accounts in KP registries

    2. Article 73.Execution of transfers

    3. Article 73a.Transfer of CERs and ERUs exchanged in the EU ETS

    4. Article 73b.Issuance and Deposit of AAUs

    5. Article 73c.Transfer and use of units

    6. Article 73d.Cancellation of units

    7. Article 73e.Retirement of units

    8. Article 73f.Carry-over in the Union Registry

    9. Article 73g.Clearing Processes

    10. Article 73h.Clearing process for countries not parties to a joint fulfilment agreement

  5. TITLE 4 SPECIFIC PROVISIONS FOR ACCOUNTING TRANSACTIONS UNDER DECISION No 406/2009

    1. Article 74.Creation of AEAs

    2. Article 75.Annual emission allocation units

    3. Article 76.Transfer of AEAs to each ESD Compliance Account

    4. Article 77.Introduction of the relevant greenhouse gas emissions data

    5. Article 78.Calculation of the balance of the ESD Compliance Account

    6. Article 79.Determination of the compliance status figures

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

    8. Article 81.Use of international credits, tCERs and lCERs

    9. Article 82.Carry forward of AEAs

    10. Article 83.Carry over of AEAs

    11. Article 84.Carry over of the unused credit entitlement

    12. Article 85.Transfers of up to 5 % of a Member State's annual emission allocation

    13. Article 86.Transfers after the calculation of the balance of the ESD Compliance Account

    14. Article 87.Transfer of up to 3 % of the credit entitlement

    15. Article 88.Adjustments

    16. Article 89.Replacement of tCERs and lCERs

    17. Article 90.Execution and reversal of transfers

  6. TITLE V COMMON TECHNICAL PROVISIONS

    1. CHAPTER 1 Technical requirements of the registries system

      1. Section 1 Availability

        1. Article 91.Availability and reliability of the Union Registry and the EUTL

        2. Article 92.Helpdesk

      2. Section 2 Security and authentication

        1. Article 93.Authentication of the Union Registry and national KP registries

        2. Article 94.Accessing accounts in the Registry

        3. Article 95.Authentication and authorisation of authorised representatives in the Union Registry

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

        5. Article 97.Suspension of access to Kyoto units in the case of a suspected fraudulent transaction

        6. Article 98.Cooperation with competent authorities and notification of money laundering, terrorist financing or criminal activity

        7. Article 99.Suspension of processes

        8. Article 99a.Suspension of linking agreements

      3. Section 3 Completing of processes

        1. Article 100.Automated checking of processes

        2. Article 101.Detection of discrepancies

        3. Article 102.Detection of discrepancies within the Union Registry and national KP registries

        4. Article 103.Reconciliation - detection of inconsistencies by the EUTL

        5. Article 104.Finalisation of processes

      4. Section 4 Specifications and change management

        1. Article 105.Data exchange and technical specifications

        2. Article 106.Change and release management

    2. CHAPTER 2 Records, reports, confidentiality and fees

      1. Article 107.Processing of information and personal data

      2. Article 108.Records

      3. Article 109.Reporting

      4. Article 110.Confidentiality

      5. Article 110a.Provision of information

      6. Article 110b.Right of appeal regarding Article 110a notices

      7. Article 110c.Right of appeal regarding national administrator decisions

      8. Article 110d.Guidance

      9. Article 110e.Notices

      10. Article 111.Fees

      11. Article 112.Interruption of operation

  7. TITLE IV TRANSITIONAL AND FINAL PROVISIONS

    1. Article 113.Implementation

    2. Article 114.Further use of accounts

    3. Article 115.Entry into force of use restrictions

    4. Article 116.Amendments to Regulation (EU) No 920/2010

    5. Article 117.Repeal

    6. Article 118.Entry into force

  8. Signature

    1. ANNEX I

    2. ANNEX II

      Terms and conditions (Article 11)

      1. Payment of fees

        1. 1. The terms and conditions regarding any registry fees for establishing...

      2. Modification of core terms and conditions

        1. 2. Modification of the core terms to reflect changes to this...

      3. Dispute resolution

        1. 3. Provisions relating to disputes between account holders and choice of...

