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Statutory Instruments

2012 No. 3038

Climate Change

[F1The Greenhouse Gas Emissions Trading Scheme Regulations 2012

Made

5th December 2012

Laid before Parliament

10th December 2012

Coming into force

1st January 2013

The Secretary of State is a Minister designated M1 for the purposes of section 2(2) of the European Communities Act 1972 M2 in relation to the environment.

M3In accordance with section 2(4) of the Pollution Prevention and Control Act 1999 (“the 1999 Act”) , the Secretary of State has consulted the Environment Agency, the Scottish Environment Protection Agency, and such bodies or persons appearing to the Secretary of State to be representative of the interests of local government, industry, agriculture and small businesses, and such other bodies and persons, as the Secretary of State considers appropriate.

These Regulations make provision for a purpose mentioned in section 2(2) of the European Communities Act 1972, and it appears to the Secretary of State that it is expedient for the references to EU instruments in these Regulations to be construed as references to those instruments as amended from time to time.

Accordingly the Secretary of State, in exercise of the powers conferred by sections 2 and 7(9) of and Schedule 1 to the 1999 Act M4 and by section 2(2) of the European Communities Act 1972, as read with paragraph 1A of Schedule 2 to the European Communities Act 1972 M5, makes the following Regulations M6:

Textual Amendments

F1Regulations revoked in so far as they continue to apply in relation to the UK Registry (1.5.2021) by The Greenhouse Gas Emissions (Kyoto Protocol Registry) Regulations 2021 (S.I. 2021/511), regs. 1, 12

Modifications etc. (not altering text)

Marginal Citations

M21972 c. 68; section 2(2) was amended by section 27(1)(a) of the Legislative and Regulatory Reform Act 2006 (c. 51) and by section 3(3) of, and Part 1 of the Schedule to, the European Union (Amendment) Act 2008 (c. 7).

M4Paragraph 9A of Schedule 1 was inserted by S.I. 2005/925, and amended by S.I. 2012/2788, There are other amendments to Schedule 1 which are not relevant to these Regulations.

M5Paragraph 1A of Schedule 2 was inserted by section 28 of the Legislative and Regulatory Reform Act 2006 (c. 51) and amended by S.I. 2007/1388 and by section 3(3) of, and Part 1 of the Schedule to, the European Union (Amendment) Act 2008 (c. 7).

M6Under section 57 of the Scotland Act 1998 (c. 46), despite the transfer to the Scottish Ministers of functions in relation to observing and implementing obligations under Community law in respect of devolved matters, any function of the Secretary of State in relation to any matter continues to be exercisable as regards Scotland for the purposes specified in section 2(2) of the European Communities Act 1972. And similarly, under paragraph 5 of Schedule 3 to the Government of Wales Act 2006 (c. 32), despite the transfer to the Welsh Ministers of functions under section 2 of the 1999 Act so far as exercisable in relation to Wales (except in relation to offshore oil and gas exploration and exploitation), those functions continue to be exercisable by the Secretary of State in relation to Wales for such purposes.

PART 1U.K.General

Citation and commencementU.K.

1.  These Regulations may be cited as the Greenhouse Gas Emissions Trading Scheme Regulations 2012 and come into force on 1st January 2013.

[F2ApplicationU.K.

1A.  From 1st January 2021 these Regulations apply in Northern Ireland only, in relation to any emissions created on or after that date, from a regulated activity at an installation, by the generation of electricity in Northern Ireland for the single wholesale electricity market in Ireland and Northern Ireland.]

Textual Amendments

Duty to review these RegulationsU.K.

2.—(1) The [F3DAERA] must from time to time—

(a)carry out a review of these Regulations;

(b)set out the conclusions of the review in a report; and

(c)publish the report.

(2) In carrying out the review the [F4DAERA] must, so far as is reasonable, have regard to how the Directive, and measures adopted under it by the European Commission, are implemented in F5... member States.

(3) The report must in particular—

(a)set out the objectives intended to be achieved by the regulatory system established by these Regulations;

(b)assess the extent to which those objectives are achieved; and

(c)assess whether those objectives remain appropriate and, if so, the extent to which they could be achieved with a system that imposes less regulation.

(4) The first report under this regulation must be published before the end of the period of five years beginning with the day on which these Regulations come into force.

(5) Reports under this regulation are afterwards to be published at intervals not exceeding five years.

Textual Amendments

InterpretationU.K.

3.—(1) In these Regulations—

“the 2005 Regulations” means the Greenhouse Gas Emissions Trading Scheme Regulations 2005 M7;

“the 2010 Regulations” means the Aviation Greenhouse Gas Emissions Trading Scheme Regulations 2010 M8;

[F6“the 2018 surrender deadline” means, subject to paragraphs (1A) to (1C), 10.59 pm on 29th March 2019;]

“allocation”, in relation to an allowance, means allocation free of charge in accordance with Chapter [F72 or 3] of the Directive [F8(and, except in regulation 87A(3), “allocated” has the corresponding meaning)];

[F9“allocation period” means—

(a)

the period which begins with 1st January 2021 and ends with 31st December 2025 (“the first allocation period”);

(b)

the period which begins with 1st January 2026 and ends with 31st December 2030 (“the second allocation period”);]

“allowance”—

(a)

F10... has the meaning given in Article 3(a) of the Directive, F11...

(b)

F11...

“annual reportable emissions” means the reportable emissions arising in any scheme year;

[F12“Article 27 installation” means an installation of the kind described in regulation 15(A1);]

[F12“Article 27a installation” means an installation of the kind described in regulation 15A(1);]

[F12“Article 27 installation emissions permit” means a permit which—

(a)

is granted following an application under regulation 10(2); or

(b)

results from a variation made under regulation 88 or paragraph 2 of Schedule 5;]

[F13“authority” means DAERA;]

F14...

F15...

F16...

F17...

F18...

“bioliquids” has the meaning given in Article 2(h) of the Renewable Energy Directive;

“cease operation”, in relation to an installation, has the meaning given in paragraph (3);

[F19“change of status notice” means a notice under—

(a)

paragraph 8(1) or 8(4) of Schedule 5 that an installation will cease to be treated as an Article 27 installation;

(b)

paragraph 5(1) of Schedule 5A, that an installation will cease to be treated as an Article 27a installation;]

“chief inspector” means the chief inspector constituted under regulation 8(3) of the Northern Ireland Regulations;

F20...

“current operator” has the meaning given by regulation 12(1);

[F21“DAERA” means the Department of Agriculture, Environment and Rural Affairs in Northern Ireland;]

“the Directive” means Directive 2003/87/EC of the European Parliament and of the Council establishing a scheme for greenhouse gas emissions allowance trading within the Community and amending Council Directive 96/61/EC M9, as amended from time to time and as adapted by Annex 20 to the EEA agreement M10;

“duly made”, in relation to an application, means made in accordance with the requirements of these Regulations;

“emissions” has the meaning given in Article 3(b) of the Directive;

[F22“emissions target”, in relation to a scheme year, means an amount of reportable emissions specified in an Article 27 installation emissions permit as the target for that excluded installation in that year;]

[F23“entry year” means the scheme year following the scheme year in which the operator of an excluded installation is given a change of status notice;]

[F24“excluded installation” means—

(a)

an Article 27 installation; or

(b)

an Article 27a installation;]

F25...

F26...

“fee”, in relation to any matter, means the fee or charge prescribed in respect of that matter by a scheme, or regulations, made under—

(a)

F27...

(b)

F27...

(c)

regulation 4 of the Greenhouse Gas Emissions Trading Scheme Charging Scheme Regulations (Northern Ireland) 2010 M11; or

(d)

Article 127 of the Planning (Northern Ireland) Order 1991 M12;

F28...

F29...

“greenhouse gas emissions permit” means a permit granted following an application under—

(a)

regulation 10(1); or

(b)

regulation 8 of the 2005 Regulations;

“installation” has the meaning given in Article 3(e) of the Directive (and references to an “installation” include a reference to a part of an installation);

“KP registry administrator” has the meaning given by regulation 81(1);

“monitoring and reporting conditions” has the meaning given by paragraph 3(8) of Schedule 5;

“monitoring and reporting requirements” has the meaning given by paragraph 2(3) of Schedule 4;

“the Monitoring and Reporting Regulation” means Commission Regulation (EU) No 601/2012 of 21 June 2012 on the monitoring and reporting of greenhouse gas emissions pursuant to Directive 2003/87/EC of the European Parliament and of the Council M13, as amended from time to time;

[F30“the Monitoring and Reporting Regulation 2018” means Commission Implementing Regulation (EU) 2018/2066 of 19 December 2018 on the monitoring and reporting of greenhouse gas emissions pursuant to Directive 2003/87/EC of the European Parliament and of the Council and amending Commission Regulation (EU) No 601/2012, as amended from time to time;]

“new operator” has the meaning given by regulation 12(1);

F31...

[F32“Northern Ireland Regulations” means the Pollution Prevention and Control (Industrial Emissions) Regulations (Northern Ireland) 2013;]

“notice of surrender” has the meaning given in regulation 13(7);

F33...

F34...

F35...

F36...

F37...

F38...

“operator”, in relation to an installation, has the meaning given in paragraph (2) (and “operate” has the corresponding meaning);

“partial transfer” has the meaning given by regulation 12(2);

“permit” (except in paragraph 1(2)(b) of Schedule 4 F39...) means—

(a)

a greenhouse gas emissions permit; or

(b)

an [F40Article 27] installation emissions permit;

“the Planning Appeals Commission” means the Planning Appeals Commission established under article 110 of the Planning (Northern Ireland) Order 1991 M14;

“prescribed” (in relation to a fee) means specified in, or determined under, the scheme or regulations in question;

“the Registries Regulation 2010” means Commission Regulation (EU) No 920/2010 of 7 October 2010 for a standardised and secured system of registries pursuant to Directive 2003/87/EC of the European Parliament and of the Council and Decision No 280/2004/EC of the European Parliament and of the Council M15;

F41...

[F42“the Registries Regulation 2013” means 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, as amended from time to time;

[F43“the Registries Regulation 2019” means Commission Delegated Regulation (EU) 2019/1122 of 12 March 2019 supplementing Directive 2003/87/EC of the European Parliament and of the Council as regards the functioning of the Union Registry, as amended from time to time;]

“registry administrator” has the meaning given by regulation 8(1);

“registry account” means an operator holding account F44... in the Union Registry (and “open”, “blocked” [F45, “excluded” or “closed”] status, in relation to such an account, have the meanings given by [F46Article 10 of the Registries Regulation 2013]);

“regulated activity” means an activity F47... that—

(a)

is listed in Annex 1 to the Directive, and

(b)

results in specified emissions;

[F48“regulator” means the chief inspector;]

“the Renewable Energy Directive” means Directive 2009/28/EC of the European Parliament and of the Council on the promotion of the use of energy from renewable sources and amending and subsequently repealing Directives 2001/77/EC and 2003/30/EC M16, as amended from time to time;

“reportable emissions” means—

(a)

in relation to an installation, the total specified emissions (expressed in tonnes of carbon dioxide equivalent) which arise from the regulated activities carried out at that installation; F49...

(b)

F49...

“revocation notice” has the meaning given by regulation 14(1);

“scheme year” means the year beginning with 1st January 2013 or any subsequent calendar year;

F50...

“specified emissions”, in relation to an activity listed in Annex 1 to the Directive, means emissions of gases specified in Annex 1 in respect of that activity;

F51...

“surrender requirements” has the meaning given by paragraph 2(4) of Schedule 4;

“tonne of carbon dioxide equivalent” has the meaning given in Article 3(j) of the Directive;

“trading period” means one of the following F52... periods—

(a)

2013 to 2020; and

(b)

subsequent consecutive periods of [F53ten] calendar years;

F54...

F55...

“the Union Registry” means the registry established by Article 4 of the Registries Regulation [F562013];

“the UK Registry” means the registry operated by the Environment Agency for the purposes specified in Article 3(1) of the Registries Regulation 2010 immediately before the coming into force of these Regulations;

“variation”, in relation to a permit or a plan, means the amendment of its provisions (and “vary” has the corresponding meaning);

[F57“the Verification Regulation F58... ” means Commission Implementing Regulation (EU) 2018/2067 of 19 December 2018 on the verification of data and on the accreditation of verifiers pursuant to Directive 2003/87/EC of the European Parliament and of the Council, as amended from time to time;]

“working day” means any day other than—

(a)

a Saturday, Sunday, Good Friday, or Christmas Day; or

(b)

a day which is a bank holiday under the Banking and Financial Dealings Act 1971 M17;

“written procedures” means the written procedures required by Article 11(1) of the Monitoring and Reporting Regulation [F592018].

[F60(1A) This paragraph applies if at any time before 10.59 pm on 29th March 2019 an enactment (“enactment 1”) has made provision, in any form, which has the effect that exit day, within the meaning of section 20(1) of the European Union (Withdrawal) Act 2018 (“the 2018 Act”), is to be a date after 29th March 2019.

(1B) This paragraph applies where—

(a)paragraph (1A) applies; and

(b)at any time on or after 10.59 pm on 29th March 2019 but before the 2018 surrender deadline which applies in relation to enactment 1, a subsequent enactment (“enactment 2”) has made provision, in any form, which has the effect that exit day, within the meaning of section 20(1) of the 2018 Act, is to be a date after the date provided for in enactment 1,

and in the event of an enactment subsequent to enactment 2, the references in sub-paragraph (b) to enactment 1 are to be read as references to enactment 2 and so on.

(1C) Where paragraph (1A) or paragraph (1B) applies—

(a)if exit day is a day falling before 1st May 2019, the 2018 surrender deadline is immediately before the UK’s exit from the European Union; and

(b)if exit day is a day falling on or after 1st May 2019, the 2018 surrender deadline is 30th April 2019.]

(2) The “operator” of an installation is the person who has control over its operation; but where—

(a)an installation has not been put into operation, the operator is the person who will have control over the operation of the installation when it is put into operation;

(b)an installation [F61that is not an Article 27a installation] has ceased operation, the operator is the person who holds the permit relating to the installation; F62...

[F63(ba)an Article 27a installation has ceased operation, the operator is the person who had control over its operation immediately before the installation ceased operation; and]

(c)the holder of a permit has ceased to have control of the installation to which it relates, the operator is that permit holder.

[F64(3) For the purposes of these Regulations, an installation has ceased operation if—

(a)a regulated activity is no longer being carried out at the installation; and

(b)it is technically impossible to resume operation.]

(5) References in these Regulations to anything taking effect (or ceasing to have effect) on a particular date are to be read as references to it taking effect (or ceasing to have effect) as from the beginning of that date.

Textual Amendments

F9Words in reg. 3(1) inserted (1.2.2020 for specified purposes, 1.1.2021 in so far as not already in force) by The Greenhouse Gas Emissions Trading Scheme (Amendment) (No. 3) Regulations 2019 (S.I. 2019/1440), regs. 1(2B)(4), 3(2)(a) (as amended by S.I. 2020/18, regs. 1, 11(2)(4) and S.I. 2020/1369, regs. 1(2), 44(a))

F22Words in reg. 3(1) inserted (1.2.2020 for specified purposes, 1.1.2021 in so far as not already in force) by The Greenhouse Gas Emissions Trading Scheme (Amendment) (No. 3) Regulations 2019 (S.I. 2019/1440), regs. 1(2B)(4), 3(2)(d) (as amended by S.I. 2020/18, regs. 1, 11(2)(4) and S.I. 2020/1369, regs. 1(2), 44(a))

F64Reg. 3(3) substituted for reg. 3(3)(4) (31.12.2020 immediately before IP completion day) by The Greenhouse Gas Emissions Trading Scheme (Withdrawal Agreement) (EU Exit) Regulations 2020 (S.I. 2020/1369), regs. 1(2), 5(l) (with reg. 46)

Marginal Citations

M7S.I. 2005/925; amended by S.I. 2005/2903, 2006/737, 2007/465, 2007/1096, 2007/3433, 2010/1513, 2011/1506, 2011/2911 and S.R. (N.I.) 2010/92.

M8S.I. 2010/1996, amended by S.I. 2011/76 and 2011/2911.

M9OJ No L 275, 25.10.2003, p 32. The Directive was amended by European Parliament and Council Directives 2004/101/EC (OJ No L 338, 13.11.2004, p 18), 2008/101/EC (OJ No L 8, 13.1.2009, p 3) and 2009/29/EC (OJ No L 140, 5.6.2009, p 63), and by Regulation (EC) No 219/2009 of the European Parliament and of the Council (OJ No L 87, 31.3.2009, p 109).

M10See Point 21al of that Annex, amended by Decision of the EEA Joint Committee No 6/2011 (OJ No L 93, 7.4.2011, p 35); and see the Introduction and Sectoral Adaptation included at the beginning of the Annex.

M11S.R. (N.I.) 2010 No. 151; amended by S.I. 2011/2911 and 2012/2788.

M12Article 127 was substituted by S.I. 2006/1252 (N.I. 7).

M13OJ No L 181, 12.7.2012, p 30.

M14S.I. 1991/1220 (N.I. 11); relevant amending instruments are S.I. 1999/660 (N.I. 4) and 2003/430 (N.I. 8).

M15OJ No L 270, 14.10.2010, p 1; amended by the Registries Regulation 2011.

M16OJ No L 140, 5.6.2009, p 16.

M171971 c. 80; see section 1 and Schedule 1 (which was amended by section 1 of the St Andrew's Day Bank Holiday (Scotland) Act 2007 (2007 asp 2)).

Application to the Crown etc.U.K.

4.  Schedule 1 (application to the Crown etc.) has effect.

Notices etc.U.K.

