Commission Regulation (EU) No 1193/2011 of 18 November 2011 establishing a Union Registry for the trading period commencing on 1 January 2013 , and subsequent trading periods, of the Union emissions trading scheme 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 and amending Commission Regulations (EC) No 2216/2004 and (EU) No 920/2010 Text with EEA relevance
(1) "account holder" means a natural or legal person that holds an account in the registries system; (2) "central administrator" means the person designated by the Commission pursuant to Article 20 of Directive 2003/87/EC; (3) "competent authority" means the authority or authorities designated by a Member State pursuant to Article 18 of Directive 2003/87/EC; (4) "external platform" is an external system securely connected to the Union Registry for the purposes of automating functions related to the Union Registry; (5) "verifier" means a verifier as defined in Annex I, section 2, point 5(m) of Commission Decision 2007/589/EC OJ L 229, 31.8.2007, p. 1 .(6) "assigned amount units" or "AAUs" means units issued pursuant to Article 7(3) of Decision No 280/2004/EC; (7) "aviation allowances" or "aEUAs" means allowances created pursuant to Article 3c(2) of Directive 2003/87/EC; (8) "general allowances" or "EUAs" means all other allowances created pursuant to Directive 2003/87/EC; (9) "long-term CERs" or "lCERs" means units issued for an afforestation or reforestation project activity under the CDM which, subject to Decision 5/CMP.1 of the Conference of the Parties serving as the meeting of the Parties to the Kyoto Protocol, expire at the end of the emission reduction crediting period of the afforestation or reforestation project activity under the CDM for which they were issued; (10) "removal units" or "RMUs" means units issued pursuant to Article 3 of the Kyoto Protocol; (11) "temporary CERs" or "tCERs" means units issued for an afforestation or reforestation project activity under the CDM which, subject to Decision 5/CMP.1, expire at the end of the Kyoto Protocol commitment period following the one during which they were issued; (12) "Kyoto units" means AAUs, ERUs, CERs, RMUs, lCERs and tCERs; (13) "process" means an automated technical means to carry out an action relating to an account or a unit in a registry; (14) "transaction" means a process in the Union Registry that includes the transfer of an allowance or Kyoto unit from one account to another account; (15) "surrender" means the accounting of an allowance or a Kyoto unit by an operator or aircraft operator against the verified emissions of its installation or aircraft; (16) "cancellation" means the definitive disposal of a Kyoto unit by its holder without accounting it against verified emissions; (17) "deletion" means the definitive disposal of an allowance by its holder without accounting it against verified emissions; (18) "retirement" means the accounting of a Kyoto unit by a Party to the Kyoto Protocol against the reported emissions of that Party; (19) "money laundering" means the same as defined in Articles 1(2) of Directive 2005/60/EC of the European Parliament and the Council OJ L 309, 25.11.2005, p. 15 .(20) "serious crime" means the same as defined in Article 3, point 5 of Directive 2005/60/EC; (21) "terrorist financing" means the same as defined in Article 1(4) of Directive 2005/60/EC; (22) "national administrator" means the entity responsible for managing on behalf of a Member State a set of user accounts under the jurisdiction of a Member State in the Union Registry, designated in accordance with Article 7; (23) "directors" includes the persons effectively directing the day-to-day operations of a legal person (24) "central European time" means central European summer time during the summer-time period as defined in Articles 1, 2 and 3 of Directive 2000/84/EC of the European Parliament and of the Council OJ L 31, 2.2.2001, p. 21 .
(a) if the information and documents provided are incomplete, out of date or otherwise inaccurate or false; (b) if the prospective account holder, or, if it is a legal person, any of the directors, is under investigation or has been convicted in the preceding five years for fraud involving allowances or Kyoto units, money laundering, terrorist financing or other serious crimes for which the account may be an instrument; (c) if the national administrator has reasonable grounds to believe that the accounts may be used for fraud involving allowances or Kyoto units, money laundering, terrorist financing or other serious crimes; (d) for reasons set out in national law.
(a) transfers to an account on the trusted account list in the Union Registry of the account holder; and (b) transactions initiated by external platforms exempted pursuant to Article 18(4).
(a) if the information and documents provided are incomplete, out of date or otherwise inaccurate or false; (b) if the prospective representative is under investigation or has been convicted in the preceding five years for fraud involving allowances or Kyoto units, money laundering, terrorist financing or other serious crimes for which the account may be an instrument; (c) for reasons set out in national law.
(a) the verifier’s accreditation has expired or has been withdrawn; (b) the verifier ceased operation.
(a) attempted to access accounts or processes for which he is not authorised; (b) repeatedly attempted to access an account or a process using an incorrect username and password; or (c) attempted to compromise the security, the availability, the integrity or the confidentiality of the Union Registry or the EUTL, or of the data handled or stored therein.