      4. Responsibility and liability

        1. 4. The limitation of liability for the national administrator.

        2. 5. The limitation of liability for the account holder.

    3. ANNEX III

      Information to be submitted with requests for opening an account (Article 13)

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

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

    4. ANNEX IV

      Information to be provided for opening a person holding account (Article 18)

      1. 1. The information set out in Table III-I of Annex III....

      2. 2. Proof that the person requesting the account opening has an...

      3. 3. Evidence to support the identity of the natural person requesting...

      4. 4. Evidence to support the address of the permanent residence of...

      5. 5. The following documents in case of a legal person requesting...

      6. 6. Evidence to support the registered address of the legal person...

      7. 7. Any criminal record of the natural person requesting the account...

      8. 8. Any copy of a document submitted as evidence under this...

      9. 9. The national administrator may require that the documents submitted are...

      10. 10. Instead of obtaining paper documents, the national administrator may use...

    5. ANNEX V

      Additional information to be provided for opening a verifier account (Article 21)

      1. 1. A document proving that the person requesting the account opening...

    6. ANNEX VI

      Information to be provided for opening an operator holding account (Article 16)

      1. 1. The information set out in Table III-I of Annex III....

      2. 2. Under the data provided in accordance with Table III-I of...

      3. 3. The information set out in Table VI-I and VI-II of...

    7. ANNEX VII

      Information to be provided for opening an aircraft operator holding account (Article 17)

      1. 1. The information set out in Table III-I of Annex III...

      2. 2. Under the data provided in accordance with Table III-I, the...

      3. 3. The call sign is International Civil Aviation Organisation (ICAO) designator...

    8. ANNEX VIII

      Information concerning authorised representatives ... to be provided to the national administrator (Article 24)

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

      2. 2. A signed statement from the account holder indicating that it...

      3. 3. Evidence to support the identity of the nominee, which may...

      4. 4. Evidence to support the address of the permanent residence of...

      5. 5. Any criminal record of the nominee.

      6. 6. Any copy of a document submitted as evidence under this...

      7. 7. The national administrator may require that the documents submitted are...

      8. 8. Instead of obtaining paper documents, the national administrator may use...

    9. ANNEX 8a

      Notices (Article 110e)

      1. 1. In this Annex, “notice” means any notice served by the...

      2. 2. A notice must be in writing.

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

      4. 4. In the case of a body corporate, a notice may...

      5. 5. In the case of a partnership, a notice may also...

      6. 6. If a person (“Q”) to be served with a notice...

      7. 7. For the purposes of this Annex, “proper address” means, subject...

      8. 8. For the purposes of paragraph 7, where a body corporate...

    10. ANNEX IX

      Formats for submitting annual emissions data (Article 35)

      1. 1. Emissions data for operators shall contain the information set out...

    11. ANNEX X

      National allocation table for the 2013-2020 period (Article 51)

    12. ANNEX XI

      National aviation allocation table for the 2013-2020 period (Article 54)

    13. ANNEX XII

      National international credit entitlement table for the 2008-2020 period (Article 59)

    14. ANNEX XIII

    15. ANNEX XIV

      Reporting requirements of the central administrator (Article 109)

      1. I. UNION REGISTRY INFORMATION RELATED TO THE UNION EMISSIONS TRADING SCHEME...

        1. Information available to the public

          1. 1. The EUTL shall display on the public website of the...

          2. 2. The EUTL shall display on the public website of the...

          3. 3. The EUTL shall display on its public website the following...

          4. 4. The EUTL shall display on the public website of the...

          5. 4a. On 1 May each year, the following information shall be...

        2. Information available to account holders

          1. 5. The Union Registry shall display on the part of the...

        3. Information available to national administrators

          1. 6. The Union Registry shall display on the part of the...

      2. II. INFORMATION RELATED TO ACCOUNTING OF TRANSACTIONS UNDER DECISION No 406/2009/EC...

        1. Information available to the public

          1. 7. The central administrator shall make publicly available the following information...

        2. Information available to account holders

          1. 8. The Union Registry shall display on the part of the...

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