5.  Schedule 2 (notices etc.) has effect.

Applications etc.U.K.

6.  Schedule 3 (applications etc.) has effect.

Functions of the regulator: Northern IrelandU.K.

7.—(1) Regulation 8(4) of the Northern Ireland Regulations (delegation of functions) has effect as if the reference to the chief inspector's functions included a reference to the chief inspector's functions under these Regulations.

(2) Regulation [F6540(1)] of the Northern Ireland Regulations (power of the Department to give directions) has effect as if the reference to functions under those Regulations included a reference to functions under these Regulations.

(3) Any direction of the Department of the Environment that is given by virtue of paragraph (2) must be published in such manner as the Department of the Environment considers appropriate.

Textual Amendments

Commission Regulations: designationsU.K.

8.—(1) [F66DAERA] is the national administrator designated by the United Kingdom for the purposes of the Registries Regulation [F672019], and in these Regulations is referred to in that capacity as the “registry administrator”.

[F68(2) Subject to paragraph (3), the regulator is the competent authority designated by the United Kingdom for the purposes of the Registries Regulation [F692019 (other than for Articles 22(3) and 30(7))].

[F70(3) DAERA is the competent authority so designated for the purposes of—

(a)Article 28(1);

(b)Article 30(8);

(c)Article 30(11); and

(d)Article 66(1).]]

F71(4) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

F71(5) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

[F72(6) The regulator is the competent authority designated by the United Kingdom for the purposes of the Monitoring and Reporting Regulation 2018.]

F73(7) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(8) F74... The regulator is the competent authority designated by the United Kingdom for the purposes of the Verification Regulation.

F75(9) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

F75(10) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .]

Textual Amendments

F75Reg. 8(9)(10) omitted (31.12.2020 immediately before IP completion day) by virtue of The Greenhouse Gas Emissions Trading Scheme (Withdrawal Agreement) (EU Exit) Regulations 2020 (S.I. 2020/1369), regs. 1(2), 6(e) (with reg. 46)

PART 2U.K.Stationary installations

CHAPTER 1U.K.Permits

Requirement for permit to carry out regulated activitiesU.K.

9.—[F76(1)] No person may carry out a regulated activity at an installation except to the extent authorised by a permit held by the operator of the installation.

[F77(2) Paragraph (1) does not apply in relation to a person carrying out a regulated activity at an Article 27a installation.]

Textual Amendments

Applications for and grant of permitsU.K.

10.—(1) The operator of an installation (other than an excluded installation) may apply to the regulator for a greenhouse gas emissions permit to carry out a regulated activity at the installation.

(2) The operator of an [F78Article 27] installation may apply to the regulator for an [F78Article 27] installation emissions permit to carry out a regulated activity at the installation.

(3) However, an application may not be made—

(a)under paragraph (1) or (2) where a permit has already been granted in respect of the installation and continues to have effect; or

(b)under paragraph (2) where an [F79Article 27] installation emissions permit has been granted in respect of the installation and has been surrendered or revoked.

[F80(3A) An Article 27 installation emissions permit that is granted for the purposes of the first allocation period continues to have effect for the purposes of the second allocation period if the installation is deemed to be approved by the European Commission under the first subparagraph of Article 27(2) of the Directive in relation to that period.]

(4) Following an application under paragraph (1) or (2), the permit must be granted if the regulator is satisfied that—

(a)the application is duly made, and

(b)at the time that the permit is granted (or, if later, has effect) the applicant will be capable of monitoring and reporting emissions from the installation in accordance with—

(i)the monitoring and reporting requirements of the greenhouse gas emissions permit, or

(ii)the monitoring and reporting conditions of the [F81Article 27 installation emissions] permit,

but must otherwise be refused.

(5) A permit may be granted under this regulation in respect of more than one installation on the same site, provided that they are operated by the same operator.

(6) Paragraph 1 of Schedule 4 makes further provision about applications for permits.

(7) Paragraph 2 of Schedule 4 makes provision about the contents of greenhouse gas emissions permits, and paragraph 3 of Schedule 5 makes provision about the contents of [F82Article 27] installation emissions permits.

Textual Amendments

Review, variation and consolidation of permitsU.K.

11.—F83(1) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(2) The regulator may, by giving notice to the operator, vary a permit at any time and may in particular make any variation of the permit that the regulator considers necessary in consequence of—

F84(a). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(b)any report made by the operator under Article 69 of the Monitoring and Reporting Regulation [F852018]; or

(c)any notification as mentioned in paragraph 2(7)(b) of Schedule 4 (notification of planned changes in operation etc).

(3) The regulator may by giving notice to the operator vary a permit where the operator—

(a)applies to the regulator for such a variation pursuant to a provision of the permit; or

(b)has failed to comply with a requirement of the permit to apply for such a variation.

(4) The regulator may by giving notice to the operator vary a permit in order to comply with regulator's duty under—

(a)regulation [F8688(2) or (4)]; or

(b)any of the following provisions of Schedule 5—

(i)paragraph 2(1);

(ii)paragraph 3(3);

(iii)paragraph 6(5) or (6);

(iv)paragraph 7(4)(b), (6)(b) or (7)(b);

(v)paragraph 8(6) [F87or 8(6A)].

(5) A notice given under paragraph (2), (3)(b) or (4) may specify a period within which a fee for the variation of the permit must be paid.

(6) The regulator may by giving notice to the operator replace a permit with a consolidated permit applying to the same regulated activities, and containing the same or equivalent provisions, in the following circumstances—

(a)where the permit has been varied;

(b)where there is more than one permit applying to installations on the same site operated by the same operator.

Textual Amendments

Transfer of permitsU.K.

12.—(1) Subject to paragraph (6), the holder of a permit (“the current operator”) and another person may jointly apply to the regulator for the permit to be transferred to that other person (“the new operator”).

(2) An application may also be made under paragraph (1) for the partial transfer of a permit; and for that purpose a “partial transfer” is a transfer in respect of—

(a)some only of the installations to which the permit relates; or

(b)some only of the parts of an installation to which the permit relates.

(3) Paragraph 3 of Schedule 4 makes further provision about the transfer, or partial transfer, of a permit.

(4) F88... An application under paragraph (1) must be granted if the regulator is satisfied that—

(a)the application is duly made, and

(b)the new operator will (from the relevant date) be the operator of the installation and will be capable of monitoring and reporting emissions from the installation in accordance with—

(i)the monitoring and reporting requirements of the greenhouse gas emissions permit, or

(ii)the monitoring and reporting conditions of the [F89Article 27 installation] emissions permit,

but must otherwise be refused.

(5) For the purposes of paragraph (4), the relevant date is the date mentioned in paragraph 3(6), (8) or (10) of Schedule 4 as the case may be.

(6) An application for the transfer (or partial transfer) of a permit may not be made in respect of any installation (or part of an installation) that has ceased operation.

Textual Amendments

[F90Transfer of permits: underreporting discovered after transferU.K.

12A.—(1) This regulation applies where—

(a)after the transfer of a greenhouse gas emissions permit under regulation 12 takes effect, the regulator becomes aware, following a determination of reportable emissions under regulation 44, of an error in a report submitted for a scheme year by the transferring operator under the monitoring and reporting requirements of the permit; and

(b)as a result of the error, the transferring operator failed to comply with the surrender requirements of the permit in respect of the scheme year to which the error relates.

(2) The regulator must give notice to the transferring operator of the error as soon as reasonably practicable.

(3) The transferring operator must, within the period of one month beginning with the date the transferring operator received the notice, effect a transfer to the new operator of allowances equal to the reportable emissions in respect of which, as a result of the error, the transferring operator failed to comply with the surrender condition of the permit.

(4) The new operator must surrender the allowances within the period of one month beginning with the date of the transfer of the allowances.

(5) In paragraph (1), the reference to the transfer of a permit under regulation 12 includes a reference to an application for a transfer of a permit to which effect is given by a variation of the new operator’s existing permit.

(6) In this regulation—

(a)“transferring operator” means the person who was the current operator for the purposes of regulation 12; and

(b)“new operator” has the same meaning as in regulation 12.]

Textual Amendments

Surrender of permitsU.K.

13.—(1) Subject to paragraph (4), if an installation has ceased operation the operator must apply to the regulator to surrender the permit authorising regulated activities at the installation.

[F91(1A) Where a permit authorises regulated activity to be carried out at an installation where a regulated activity is no longer being carried out but it is not technically impossible to resume operation, the operator of the installation may apply to the regulator to surrender the permit.]

[F92(2) An application under paragraph (1) must be made before the end of the period of one month beginning with the date that the regulated activities at the installation ceased, or such later date as may be agreed with the regulator.]

(4) The application need not be made where—

(a)the permit authorises regulated activities at more than one installation, some of which have not ceased operation; and

(b)by the end of the period mentioned in paragraph (2), the operator has applied to vary that permit so that it no longer applies to any of those installations that have ceased operation.

(5) Where the carrying out of regulated activities at an installation mentioned in paragraph (6) has been suspended, but the installation has not ceased operation, the operator may at any time make an application under paragraph (1) but is not obliged to do so.

(6) Those installations are—

(a)an [F93Article 27] installation; or

(b)an installation that, by virtue of Article 10a(3) of the Directive, is not eligible for an allocation.

(7) If the application under paragraph (1) is granted, the notice of determination given to the operator (“notice of surrender”) takes effect on the date specified in the notice.

(8) Paragraph 4 of Schedule 4 makes further provision about the surrender of permits.

Textual Amendments

F92Reg. 13(2) substituted for reg. 13(2)(3) (31.12.2020 immediately before IP completion day) by The Greenhouse Gas Emissions Trading Scheme (Withdrawal Agreement) (EU Exit) Regulations 2020 (S.I. 2020/1369), regs. 1(2), 9(b) (with reg. 46)

Revocation of permitsU.K.

14.—(1) The regulator—

(a)may at any time revoke a permit by serving on the operator a notice to that effect (a “revocation notice”), and in particular may do so if the operator has failed to pay a fee for the subsistence of the permit; and

[F94(b)must do so where—

(i)the regulator becomes aware that the operator has failed to comply with regulation 13(1) and (2);

(ii)a greenhouse gas emissions permit is held by the operator of an Article 27a installation;

(iii)an Article 27 installation emissions permit is held by the operator of an Article 27a installation.]

(2) A revocation notice takes effect—

(a)28 days after the date on which it is served; or

(b)if a later date is specified in the notice, on that date.

(3) Paragraph 5 of Schedule 4 makes further provision about the revocation of permits.

Textual Amendments

CHAPTER 2U.K.Excluded installations: further provision

Excluded installations [F95: Article 27 installations] U.K.

15.—[F96(A1) An installation is an Article 27 installation for the duration of a particular allocation period if, in relation to that period, it is deemed to be approved by the European Commission under the first subparagraph of Article 27(2) of the Directive, unless a notice has been given to the operator under paragraph 8(1) or (4) of Schedule 5 (in which case the installation ceases to be an Article 27 installation as from the date specified in the notice).

(B1) An installation's status as an Article 27 installation expires at the end of the particular allocation period in relation to which it has been excluded.

(C1) Where an installation ceases to be an Article 27 installation at the end of the first allocation period in accordance with paragraph (B1) and approval is not deemed in accordance with paragraph (A1) in respect of the second allocation period, paragraph 8(6A) of Schedule 5 applies.]

(1) Schedule 5 makes further provision about [F97Article 27] installations.

(2) Subject to paragraphs (3) and (4), and unless a contrary intention appears, these Regulations apply to an [F98Article 27] installation as they apply to an installation that is not an excluded installation.

[F99(3) The following provisions do not so apply—

(a)regulation 12(2); F100...

F100(b). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .]

(4) The following provisions so apply—

(a)paragraph 4 of Schedule 4, but as if—

(i)any reference in that paragraph to the monitoring and reporting requirements of the greenhouse gas emissions permit were a reference to the monitoring and reporting conditions of the [F101Article 27] installation emissions permit; and

(ii)sub-paragraph (1)(c) and sub-paragraphs (2)(b)(ii), (3), (4) and (6) to (8) were omitted;

(b)paragraph 5 of Schedule 4, but as if—

(i)any reference in that paragraph to the monitoring and reporting requirements of the greenhouse gas emissions permit were a reference to the monitoring and reporting conditions of the [F102Article 27] installation emissions permit; and

(ii)sub-paragraph (1)(c) and sub-paragraphs (3)(b)(ii), (4), (5) and (7) to (9) were omitted.

Textual Amendments

F96Regs. 15(A1)-(C1) inserted (1.2.2020 for specified purposes, 1.1.2021 in so far as not already in force) by The Greenhouse Gas Emissions Trading Scheme (Amendment) (No. 3) Regulations 2019 (S.I. 2019/1440), regs. 1(2B)(4), 11(3) (as amended by S.I. 2020/18, regs. 1, 11(2)(4), 12(2) and S.I. 2020/1369, regs. 1(2), 44(a))

[F103Excluded installations: Article 27a installationsU.K.

15A.—(1) An installation is an Article 27a installation for the duration of a particular allocation period, if, in relation to that period, the installation is excluded pursuant to Article 27a of the Directive, unless a notice has been given to the operator under paragraph 5(1) of Schedule 5A (in which case the installation ceases to be an Article 27a installation as from the date specified in the notice).

(2) An installation's status as an Article 27a installation expires at the end of the particular allocation period in relation to which it is excluded.

(3) Schedule 5A makes further provision about Article 27a installations.]

Textual Amendments

CHAPTER 3U.K.Allocation of allowances

Allocation of allowances for 2013 to 2020U.K.

F10416.  . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Textual Amendments

CHAPTER 4U.K.Offshore installations

Powers of entryU.K.

F10417.  . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Textual Amendments

Charging schemesU.K.

F10418.  . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Textual Amendments

Charging schemes: supplementaryU.K.

F10419.  . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Textual Amendments

PART 3U.K.Aviation

CHAPTER 1U.K.General

InterpretationU.K.

F10420.  . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Textual Amendments

Civil Aviation AuthorityU.K.

F10421.  . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Textual Amendments

CHAPTER 2U.K.UK administered operators, UK aircraft operators and regulators

UK administered operators: power to designateU.K.

F10422.  . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Textual Amendments

Application to be designated as a UK administered operatorU.K.

F10423.  . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Textual Amendments

Transfers of operators between member StatesU.K.

F10424.  . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Textual Amendments

Gibraltar operatorsU.K.

F10425.  . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Textual Amendments

UK aircraft operatorsU.K.

F10426.  . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Textual Amendments

Regulators: generalU.K.

F10427.  . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Textual Amendments

Regulators: assessment of emissionsU.K.

F10428.  . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Textual Amendments

Regulators: change in registered officeU.K.

F10429.  . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Textual Amendments

CHAPTER 3U.K.Allocation of aviation allowances

Allocation of aviation allowancesU.K.

F10430.  . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Textual Amendments

CHAPTER 4U.K.Monitoring and reporting aviation emissions

InterpretationU.K.

F10431.  . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Textual Amendments

Application for an emissions plan by a UK administered operatorU.K.

F10432.  . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Textual Amendments

Application for an emissions plan by a UK administered operator: [F105activities during 2015 to 2023] U.K.

F10432A.  . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Textual Amendments

Application for an emissions plan by a UK administered operator: [F106post-2023] activitiesU.K.

F10432B.  . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Textual Amendments

Application for an emissions plan by a UK administered operator: generalU.K.

F10432C.  . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Textual Amendments

Requirement to notify the regulator if an emissions plan is not applied for [F107before 1st January 2015] U.K.

F10433.  . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Textual Amendments

Requirement to notify the regulator if an emissions plan is not applied for on or after 1st January 2015U.K.

F10433A.  . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Textual Amendments

Issue of an emissions planU.K.

F10434.  . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Textual Amendments

Monitoring and reporting emissionsU.K.

F10435.  . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Textual Amendments

Emissions plan conditionsU.K.

F10436.  . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Textual Amendments

Variation of an emissions planU.K.

F10437.  . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Textual Amendments

Variation of a benchmarking planU.K.

F10438.  . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Textual Amendments

CHAPTER 5U.K.Sanctions (other than civil penalties)

Detention and sale of aircraftU.K.

F10439.  . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Textual Amendments

Aircraft operating bansU.K.

F10440.  . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Textual Amendments

PART 4U.K.Surrender of allowances

Surrender of allowances: operators of installationsU.K.

41.  For each scheme year, the operator of an installation must surrender allowances in accordance with the surrender requirements of the permit for the installation.

Surrender of allowances: UK aircraft operatorsU.K.

F10842.  . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Textual Amendments

Surrender of allowances: UK aircraft operators: 2013, 2014 and subsequent scheme yearsU.K.

F10942A.  . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Textual Amendments

Surrender of a deficit of allowances: UK administered operatorsU.K.

F11042B.  . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Textual Amendments

PART 5U.K.Enforcement etc.

Enforcement noticesU.K.

43.—(1) Where the regulator considers that a person (“P”) has contravened, is contravening, or is likely to contravene a relevant provision, the regulator may serve a notice (“enforcement notice”) on P.

(2) For the purpose of paragraph (1), a “relevant provision” is any provision of—

(a)these Regulations;

(b)the Monitoring and Reporting Regulation [F1112018];

(c)a permit; F112...

F112(d). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(3) An enforcement notice must—

(a)state the regulator's view under paragraph (1);

(b)specify the matters constituting the contravention or making a contravention likely;

(c)specify the steps that must be taken to remedy the contravention or to ensure that the likely contravention does not occur; and

(d)specify the period within which those steps must be taken.

(4) P must comply with the requirements of the notice within the period so specified.

(5) The regulator may withdraw an enforcement notice at any time by further notice served on P.