(a) the account holder died without a legal successor or ceased to exist as a legal person; (b) the account holder did not pay fees; (c) the account holder violated the terms and conditions applicable to the account; (d) the account holder did not agree to changes in the terms and conditions set by the national administrator or the central administrator; (e) the account holder did not notify changes to account information or provide evidence concerning the changes to account information, or evidence concerning new account information requirements; (f) the account holder failed to maintain the required minimum number of authorised representatives for the account; (g) the account holder failed to maintain compliance with the Member State requirement to have an authorised representative with a permanent residence in the Member State of the national administrator; (h) the account holder failed to maintain compliance with the Member State requirement that the account holder have a permanent residence or registration in the Member State of the administrator of the account.
(a) for a maximum period of two weeks if the administrator has reasonable grounds to believe that the account was used or will be used for fraud, money laundering, terrorist financing or other serious crimes; or (b) on the basis of and in accordance with national law provisions that pursue a legitimate objective.
(a) subject to Article 64 and the reconciliation process foreseen in Article 77 of this Regulation, a transaction shall become final and irrevocable upon its finalisation pursuant to Article 78. Without prejudice to any provision of or remedy under national law that may result in a requirement or order to execute a new transaction in the registry, no law, regulation, rule or practice on the setting aside of contracts or transactions shall lead to the unwinding in the registry of a transaction that has become final and irrevocable under this Regulation; (b) nothing within this Article shall prevent an account holder or a third party from exercising any right or claim resulting from the underlying transaction that they may have in law, including to recovery, restitution or damages, in respect of a transaction that has become final in the registry, for instance in case of fraud or technical error, as long as this does not lead to the reversal, revocation or unwinding of the transaction in the registry.
(a) an installation’s permit has been revoked or has otherwise expired; (b) an installation ceases or partially ceases operation; (c) an installation has had a significant capacity reduction; (d) an installation was split into two or more installations; (e) two or more installations were merged into one installation.
(a) an aircraft operator ceases operation; (b) an aircraft operator was split into two or more aircraft operators; (c) two or more aircraft operators have merged into a single aircraft operator.
(a) transfer a specified number of allowances created for compliance in the same trading period from the relevant operator holding account or aircraft operator holding account into the Union allowance deletion account; (b) record the number and type of transferred allowances as surrendered for the emissions of the operator’s installation or the emissions of the aircraft operator in the current period.
(a) transferring a specified number of allowances from the relevant account into the Union allowance deletion account; and (b) recording the number of transferred allowances as deleted for the current year.
(a) surrender of allowances; (b) deletion of allowances.
(a) allocation of general allowances; (b) allocation of aviation allowances.
(a) a transaction surrendering or deleting allowance to be reversed was not completed more than 30 working days prior to the account administrator’s proposal in accordance with paragraph 3; (b) no operator would become non-compliant for a previous year as a result of the reversal; (c) the destination account of the transaction to be reversed still holds the amount of units of the type that were involved in the transaction to be reversed; (d) the allocation of general allowances to be reversed was carried out after the expiry date of the installation’s permit.
(a) the Union Registry is available for access by account representatives and national administrators 24 hours a day, seven days a week; (b) the communication links referred to in Article 6 between the Union Registry, the EUTL and the ITL are maintained 24 hours a day, seven days a week; (c) backup hardware and software necessary in the event of a breakdown in operations of the primary hardware and software is provided for; (d) the Union Registry and the EUTL respond promptly to requests made by account representatives.
(a) for a maximum period of two weeks if it suspects that the allowances or Kyoto units have been the subject of a transaction constituting fraud, money laundering, terrorist financing or other serious crime; or (b) on the basis of and in accordance with national law provisions that pursue a legitimate objective.
(a) informing the FIU, on their own initiative, where they know, suspect or have reasonable grounds to suspect that money laundering, terrorist financing or criminal activity is being or has been committed or attempted; (b) providing the FIU, at its request, with all necessary information, in accordance with the procedures established by the applicable legislation.
(a) the law enforcement and tax authorities of a Member State; (b) the European Anti-fraud Office of the European Commission; (c) the European Court of Auditors; (d) Eurojust; (e) the competent authorities referred to in Article 11 of Directive 2003/6/EC of the European Parliament and of the Council OJ L 96, 12.4.2003, p. 16 .(f) competent national supervisory authorities; (g) the national administrators of Member States and the competent authorities referred to in Article 18 of Directive 2003/87/EC.
