F1SCHEDULE 5ARegistry
PART 2Establishment and operation of registry
Registry5
1
The UK ETS authority must establish an electronic system (the “registry”) for the purposes of the UK ETS, in particular, to keep track of—
a
operators of installations and aircraft operators participating in the UK ETS;
b
allowances held by persons and the allocation and transfer of allowances;
c
reportable emissions of installations and aviation emissions of aircraft operators;
d
the surrender of allowances by operators and aircraft operators in accordance with articles 27 and 34.
2
The UK ETS authority must ensure that the registry is established so as to allow for—
a
the following types of account in which allowances may be held—
i
central accounts (see paragraph 9);
ii
an auction delivery account (see paragraph 10);
iii
operator holding accounts for installations (see paragraph 11);
iv
aircraft operator holding accounts (see paragraph 13);
v
trading accounts (see paragraph 14);
b
individuals to be appointed as authorised representatives for accounts with access to the registry to perform actions in relation to accounts on behalf of account holders.
Operation of registry6
1
The registry administrator must operate the registry and for that purpose may, in particular—
a
establish administrative arrangements and rules for the operation of the registry;
b
take such actions the registry administrator considers necessary to ensure the proper functioning and good administration of the registry;
c
perform actions in relation to accounts in accordance with instructions from account holders.
2
In the operation of the registry, the registry administrator must, as soon as reasonably practicable and to the extent possible, comply with a notice or instruction given under this Order by the UK ETS authority or a regulator.
F2Reportable emissions and aviation emissions to be recorded in registry6A
1
The regulator and the registry administrator must exercise their functions to ensure that the following provisions of this paragraph are complied with.
2
Where the operator of an installation submits a report of the installation’s reportable emissions to the regulator in accordance with a condition of a greenhouse gas emissions permit included under paragraph 4(2)(b) of Schedule 6, the reportable emissions stated in the report must be recorded in the operator holding account for the installation on or before 30th April in the year in which the report is submitted.
3
Where an aircraft operator submits a report of the aircraft operator’s aviation emissions to the regulator in accordance with article 33, the aviation emissions stated in the report must be recorded in the aircraft operator’s aircraft operator holding account on or before 30th April in the year in which the report is submitted.
4
Where the regulator makes a determination of emissions under article 45 of—
a
an installation for any period for which a greenhouse gas emissions permit for the installation is in force; or
b
an aircraft operator,
the reportable emissions or aviation emissions so determined must be recorded in the operator holding account for the installation or, as the case may be, the aircraft operator’s aircraft operator holding account within 1 month after the date on which notice of the determination is given under paragraph (5) of that article.
Suspension of registry due to security concerns7
1
The UK ETS authority or the registry administrator may suspend access to the registry if the UK ETS authority or the registry administrator considers that—
a
a security breach has occurred; or
b
there is a significant risk that a security breach will occur.
2
Where access to the registry is suspended, the UK ETS authority or, as the case may be, the registry administrator must, as soon as reasonably practicable after the suspension takes effect, inform—
a
each regulator;
b
if the UK ETS authority suspends access to the registry, the registry administrator;
c
if the registry administrator suspends access to the registry, the UK ETS authority.
3
The UK ETS authority must, as soon as reasonably practicable and in any event within 2 working days beginning with the day (the “relevant day”) on which the UK ETS authority suspends access to the registry or is informed of a suspension under sub-paragraph (2)(c) or, if the relevant day is not a working day, within 2 working days beginning with the first working day after the relevant day consider whether the suspension should remain in place and—
a
if the UK ETS authority considers the suspension should remain in place, inform each regulator and the registry administrator that the suspension will remain in place; or
b
if the UK ETS authority considers the suspension should be lifted—
i
lift the suspension or instruct the registry administrator to lift the suspension;
ii
inform each regulator and, where the UK ETS authority lifts the suspension, the registry administrator that the suspension has been lifted.
4
Where the suspension remains in place in accordance with sub-paragraph (3)(a), the UK ETS authority must, as soon as reasonably practicable after the UK ETS authority considers that the circumstances giving rise to the suspension no longer exist—
a
lift the suspension or instruct the registry administrator to lift the suspension;
b
inform each regulator and, where the UK ETS authority lifts the suspension, the registry administrator that the suspension has been lifted.
Suspension of registry for technical reasons8
1
The UK ETS authority may suspend access to the registry for technical reasons.
2
Where the suspension is unscheduled (for example, because a technical issue needs to be addressed immediately), the UK ETS authority must inform each regulator and the registry administrator as soon as reasonably practicable after the suspension takes effect.
3
Where the suspension is scheduled, the UK ETS authority must inform each regulator and the registry administrator as soon as reasonably practicable and in any event at least 2 working days before the suspension takes effect.
4
Where, after a suspension, the UK ETS authority considers that the reason for the suspension no longer exists, the UK ETS authority must as soon as reasonably practicable—
a
lift the suspension;
b
inform each regulator and the registry administrator that the suspension has been lifted.
F3Exemption from liability8A
1
Each of the following is exempt from liability in damages for anything done or omitted in the exercise or purported exercise of functions conferred or imposed on the UK ETS authority or the registry administrator under this Schedule—
a
a national authority;
b
a person referred to in article 9(1) (meaning of regulator).
2
Sub-paragraph (1) does not apply—
a
if the act or omission is shown to have been in bad faith; or
b
so as to prevent an award of damages made in respect of an act or omission on the ground that the act or omission was unlawful as a result of section 6(1) of the Human Rights Act 1998.
Sch. 5A inserted (31.12.2020) by The Greenhouse Gas Emissions Trading Scheme (Amendment) Order 2020 (S.I. 2020/1557), arts. 2(1), 37