Textual Amendments

Power to determine reportable emissionsU.K.

44.—(1) A power of the regulator to make a conservative estimate of emissions in accordance with Article 70 of the Monitoring and Reporting Regulation [F1132018] (a “determination of emissions”) may also be exercised where—

(a)an operator fails to comply with the requirement to submit—

(i)a surrender report in accordance with paragraph 4(1)(a) and (b) of Schedule 4; or

(ii)a revocation report in accordance with paragraph 5(1)(a) and (b) of Schedule 4;

(b)an operator has failed to satisfy the regulator as required pursuant to paragraph 2(3)(c) of Schedule 4 or paragraph 3(8)(c) of Schedule 5; [F114or]

F115(c). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(d)the regulator considers that such a determination is necessary for the purpose of imposing, or considering whether to impose, a penalty under Part 7.

(2) In the case referred to in paragraph (1)(b), in making the determination the regulator may substitute an emissions factor of greater than zero for the factor reported in respect of the bioliquids concerned.

(3) The regulator may make a determination of emissions where—

(a)the operator has failed to submit a report as required pursuant to paragraph 3(8)(b) of Schedule 5; or

(b)the regulator has reason to believe that the report submitted is incorrect.

(4) A determination of emissions—

(a)must be notified to the operator F116... concerned; and

(b)[F117except where paragraph (5B) applies to that determination,] is to be treated as determining all of the reportable emissions from the installation F118... for the period to which the determination relates.

(5) A notice under paragraph (4) [F119or under paragraph (5C)(a)]—

(a)except where it relates to an [F120Article 27] installation, must be served on the registry administrator (and is in that case to be regarded as an instruction to the registry administrator for the purposes of [F121Article 31(6) of the Registries Regulation 2019]); and

(b)must, where required by Article 70(2) of the Monitoring and Reporting Regulation [F1222018], specify the corrections that are required to the verified report mentioned F123... in paragraph 2(3)(b) of Schedule 4.

[F124(5A) Paragraph (5B) applies where –

(a)a determination of emissions has been notified to the operator F125... under paragraph (4); and

(b)the regulator is satisfied that there is a defect in the estimate of the reportable emissions in that determination.

(5B) The regulator must withdraw the determination and make a further determination of emissions (the “rectified determination”).

(5C) A rectified determination—

(a)must be notified to the operator F126... concerned; and

(b)is to be treated as determining all of the reportable emissions from the installation F127... for the period to which the determination relates.

(5D) Where—

(a)any rectified determination is notified to the operator F128... concerned; and

(b)the regulator is satisfied that there is a defect in the estimate of the reportable emissions in that determination,

the regulator must withdraw the rectified determination and make one or more further rectified determinations.]

(6) A regulator who makes a determination of emissions under the Monitoring and Reporting Regulation [F1292018], or by virtue of this regulation, may recover the cost of doing so from the operator F130... concerned.

Textual Amendments

PART 6U.K.Information

Provision of informationU.K.

45.—(1) An authority F131... may, by notice served on a regulator (“R”), require R to furnish such information about the discharge of R's functions as the authority F131... may require.

(2) For the purposes mentioned in paragraph (4), an authority, the Secretary of State, the registry administrator, the KP registry administrator or a regulator (a “relevant body”) may, by notice served on any person, require that person (“P”) to furnish such information as is specified in the notice, in such form and within such period following service of the notice or at such time as is so specified.

(3) The information which P may be required to furnish by a notice under paragraph (2) 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 purposes referred to in paragraph (2) are—

(a)the discharge of the relevant body's functions; F132...

F132(b). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

F133(5) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(6) In this regulation, “functions” means functions under or by virtue of—

(a)these Regulations;

(b)the Monitoring and Reporting Regulation [F1342018];

(c)the Verification Regulation;

(d)the Registries Regulation 2010; F135...

(e)the Registries Regulation [F1362013][F137; or

(ea)the Registries Regulation 2019]

Textual Amendments

F137Reg. 45(6)(ea) and word inserted (31.12.2020 immediately before IP completion day) by The Greenhouse Gas Emissions Trading Scheme (Withdrawal Agreement) (EU Exit) Regulations 2020 (S.I. 2020/1369), regs. 1(2), 13(d) (with reg. 46)

Disclosure of informationU.K.

46.—(1) Subject to paragraph (2) a relevant body (within the meaning of regulation 45(2)) must not disclose or publish any information provided to the relevant body under these Regulations except where—

(a)disclosure or publication is—

(i)required in these Regulations or otherwise by law;

(ii)necessary for the performance of the relevant body's functions (as defined by regulation 45(6)); [F138or]

(iii)made with the consent of the person by or on behalf of whom the information was provided; or

[F139(iv)necessary for the performance of the Environment Agency’s functions in England under the Emissions Performance Standard Regulations 2015; or]

[F140(iv)necessary for the performance of the NRBW’s functions in Wales under the Emissions Performance Standard (Enforcement) (Wales) Regulations 2015.]

[F141(v)necessary for the performance of the chief inspector’s functions in Northern Ireland under the Emissions Performance Standard Monitoring and Enforcement Regulations (Northern Ireland) 2016; or]

(b)disclosure is between one relevant body and another.

(2) The Secretary of State may use any information held or obtained for the purposes of these Regulations, 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.

(3) For the purpose of paragraph (2), “national inventory” means the estimation, under Article 4(1)(a) of the United Nations Framework Convention on Climate Change M18, of anthropogenic emissions of greenhouse gases by sources and removals of all greenhouse gases by sinks not controlled by the Montreal Protocol.

Textual Amendments

F138Word in reg. 46(1)(a)(ii) omitted (E.) (25.3.2015) by virtue of The Emissions Performance Standard Regulations 2015 (S.I. 2015/933), regs. 1(1), 20(1) and word in reg. 46(1)(a)(ii) omitted (W.) (8.7.2015) by virtue of The Emissions Performance Standard (Enforcement) (Wales) Regulations 2015 (S.I. 2015/1388), regs. 1(2), 14(1)

Marginal Citations

M18Cm 2833.

National securityU.K.

47.—(1) No information may be published—

F142(a). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(b)by the regulator under regulation 71,

if, in the opinion of the Secretary of State, the publication of that information would be contrary to the interests of national security.

(2) For the purposes of paragraph (1)(b), the Secretary of State may give to the regulator directions specifying information which may not be published under regulation 71.

(3) The regulator must notify the Secretary of State of any information which is excluded from publication in accordance with directions under paragraph (2).

Textual Amendments

PART 7U.K.Civil Penalties

InterpretationU.K.

48.  In this Part—

“carbon price”, in relation to a tonne of carbon dioxide equivalent, is the price referred to in regulation 49;

“penalty notice” means a notice served under regulation 50(1);

“additional penalty notice” means a notice served under regulation 50(3).

Carbon PriceU.K.

49.—(1) In respect of the scheme year beginning with 1st January 2013, the carbon price is £6.70.

(2) [F143From the scheme year beginning with 1st January 2021, and for each subsequent scheme year, DAERA] must determine a price as the carbon price for that year, based on the sterling equivalent of the average end of day settlement price (in Euro per tonne of carbon dioxide equivalent) of the December futures contracts for that scheme year.

(3) For that purpose—

“average end of day settlement price” means the average over the 12 months ending with the relevant date;

“futures contract” means the futures contract as traded on the single largest carbon market exchange (as determined by volume of sales in the 12 months ending with the relevant date);

“sterling equivalent” means the sterling equivalent converted by reference to the Bank of England annual average spot exchange rate for the 12 months ending with the relevant date;

“the relevant date”, in relation to the year for which the carbon price is set, is 11th November in the preceding year.

(4) [F144DAERA] must publish a determination made under paragraph (2) one month before the beginning the scheme year in question.

Textual Amendments

Penalty noticesU.K.

50.—(1) Where the regulator is satisfied that a person (“P”) is liable to a civil penalty under this Part the regulator must (subject to regulation 51) serve a notice on P.

(2) The penalty notice must specify—

(a)the regulation under which that liability arises;

(b)the amount of the civil penalty due;

(c)where appropriate, how that amount is calculated;

(d)whether or not P may be liable to a civil penalty in accordance with regulation [F14553(3)(b), 56(2)(b)], 68(2)(b), or 69(2)(b) (an “additional daily penalty”); and

(e)if P will not be liable to an additional daily penalty, the date by which the penalty for which P is liable must be paid.

(3) Subject to regulation 51 F146..., where the regulator is satisfied that P is liable to an additional daily penalty the regulator must, when the amount of that additional daily penalty can be determined, serve a notice on P specifying—

(a)the total amount of the civil penalties due; and

(b)the date by which that amount must be paid.

F147(4) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(5) A civil penalty imposed by a penalty notice or an additional penalty notice must be paid to the regulator by the date specified in the notice.

(6) Any such civil penalty is recoverable by the regulator—

(a)as a civil debt; F148...

F148(b). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(7) the regulator must, as soon as is reasonably practicable—

(a)give notice to the authority of the service of any penalty notice or additional penalty notice; and

(b)pass to the authority any civil penalty that has been paid to the regulator.

Textual Amendments

Discretion in imposing civil penaltiesU.K.

51.—(1) Where the regulator considers it appropriate to do so, the regulator may (subject to paragraph (2))—

(a)refrain from imposing a civil penalty;

(b)reduce the amount of a penalty (including the amount of an additional daily penalty);

(c)extend the time for payment specified in the penalty notice or additional penalty notice;

(d)withdraw a penalty notice or an additional penalty notice;

(e)modify the notice by substituting a lower penalty.

(2) The powers under paragraph (1) do not apply in relation to any penalty arising under regulation 54(1).

Carrying out a regulated activity contrary to regulation 9U.K.

52.—(1) Where in any scheme year a regulated activity is carried out that is not authorised by a permit, contrary to regulation 9, the operator of the installation (“P”) is at the end of that year liable to the civil penalty in paragraph (2).

(2) [F149Subject to paragraph (3), for each] such year, the civil penalty is A + (B × C), where—

  • A is the estimated amount of the costs avoided by P in that year as a result of carrying out a regulated activity without such authorisation;

  • B is the estimated amount of reportable emissions from the installation in the period during which a regulated activity was carried out without such authorisation;

  • C is the carbon price for that year.

[F150(2A) In paragraph (2), the reference to “costs” includes a reference to carbon emissions tax.]

[F151(3) In imposing the penalty under paragraph (2), the regulator may increase the amount determined under that paragraph by a percentage designed to ensure that the penalty exceeds the amount of any economic benefit that P has obtained as result of the failure to comply with regulation 9.]

(4) The authority must exercise powers under F152... regulation [F15340] of the Northern Ireland Regulations to give the regulator directions as to—

(a)the estimation by the regulator of A and B in paragraph (2); and

(b)the exercise of the regulator's powers [F154under] paragraph (3).

Textual Amendments

F150Reg. 52(2A) inserted (23.7.2020) by Finance Act 2019 (c. 1), ss. 79(1), 76(2)

Failure to comply with a condition of a permitU.K.

53.—(1) An operator is liable to the civil penalties in paragraph (3) where the operator fails to comply (or comply on time) with a condition of a permit included pursuant to—

(a)paragraph 2(1)(e)(ii) or (iv) of Schedule 4 F155...;

(b)paragraph 3(1)(g), (h) or (i) of Schedule 5; or

(c)regulation 10 of the 2005 Regulations, other than regulation 10(3) and (4) (or such a condition as modified by virtue of [F156regulation 88] of these Regulations).

(2) However, an operator is not liable to those civil penalties where the failure to comply gives rise to a penalty under regulation 57.

(3) The civil penalties are—

(a)[F157£20,000]; and

(b)[F158£500] for each day that the operator fails to comply with the condition following service of a penalty notice, up to a maximum of [F159£45,000].

F160(4) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Textual Amendments

[F161Failure to transfer or surrender allowances where underreporting discovered after transferU.K.

53A.—(1) A person is liable to a civil penalty where the person fails—

(a)to effect a transfer (or to effect a transfer on time) of allowances, contrary to regulation 12A(3) (transfer of permits: underreporting discovered after transfer);

(b)to surrender (or to surrender on time) allowances, contrary to regulation 12A(4).

(2) The civil penalty is the sterling equivalent of 20 Euros for each allowance that the person failed to transfer or surrender.]

Textual Amendments

Failure to surrender allowancesU.K.

54.—(1) A person (“P”) is liable to the civil penalty in paragraph (2) where P fails to surrender sufficient allowances, contrary to regulation 41 F162....

(2) The civil penalty (“excess emissions penalty”) is the sterling equivalent of 100 Euros for each allowance that P failed so to surrender.

[F163(2A) Any—

F164(a). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

F164(b). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(c)deemed increase in an installation's annual reportable emissions in a recovery year pursuant to paragraph 2(5) of Schedule 4,

must be disregarded for the purpose of calculating the excess emissions penalty.]

(3) But paragraph (1) is subject to paragraphs (4) to (6).

(4) Where paragraph (5) applies, P is not liable to the excess emissions penalty for a failure to surrender allowances in respect of those reportable emissions in a scheme year [F165exceed P's verified annual reportable emissions for that year].

[F166(5) This paragraph applies where—

(a)the regulator becomes aware that P's annual reportable emissions in a scheme year exceed P's verified annual reportable emissions in respect of that year; and

(b)P failed to surrender a number of allowances equal to the unreported emissions by 30th April in the following scheme year.]

(6) Where paragraph (5) applies, P is liable to the civil penalty of the sterling equivalent of 20 Euros for each allowance that P failed to surrender in respect of the unreported emissions F167....

(7) In this regulation—

F168(a). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

F169(b). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(c)“unreported emissions” means the emissions mentioned in paragraph (4);

[F170(ca)“verified annual reportable emissions” means annual reportable emissions that are—

(i)verified pursuant to F171... paragraph 2(3)(b) of Schedule 4;

F172(ii). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . or

(iii)determined by the regulator pursuant to regulation 44;]

(d)“sterling equivalent” means, subject to paragraph (8), the sterling equivalent converted by reference to the applicable rate of conversion; and

(e)for that purpose the applicable rate is the first rate of conversion to be published in September of the year preceding the scheme year in which P is liable to the penalty in the C series of the Official Journal of the European Union, adjusted in accordance with paragraph (8).

(8) If the last Harmonised Index of Consumer Prices for the member States of the European Union (“HICP”) published by Eurostat before the end of April in the year in which P failed to surrender the allowances shows an average percentage price increase as compared with the last HICP published before the end of April 2012, the sterling equivalent is increased by the same percentage.

[F173(9) Where—

(a)a person was liable to a civil penalty under this regulation for a failure to surrender a number of allowances equal to the unreported emissions in any relevant year; and

(b)a penalty notice has not been served in respect of that penalty,

the provisions of paragraphs (4) to (7) apply in respect of such emissions.

(10) In paragraph (9), “relevant year” means a scheme year during the years 2013 to 2018.]

Textual Amendments

Exceeding an emissions target for an [F174Article 27] installationU.K.

55.—(1) An operator of an [F174Article 27] installation is liable to the civil penalty in paragraph (2) where in any scheme year the operator fails to comply with paragraph 5 of Schedule 5.

(2) The civil penalty is (A – B) × C, where—

  • A is the amount of annual reportable emissions arising in the scheme year;

  • B is the emissions target for that year;

  • C is the carbon price for that year.

Textual Amendments

Failure to pay a penalty for exceeding an emissions target for an [F174Article 27] installationU.K.

56.—(1) An operator of an [F174Article 27] installation is liable to the civil penalties in paragraph (2) where the operator fails to pay a penalty imposed under regulation 55 by the date specified in the penalty notice.

(2) The civil penalties are—

(a)10% of the penalty imposed under regulation 55; and

(b)£150 for each day that the operator fails to pay that penalty following service of a penalty notice in respect of the penalty under sub-paragraph (a), up to a maximum of £13,500.

Textual Amendments

Under-reporting of emissions from an [F174Article 27] installationU.K.

57.—(1) An operator of an [F174Article 27] installation is liable to the civil penalty in paragraph (2) where there are reportable emissions in a scheme year (“the unreported emissions”) that—

(a)were not reported in the report submitted for that year under paragraph 3(8)(b) of Schedule 5; but

(b)have been determined by the regulator under regulation 44(3).

(2) The civil penalty is A + (B × C) where—

  • A is [F175£5,000];

  • B is the amount of the unreported emissions;

  • C is the carbon price for that year.

Textual Amendments

Failure to notify when an [F174Article 27] installation ceases to meet the criteria for being [F174Article 27] U.K.

58.—(1) An operator of an [F174Article 27] installation (“P”) is liable to the civil penalties in paragraphs (2) and (3) where P fails to comply (or comply on time) with a notification requirement under—

(a)a condition of a permit included pursuant to paragraph 3(4) or (5) of Schedule 5; or

(b)paragraph 4(1) or (2) of Schedule 5.

(2) For the first scheme year in which P fails to comply with the requirement to notify by 31st March in that year, the civil penalty is £2,500.

(3) For the first and each subsequent scheme year in which P has still failed to comply with the notification requirement by 31st October in that year, P is at the end of the following scheme year (“S”) liable to the civil penalty in paragraph (4).

(4) The civil penalty is 2 × (A + B), where—

  • A is £2,500;

  • B is the avoided compliance costs.

(5) In paragraph (4) “avoided compliance costs” means ((W – X) × Y) – Z, where—

  • W is the amount of annual reportable emissions arising in S;

  • X is the number of allowances for S to which P would have been entitled in accordance with Article 10a of the Directive, if the installation had not been an [F174Article 27] installation and had been carrying out regulated activities;

  • Y is the carbon price for S;

  • Z is any penalty due under regulation 55 in respect of S.