(1) in Article 10, paragraphs 1 to 2 are replaced by the following: "1. Information, including the holdings of all accounts, all transactions made, the unique unit identification code of the allowances and the unique numeric value of the unit serial number of the Kyoto units held or affected by the transaction, held in the registries and the Community independent transaction log shall be considered confidential except as otherwise required by Union law, or by provisions of national law that pursue a legitimate objective compatible with this Regulation and are proportionate. 2. The following entities may obtain data stored in the registries and the CITL: (a) the law enforcement and tax authorities of a Member State; (b) the European Anti-fraud Office of the European Commission; (c) the European Court of Auditors; (d) Eurojust; (e) the competent authorities referred to in Article 11 of Directive 2003/6/EC and in Article 37(1) of Directive 2005/60/EC; (f) the competent national supervisory authorities; (g) registry administrators of Member States and the competent authorities referred to in Article 18 of Directive 2003/87/EC.";
(2) in Article 10, the following paragraph 2f shall be inserted: "2f. Europol shall obtain permanent read-only access to data stored in the Union Registry and the CITL for the purpose of the performance of its tasks in accordance with Council Decision 2009/371/JHA. Europol shall keep the Commission informed of the use it makes of the data."; (3) in Article 21a, paragraph 3 shall be replaced by the following: "3. If there is a positive balance of allowances or Kyoto units on an account which the registry administrator is to close after suspension in accordance with Article 67, the registry administrator shall first request the account holder to specify another account administered by the same administrator to which such allowances or Kyoto units shall then be transferred. If the account holder has not responded to the administrator’s request within 40 working days, the administrator may transfer the allowances or Kyoto units to its national allowance holding account."; (4) Article 69 is replaced by the following: "Article 69 The Commission may instruct the central administrator to suspend access to the Community independent transaction log and a registry administrator may suspend access to his registry where it has a reasonable suspicion that there is a breach of security of or that there exists a serious security risk to the Community independent transaction log or to a registry that threatens the integrity of the Community independent transaction log or of a registry or the integrity of the registries system, which includes the back-up facilities under Article 68."; (5) in Article 70, paragraphs 1 and 2 are replaced by the following: "1. In the event of a breach of security of or a security risk to the Community independent transaction log that may lead to suspension of access, the central administrator shall promptly inform registry administrators of any risks posed to registries. 2. In the event of a breach of security of or a security risk to a registry that may lead to suspension of access, the relevant registry administrator shall promptly inform the central administrator who shall, in turn, promptly inform other registry administrators of any risks posed to registries."; (6) the following Article 70a is inserted: "Article 70a Suspension of access to allowances or Kyoto units in case of a suspected fraudulent transaction 1. An administrator or an administrator acting on request of the competent authority may suspend access to allowances or Kyoto units in the registry it administers: (a) for a maximum period of two weeks if it suspects that the allowances or Kyoto units have been the subject of a transaction constituting fraud, money laundering, terrorist financing or other serious crime; or (b) on the basis of and in accordance with national law provisions that pursue a legitimate objective.
2. The administrator shall immediately inform the competent law enforcement authority of the suspension. 3. A national law enforcement authority of the Member State of the administrator may also instruct the administrator to implement a suspension on the basis of and in accordance with national law."; (7) points 3 to 7 of Annex IV are replaced by the following: "3. Evidence to support the identity of the natural person requesting the account opening, which may be a copy of one of the following: (a) an identity card issued by a State that is a member of the European Economic Area or the Organisation for Economic Cooperation and Development; (b) a passport.
4. Evidence to support the address of the permanent residence of the natural person account holder, which may be a copy of one of the following: (a) the identity document submitted under point 3, if it contains the address of the permanent residence; (b) any other government-issued identity document that contains the address of permanent residence; (c) if the country of permanent residence does not issue identity documents that contain the address of permanent residence, a statement from the local authorities confirming the nominee’s permanent residence; (d) any other document that is customarily accepted in the Member State of the administrator of the account as evidence of the permanent residence of the nominee.
5. The following documents in case of a legal person requesting the account opening: (a) a copy of the instruments establishing the legal entity and a copy of a document proving the registration of the legal entity; (b) bank account details; (c) a confirmation of VAT registration; (d) information on the legal entity’s beneficial owner as defined in Directive 2005/60/EC; (e) list of directors; (f) a copy of the annual report or of the latest audited financial statements, or if no audited financial statements available, a copy of the financial statements stamped by the tax office or the financial director.
6. Evidence to support the registered address of the legal person account holder, if this is not clear from the document submitted in accordance with point 5. 7. The criminal record of the natural person requesting the account opening or if it is a legal person, of its directors. 8. Any copy of a document submitted as evidence under this Annex must be certified as a true copy by a notary public or other similar person specified by the national administrator. Regarding documents issued outside the Member State requesting a copy, the copy must be legalised. The date of the certification or legalisation must not be more than three months prior to the date of application. 9. The administrator of the account may require that the documents submitted are accompanied with a certified translation into a language specified by the administrator. Instead of obtaining paper documents, the administrator of the account may use electronic mechanisms to check the evidence to be submitted in accordance with this Annex."; (8) points 3 to 7 of Annex IVa are replaced by the following: "3. Evidence to support the identity of the nominee, which may be a copy of one of the following: (a) an identity card issued by a State that is a member of the European Economic Area or the Organisation for Economic Cooperation and Development; (b) a passport.
4. Evidence to support the address of the permanent residence of the nominee, which may be a copy of one of the following: (a) the identity document submitted under point 3, if it contains the address of the permanent residence; (b) any other government-issued identity document that contains the address of permanent residence; (c) if the country of permanent residence does not issue identity documents that contain the address of permanent residence, a statement from the local authorities confirming the nominee’s permanent residence; (d) any other document that is customarily accepted in the Member State of the administrator of the account as evidence of the permanent residence of the nominee.