Textual Amendments

[F176Exceeding the maximum amount for an Article 27a installationU.K.

58ZA.—(1) The operator of an Article 27a installation is liable to the civil penalty in sub-paragraph (2) where in any scheme year the installation exceeds the maximum amount.

(2) The civil penalty is (A – B) x C, where—

A is the reportable emissions arising in the scheme year; B is the maximum amount; C is the carbon price for that year.

(3) In this regulation, “maximum amount” has the meaning given in paragraph 1(a) of Schedule 5A.

Textual Amendments

Carrying out regulated activity without the necessary permitU.K.

58ZB.—(1) Where the regulator is satisfied that the operator of an Article 27a installation has—

(a)exceeded the maximum amount in any scheme year; and

(b)failed to notify the regulator under paragraph 4(1) of Schedule 5A,

the operator of the installation (“P”) is subject to the civil penalty in paragraph (2) in respect of any penalty year.

(2) Subject to paragraph (3), the civil penalty is A + (B x C), where— A is the estimated amount of the costs avoided by P in any penalty year as a result of carrying out a regulated activity without the necessary permit; B is the estimated amount of reportable emissions from the installation in the period during which a regulated activity was carried out without the necessary permit; C is the carbon price for that penalty year.

(3) In imposing the penalty under paragraph (2), the regulator may increase the amount determined under that sub-paragraph by a percentage designed to ensure that the penalty exceeds the amount of any economic benefit that P has obtained as a result of carrying out a regulated activity without the necessary permit.

(4) The authority must exercise powers under regulation 40 of the Northern Ireland Regulations to give the regulator directions as to—

(a)the estimation by the regulator of A and B in paragraph (2); and

(b)the exercise of the regulator's powers under paragraph (3).

(5) In this regulation—

(a)“maximum amount” has the meaning given in paragraph 1(a) of Schedule 5A;

(b)“necessary permit” means the Article 27 installation emissions permit or the greenhouse gas emissions permit which P would have been required to comply with under paragraph 5(3) or (4) of Schedule 5A if P had not failed to notify the regulator under paragraph 4(1) of that Schedule;

(c)“penalty year” means any scheme year during which P would have been required to comply with the conditions of the necessary permit, if P had not failed to notify the regulator under paragraph 4(1) of Schedule 5A.]

Textual Amendments

Failure to notify when an excluded installation has had a significant capacity reduction or partial cessation of regulated activitiesU.K.

F17758A.  . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Textual Amendments

Failure to notify when the operator of an excluded installation has suspended the carrying out of regulated activities at the installationU.K.

F17858B.  . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Textual Amendments

Failure to surrender a permitU.K.

59.  Where an operator fails to make an application to surrender a permit, contrary to regulation 13(1) and (2), the operator is liable to a civil penalty of £5,000.

Failure to submit or resubmit an application for an emissions planU.K.

F17960.  . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Textual Amendments

Failure to notify the regulator if an emissions plan is not applied forU.K.

F17961.  . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Textual Amendments

Failure to comply with a condition of an emissions planU.K.

F17962.  . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Textual Amendments

Failure to monitor aviation emissionsU.K.

F17963.  . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Textual Amendments

Failure to report aviation emissionsU.K.

F17964.  . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Textual Amendments

Failure to provide assistance and adviceU.K.

F17965.  . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Textual Amendments

Failure to comply with a direction relating to an operating banU.K.

F17966.  . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Textual Amendments

Failure to return allowancesU.K.

F17967.  . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Textual Amendments

Failure to comply with an enforcement noticeU.K.

68.—(1) A person (“P”) is liable to the civil penalties in paragraph (2) where P fails to comply (or to comply on time) with the requirements of an enforcement notice, contrary to regulation 43(4).

(2) The civil penalties are—

(a)£20,000; and

(b)£1,000 for each day that P fails to comply with the requirements of the enforcement notice, following service of a penalty notice, up to a maximum of £30,000.

Failure to comply with an information noticeU.K.

69.—(1) A person (“P”) is liable to the civil penalties in paragraph (2) where P fails to comply (or to comply on time) with the requirements of [F180a notice] served under regulation 45(2) (an “information notice”).

(2) The civil penalties are—

(a)[F181£5,000]; and

(b)[F182£500] for each day that P fails to comply with the requirements of the information notice, following service of a penalty notice, up to a maximum of [F183£45,000].

Textual Amendments

Providing false or misleading informationU.K.

70.—(1) A person (“P”) is liable to the civil penalty in paragraph (2) where P provides false or misleading information, or makes a statement which is false or misleading in a material particular, where the statement is made or the information is provided—

(a)in any application made under these Regulations, or in response to a notice served under paragraph 1(12) of Schedule 3;

F184(b). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

F184(c). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(d)in response to a notice served under regulation 45(2);

(e)pursuant to a requirement mentioned in regulation 80(2) or (4);

(f)in purported compliance with the conditions of a permit F185...; F186...

F187(g). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

F187(h). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(2) The civil penalty is [F188£50,000].

Textual Amendments

Publication of names of persons subject to penalties under regulation 54(1)U.K.

71.—(1) As soon as possible after—

(a)the expiry of the period for appealing the imposition of a penalty by the regulator under regulation 54(1), or

(b)if such an appeal is made, the determination or withdrawal of the appeal,

the regulator must (subject to paragraph (2)) publish the name of the person on whom that penalty was imposed.

(2) The name must not be published if, following such an appeal, the person is found not to be liable to any of the penalty imposed under regulation 54(1).

(3) Paragraph (1) is subject to regulation 47 (national security).

PART 8U.K.Appeals

CHAPTER 1U.K.General

InterpretationU.K.

72.  In this Part—

(a)“appeal body” has the meaning given by regulation 75;

(b)“decision” means—

(i)a notice or deemed refusal under these Regulations; or

(ii)an action or decision of the registry administrator or the KP registry administrator;

(c)“notice” includes—

(i)in the case of a notice determining an application for a permit or the transfer of the permit, the provisions of any permit attached to the notice; F189...

F189(ii). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Textual Amendments

Rights of appealU.K.

73.—(1) Subject to paragraph (3), the following persons may appeal to the appeal body—

(a)a person who is aggrieved by a decision determining any application made by them under these Regulations;

(b)a person who is aggrieved by a notice served on them [F190or notification given to them] under any provision mentioned in paragraph (2).

(2) Those provisions are—

(a)regulation 11(2), (3)(b) or (4);

(b)regulation 14(1);

F191(c). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

F191(d). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(e)regulation 43(1);

(f)regulation 44(4);

(g)regulation 45(2);

(h)regulation 50(1) or (3);

(i)paragraph 8(1) or (4) of Schedule 5;

F192(j). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

F192(k). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

F192(l). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

F192(m). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

F192(n). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

F192(na). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

F192(nb). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

F192(nc). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

F192(nd). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

F192(ne). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

F192(o). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(3) An appeal under paragraph (1) may not be made to the extent that the decision implements—

(a)a direction given by the authority under F193... regulation [F19440] of the Northern Ireland Regulations M19, or

(b)a direction given by an appeal body under these Regulations.

Textual Amendments

Marginal Citations

M19Regulation 37 is modified by regulation 7(2) of these Regulations.

Rights of appeal: registriesU.K.

74.—(1) A person who is aggrieved by a decision of the registry administrator [F195or KP registry administrator] referred to in a provision of the Registries Regulation [F1962019] mentioned in paragraph (2) may exercise the right to object given by that provision by appealing to the appeal body.

[F197(2) Those provisions are—

(a)Article 19(4);

(b)Article 21(6);

(c)Article 22(3);

(d)Article 28(5);

(e)Article 30(7);

(f)Article 80(8).]

F198(3) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

F198(4) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(5) On receiving notice under regulation 80(10), the account holder may appeal to the appeal body against the decision to set a registry account to blocked status.

Textual Amendments

Appeal bodyU.K.

75.—F199(1) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(2) In the case of an appeal against a decision of the chief inspector [F200or the registry administrator], the appeal body is the Planning Appeals Commission.

F201(3) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Textual Amendments

Effect of an appealU.K.

76.—(1) Subject to paragraphs [F202(2) and (3)], the bringing of an appeal under regulation 73 suspends the effect of the decision pending the final determination or withdrawal of the appeal.

(2) The bringing of an appeal does not suspend the effect of—

(a)a decision refusing an application;

(b)a deemed refusal;

(c)a notice [F203or notification] under—

(i)regulation 11(2), (3)(b) or (4);

F204(ii). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(iii)regulation 43(1);

(iv)paragraph 8(1) or (4) of Schedule 5; F205...

F206(v). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

F207(vi). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(3) Where (following an application for a permit or for the transfer of a permit) a permit has been granted or varied, the bringing of an appeal against the provisions of the permit or the terms of the variation does not suspend the effect of those provisions or terms.

F208(4) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(5) The bringing of an appeal against a determination of emissions under regulation 44(4) suspends the effect of the decision only for the purpose of assessing whether there has been compliance with regulation 41 or 42.

(6) The bringing of an appeal under regulation 74 does not suspend the effect of the decision pending the final determination or withdrawal of the appeal.

Textual Amendments

Determination of an appealU.K.

77.—(1) In determining an appeal under regulation 73(1) the appeal body may, subject to paragraph (3)—

(a)affirm the decision;

(b)quash the decision or vary any of its terms;

(c)substitute a deemed refusal with a decision of the appeal body; or

(d)give directions to the regulator as to the exercise of the regulator's functions under these Regulations.

[F209(2) In determining an appeal under regulation 74, the appeal body may give directions to the registry administrator or the KP registry administrator as to the exercise of their functions under the Registries Regulation [F2102019].]

(3) The appeal body may not make a determination that would result in a decision which could not otherwise have been made under these Regulations or under the Registries Regulation [F2112019].

Textual Amendments

CHAPTER 2U.K.Appeals: F212... Northern Ireland

Textual Amendments

F212Words in Pt. 8 Ch. 2 heading omitted (31.12.2020 immediately before IP completion day) by virtue of The Greenhouse Gas Emissions Trading Scheme (Withdrawal Agreement) (EU Exit) Regulations 2020 (S.I. 2020/1369), regs. 1(2), 31(1) (with reg. 46)

Procedure for appealsU.K.

78.—F213(1) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

F213(2) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

F213(3) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(4) Schedule 12 has effect in relation to the making and determination of an appeal to the Planning Appeals Commission.

Textual Amendments

PART 9U.K.The Union Registry F214...

Textual Amendments

F214Words in Pt. 9 heading omitted (31.12.2020 immediately before IP completion day) by virtue of The Greenhouse Gas Emissions Trading Scheme (Withdrawal Agreement) (EU Exit) Regulations 2020 (S.I. 2020/1369), regs. 1(2), 32(a) (with reg. 46)

InterpretationU.K.

79.—[F215(1) In this Part, a reference to a numbered Article is to that Article of the Registries Regulation [F2162019].]

F217(2) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Textual Amendments

The Union RegistryU.K.

80.—F218(1) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(2) It is the duty of the account holder to comply with the requirement to enter emissions data in accordance with [F219Article 31(2)]; furthermore, an amount of zero must be entered by the account holder if the latter is—

(a)an operator who carried out no regulated activity in the year to which the data would relate; F220...

F220(b). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(3) The verifier is responsible under [F221Article 31(4) and (5)] for—

(a)approving the annual verified emissions; and

(b)marking the emissions as verified.

(4) The operator F222... is responsible for complying with the requirement under [F223Article 14(1)] to provide information to the registry administrator and request the opening of a registry account.

(5) In complying with the requirement mentioned in paragraph (4), the operator F224... must provide such evidence of identity and address as may be required by the registry administrator.

(6) Where—

(a)an operator fails to comply with regulation 41, or

(b)a UK aircraft operator fails to comply with regulation 42,

the registry administrator must set the relevant registry account to blocked status until the compliance status figure for the installation or UK aircraft operator, calculated in accordance with [F225Article 37], is greater than or equal to zero.

(7) This paragraph applies where—

(a)an operator is required to submit a report to the regulator by the terms of a notice of surrender or a revocation notice; and

(b)the operator—

(i)fails to submit the report to the regulator within the time specified in the report;

(ii)submits an incomplete report to the regulator within the time so specified; or

(iii)submits within the time so specified a report to the regulator that cannot be verified in whole or in part in accordance with the monitoring and reporting requirements for the installation.

(8) Where paragraph (7) applies, the registry administrator must set the relevant operator holding account to blocked status until—

(a)the report has been prepared and verified in accordance with the requirements of paragraph 4(1)(b) or 5(1)(b) of Schedule 4 and has been submitted to the regulator; or

(b)the regulator has notified, in accordance with regulation 44(4)(a), a determination of the reportable emissions referred to in paragraph 4(1)(a) or 5(1)(a) of that Schedule.

F226(9) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(10) Where the registry administrator sets a registry account to blocked status pursuant to paragraph (6), [F227or (8)] it must notify the account holder specifying the reason why, and the period during which, the relevant registry account will be blocked.

F228(11) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(12) The registry administrator must, as soon as is reasonably practicable, notify the European Commission in accordance with [F229Article 52(2) or 55(2)] of any changes to the allocation table or aviation allocation table (other than those falling within paragraph (11)(a)).

(13) This paragraph applies where—

(a)a notice of surrender or a revocation notice has been given and has taken effect; and

(b)the operator is unable to comply with the requirement to surrender allowances imposed by that notice by the date specified in the notice, due to the suspension of access to the relevant registry account by the registry administrator F230....

(14) Where paragraph (13) applies, the registry administrator must, if so requested by the operator, surrender the number of allowances specified in the notice of surrender or the revocation notice.

(15) The registry administrator or the KP registry administrator may refuse to—

(a)open any account in the Union Registry or the UK Registry, or

(b)approve an authorised representative or an additional authorised representative in relation to such an account,

where it is [F231not] satisfied that the proposed account holder, authorised representative or additional authorised representative is F232... a fit and proper person to hold such an account or, as the case may be, act as such a representative.

(16) The registry administrator may [F233decide that national public holidays in Northern Ireland are not working days under Article 35(8)], provided that the decision to do so is published by the registry administrator by 1st December in the previous scheme year.

Textual Amendments

The UK RegistryU.K.

81.—(1) The Environment Agency must continue to operate the UK Registry for the purposes of meeting the obligations of the United Kingdom referred to in [F234Article 5(1) of the Registries Regulation 2013] (obligations as a Party to the Kyoto Protocol M20 and under Article 6 of Decision No 280/2004/EC M21), and in that capacity is referred to in these Regulations as the “KP registry administrator”.

F235(2) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Textual Amendments

Marginal Citations

M20Kyoto Protocol to the United Nations Framework Convention on Climate Change (Cm 6485).

M21OJ No L 49, 19.2.2004, p 1.

PART 10U.K.Supplementary

[F236Recovery of feesU.K.

82.  Any fee payable by virtue of these Regulations may be recovered by the regulator as a civil debt.]

Textual Amendments

Consequences of non-paymentU.K.

83.  The regulator is not required to perform a function for which a fee is payable in relation to a person who has not paid a fee which that person is liable to pay.

GuidanceU.K.

84.—(1) The authority may issue guidance to the regulator with respect to the carrying out of any of the regulator's functions under these Regulations, the Monitoring and Reporting Regulation or the Verification Regulation.

F237(2) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(3) The regulator F238... must have regard to any guidance issued under paragraph (1) F239....

Textual Amendments

Duty of Secretary of State to publish informationU.K.

F24084A.  . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Textual Amendments

PART 11U.K.Revocations, savings and transitional provisions.

RevocationsU.K.

85.  The following enactments are revoked—

(a)the 2005 Regulations;

(b)the following enactments amending the 2005 Regulations—

(i)S.I. 2006/737;

(ii)S.I. 2007/465;

(iii)S.I. 2007/1096;

(iv)S.I. 2007/3433;

(v)regulation 3 of S.R. (N.I.) 2010/92;

(vi)regulation 4 of S.I. 2005/2903;

(vii)regulation 8 of S.I. 2010/1513;

(viii)regulations 3 and 4 of S.I. 2011/1506;

(ix)paragraphs 1 to 20 of the Schedule to S.I. 2011/2911;

(c)the Greenhouse Gas Emissions Data and National Implementation Measures Regulations 2009 M22;

(d)the 2010 Regulations;

(e)the Aviation Greenhouse Gas Emissions Trading Scheme (Amendment) Regulations 2011 M23.

Marginal Citations

Savings and transitional provisions: the 2005 RegulationsU.K.

86.—(1) Notwithstanding the revocations made by regulation 85, the following provisions of the 2005 Regulations (“the relevant provisions”) continue to have effect to the extent specified below.

[F241("1A) the relevant provisions have effect as if—

(a)in regulation 2(1) the definition of “regulator” was amended as follows—

(i)in sub-paragraph (i) omit “and Wales”;

(ii)after sub-paragraph (i) insert—

“(ia)in relation to an installation (other than an offshore installation) which is (or will be) situated in Wales, the Natural Resources Body for Wales;”;

(b)regulation 35(5) was amended as follows—

(i)in sub-paragraph (a) omit “and Wales”; and

(ii)in sub-paragraph (b) after “in relation to” insert “Wales,”.]

(2) Part 1 and Schedule 1 have effect for the purpose of the relevant provisions.

(3) Regulations 16 and 17 have effect for the purposes of making an application for the surrender of a permit, or the service of a notice of revocation in respect of a failure to make such an application, where the circumstances giving rise to the requirement to make the application occurred before 1st January 2013.

(4) Regulation 18(3) to (5) has effect in relation to the charging schemes referred to in that regulation.

(5) Regulation 22 (other than paragraph (2)) has effect for the purpose of allowing an operator to make an application for an allocation from the new entrant reserve (as defined by regulation 2 of the 2005 Regulations).

(6) But for the purpose of paragraph (5) above, the reference in regulation 22(22) to regulation 15(1) of the 2005 Regulations is to be read as a reference to regulation 12(1) of these Regulations (and the reference to the proposed transferee is accordingly to be read as a reference to the new operator).

(7) Subject to paragraph (8) below, regulation 26 has effect for all purposes relating to the registry referred to in Article 3(2) of the Registries Regulation 2010.

(8) In regulation 26—

(a)paragraphs (2) to (5) do not have effect; and

(b)paragraph (8) has effect as if the references to Articles 18, 20(4) and 27(5) were omitted.

(9) The following provisions have effect in so far as they relate to any activities carried out, or emissions arising, prior to 1st January 2013—

(a)regulation 27A;

(b)Part 4.

(10) Subject to paragraph (11) below, Part 5 and Schedules 2 to 4 have effect in relation to any appeal brought against a decision or notice specified in regulation 32(1) to (5) of the 2005 Regulations.

(11) Regulation 32(4) has effect as if the reference to the appropriate authority were a reference to the First-tier tribunal (and the reference to the appropriate authority in regulation 32(7) is to be construed accordingly).

(12) Regulation 35 has effect in so far as it relates to functions carried out before 1st January 2013 or under the relevant provisions.

(13) Regulation 36 has effect in so far as it relates to a civil penalty in respect of emissions arising before 1st January 2013.

(14) Regulation 37 has effect.

(15) Paragraph (1)(c) to (f) of regulation 38 has effect in so far as it relates to the relevant provisions, but where the conduct giving rise to the offence occurs after 31st December 2012 the following civil penalties apply [F242(subject to the regulator’s discretion under regulation 51 above)] instead of the offences under that paragraph—

(a)the penalty in regulation 59 above applies instead of the offence of failing to making an application to surrender a permit;

(b)the penalties in regulation 53 above apply instead of the offence of failing to comply with a notice under regulation 22(13)(a) (and for that purpose the condition of the notice is deemed to be a condition falling within paragraph (1)(c) of regulation 53);

(c)the penalties in regulation 68 above apply instead of the offence of failing to comply with an enforcement notice; and

(d)the penalty in regulation 70 above applies instead of an offence under paragraph (1)(f) of regulation 38.

(16) Subject to paragraph (17) below, regulation 38(2) and (3) has effect.

(17) No prosecution may be brought in respect of an offence under regulation 38(1)(a) if—

(a)the conduct that gave rise to the offence continues after 31st December 2012; and

(b)the person who has committed the offence will be liable to a civil penalty under regulation 52 above.

(18) [F243Subject to regulation 87B below, regulations] 39 to 41 have effect in relation to a failure to surrender allowances in respect of emissions arising before 1st January 2013, and regulation 40 has effect in relation to an understatement of such emissions.

(19) Parts 8 to 10 have effect in so far as they relate to functions carried out, or powers exercised, under the relevant provisions or as national administrator under the Registries Regulation 2010.

Textual Amendments

Savings and transitional provisions: the 2010 RegulationsU.K.

F24487.  . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Textual Amendments

Obligations in relation to aviation emissions arising before 2013U.K.

F24587A.  . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Textual Amendments

Obligations in relation to aviation emissions arising before 2013: deficitsU.K.

F24687AA.  . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Textual Amendments

[F247Unreported emissions arising before 2013U.K.

87B.—[F248(1) Where paragraph (2) applies, a person (“P”) is not liable to an excess emissions penalty for a failure to surrender allowances in respect of those reportable emissions in a relevant year (“Y”) that exceed P's verified annual reportable emissions for that year.

(2) This paragraph applies where—

(a)the regulator becomes aware that P's reportable emissions in Y exceed P's verified annual reportable emissions in respect of that year; and

(b)P failed to surrender a number of allowances equal to the unreported emissions by 30th April in the year following Y.]

(3) Where paragraph (2) applies, P is liable to the civil penalty of the sterling equivalent of 20 Euros for each allowance that P failed to surrender by 30th April in the year following Y in respect of the unreported emissions.

(4) Regulation 51(1) above applies to a penalty under paragraph (3) as it applies to a penalty under Part 7.

(5) In this regulation—

(a)“allowance” includes—

(i)where the excess emission penalty would arise under the 2010 Regulations, an aviation allowance; and

(ii)within the limits allowed by regulation 27A of the 2005 Regulations or regulation 26 of the 2010 Regulations, a project credit as defined by regulation 27 of the 2010 Regulations;

F249(b). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(c)“excess emissions penalty” means the penalty under regulation 39 of the 2005 Regulations or regulation 38(1)(a) of the 2010 Regulations;

F250(d). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(e)“relevant year” means a calendar year prior to 2013;

[F251(ea)“verified annual reportable emissions” means—

(i)reportable emissions that are verified pursuant to regulation 10 of the 2005 Regulations or regulation 21 of the 2010 Regulations;

(ii)reportable emissions that are determined by the regulator under regulation 30 of the 2005 Regulations or regulation 22 of the 2010 Regulations;]

(f)“unreported emissions” means the emissions mentioned in paragraph (1);

(g)“sterling equivalent” has the meaning given in regulation 54(7) above.]

Textual Amendments

[F252Transitional provisions: permitsU.K.

88.—(1) A permit granted under regulation 9 of the 2005 Regulations that is in force immediately before 1st January 2021, continues to have effect until it is revoked or surrendered under these Regulations.

(2) The regulator must vary the content of a greenhouse gas emissions permit that is in force immediately before 1st January 2021 to comply with the requirements of paragraph 2 of Schedule 4.

(3) Subject to paragraphs (4) and (5), an excluded installation emissions permit that is in force immediately before 1st January 2021 continues to have effect as if it were an Article 27 installation emissions permit until it is revoked, surrendered or varied under these Regulations.

(4) The regulator must vary the excluded installation emissions permit as necessary to bring it into a form in which it could have been granted under regulation 10(2).

(5) The regulator must, where an excluded installation is not eligible to obtain an Article 27 installation emissions permit, vary the excluded emissions permit with effect from 1st January 2021 so that the provisions of the permit that satisfy the requirements of paragraph 3 of Schedule 5 are replaced by provisions satisfying the requirements of paragraph 2 of Schedule 4.

(6) The regulator may make any arrangements it considers necessary during the transitional period to—

(a)vary a permit under paragraph (2), (4) or (5);

(b)grant an Article 27 installation emissions permit under regulation 10(2);

(c)revoke a permit under regulation 14(1)(b)(ii) or (iii);

(d)vary a greenhouse gas emissions permit under paragraph 2 of Schedule 5.

(7) In this regulation, the “transitional period” means the period which—

(a)begins with 1st May 2020; and

(b)ends with 31st December 2020.]

Textual Amendments

F252Reg. 88 substituted (1.5.2020 for specified purposes, 1.1.2021 in so far as not already in force) by The Greenhouse Gas Emissions Trading Scheme (Amendment) (No. 3) Regulations 2019 (S.I. 2019/1440), regs. 1(3)(4), 27 (as amended by S.I. 2020/18, regs. 1, 11(3)(4) and S.I. 2020/1369, regs. 1(2), 44(a))

Transitional provisions: aviation emissions plansU.K.

F25389.  . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Textual Amendments

Verma

Parliamentary Under-Secretary of State

Department of Energy and Climate Change

Regulation 4

SCHEDULE 1U.K.Application to the Crown etc.

Crown applicationU.K.

1.  Subject to paragraphs 2 and 3, these Regulations bind the Crown.

Entry to Crown premisesU.K.

2.—(1) If the Secretary of State considers that in the interests of national security particular powers of entry must not be used in relation to particular Crown premises, the Secretary of State may certify that those powers must not be used in relation to those premises.

(2) In this paragraph—

“Crown premises” means premises held or used by or on behalf of the Crown;

“power of entry” means a power of entry exercisable under section 108 of the Environment Act 1995 M24 or regulation [F25430] of the Northern Ireland Regulations, in relation to a function under these Regulations.

Textual Amendments

Marginal Citations

M241995 c. 25; relevant amendments to section 108 were made by S.I. 2000/1973 and S.S.I. 2000/323.

Service on certain Crown operatorsU.K.

3.—(1) This paragraph applies in relation to an installation operated by a person acting on behalf of—

(a)the Royal Household;

(b)the Duchy of Lancaster; or

(c)the Duke of Cornwall or other possessor of the Duchy of Cornwall.

(2) In relation to the serving or giving of notices or other documents under these Regulations, the following person must be treated as the operator—

(a)in relation to sub-paragraph (1)(a), the Keeper of the Privy Purse;

(b)in relation to sub-paragraph (1)(b), the person appointed by the Chancellor of the Duchy of Lancaster;

(c)in relation to sub-paragraph (1)(c), the person appointed by the Duke of Cornwall or other possessor of the Duchy of Cornwall.

Regulation 5

SCHEDULE 2U.K.Notices etc.

1.  In this Schedule, “instrument” means any notice or direction served or given under these Regulations (but does not include a notice or direction required to be given to the regulator or registry administrator).U.K.

2.  An instrument must be in writing.U.K.

3.  An instrument may be served on or given to a person (“P”) by—U.K.

(a)delivering it to P in person;

(b)sending it to a postal or email address n provided by P for the purpose of service of instruments;

(c)leaving it at P's proper address; or

(d)sending it by post or electronic means to P's proper address.

4.  In the case of a body corporate, an instrument may be served on or given to the secretary or clerk of that body.U.K.

5.  In the case of a partnership, an instrument may be served on or given to a partner or a person having control or management of the partnership business.U.K.

6.  If a person (“Q”) to be served with or given an instrument has specified an address in the United Kingdom (other than Q's proper address) at which Q or someone on Q's behalf will accept instruments of that description, that address must instead be treated as Q's proper address.U.K.

7.  For the purposes of this Schedule, “proper address” means (subject to paragraph 6)—U.K.

(a)in the case of a body corporate or its secretary or clerk—

(i)the registered or principal office of that body, or

(ii)the email address of the secretary or clerk;

(b)in the case of a partnership or a partner or person having control or management of the partnership business—

(i)the principal office of the partnership, or

(ii)the email address (or, in the case of a partnership established outside the United Kingdom, the last known address) of a partner or a person having that control or management;

(c)in any other case, a person's last known address (which for the purpose of this paragraph and paragraph (b) includes an email address).

8.  For the purposes of paragraph 7, where a body corporate registered outside the United Kingdom or a partnership established outside the United Kingdom has an office in the United Kingdom, the principal office of that body corporate or partnership is its principal office in the United Kingdom.U.K.

F2559.  . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .U.K.

Textual Amendments

F25610.  . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .U.K.

Textual Amendments

Regulation 6

SCHEDULE 3U.K.Applications etc.

Applications etc.: generalU.K.

1.—(1) This paragraph applies—

(a)to any application, notice or report submitted to the regulator under any provision of—

(i)these Regulations, [F257or]

(ii)a permit, F258...

F258(iii). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(b)notwithstanding any further provision made under or by virtue of these Regulations in respect of such application, notice or report.

(2) Sub-paragraph (10) also applies to applications—

(a)to the registry administrator to open an account in the Union Registry, and

(b)to the KP registry administrator to open an account in the UK Registry,

and for that purpose the provision of updated information in relation to such an account is to be treated as an application.

(3) For the purposes of this paragraph, an application includes any proposed plan required to be submitted as part of the application.

(4) An application, report or notice—

(a)must be in writing; and

(b)unless agreed otherwise in writing with the regulator, must be submitted on a form made available by the regulator for that purpose.

(5) Such a form must specify, as the case may be—

(a)the information required by the regulator to determine the application; or

(b)the matters required to be included in the [F259report or notice].

(6) Unless agreed otherwise in writing with the regulator, the form must be sent to the regulator electronically.

(7) A form provided by the regulator which specifies an electronic address for submission must, if submitted electronically, be sent to that address.

(8) A form provided by the regulator for submission through a website must, unless the regulator agrees otherwise in writing, be submitted through that site and in accordance with the instructions given there for completion and submission.

(9) Unless the information has been provided in a previous application made to the regulator, an application must contain the name, postal address (including postcode) and telephone number of the applicant, together with—

(a)an email address for service, or

(b)a postal address for service (including postcode) in the United Kingdom,

and in the case of an application under regulation 12 (transfer of permits) those requirements apply to each of the joint applicants.

(10) An application must be accompanied by the fee prescribed, but—

(a)where the application is sent electronically, the fee may be sent to the regulator separately from the application (and in that case the application is deemed not to have been received by the regulator until the fee has also been received); F260...

F260(b). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(11) An application may be withdrawn at any time before it is determined.

(12) The regulator may, by notice to the applicant, require the applicant to provide such further information specified in the notice, within the period so specified, as the regulator may require for the purpose of determining the application.

(13) The application is deemed to have been withdrawn where—

(a)the applicant has failed to provide that information by the end of that period (or by such later date as may be agreed with the regulator); and

(b)the regulator gives notice to the applicant that the application is treated as having been withdrawn.

Textual Amendments

F257Word in Sch. 3 para. 1(1)(a)(i) inserted (31.12.2020 immediately before IP completion day) by The Greenhouse Gas Emissions Trading Scheme (Withdrawal Agreement) (EU Exit) Regulations 2020 (S.I. 2020/1369), regs. 1(2), 38(a)(i) (with reg. 46)

F258Sch. 3 para. 1(1)(a)(iii) and word omitted (31.12.2020 immediately before IP completion day) by virtue of The Greenhouse Gas Emissions Trading Scheme (Withdrawal Agreement) (EU Exit) Regulations 2020 (S.I. 2020/1369), regs. 1(2), 38(a)(ii) (with reg. 46)

F260Sch. 3 para. 1(10)(b) and word omitted (31.12.2020 immediately before IP completion day) by virtue of The Greenhouse Gas Emissions Trading Scheme (Withdrawal Agreement) (EU Exit) Regulations 2020 (S.I. 2020/1369), regs. 1(2), 38(b) (with reg. 46)

Determination of applicationsU.K.

2.—(1) Subject to sub-paragraph (2), where an application to the regulator under these Regulations is duly made it must be determined by the regulator within—

(a)the period of two months beginning with the date on which the application was received, or

(b)such longer period as may be agreed in writing with the applicant.

(2) For the purposes of sub-paragraph (1)—

(a)an application is determined when notice of the determination is given to the applicant by the regulator; and

(b)in calculating the period of two months, no account is to be taken of any period beginning with the date on which a notice under paragraph 1(12) is served on the applicant and ending with the date on which the applicant provides the information specified in the notice.

(3) If the regulator fails to determine the application within the period allowed by sub-paragraphs (1) and (2)—

(a)the applicant may give to the regulator notice that the applicant treats the application as having been refused, and

(b)the application is then deemed to have been refused at the end of that period.

(4) Where the application is an application for a permit or the transfer of a permit, any permit that is granted as a result of the application must be attached to the notice given under sub-paragraph (2)(a).

Regulations 10, 12, 13 and 14

SCHEDULE 4U.K.Permits

Applications for permitsU.K.

1.—(1) An application for a permit must contain—

(a)as well as the address for service required under Schedule 3, any address to which correspondence relating to the application should be sent; and (if the applicant is a body corporate)—

(i)its registered number and the postal address of its registered or principal office, and

(ii)if that body corporate is a subsidiary of a holding company within the meaning of section 1159 of the Companies Act 2006 M25, the name of the holding company (other than a holding company which is itself a subsidiary) and the postal address of its registered or principal office;

(b)in relation to the site of the installation—

(i)the postal address and national grid reference of the site (or equivalent information identifying the installation and its location);

(ii)a description of the site and the location of the installation on it; and

(iii)the name of any local authority in whose area the site is situated;

(c)a description of the installation, including a description of—

(i)the regulated activities to be carried out at the installation and the specified emissions from those activities; and

(ii)any directly associated activities (within Article 3(e) of the Directive) that are also to be carried out;

(d)a description of the raw and auxiliary materials used in carrying out regulated activities in the installation, the use of which is likely to lead to specified emissions;

(e)a description of the sources of specified emissions from the regulated activities carried out in the installation;

(f)a monitoring plan submitted under Article 12 of the Monitoring and Reporting Regulation [F2612018], together with—

(i)the supporting documents under Article 12(1) of that Regulation;

(ii)the summary of a procedure ensuring fulfilment of the requirements referred to in Article 12(3)(a) and (b) of that Regulation; and

(iii)the uncertainty assessment carried out under Article 28(1)(a) of that Regulation;

(g)a description, including the reference number, of any environmental licence issued in relation to the installation;

(h)any additional information which the applicant wishes the regulator to take into account in considering the application; and

(i)a non-technical summary of the information referred to in paragraphs (c) to (h).

(2) For the purposes of sub-paragraph (1)(g), “environmental licence” means—

(a)an authorisation under F262... the Industrial Pollution Control (Northern Ireland) Order 1997 M26; or

(b)a permit under—

F263(i). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

F263(ii). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

F264(iii). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(iv)the Northern Ireland Regulations.

(3) Where an application is for a permit in respect of more than one installation, the application must contain the information required by sub-paragraph (1) in respect of each installation.

Textual Amendments

Marginal Citations

M261997 No. 2777 (N.I. 18).

Content of a greenhouse gas emissions permitU.K.