5. Any copy of a document submitted as evidence under this Annex must be certified as a true copy by a notary public or other similar person specified by the national administrator. Regarding documents issued outside the Member State requesting a copy, the copy must be legalised. The date of the certification or legalisation must not be more than three months prior to the date of application. 6. The administrator of the account may require that the documents submitted are accompanied with a certified translation into a language specified by the administrator. 7. Instead of obtaining paper documents, the administrator of the account may use electronic mechanisms to check the evidence to be submitted in accordance with this Annex.".
(1) Regulation (EU) No 920/2010 shall be renamed as follows: "Commission Regulation (EU) No 920/2010 of 7 October 2010 establishing a Union Registry for the periods ending31 December 2012 of the Union emissions trading scheme 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.";(2) in Article 1, the first sentence shall be replaced by the following: "This Regulation lays down general as well as operational and maintenance requirements for the periods ending 31 December 2012 concerning the standardised and secured registries system consisting of registries, and the independent transaction log provided for in Article 20(1) of Directive 2003/87/EC and Article 6 of Decision No 280/2004/EC.";(3) the following Article 1a shall be inserted: "Article 1a Scope This Regulation concerns allowances created in the Union emissions trading scheme for the periods ending 31 December 2012 and Kyoto units.";(4) in Article 2, the following points 25 and 26 shall be added: "25. "directors" includes the persons effectively directing the day-to-day operations of a legal person; 26. "central European time" means central European summer time during the summer-time period as defined in Articles 1, 2 and 3 of Directive 2000/84/EC of the European Parliament and of the Council OJ L 31, 2.2.2001, p. 21 .";
----------------------OJ L 31, 2.2.2001, p. 21 .";(5) Article 3(2) shall be replaced by the following: "2. A Union Registry for the periods ending 31 December 2012 of the Union emissions trading scheme is hereby established. For the purposes of meeting their obligations under Article 19 of Directive 2003/87/EC to ensure the accurate accounting of allowances, from1 January 2012 onwards Member States shall use the Union Registry, which shall also function as a KP registry for the European Community as a separate KP Party. The Union Registry shall provide to national administrators and account holders all the processes described in Chapters IV to VI.";(6) in Article 4, paragraph 1 shall be replaced by the following: "1. A European Union Transaction Log (EUTL), to take the form of a standardised electronic database, is hereby established, pursuant to Article 20 of Directive 2003/87/EC, for transactions within the scope of this Regulation. The EUTL shall also serve to record all information relating to the holdings and transfers of Kyoto units in accordance with Article 6(2) of Decision No 280/2004/EC."; (7) in Article 13, paragraph 4 is deleted; (8) the following Article 13a is added: "Article 13a Opening of trading accounts in the Union Registry From 30 June 2012 , the opening of trading accounts in the Union Registry may be requested. Subject to Articles 43 and 44, the rules set out in this Regulation for person holding accounts shall applymutatis mutandis .";(9) in Article 14, paragraphs 1 and 2 are replaced by the following: "1. Trading platforms may submit a request for a trading platform holding account in the Union Registry. This request shall be submitted to the national administrator. The person requesting the account shall provide information as required by the national administrator. This information shall include, at a minimum, the information set out in Annex III and evidence that the trading platform ensures a level of security equivalent or higher than the security ensured by the Union Registry in accordance with this Regulation. 2. National administrators shall ensure that external platforms conform to the technical and security requirements described in the data exchange and technical specifications provided for in Article 71."; (10) in Article 14, paragraph 4 is replaced by the following: "4. The approval of an additional authorised representative pursuant to Article 19(2) shall not be required for transactions initiated by exempted trading platforms. A trading platform may be exempted by the national administrator upon written request if the external trading platform provides evidence that it has security arrangements in place that offer at least a level of protection afforded by the requirement in Article 19(2). The minimum technical and security requirements shall be set out in the data exchange and technical specifications provided for in Article 71. The national administrator concerned shall notify the Commission of such requests without delay. Exemptions pursuant to this paragraph shall be made public by the Commission."; (11) in Article 16, the following paragraph 4 is added: "4. The status of aircraft operator holding accounts shall be changed from blocked to open following the entry of verified emissions pursuant to Article 29 and a compliance status figure greater than or equal to 0 calculated pursuant to Article 31 paragraph 1. The status of the account shall also be changed to open at an earlier date following receipt by the national administrator of a request by the account holder to activate its account for trading, provided that such a request contains, at a minimum, any required elements specified in the data exchange and technical specifications provided for in Article 71."; (12) Article 18 is replaced by the following: "Article 18 Refusal to open an account 1. The national administrator shall verify whether the information and documents provided for account opening are complete, up to date, accurate and true. 2. A national administrator may refuse to open an account: (a) if the information and documents provided are incomplete, out of date or otherwise inaccurate or false; (b) if the prospective account holder, or, if it is a legal person, any of the directors, is under investigation or has been convicted in the preceding five years for fraud involving allowances or Kyoto units, money laundering, terrorist financing or other serious crimes for which the account may be an instrument; (c) if the national administrator has reasonable grounds to believe that the accounts may be used for fraud involving allowances or Kyoto units, money laundering, terrorist financing or other serious crimes; (d) for reasons set out in national law.