2.—(1) A greenhouse gas emissions permit granted under regulation 10 must contain—

(a)the name and postal address in the United Kingdom (including postcode) of the operator;

(b)the postal address and national grid reference of the installation (or equivalent information identifying the installation and its location);

(c)a description of the installation, including—

(i)the regulated activities to be carried out at the installation and the specified emissions from those activities; and

(ii)any directly associated activities (within Article 3(e) of the Directive) that are also to be carried out;

(d)a description of the site and the location of the installation on that site; and

(e)as defined below—

(i)the monitoring plan;

(ii)the monitoring and reporting requirements;

(iii)the surrender requirements; and

(iv)the supplementary requirements.

(2) The monitoring plan is the plan approved in accordance with Articles 11 to 13 of the Monitoring and Reporting Regulation [F2612018].

(3) The monitoring and reporting requirements are—

(a)a requirement to monitor the annual reportable emissions of the installation in accordance with—

(i)the Monitoring and Reporting Regulation [F2612018]; and

(ii)the monitoring plan (including the written procedures supplementing that plan);

[F265(b)a requirement to prepare, for each scheme year, a verified report of those emissions in accordance with the Monitoring and Reporting Regulation [F2612018] and the Verification Regulation and to submit that report to the regulator—

(i)for the scheme year 2018, by 11th March 2019; or

(ii)for any other scheme year, by 31st March in the following year;]

(c)a requirement to satisfy the regulator, if an emission factor of zero has been reported in respect of the use of bioliquids, that the sustainability criteria set out in Article 17(2) to (5) of the Renewable Energy Directive have been fulfilled in accordance with Article 18(1) of that Directive; and

(d)any further conditions that the regulator considers necessary to give proper effect to the Monitoring and Reporting Regulation [F2612018] or the Verification Regulation.

[F266(4) The surrender requirements are conditions obliging the operator to surrender a number of allowances equal to the annual reportable emissions of the installation in a scheme year by—

(a)for the scheme year 2018, [F267the 2018 surrender deadline]; or

(b)for any other scheme year, the following 30th April.]

(5) For the purposes of the surrender requirements the amount of the annual reportable emissions of the installation in a recovery year is deemed to be increased by an amount equal to the amount of annual reportable emissions, arising in the non-compliance year, in respect of which the operator failed to comply with the surrender requirements.

(6) For the purposes of sub-paragraph (5)—

(a)a “non-compliance year” is a scheme year in respect of which an operator fails to comply with the surrender requirements; and

(b)the “recovery year” is—

(i)the scheme year following the non-compliance year; or

(ii)where the non-compliance results from an error in the verified emissions report submitted by the operator, the scheme year in which the error is discovered.

(7) The supplementary requirements are—

F268(a). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(b)any other conditions that the regulator considers necessary to ensure that the operator notifies the regulator of any planned or effective changes to the F269... operation of the installation, by 31st December in the year in which the change was planned or has occurred; and

(c)any other conditions that the regulator considers appropriate to include in the permit.

Textual Amendments

Transfer of permitsU.K.

3.—(1) An application under regulation 12 must—

(a)contain the information mentioned in sub-paragraph (3); and

(b)identify the installations, or parts of an installation, to which the application relates (“the transferred units”) and the regulated activities authorised to be carried out at them (“the transferred activities”).

F270(2) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(3) The information referred to in sub-paragraph (1)(a) is—

(a)in relation to each applicant, as well as the address for service required under Schedule 3 any address to which correspondence relating to the application should be sent;

(b)in relation to the new operator, the information mentioned in paragraph 1(1)(a)(i) and (ii); and

(c)a monitoring plan and other information mentioned in paragraph 1(1)(f) submitted by the new operator, or a specification by that operator of the parts of the existing monitoring plan that it is proposed should be varied and any necessary corresponding updating of that information.

(4) Where the application relates to a partial transfer, a transfer of the permit is effected by the regulator giving notice—

(a)granting a permit to the new operator (“the new permit”) which—

(i)authorises the carrying out of the transferred activities;

(ii)identifies the transferred units at which they may be carried out; and

(iii)includes such other provisions as the regulator (subject to sub-paragraph (5)) considers appropriate; and

(b)making such corresponding variations to the provisions of the permit held by the current operator (“the original permit”) as the regulator (subject to sub-paragraph (5)) considers appropriate.

(5) In exercising the powers given by sub-paragraph (4)(a)(iii) and (b), the regulator must ensure that the conditions of the new permit, or the original permit as varied, are (so far as relevant) the same as the conditions that were included in the original permit, subject to such modifications as in the opinion of the regulator are necessary to take account of the transfer.

(6) For the purposes of sub-paragraph (4) the new permit, and the variations of the original permit, have effect from a date agreed with the applicants and specified in the new permit and in the original permit as so varied.

(7) Where the application does not relate to a partial transfer, the transfer of the permit is effected by the regulator giving notice varying the permit so that it includes—

(a)the name and other particulars of the new operator;

(b)the date referred to in sub-paragraph (8); and

(c)such variations to the monitoring plan as the regulator considers appropriate.

(8) From a date agreed with the applicants, the new operator is to be treated as the holder of the permit as varied under sub-paragraph (7).

(9) If the new operator already holds a permit (an “existing permit”) for an installation that is on the same site as the transferred unit the regulator may effect a transfer within sub-paragraph (7) by—

(a)giving notice of such variations to the existing permit as in the opinion of the regulator are necessary to take account of the transfer; and

(b)cancelling the permit held by the current operator.

(10) For the purposes of sub-paragraph (9)—

(a)the variations of the existing permit have effect from a date agreed with the applicants and specified in the existing permit as so varied; and

(b)the cancelled permit ceases to have effect on that date.

(11) A regulator who effects the transfer of a permit in accordance with this paragraph must notify the registry administrator of the transfer.

F271(12) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Textual Amendments

Surrender of permitsU.K.

4.—(1) The notice of surrender must require the operator, in relation to the scheme year in which it takes effect (“the relevant year”), to—

(a)submit to the regulator by a date specified in the notice a report (“the surrender report”) specifying the reportable emissions from the beginning of the relevant year until the date on which the notice takes effect;

(b)ensure that the surrender report is prepared and verified in accordance with the monitoring and reporting requirements of the greenhouse gas emissions permit to which the application to surrender relates (“the permit”); and

(c)by a date specified in the notice, surrender allowances equal to—

(i)the reportable emissions specified in the surrender report;

(ii)where an operator has failed to comply with the surrender requirements of the permit imposed in respect of the last scheme year for which the date for surrendering allowances in accordance with those requirements has passed, the annual reportable emissions in respect of which the operator failed so to comply;

(iii)where the notice of surrender is served in a scheme year in which an error in the report submitted by an operator under the monitoring and reporting requirements in relation to any earlier scheme year has been discovered, the annual reportable emissions in respect of which, as a result of that error, the operator failed to comply with the surrender requirements of the permit in respect of the scheme year to which the error relates; and

(iv)where an operator has failed to comply with regulation 13(2), the total number of allowances which by the date on which the notice of surrender is served have been issued in respect of the installation which would not have been issued if the operator had so complied.

(2) From the date on which the notice of surrender takes effect—

(a)the permit ceases to have effect to authorise the carrying out of a regulated activity or to require the monitoring of emissions; but

(b)any conditions of the permit continue to have effect so far as they are not superseded by the requirements of that notice in accordance with sub-paragraphs (5) to (7) until the regulator certifies—

(i)that those requirements and any surrender requirements of the permit have been complied with, or

(ii)that there is no reasonable prospect of further allowances being surrendered by the operator in respect of the installation to which the notice relates.

(3) From the scheme year following the relevant year, for the purposes of assessing compliance with any surrender requirements of the permit the amount of reportable emissions of the installation (before any increase in accordance with paragraph 2(5)) is deemed to be zero.

(4) Where the regulator certifies in accordance with sub-paragraph (2)(b)(ii) that there is no reasonable prospect of further allowances being surrendered by the operator, the regulator must notify the registry administrator.

(5) The requirements specified in a notice of surrender pursuant to sub-paragraph (1)(a) and (b) are to be treated as if they were monitoring and reporting requirements of the permit.

(6) Subject to paragraph (7), the requirements specified in a notice of surrender pursuant to sub-paragraph (1)(c) are to be treated as if—

(a)they were surrender requirements of the permit, and

(b)the number of allowances required to be surrendered by the notice of surrender were the annual reportable emissions of the installation in respect of the scheme year to which the notice relates.

(7) Where the surrender report understates any reportable emissions, the requirement to surrender allowances equal to the amount of the understatement is not superseded by the requirements specified in the notice of surrender.

(8) Where the operator fails to comply with the requirements of a notice of surrender included pursuant to sub-paragraph (1), the regulator must notify the registry administrator.

Revocation of permitsU.K.

5.—(1) The revocation notice must require the operator, in relation to the scheme year in which it takes effect (“the relevant year”), to—

(a)submit to the regulator by a date specified in the notice a report (“the revocation report”) specifying the reportable emissions from the beginning of the relevant year until the date on which the notice takes effect;

(b)ensure that the revocation report is prepared and verified in accordance with the monitoring and reporting requirements of the greenhouse gas emissions permit to which the revocation notice relates (“the permit”); and

(c)by a date specified in the notice, surrender allowances equal to—

(i)the reportable emissions specified in the revocation report;

(ii)where an operator has failed to comply with the surrender requirements of the permit imposed in respect of the last scheme year for which the date for surrendering allowances in accordance with those requirements has passed, the annual reportable emissions in respect of which the operator failed so to comply;

(iii)where the revocation notice is served in a scheme year in which an error in the report submitted by an operator under the monitoring and reporting requirements in relation to any earlier scheme year has been discovered, the annual reportable emissions in respect of which, as a result of that error, the operator failed to comply with the surrender requirements of the permit in respect of the scheme year to which the error relates; and

(iv)where the notice has been served under regulation 14(1)(b), the total number of allowances which by the date on which the revocation notice is served have been issued in respect of the installation which would not have been issued if the operator had so complied.

(2) A revocation notice must specify a period within which the fee for the revocation of the permit must be paid.

(3) From the date on which the revocation notice takes effect—

(a)the permit ceases to have effect to authorise the carrying out of a regulated activity or to require the monitoring of emissions; but

(b)any conditions of the permit continue to have effect so far as they are not superseded by the requirements of that notice in accordance with sub-paragraphs (6) to (8) until the regulator certifies—

(i)that those requirements and any surrender requirements of the permit imposed have been complied with, or

(ii)that there is no reasonable prospect of further allowances being surrendered by the operator in respect of the installation to which the notice relates.

(4) From the scheme year following the relevant year, for the purposes of assessing compliance with the surrender requirements of the permit the amount of reportable emissions of the installation (before any increase in accordance with paragraph 2(5)) is deemed to be zero.

(5) Where the regulator certifies in accordance with sub-paragraph (3)(b)(ii) that there is no reasonable prospect of further allowances being surrendered by the operator, the regulator must notify the registry administrator.

(6) The requirements specified in a revocation notice pursuant to sub-paragraph (1)(a) and (b) are to be treated as if they were monitoring and reporting requirements of the permit.

(7) Subject to paragraph (8), the requirements specified in a revocation notice pursuant to sub-paragraph (1)(c) are to be treated as if—

(a)they were surrender requirements of the permit, and

(b)the number of allowances required to be surrendered by the revocation notice were the annual reportable emissions of the installation in respect of the scheme year to which the notice relates.

(8) Where the revocation report understates any reportable emissions, the requirement to surrender allowances equal to the amount of the understatement is not superseded by the requirements specified in the revocation notice.

(9) Where the operator fails to comply with the requirements of a revocation notice included pursuant to sub-paragraph (1), the regulator must notify the registry administrator.

(10) A regulator who has served a revocation notice may, at any time before the date on which it takes effect, withdraw the notice.

Regulations 10(7) and 15

SCHEDULE 5U.K.Excluded installations [F272: Article 27 installations]

Textual Amendments

InterpretationU.K.

1.—F273(1) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

F273(2) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

F273(3) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(4) In this Schedule—

“emissions report” has the meaning given by paragraph 3(8)(b)(i);

F274...

“maximum amount” means annual reportable emissions of 24,999 tonnes of carbon dioxide equivalent in any scheme year.

Textual Amendments

Conversion of a greenhouse gas emissions permitU.K.

2.—(1) Where a greenhouse gas emissions permit has been granted in respect of an installation that is an [F275Article 27] installation, the regulator must vary the greenhouse gas emissions permit (with effect from a date to be included in the permit) so that the provisions of the permit are replaced by provisions that satisfy the requirements of paragraph 3.

(2) When a permit is varied under sub-paragraph (1)—

(a)the regulator may make only such variations as appear to the regulator to be necessary in consequence of the installation being an [F276Article 27] installation; but

(b)that is without prejudice to the duty to vary the permit in accordance with regulation [F27788(2) or (4)].

(3) A variation of a permit under this paragraph does not affect any obligations of the operator under the permit in respect of emissions arising prior to 1st January [F2782021].

Textual Amendments

Content of an [F279Article 27] installation emissions permitU.K.

3.—(1) An [F280Article 27] installation emissions permit must contain—

(a)the name and postal address in the United Kingdom (including postcode) of the operator and any other address for correspondence specified by the operator;

(b)the postal address and national grid reference of the installation (or for offshore installations equivalent information identifying the installation and its location);

(c)a description of the installation, including—

(i)the regulated activities to be carried out at the installation and the specified emissions from those activities; and

(ii)the directly associated activities (within Article 3(e) of the Directive) that are also to be carried out;

(d)a description of the site and the location of the installation on that site;

(e)an emissions target for each scheme year [F281over the first or second allocation period, as the case may be];

(f)a monitoring plan (as defined in sub-paragraph (7));

(g)the monitoring and reporting conditions (as defined in sub-paragraph (8));

(h)the record keeping requirements (as defined in sub-paragraph (9)); and

(i)any other conditions that the regulator considers appropriate to include in the permit.

(2) The authority must exercise powers under F282... regulation [F28340] of the Northern Ireland Regulations M27, to give the regulator directions as to the calculation of the emissions targets included under sub-paragraph (1)(e).

(3) If the regulator has been directed to do so under an enactment [F284mentioned] in sub-paragraph (2) before 30th September in any scheme year, the regulator must vary the permit by substituting new emissions targets for the existing targets for each subsequent scheme year [F285over the allocation period to which the direction relates] in order to take into account (to the extent and in the manner specified in the direction)—

(a)any amendments to the Directive;

[F286(b)any relevant changes to the determinations in respect of the sectors and subsectors made by the European Commission pursuant to Article 10b(5) of the Directive;]

F287(c). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(d)any measures relating to carbon budgets under the Climate Change Act 2008 M28; or

(e)any other matters mentioned in the direction.

(4) An [F280Article 27] installation emissions permit F288... must contain a condition requiring the operator to give notice to the regulator by the relevant date if the annual reportable emissions from the installation in any scheme year exceed the maximum amount.

F289(5) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(6) For the purposes of [F290sub-paragraph (4)], the relevant date is 31st March in the year following the scheme year in question.

(7) The monitoring plan is the plan approved in accordance with Articles 11 to 13 of the Monitoring and Reporting Regulation [F2912018].

(8) The monitoring and reporting conditions are—

(a)a requirement to monitor the annual reportable emissions of the installation in accordance with—

(i)the relevant provisions of the Monitoring and Reporting Regulation [F2922018]; and

(ii)the monitoring plan (including the written procedures supplementing that plan);

(b)a requirement to submit to the regulator, for each scheme year, by 31st March in the following year a report of the annual reportable emissions from the installation in accordance with the relevant provisions of the Monitoring and Reporting Regulation [F2922018] (“the emissions report”) that is either—

(i)verified in accordance with the Verification Regulation, or

(ii)accompanied by a notice declaring that—

(aa)in preparing the emissions report the operator has complied with the relevant provisions of the Monitoring and Reporting Regulation [F2922018];

(bb)the operator has complied with the monitoring plan for the installation; and

(cc)the report is free from material misstatements;

(c)a requirement to satisfy the regulator, if an emission factor of zero has been reported in respect of the use of bioliquids, that the sustainability criteria set out in Article 17(2) to (5) of the Renewable Energy Directive have been fulfilled in accordance with Article 18(1) of that Directive; and

(d)any further conditions that the regulator considers necessary to ensure that the operator complies with the relevant provisions of the Monitoring and Reporting Regulation [F2922018].

F293(9) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(10) In this paragraph, “relevant provisions” means the provisions specified in the permit as relevant for the purposes of monitoring and reporting emissions from [F280Article 27] installations.

(11) The authority must exercise powers under F294... regulation [F29540] of the Northern Ireland Regulations, to give the regulator directions as to the provisions that are to be specified in accordance with sub-paragraph (10).

Textual Amendments

F279Words in Sch. 5 para. 3 heading substituted (1.2.2020 for specified purposes, 1.1.2021 in so far as not already in force) by The Greenhouse Gas Emissions Trading Scheme (Amendment) (No. 3) Regulations 2019 (S.I. 2019/1440), regs. 1(2B)(4), 29(5)(a) (as amended by S.I. 2020/18, regs. 1, 11(2)(4) and S.I. 2020/1369, regs. 1(2), 44(a))

F280Words in Sch. 5 para. 3 substituted (1.2.2020 for specified purposes, 1.1.2021 in so far as not already in force) by The Greenhouse Gas Emissions Trading Scheme (Amendment) (No. 3) Regulations 2019 (S.I. 2019/1440), regs. 1(2B)(4), 29(5)(a) (as amended by S.I. 2020/18, regs. 1, 11(2)(4) and S.I. 2020/1369, regs. 1(2), 44(a))

F281Words in Sch. 5 para. 3(1)(e) substituted (1.2.2020 for specified purposes, 1.1.2021 in so far as not already in force) by The Greenhouse Gas Emissions Trading Scheme (Amendment) (No. 3) Regulations 2019 (S.I. 2019/1440), regs. 1(2B)(4), 29(5)(b) (as amended by S.I. 2020/18, regs. 1, 11(2)(4) and S.I. 2020/1369, regs. 1(2), 44(a))

Marginal Citations

M27Regulation 37 is modified by regulation 7(2) of these Regulations.

Activities during 2012: duty to notify regulatorU.K.

F2964.  . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Textual Amendments

Emissions target: duty not to exceedU.K.

5.  An operator must ensure that annual reportable emissions from an [F297Article 27] installation in a scheme year do not exceed the emissions target for that year.

Textual Amendments

Emissions target: increase in the capacity of an [F298Article 27] installationU.K.

6.—[F299(1) Where a capacity increase has occurred at an Article 27 installation after 30th June 2019, the operator may apply to the regulator for an increase in the emissions targets for the installation for the subsequent scheme years within the first allocation period.]

(2) An application under sub-paragraph (1) must be made—

(a)by 31st December in the year during which the capacity increase occurred or within 3 months of the date of the capacity increase, whichever is later; or

(b)where the capacity increase occurred before 1st January [F3002021], by 30th June [F3002021].

[F301(2A) Where a capacity increase occurs at an Article 27 installation after 30th June 2024, the operator may apply to the regulator for an increase in the emissions targets for the installation for the subsequent scheme years within the second allocation period.

(2B) An application under sub-paragraph (2A) must be made—

(a)by 31st December in the year during which the capacity increase occurred or within 3 months of the date of the capacity increase, whichever is later; or

(b)where the capacity increase occurred before 1st January 2026, by 30th June 2026.]

(3) [F302An application under sub-paragraph (1) or (2A)] must contain evidence demonstrating the following—

(a)the date on which the capacity increase was put into operation;

(b)that the increase is not temporary;

(c)that the increase is in operation and is required for the purpose of carrying out the operator's primary business activities;

F303(d). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(e)any further matters that the regulator is required to take into account by a direction referred to in sub-paragraph (8).

(4) Where the regulator receives an application under sub-paragraph (1) [F304or (2A)], and is satisfied with information provided by the operator under sub-paragraph (3), the regulator may calculate new emissions targets for that and subsequent scheme years [F305within the allocation period to which the application relates].

(5) Where the regulator calculates new emissions targets pursuant to sub-paragraph (4), the regulator must vary the permit by substituting the new emissions targets for the existing targets.

(6) Where after having varied the permit under sub-paragraph (5) the regulator is subsequently satisfied that the evidence provided by the operator under sub-paragraph (3) is incorrect or incomplete, the regulator may recalculate those new emissions targets and vary the permit accordingly by making a new substitution of emissions targets.

[F306(7) However, the increase in an emissions target under sub-paragraph (4) or (6) may not result in an emissions target which exceeds the maximum amount.]

(8) The authority must exercise powers under F307... regulation [F30840] of the Northern Ireland Regulations, to give the regulator directions as to—

(a)the further matters required to be taken into account when considering an application under sub-paragraph (1) [F309or (2A)]; and

(b)the calculation or recalculation of emissions targets under sub-paragraphs (4) or (6).

(9) In this paragraph—

(a)“capacity increase” means an increase in [F310an installation’s] installed capacity whereby one or more identifiable physical changes relating to its technical configuration and functioning other than a replacement of an existing production line takes place;

[F311(b)“installed capacity” means—

(i)for the purpose of calculating new emission targets for the first allocation period, the installation’s installed capacity on 30th June 2019;

(ii)for the purpose of calculating new emission targets for the second allocation period, the installation’s installed capacity on 30th June 2024;

(iii)in the case of an installation which has had a capacity increase either since 30th June 2019, or since 30th June 2024, as the case may be, the installed capacity of the installation following the last capacity increase;]

F312(d). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Textual Amendments

F298Words in Sch. 5 para. 6 heading substituted (1.2.2020 for specified purposes, 1.1.2021 in so far as not already in force) by The Greenhouse Gas Emissions Trading Scheme (Amendment) (No. 3) Regulations 2019 (S.I. 2019/1440), regs. 1(2B)(4), 29(8)(a) (as amended by S.I. 2020/18, regs. 1, 11(2)(4) and S.I. 2020/1369, regs. 1(2), 44(a))

F299Sch. 5 para. 6(1) substituted (1.2.2020 for specified purposes, 1.1.2021 in so far as not already in force) by The Greenhouse Gas Emissions Trading Scheme (Amendment) (No. 3) Regulations 2019 (S.I. 2019/1440), regs. 1(2B)(4), 29(8)(b) (as amended by S.I. 2020/18, regs. 1, 11(2)(4) and S.I. 2020/1369, regs. 1(2), 44(a))

F300Word in Sch. 5 para. 6(2)(b) substituted (1.2.2020 for specified purposes, 1.1.2021 in so far as not already in force) by The Greenhouse Gas Emissions Trading Scheme (Amendment) (No. 3) Regulations 2019 (S.I. 2019/1440), regs. 1(2B)(4), 29(8)(c) (as amended by S.I. 2020/18, regs. 1, 11(2)(4) and S.I. 2020/1369, regs. 1(2), 44(a))

F301Sch. 5 para. 6(2A)(2B) inserted (1.2.2020 for specified purposes, 1.1.2021 in so far as not already in force) by The Greenhouse Gas Emissions Trading Scheme (Amendment) (No. 3) Regulations 2019 (S.I. 2019/1440), regs. 1(2B)(4), 29(8)(d) (as amended by S.I. 2020/18, regs. 1, 11(2)(4) and S.I. 2020/1369, regs. 1(2), 44(a))

F302Words in Sch. 5 para. 6(3) substituted (1.2.2020 for specified purposes, 1.1.2021 in so far as not already in force) by The Greenhouse Gas Emissions Trading Scheme (Amendment) (No. 3) Regulations 2019 (S.I. 2019/1440), regs. 1(2B)(4), 29(8)(e) (as amended by S.I. 2020/18, regs. 1, 11(2)(4) and S.I. 2020/1369, regs. 1(2), 44(a))

F304Words in Sch. 5 para. 6(4) inserted (1.2.2020 for specified purposes, 1.1.2021 in so far as not already in force) by The Greenhouse Gas Emissions Trading Scheme (Amendment) (No. 3) Regulations 2019 (S.I. 2019/1440), regs. 1(2B)(4), 29(8)(f)(i) (as amended by S.I. 2020/18, regs. 1, 11(2)(4) and S.I. 2020/1369, regs. 1(2), 44(a))

F305Words in Sch. 5 para. 6(4) inserted (1.2.2020 for specified purposes, 1.1.2021 in so far as not already in force) by The Greenhouse Gas Emissions Trading Scheme (Amendment) (No. 3) Regulations 2019 (S.I. 2019/1440), regs. 1(2B)(4), 29(8)(f)(ii) (as amended by S.I. 2020/18, regs. 1, 11(2)(4) and S.I. 2020/1369, regs. 1(2), 44(a))

F309Words in Sch. 5 para. 6(8)(a) inserted (1.2.2020 for specified purposes, 1.1.2021 in so far as not already in force) by The Greenhouse Gas Emissions Trading Scheme (Amendment) (No. 3) Regulations 2019 (S.I. 2019/1440), regs. 1(2B)(4), 29(8)(h) (as amended by S.I. 2020/18, regs. 1, 11(2)(4) and S.I. 2020/1369, regs. 1(2), 44(a))

Banking an overachieved emissions targetU.K.

7.—(1) F313... In this paragraph “bankable amount” in relation to a scheme year means the difference between—

(a)the emissions target for that year; and

(b)the amount of reportable emissions stated in the emissions report for that year.

F314(2) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

F314(3) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(4) Subject to [F315sub-paragraphs (5) and (8)], where for any scheme year (“S”) the bankable amount is greater than zero the regulator—

(a)may increase the emissions target for the installation for the following scheme year by the bankable amount; and

(b)must in that case vary the permit by substituting that increased emissions target for the existing target.

(5) F316... If increasing the emissions target under sub-paragraph (4) would result in an emissions target which exceeds the maximum amount, the increased emissions target must instead be equal to the maximum amount.

(6) Where the amount of reportable emissions stated in the emissions report for S is amended following a determination of emissions under regulation 44(3), the regulator must—

(a)calculate the bankable amount using the data as so determined; and

(b)where an increased emissions target has been substituted under sub-paragraph (4)(b), make a further variation of the permit to substitute a revised emissions target.

(7) [F317Subject to paragraph (8), where] an increased emissions target for a scheme year has been substituted following an application under paragraph 6(1), but the application was determined in the following year, the regulator must—

(a)calculate any bankable amount for the scheme year using that increased target; and

(b)vary the permit to substitute a revised emissions target for the following year, based on the amount so calculated.

[F318(8) The regulator may not vary an emissions target under sub-paragraph (4)(a) or (7)(a) for a scheme year which begins after the end of the allocation period during which any increase has occurred.]

Textual Amendments

Termination of an [F319Article 27] installation emissions permitU.K.

8.—[F320(1) Where the regulator is satisfied that the annual reportable emissions from an Article 27 installation have exceeded the maximum amount, the regulator must, as soon as is reasonably practicable, give a notice to the operator.]

(2) A notice under sub-paragraph (1) must state that, from the beginning of the scheme year following the year in which the notice is given—

(a)the installation will not be treated as an [F319Article 27] installation; and

(b)the operator will be required to comply with the conditions of a greenhouse gas emissions permit in respect of the installation [F321for the remainder of the allocation period during which the notice is given].

(3) This sub-paragraph applies where the regulator is satisfied that the operator of an [F319Article 27] installation has—

(a)committed a sufficiently serious breach of the conditions of the [F319Article 27] installation emissions permit, or

(b)failed to pay to the regulator the penalty imposed under regulation 56 within one month after the date specified in the penalty notice.

(4) Where sub-paragraph (3) applies the regulator may revoke the permit under regulation 14 or give a notice to the operator in accordance with sub-paragraph (5).

(5) The notice must state that, from the beginning of the scheme year following the year in which notice is given—

(a)the installation will not be treated as an [F319Article 27] installation; and

(b)the operator will be required to comply with the conditions of a greenhouse gas emissions permit in respect of the installation [F322for the remainder of the allocation period during which the notice is given].

(6) Where notice is given under sub-paragraph (1) or (4), the regulator must vary the [F319Article 27] installation emissions permit, with effect from the 1st January in the scheme year following the year in which the notice was given (“the date of conversion”), so that the provisions of the permit that satisfy the requirements of paragraph 3 are replaced by provisions satisfying the requirements of paragraph 2 of Schedule 4.

[F323(6A) Where regulation 15(C1) applies, the regulator must vary the excluded installation emissions permit, with effect from 1st January 2026, so that the provisions of the permit that satisfy the requirements of paragraph 3 of this Schedule are replaced by provisions satisfying the requirements of paragraph 2 of Schedule 4.]

(7) In varying a permit under sub-paragraph (6), the regulator may make only such variations as appear to the regulator to be necessary in consequence of the installation ceasing to be treated as an [F319Article 27] installation.

(8) A variation of a permit under sub-paragraph (6) does not affect any obligations of the operator under the permit in respect of emissions arising from activities prior to the date of conversion.

(9) Where—

(a)notice is given under sub-paragraph (1) or (4), and

(b)the operator holds a registry account with [F319Article 27] status in respect of the installation,

the regulator must give notice to the registry administrator, in accordance with the Registries Regulation [F3242019], to change the status of the account to open from the year beginning with the date of conversion.

(10) Where sub-paragraph (3) applies and the permit is revoked, the regulator must give notice to the registry administrator in accordance with the Registries Regulation [F3252019] to close the account.

Textual Amendments

End of excluded installation statusU.K.

F3269.  . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Textual Amendments

Regulations 15A, 58ZA, 58ZB

[F327SCHEDULE 5AU.K.

Textual Amendments

InterpretationU.K.

1.  In this Schedule—

(a)“maximum amount” means an amount of less than 2,500 tonnes of carbon dioxide equivalent, disregarding emissions from biomass;

(b)“the operator's preferred alternative permit” has the meaning given in paragraph 3(1).

Duty to monitor emissionsU.K.

2.—(1) The operator of an Article 27a installation must monitor the installation's emissions of carbon dioxide equivalent in accordance with an appropriate monitoring plan.

(2) An appropriate monitoring plan for the first allocation period is a monitoring plan that—

(a)was approved in relation to the installation in accordance with Articles 11 to 13 of the Monitoring and Reporting Regulation, for the purposes of the scheme year immediately before the first allocation period; or

(b)is otherwise approved by the regulator, following an application made by the operator, as a plan that is capable of monitoring whether the installation has exceeded the maximum amount in any scheme year.

(3) An appropriate monitoring plan for the second allocation period is a monitoring plan that—

(a)was approved in relation to the installation in accordance with Articles 11 to 13 of the Monitoring and Reporting Regulation, for the purposes of the scheme year immediately before the first allocation period;

(b)was approved in relation to the installation in accordance with Article 11 to 13 of the Monitoring and Reporting Regulation 2018, for the purposes of the scheme year immediately before the second allocation period; or

(c)is otherwise approved by the regulator, following an application made by the operator, as a plan that is capable of monitoring whether the installation has exceeded the maximum amount in any scheme year.

The operator's preferred alternative permitU.K.

3.—(1) The operator of an Article 27a installation may notify the regulator that, if the installation exceeds the maximum amount in any scheme year, the operator prefers to comply with the conditions of an Article 27 installation emissions permit or, alternatively, a greenhouse gas emissions permit in respect of the installation (“the operator's preferred alternative permit”).

(2) A notice under sub-paragraph (1) must be received by the regulator by 31st August 2024, in relation to the second allocation period.

Duty to notify if emissions exceed maximum amount during an allocation periodU.K.

4.—(1) The operator of an Article 27a installation must notify the regulator by the relevant date if the reportable emissions from the installation in any scheme year exceed the maximum amount.

(2) For the purposes of sub-paragraph (1), the relevant date is 31st March in the year following the scheme year in question.

Termination of Article 27a statusU.K.

5.—(1) Where the regulator is satisfied that an Article 27a installation has exceeded the maximum amount in any scheme year, the regulator must, as soon as is reasonably practicable, give a notice to the operator.

(2) A notice that is given pursuant to sub-paragraph (1) must state that, from the beginning of the scheme year following the year in which the notice is given—

(a)the installation will not be treated as an Article 27a installation; and

(b)the operator will be required to comply with the conditions of the operator's preferred alternative permit for the remainder of the allocation period during which the notice is given.

(3) Where the regulator has not received notification of the operator’s preferred alternative permit in accordance with paragraph 3, the notice under sub-paragraph (1) must state that, from the beginning of the scheme year following the year in which the notice is given, until the end of the allocation period during which the notice is given, the operator will be required to comply with the conditions of a greenhouse gas emissions permit in respect of the installation.

(4) The operator of an Article 27a installation who has received a notice pursuant to sub-paragraph (1) may apply for—

(a)a greenhouse gas emissions permit, under regulation 10(1); or

(b)an Article 27 installation emissions permit, under regulation 10(2),

whichever is stated in the notice given pursuant to sub-paragraph (2)(b) or sub-paragraph (3).]

Regulation 16(3)

F328SCHEDULE 6U.K.Allocation and adjustment of allowances

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Textual Amendments

Regulation 16(3A)

F328SCHEDULE 6AU.K.Allocation and adjustment of allowances: installations which cease to be excluded installations

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Regulation 30(a)

F328SCHEDULE 7U.K.Allocation of aviation allowances

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Regulation 30(b)

F328SCHEDULE 8U.K.Allocation of aviation allowances from the special reserve

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Regulation 39(3)

F328SCHEDULE 9U.K.Detention and sale of aircraft

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Regulation 40

F328SCHEDULE 10U.K.Aircraft operating bans

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Regulation 78(1) and (3)

F328SCHEDULE 11U.K.Appeals to the Scottish Ministers

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Regulation 78(4)

SCHEDULE 12U.K.Appeals (Northern Ireland)

1.—(1) A person who wishes to appeal to the Planning Appeals Commission (“the appeals commission”) under regulation 73(1) [F329or 74(1)] against a decision of the chief inspector [F330or registry administrator] must give to the appeals commission written notice of the appeal together with a statement of the grounds of appeal.U.K.

(2) The appeals commission must as soon as is reasonably practicable send to the regulator [F331or registry administrator] a copy of that notice and that statement.

(3) An appellant may withdraw an appeal by notifying the appeals commission; and the appeals commission must as soon as is reasonably practicable notify the regulator [F332or registry administrator] of that withdrawal.

Textual Amendments

2.  Notice of appeal in accordance with paragraph 1 is to be given before the expiry of the period of 47 days beginning with the date on which the decision takes effect.U.K.

3.—(1) The appeals commission must determine the appeal and [F333section 204(1), (3) and (4) of the Planning Act (Northern Ireland) 2011 applies] in relation to the determination of the appeal as they apply in relation to the determination of an appeal under that Order.U.K.

(2) The appeals commission must determine the process for determining appeals taking into account any requests of either party to the appeal.

Textual Amendments

4.  An appeal under this Schedule must be accompanied by [F334any fee for the appeal prescribed in regulations made under section 223(7)(b) of the Planning Act (Northern Ireland) 2011; and for that purpose section 223(7)(b) has effect as if a reference to an appeal under that Act] included a reference to an appeal under these Regulations.]U.K.