3. If the national administrator refuses to open an account, the person requesting the account opening may object to the relevant authority under national law, who shall either instruct the national administrator to open the account or uphold the refusal in a reasoned decision, subject to requirements of national law that pursue a legitimate objective compatible with this Regulation and are proportionate."; (13) in Article 19, paragraphs 1 and 2 are replaced by the following: "1. Each account, with the exception of the verifier account, shall have at least two authorised representatives. A verifier account shall have at least one authorised representative. The authorised representatives shall initiate transactions and other processes on behalf of the account holder. 2. Accounts may have one or more additional authorised representatives. The approval of an additional authorised representative is required in addition to the approval of an authorised representative, in order to initiate a transaction, except for: (a) transfers to an account on the trusted account list in the Union Registry of the account holder; (b) transactions initiated by trading platforms exempted pursuant to Article 14(4); and (c) surrender of allowances, ERUs and CERs pursuant to Chapter VI, Section 3.";
(14) in Article 19, paragraph 2a is inserted: "2a. In addition to the authorised representatives specified in paragraph 1, accounts may have authorised representatives with view only access to the account."; (15) in Article 20, the following paragraphs 3a and 3b are inserted: "3a. The national administrator shall verify whether the information and documents provided for nominating an authorised representative or additional authorised representative are complete, up to date, accurate and true. 3b. A national administrator may refuse to approve an authorised representative or additional authorised representative: (a) if the information and documents provided are incomplete, out of date or otherwise inaccurate or false; (b) if the prospective representative is under investigation or has been convicted in the preceding five years for fraud involving allowances or Kyoto units, money laundering, terrorist financing or other serious crimes for which the account may be an instrument; (c) for reasons set out in national law.";
(16) the following Article 21a is inserted: "Article 21a Trusted account list 1. From 30 June 2012 , operator holding accounts, aircraft operator holding accounts, person holding accounts and trading accounts may have a trusted account list in the Union Registry.2. Accounts held by the same account holder shall be automatically included on the trusted account list. 3. Changes to the trusted account list shall be initiated and completed through the procedure set out in Article 32a for transactions specified in Chapter VI. The change shall be confirmed by an additional authorised representative, or, if no additional authorised representative has been nominated, by another authorised representative. The delay specified in Article 32a(4) shall not apply for the deletion of accounts from the trusted account list; for all other changes to the trusted account list the delay shall be seven days."; (17) in Article 27, paragraph 2a is inserted: "2a. An administrator may suspend the access of all authorised representatives or additional authorised representatives to a specific account and the possibility to initiate processes from that account: (a) for a maximum period of two weeks if the administrator has reasonable grounds to believe that the account was used or will be used for fraud, money laundering, terrorist financing or other serious crimes; or (b) on the basis of and in accordance with national law provisions that pursue a legitimate objective.";
(18) in Article 29, paragraphs 4 and 5 are replaced by the following: "4. Upon the satisfactory verification in accordance with Article 15, first paragraph of Directive 2003/87/EC of an operator’s report on the emissions from an installation during a previous year, or of an aircraft operator’s report on the emissions from all aviation activities it performed during a previous year, the verifier or the competent authority shall approve the annual verified emissions. 5. The emissions approved in accordance with paragraph 4 shall be marked as verified in the Union Registry by the national administrator or the competent authority. The competent authority may decide that instead of the national administrator, the verifier shall be responsible for marking emissions as verified in the Union Registry."; (19) the following Articles 32a and 32b are inserted under "Chapter VI TRANSACTIONS": "Article 32a Execution of transfers 1. For all transactions specified in Chapter VI that are not initiated by a trading platform, an out-of-band confirmation shall be required by the Union Registry before the transaction can be initiated. A transaction shall only be initiated where an additional authorised representative whose approval is required pursuant to Article 19(2), has confirmed the transaction out of band. 2. For all transfers of allowances and Kyoto units specified in Articles 43 and 44, the transfer shall be initiated immediately if it is confirmed between 10:00 and 16:00 central European time between Monday and Friday inclusive, with the exception of public holidays in the Member States deciding to suspend the running of the delay pursuant to paragraph 3. A transfer confirmed at any other time shall be initiated on the next day, Monday to Friday, at 10:00 central European time. 3. For all transfers of allowances and Kyoto units specified in Articles 43 and 44, except for transfers from a trading account to an account on the trusted account list of that account, a delay of 26 hours shall apply between the initiation and the transfer being communicated for finalisation pursuant to Article 70. The running of this delay shall be suspended between 00:00 and 24:00 central European time on Saturdays and Sundays. Member States may decide to also suspend the running of this delay between 00:00 and 24:00 central European time on national public holidays for a given year, subject to publication of that decision by 1 December of the previous year. 4. If an account representative suspects that a transfer was initiated fraudulently, at the latest two hours before the end of the delay provided in paragraph 3 they may request the national administrator to cancel the transfer on their behalf before the transfer is communicated for finalisation. The account holder shall report the suspected fraud to the competent national law enforcement authority immediately following the request. That report shall be forwarded to the national administrator within seven days. 5. Upon initiation pursuant to paragraphs 1 and 2, a notification shall be sent to all account representatives indicating the proposed initiation of the transfer. Article 32b Nature of allowances and finality of transactions 1. An allowance or Kyoto unit shall be a fungible, dematerialised instrument that is tradable on the market. 2. The dematerialised nature of allowances and Kyoto units shall imply that the record of the Union Registry shall constitute prima facie and sufficient evidence of title over an allowance or Kyoto unit, and of any other matter which is by this Regulation directed or authorised to be recorded in the registry. 3. The fungibility of allowances and Kyoto units shall imply that any recovery or restitution obligations that may arise under national law in respect of an allowance or Kyoto unit shall only apply to the allowance or Kyoto unit in kind. In particular: (a) subject to Article 51 and the reconciliation process foreseen in Article 69 of this Regulation, a transaction shall become final and irrevocable upon its finalisation pursuant to Article 70. Without prejudice to any provision of or remedy under national law that may result in a requirement or order to execute a new transaction in the registry, no law, regulation, rule or practice on the setting aside of contracts or transactions shall lead to the unwinding in the registry of a transaction that has become final and irrevocable under this Regulation; (b) nothing within this Article shall prevent an account holder or a third party from exercising any right or claim resulting from the underlying transaction that they may have in law, including to recovery, restitution, or damages, in respect of a transaction that has become final in the registry, for instance in case of fraud or technical error, as long as this does not lead to the reversal, revocation or unwinding of the transaction in the registry.
4. A purchaser and holder of an allowance or Kyoto unit acting in good faith shall acquire title to an allowance or Kyoto unit free of any defects in the title of the transferor."; (20) in Article 34, paragraph 1 point (d) is replaced by the following: "(d) the identity of the receivers of the allocation (in the case of allowances allocated through auction, the receiver shall be the account set up for that purpose by Commission Regulation (EU) No 1193/2011 OJ L 315, 29.11.2011, p. 1 .";
----------------------OJ L 315, 29.11.2011, p. 1 .";(21) Articles 43 and 44 shall be replaced by the following: "Article 43 Transfers of allowances by account holders 1. Subject to paragraph 2, upon request of an account holder, the Union Registry shall carry out any transfer of allowances held in its Union Registry account to any other account in the Union Registry, unless such transfer is prevented by the status of the initiating account or the type of allowances that may be held in the acquiring account in accordance with Article 8(3). 2. From 30 June 2012 , the operator holding accounts, aircraft operator holding accounts, person holding accounts and trading platforms may only transfer allowances to an account on the trusted account list set up pursuant to Article 21a.Article 44 Transfers of Kyoto units by account holders 1. Subject to paragraph 2, upon request of an account holder, the Union Registry shall carry out any transfer of Kyoto units held in a Union registry account to any other account in the Union Registry or in a KP registry, unless such transfer is prevented by the status of the initiating account or the Kyoto units that may be held in the acquiring account in accordance with Article 8(3). 2. From 30 June 2012 , the operator holding accounts, aircraft operator holding accounts, person holding accounts and trading platforms may only transfer Kyoto units to an account on the trusted account list set up pursuant to Article 21a.";(22) Article 50 is replaced by the following: "Article 50 Cancellation of Kyoto units The Union Registry shall carry out any request from an account holder pursuant to Article 12(4) of Directive 2003/87/EC to cancel Kyoto units held in the accounts of the account holder by transferring a specified type and number of Kyoto units from the relevant account into the cancellation account of the account administrator’s KP registry or the cancellation account of the Union Registry."; (23) Article 51, paragraph 4, point (a) shall be replaced by the following: "(a) the transaction to be reversed was not completed more than 30 working days prior to the account administrator’s proposal in accordance with paragraph 3, except for allocation of Chapter III allowances and allocation of Chapter II allowances;";
(24) in Article 63, paragraph 4a is inserted: "4a. The authorised representative shall take all necessary measures to prevent the loss, theft or compromise of its credentials. The authorised representative shall immediately report to the national administrator the loss, theft or compromise of its credentials."; (25) Article 64 is replaced by the following: "Article 64 Suspension of all access due to a security breach or a security risk 1. The Commission may instruct the central administrator to suspend access to the Union Registry or the EUTL or any parts thereof where it has a reasonable suspicion that there is a breach of security of the Union Registry or the EUTL or that there exists a serious security risk to the Union Registry or the EUTL that threatens the integrity of the system, which includes the back-up facilities referred to in Article 59. 2. In the event of a breach of security or a security risk that may lead to suspension of access, an administrator who becomes aware of the breach or risk shall promptly inform the central administrator of any risks posed to other parts of the registries system. The central administrator shall then inform all other administrators. 3. If an administrator becomes aware of a situation that requires the suspension of all access to its system, it shall inform the central administrator and account holders with such prior notice of the suspension as is practicable. The central administrator will then inform all other administrators as soon as possible. 4. The notice referred to in paragraph 3 shall include the likely duration of the suspension and shall be clearly displayed on the public area of the EUTL’s website."; (26) the following Article 64a is inserted: "Article 64a Suspension of access to allowances or Kyoto units in case of a suspected fraudulent transaction 1. An administrator or an administrator acting on request of the competent authority may suspend access to allowances or Kyoto units in the registry it administers: (a) for a maximum period of two weeks if it suspects that the allowances or Kyoto units have been the subject of a transaction constituting fraud, money laundering, terrorist financing or other serious crime; or (b) on the basis of and in accordance with national law provisions that pursue a legitimate objective.