Textual Amendments

Explanatory Note

(This note is not part of the Regulations)

These Regulations implement Directive 2003/87/EC of the European Parliament and of the Council establishing a scheme for greenhouse gas emission allowance trading within the Community and amending Council Directive 96/61/EC (“the Directive”). In particular, they implement the amendments to the Directive made by Directive 2009/29/EC of the European Parliament and of the Council. These Regulations also consolidate, with amendments, and replace previous sets of implementing regulations (S.I. 2005/925 and S.I. 2010/1996) and their amending instruments.

Under the EU emissions trading scheme for greenhouse gases (“EU ETS”) an overall cap is set for emissions of greenhouse gases from specified activities. Operators must monitor and report emissions, and surrender sufficient emissions trading allowances to cover their emissions for each year. A proportion of the total number of allowances is issued free of charge to operators, and the remainder is auctioned. Operators may also buy and sell allowances on the secondary market. Following the amendments made by Directive 2008/101/EC of the European Parliament and of the Council, EU ETS has been extended to cover certain aviation activities (limited to flights arriving in or departing from the European Economic Area).

The Regulations also contain provisions implementing, where necessary, a number of instruments made under the Directive by the European Commission, in particular—

  • Commission Regulation (EU) No 920/2010 for a standardised and secured system of registries pursuant to Directive 2003/87/EC of the European Parliament and of the Council and Decision No 280/2004/EC of the European Parliament and of the Council;

  • Commission Regulation (EU) No 1193/2011 establishing a Union Registry for the trading period commencing on 1 January 2013, and subsequent trading periods, of the Union emissions trading scheme (“the Registries Regulation 2011”);

  • Commission Regulation (EU) No 601/2012 on the monitoring and reporting of greenhouse gas emissions pursuant to Directive 2003/87/EC (“the Monitoring and Reporting Regulation”);

  • Commission Regulation (EU) No 600/2012 on the verification of greenhouse gas emission reports and tonne-kilometre reports and the accreditation of verifiers pursuant to Directive 2003/87/EC; and

  • Commission Decision 2011/278/EU determining transitional Union-wide rules for harmonised free allocation of emission allowances pursuant to Article 10a of Directive 2003/87/EC.

Certain installations with low emissions (as well as installations primarily providing services to a hospital) are permitted to opt out of the emissions trading system, provided that equivalent measures are put in place to limit their emissions. These Regulations accordingly provide for equivalent measures in the case of such “excluded installations”.

These Regulations extend to the whole of the United Kingdom. However, greenhouse gas emissions trading is a devolved matter in Scotland, a transferred matter in Northern Ireland, and in Wales is an area where the Welsh Ministers exercise a wide range of executive functions. The Regulations accordingly provide for distinct “regulators” or “authorities” in relation to those different parts of the United Kingdom. The “regulator” may be the Environment Agency, the Scottish Environment Protection Agency, or the chief inspector in Northern Ireland; and the corresponding “authority” will be the Secretary of State or the Welsh Ministers, the Scottish Ministers, or the Department of the Environment in Northern Ireland. In the case of certain offshore installations, including those on the United Kingdom Continental Shelf, the Secretary of State is the regulator as well as the authority.

Regulation 2 requires the Secretary of State to review the operation and effect of these Regulations and publish a report within five years after they come into force and within every five years after that. Following a review it will fall to the Secretary of State to consider whether the Regulations should remain as they are, be revoked, or be amended. A further instrument would be needed to revoke the Regulations or to amend them.

Regulation 3 contains definitions of various expressions used in the Regulations. In particular, this regulation defines who are the “regulator” and the corresponding “authority” in relation to an installation.

Regulation 4 and Schedule 1 provide that the Regulations bind the Crown, subject to the power of the Secretary of State to certify that powers of entry may not be exercised in relation to particular Crown premises, and to provisions regarding the service of documents.

Regulation 5 and Schedule 2 provide rules for the service of notices and other documents under the Regulations.

Regulation 6 and Schedule 3 lay down requirements for the submission of applications, notices or reports under the Regulations (and under permits or aviation emissions plans), and for the determination of applications by the regulator.

Regulation 7 enables the chief inspector in Northern Ireland to delegate functions under these Regulations to other inspectors appointed under the Pollution Prevention and Control Regulations (Northern Ireland) 2003, and enables the Department of the Environment in Northern Ireland to give directions with respect to the exercise of functions under these Regulations.

Regulation 8 provides for the implementation of a number of European Commission Regulations, by designating the appropriate authorities to perform functions under those instruments (which are otherwise directly applicable in United Kingdom law). See also regulation 74 and regulation 80(2) to (4).

Part 2, together with Schedules 4 to 6, contains provisions that relate solely to stationary installations (as opposed to aircraft operators).

Regulation 9 requires a permit to be held by the operator of an installation before a regulated activity is carried out at the installation. “Permit”, “regulated activity” and “installation are defined in regulation 3(1), and “operator” is defined by regulation 3(2). A permit may be either a greenhouse gas emissions permit or an excluded installation emissions permit, and may be granted in respect of part only of an installation.

Regulation 10(1) and (3) to (5) and paragraphs 1 and 2 of Schedule 4 make provision for the application for, and the grant of, a greenhouse gas emissions permit. Regulation 10(2) and (3) to (5)), paragraph 1 of Schedule 4 and paragraph 3 of Schedule 5 make provision for the application for, and the grant of, an excluded installation emissions permit. In certain circumstances a greenhouse gas emissions permit must be converted into an excluded installation emissions permit.

Regulation 11 provides for the review, variation and consolidation of permits.

Regulation 12 and paragraph 3 of Schedule 4 make provision for the transfer of permits. A transfer may relate to all the installations covered by the permit, or may be a “partial transfer” that relates to some only of the installations covered (or to parts only of an installation).

Regulation 13 requires a permit to be surrendered if regulated activities cease to be carried out at the installation (as defined by regulation 3(3)), and paragraph 4 of Schedule 4 imposes further requirements in respect of such a surrender.

Regulation 14 allows the regulator to revoke a permit, and requires the regulator to do so where the permit has not been surrendered as required by regulation 13(1). Paragraph 5 of Schedule 4 imposes further requirements in respect of such revocations.

Regulation 15 and Schedule 5 make further provision for excluded installations. Certain requirements of these Regulations do not apply to such installations, and others apply in a modified form. Although the requirement to surrender allowances under regulation 41 does not apply in the case of an excluded installation emissions permit, Schedule 5 contains equivalent measures limiting the emission of greenhouse gases. Thus an excluded installation emissions permit sets a target for emission reduction in each year, and the operator is liable to a penalty for exceeding such a target.

Regulation 6 and Schedule 6 make provision for the free allocation of allowances to those installations that are entitled to such an allocation.

Regulations 17 to 19 make provision for the exercise of powers of entry, and the charging of fees, in relation to an offshore installation (as defined in regulation 3(1)).

Part 3, together with Schedules 7 to 10, contains provisions that relate solely to aircraft operators. These replace provisions previously contained in the Aviation Greenhouse Gas Emissions Trading Scheme Regulations 2010. This Part imposes obligations on operators defined as “UK administered operators” (previously known as “UK operators”), and on a subset of those operators defined as “UK aircraft operators” (previously known as “aircraft operators”). Subject to the qualifications noted below, a “UK administered operator” is a person who is specified as an aircraft operator to be administered by the United Kingdom in the list published by the European Commission under Article 18a(3) of the Directive; and a “UK aircraft operator” is a UK administered operator who has carried out aviation activities in the relevant calendar year. All UK administered operators are assigned to a “regulator” for the purposes of these Regulations (see regulations 27 to 29). For the purposes of this Part, a reference to a “member State” of the EU includes a reference to an EEA state (and therefore includes Norway, Iceland and Liechtenstein).

Regulation 21 requires the Civil Aviation Authority to provide any assistance or advice that may be requested by the regulator (but in doing so it may recover its reasonable expenses).

Regulation 22 requires the Secretary of State in certain circumstances to designate a person as a person to whom these Regulations apply, where that person has been omitted from the Commission's list under Article 18a(3) of the Directive. Regulation 23 allows such a person to apply to the Secretary of State to be so designated. Once designated, the person concerned will then be treated as a “UK administered operator” for the purposes of these Regulations.

Regulation 24 allows the regulator to deem a person to be a UK administered operator for the whole of a calendar year, even though that person was administered for a part of that year by another member State. However, this does not allow a civil penalty to be imposed in respect of a failure to comply with these Regulations that occurred while the person was not administered by the United Kingdom.

Regulation 25 allows the Secretary of State to designate a UK administered operator as a “Gibraltar operator”, where the Secretary of State is satisfied that the operator is regulated for the purposes of the Directive under Gibraltar legislation. The consequence is that the operator will no longer be a “UK administered operator” for the purposes of these Regulations.

Regulation 26 defines who, in a given calendar year, is to be regarded as a “UK aircraft operator” for the purposes of these Regulations. The person concerned must be a UK administered operator who has performed an aviation activity (within the meaning of Annex 1 to the Directive) in that year, or (in certain circumstances) who is the owner of the aircraft used to perform that activity.

Regulations 27 to 29 define who, for purposes of these Regulation, is the “regulator” of a UK administered operator. Where the operator is a United Kingdom company, the regulator is either the Environment Agency, the Scottish Environment Protection Agency, or the chief inspector in Northern Ireland, depending upon the location of the company's registered office. Otherwise the operator will in the first instance be regulated by the Environment Agency, with provision for a transfer to different regulator for the subsequent eight-year trading period, following an assessment of the proportion of emissions that are attributable to the relevant part of the United Kingdom.

Regulation 30 and Schedules 7 and 8 deal with the free allocation of aviation allowances. For each trading period, an existing UK administered operator is able to apply for such an allocation after monitoring and reporting their activity in the relevant benchmarking year. New UK aircraft operators, or those who have increased their activity by a specified percentage since the benchmarking year, may apply for an allocation to the special reserve set aside for that purpose. Applications are submitted to, and eventually decided by, the European Commission under the rules laid down by the Directive.

Chapter 4 of this Part deals with the monitoring and reporting of emissions from aviation activities.

Regulations 32 to 34 provide for applications to be made for a plan (“emissions plan”) setting out how emissions are to be monitored in accordance with the Monitoring and Reporting Regulation. Regulation 32(1) requires a UK administered operator to apply for a such a plan in accordance with the Article 51(1) that Regulation. This requires an application to be made 4 months before beginning aviation activity, although that deadline can be relaxed in certain circumstances. Where the less stringent deadline is relied upon, the operator must provide a satisfactory explanation for doing so (regulation 32(4)). The operator may at any time take the precaution of applying for an emissions plan (regulation 32(5)), and on first becoming a UK administered operator must either so apply or notify the regulator under regulation 33.

Regulation 35 requires emissions to be monitored each year, and a verified emissions report to be submitted to the regulator by 31st March in the following year. As in the case of stationary installations, the rules for monitoring, reporting and verification are laid down by the Monitoring and Reporting Regulation and the Verification Regulation.

Regulation 36 requires that the emission plans issued by the various regulators contain the appropriate conditions, and imposes a duty to comply with the conditions in an emissions plan. Regulation 37 provides for the variation of an emissions plan, either on application by the operator or otherwise.

Chapter 5, together with Schedules 9 and 10, provides for sanctions to be imposed on aircraft operators, in addition to the civil penalties imposed under Part 7. These non-pecuniary sanctions are of two kinds: detention (and possibly sale) of an aircraft under regulation 39 and Schedule 9; and the application for, and enforcement of, an EU- wide operating ban under regulation 40 and Schedule 10.

Under regulation 39(1) an aircraft that is operated by a UK administered operator may be detained if a civil penalty has not been paid within 6 months of the date that the penalty is due. Aircraft subject to an operating ban may also be detained. Where the aircraft is not required to be released under paragraph 3 of Schedule 9, it may then be sold following an order of the court. The proceeds of sale may be used to discharge unpaid civil penalties, certain duties and charges, and the expenses of detention.

Where all other enforcement measures have failed, a member State may apply for an EU-wide operating ban to be imposed by the European Commission under Article 16(10) of the Directive. Schedule 10, paragraph 1, provides for such application to be made by the Secretary of State, and paragraph 2 provides for the enforcement of a ban imposed as a result of such a request (or as a result of a request made by another member State).

Part 4 sets out the requirements regarding the surrender of allowances. The operator of an installation (regulation 41) or a UK aircraft operator (regulation 42) must surrender sufficient allowances to cover annual reportable emissions for each year. In the case of an installation the relevant requirements are conditions of the permit (paragraph 2(4) of Schedule 4). The allowances must be surrendered by 30th April in the year following the year in which the emissions arise. Where an insufficient number of allowances are surrendered, the deficit is deemed to be added to the total amount to be surrendered in the following year (paragraph 2(5) of Schedule 4, and regulation 42(2)). Unlike a UK aircraft operator, the operator of an installation may not surrender for that purpose “aviation allowances” allocated or auctioned under Chapter 2 of the Directive.

Regulation 43 enables the regulator to serve an enforcement notice in respect of an existing or future breach of these Regulations, of the Monitoring and Reporting Regulation, or of a permit or aviation emissions plan. The notice must specify what is required to be done to ensure compliance.

Regulation 44 supplements the power to determine the emissions of an installation (or of a UK aircraft operator) given to the regulator by Article 70 of the Monitoring and Reporting Regulation. Thus such a determination may also be made where the operator of an installation has failed to submit a surrender or revocation report under paragraph 4 or 5 of Schedule 4, and may be made for the purpose of imposing a civil penalty or enforcing certain requirements of Schedule 5. The cost of making a determination may be recovered from the operator or UK aircraft operator concerned.

Regulation 45 enables the Secretary of State, or an authority, to obtain relevant information from the regulator, and enables the Secretary of State, or an authority, regulator or registry administrator to obtain relevant information from other persons.

Regulation 46 limits the circumstances in which information obtained under the Regulations may be published or disclosed, and regulation 47 imposes restrictions on the publication of certain information where this would (in the opinion of the Secretary of State) be contrary to the interests of national security.

Part 7 provides for the imposition of civil penalties for the breach of various obligations arising under the Regulations.

Regulation 49 provides for the setting of a “carbon price” for the purposes of certain of these penalties (see below). The procedure for the service of penalty notices is set out in regulation 50, which also provides for a penalty to be recovered as a civil debt. Regulation 51 gives the regulator a discretion in imposing a penalty (other than the penalty under regulation 54(1) for a failure to surrender sufficient allowances).

Regulations 54 to 70 set out the various penalties that apply, which in some cases require a calculation to be made by the regulator. The carbon price set under regulation 49 is used in the calculation of the penalties under regulations 52, 55, 57 and 58. Regulation 52(4) requires authorities to give directions to as to the calculation of a penalty imposed under regulation 52(1).

Regulation 71 requires the regulator to publish the name of any person on whom a penalty for non-surrender of allowances has been imposed under regulation 54(1).

Part 8 provides for appeals against decisions taken under the Regulations or under the Registries Regulation 2010 or 2011.

Regulations 73 and 74 specify which decisions be appealed. There is no limitation of the grounds on which an appeal may be brought. An appeal lies to the appeal body defined by regulation 75, which will be either the First-tier tribunal, the Scottish Ministers, or the Planning Appeals Commission in Northern Ireland. Regulation 76 sets out the circumstances in which the effect of a decision is suspended following the appeal. Regulation 77 provides for the powers of the appeal body in determining the appeal, which may include substituting a new decision for the decision under these Regulations that is appealed against, or giving directions to the regulator or to the registry administrator.

M29M30Regulation 78, with Schedules 11 and 12, provides the procedure for appeals where the appeal body is the Scottish Ministers or the Planning Appeals Commission. The procedure for appeals to the First-tier Tribunal, on the other hand, is provided by the Tribunal Procedure (First-tier Tribunal) (General Regulatory Chamber) Rules 2009 . Appeals are assigned to the General Regulatory Chamber of the First-tier Tribunal by virtue of article 3(a) of the First-tier Tribunal and Upper Tribunal (Chambers) Order 2010 .

Part 9 supplements, where necessary, the directly applicable provisions of the Registries Regulation 2011. That Commission Regulation implements Article 19(1) of the Directive, which requires all allowances issued from 1 January 2012 to be held in a Union Registry on accounts managed by the member States. Regulation 8(1) designates the Environment Agency as the UK “national administrator” for the purposes of that Regulation. When acting in that capacity, the Environment Agency is referred to in these Regulations as the “registry administrator”. The Environment Agency also continues to operate a national registry for the purposes of the United Kingdom's obligations under the Kyoto Protocol. In that capacity it is known as the “KP registry administrator”.

Regulation 80(1) allows the registry administrator to require users of the Union Registry to comply with reasonable terms and conditions. Regulation 80(2) to (4) allocates responsibility for certain procedures under the Registries Regulation 2011, and regulation 80(6), (8) and (9) provides for circumstances in which a registry account must blocked. Regulation 80(15) enables the registry administrator to refuse to open an account, or to approve an authorised representative, where the person concerned is not a fit and proper person. Regulation 81 makes provision for the UK Registry operated for the purposes of the Kyoto Protocol.

Regulation 82 provides for the recovery by the regulator of unpaid fees, either through the court in proceedings for the recovery of a civil debt, or by means of the seizure and sale of allowances.

Regulation 83 provides for the issue of guidance by the authority to the regulator, and by the Secretary of State to the registry (or KP registry) administrator.

Part 11 provides for revocations, savings and transitional provisions.

A full impact assessment of the costs and benefits of this instrument is available from the Department of Energy and Climate Change's Heat and Industry Division (telephone 0300 060 4000), and is published alongside the instrument and its Explanatory Memorandum on the legislation website of The National Archives (http://www.legislation.gov.uk). A transposition note setting out how these Regulations implement the relevant provisions of the Directive is annexed to that Explanatory Memorandum.

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