2. The Commission may instruct the central administrator to suspend access to allowances or Kyoto units in the Union Registry or the EUTL for a maximum period of two weeks if it suspects that the allowances or Kyoto units have been the subject of a transaction constituting fraud, money laundering, terrorist financing or other serious crime. 3. The administrator or the Commission shall immediately inform the competent law enforcement authority of the suspension. 4. A national law enforcement authority of the Member State of the administrator may also instruct the administrator to implement a suspension on the basis of and in accordance with national law."; (27) Article 71 is replaced by the following: "Article 71 Data exchange and technical specifications 1. The Commission shall make available to administrators data exchange and technical specifications necessary for exchanging data between registries and transaction logs, including the identification codes, automated checks and response codes, as well as the testing procedures and security requirements necessary for the launching of data exchange. 2. The data exchange and technical specifications shall be drawn up in consultation with the Administrators’ Working Group of the Climate Change Committee and shall be consistent with the functional and technical specifications for data exchange standards for registry systems under the Kyoto Protocol elaborated pursuant to Decision 12/CMP.1."; (28) Article 75 is amended as follows: (a) paragraphs 1 to 3 are replaced by the following: "1. Information, including the holdings of all accounts, all transactions made, the unique unit identification code of the allowances and the unique numeric value of the unit serial number of the Kyoto units held or affected by the transaction, held in the EUTL, the Union Registry and every other KP registry shall be considered confidential except as otherwise required by Union law, or by provisions of national law that pursue a legitimate objective compatible with this Regulation and are proportionate. 2. The following entities may obtain data stored in the Union Registry and the EUTL: (a) the law enforcement and tax authorities of a Member State; (b) the European Anti-fraud Office of the European Commission; (c) the European Court of Auditors; (d) Eurojust; (e) the competent authorities referred to in Article 11 of Directive 2003/6/EC and in Article 37(1) of Directive 2005/60/EC; (f) competent national supervisory authorities; (g) the national administrators of Member States and the competent authorities referred to in Article 18 of Directive 2003/87/EC.
3. Data may be provided to the entities listed under paragraph 2 upon their request to the central administrator or to a national administrator if such requests are necessary for the performance of their tasks."; (b) the following paragraph 5a shall be inserted: "5a. Europol shall obtain permanent read-only access to data stored in the Union Registry and the EUTL for the purpose of the performance of its tasks in accordance with Council Decision 2009/371/JHA. Europol shall keep the Commission informed of the use it makes of the data."; (c) paragraph 6 is replaced by the following: "6. National administrators shall make available through secure means to all other national administrators and the central administrator the names and identities of persons for whom they refused to open an account for in accordance with Article 13(3) or 14(3), or whom they refused to nominate as an authorised representative or additional authorised representative in accordance with Article 20(3) and the names and identities of the account holder, authorised representative or additional authorised representative of accounts to which access has been suspended in accordance with Articles 64 and 64a or of accounts that have been closed in accordance with Article 28.";
(29) in Article 77, paragraph 2a is inserted: "2a. Before migration, person holding accounts shall be checked by national administrators to ensure that the information submitted for account opening are complete, up to date, accurate and true."; (30) Annex IV shall be replaced by the following: (31) Annex IX is replaced by the following: (32) Annex XIII is amended as follows: (a) point 4(c) is replaced by the following: "(c) the amount of allowances or Kyoto units involved in the transaction, without the unique unit identification code of the allowances and the unique numeric value of the unit serial number of the Kyoto units;";
(b) point 5(a) is replaced by the following: "(a) current holdings of allowances and Kyoto units, without unique unit identification code of the allowances and the unique numeric value of the unit serial number of the Kyoto units;".
(a) an identity card issued by a State that is a member of the European Economic Area or the Organisation for Economic Cooperation and Development; (b) a passport.
(a) the identity document submitted under point 3, if it contains the address of the permanent residence; (b) any other government-issued identity document that contains the address of permanent residence; (c) if the country of permanent residence does not issue identity documents that contain the address of permanent residence, a statement from the local authorities confirming the nominee’s permanent residence; (d) any other document that is customarily accepted in the Member State of the administrator of the account as evidence of the permanent residence of the nominee.
(a) a copy of the instruments establishing the legal entity and a copy of a document proving the registration of the legal entity; (b) bank account details; (c) a confirmation of VAT registration; (d) information on the legal entity’s beneficial owner as defined in Directive 2005/60/EC; (e) list of directors; (f) a copy of the annual report or of the latest audited financial statements, or if no audited financial statements available, a copy of the financial statements stamped by the tax office or the financial director.
| A | B | C | D | E | F | |
|---|---|---|---|---|---|---|
| Item No | Account detail item | Mandatory or optional? | Type | Can be updated? | Is approval from NA needed for update? | Displayed on UR public website? |
| 1 | Person ID | M | Free | No | n.a. | No |
| 2 | Type of AR | M | Choice | Yes | No | Yes |
| 3 | First name | M | Free | Yes | Yes | No |
| 4 | Last name | M | Free | Yes | Yes | No |
| 5 | Title | O | Free | Yes | No | No |
| 6 | Job title | O | Free | Yes | No | No |
| Company name | O | Free | Yes | No | No | |
| Company department | O | Free | Yes | No | No | |
| 7 | Country | M | Preset | No | n.a. | No |
| 8 | Region or State | O | Free | Yes | Yes | No |
| 9 | City | M | Free | Yes | Yes | No |
| 10 | Postcode | M | Free | Yes | Yes | No |
| 11 | Address — line 1 | M | Free | Yes | Yes | No |
| 12 | Address — line 2 | O | Free | Yes | Yes | No |
| 13 | Telephone 1 | M | Free | Yes | No | No |
| 14 | Mobile phone | M | Free | Yes | Yes | No |
| 15 | E-mail address | M | Free | Yes | Yes | No |
| 16 | Date of birth | M | Free | No | n.a. | No |
| 17 | Place of birth — city | M | Free | No | n.a. | No |
| 18 | Place of birth — country | M | ||||
| 18 | Preferred language | O | Choice | Yes | No | No |
| 19 | Confidentiality level | O | Choice | Yes | No | No |
| 20 | AARs rights | M | Multiple choice | Yes | No | No |
(a) an identity card issued by a State that is a member of the European Economic Area or the Organisation for Economic Cooperation and Development; (b) a passport.
(a) the identity document submitted under point 3, if it contains the address of the permanent residence; (b) any other government-issued identity document that contains the address of permanent residence; (c) if the country of permanent residence does not issue identity documents that contain the address of permanent residence, a statement from the local authorities confirming the nominee’s permanent residence; (d) any other document that is customarily accepted in the Member State of the administrator of the account as evidence of the permanent residence of the nominee.
| Account type name | Account holder | Account administrator | No of accounts of this type | Allowances (non-Kyoto units) | Kyoto units | ||||
|---|---|---|---|---|---|---|---|---|---|
| General allowances | Aviation allowances | AAU | CER | ERU | lCER/tCER/RMU | ||||
| EU Total Quantity Account | EU | Central administrator | 1 | No | No | No | No | No | |
| EU Aviation Total Quantity Account | EU | Central administrator | 1 | No | No | No | No | No | |
| EU Auction Account | EU | Central administrator | 1 | No | No | No | No | No | |
| EU Allocation Account | EU | Central administrator | 1 | No | No | No | No | No | |
| EU New Entrant Reserve Account | EU | Central administrator | 1 | No | No | No | No | No | |
| EU Aviation Auction Account | EU | Central administrator | 1 | No | No | No | No | No | |
| EU Special Reserve Account | EU | Central administrator | 1 | No | No | No | No | No | |
| EU Aviation Allocation Account | EU | Central administrator | 1 | No | No | No | No | No | |
| Union Deletion Account | EU | Central administrator | 1 | No | No | No | No | ||
| Auction Delivery Account | Auctioneer, auction platform, Clearing System or Settlement System | National administrator that has opened the account | One or more for each auction platform | No | No | No | No | ||
| Operator holding account | Operator | National administrator of the MS where installation is located | One for each installation | No | by MS | By MS | |||
| Aircraft operator holding account | Aircraft operator | National administrator of the MS administering the aircraft operator | One for each aircraft operator | by MS | By MS | ||||
| Person holding account | Person | National administrator or central administrator that has opened the account | As approved | by MS | By MS | ||||
| National holding account | Member State | National administrator of the MS holding the account | 1 or more for each MS | ||||||
| Trading account | Person | National administrator or central administrator that has opened the account | As approved | by MS | Yes | Yes | By MS | ||
| External platform account | External platform | National administrator that has opened the account | One per MS for each external platform | by MS | by MS | ||||
| Verifier account | Verifier | National administrator that has opened the account | One per MS for each verifier | No | No | No | No | No | No |
| A | B | C | D | E | F | |
|---|---|---|---|---|---|---|
| Item No | Account detail item | Mandatory or optional? | Type | Can be updated? | Is approval from NA needed for update? | Displayed on UR public website? |
| 1 | Account ID (given by UR) | M | Preset | No | n.a. | No |
| 2 | Account type | M | Choice | No | n.a. | Yes |
| 3 | Commitment period | M | Choice | No | n.a. | Yes |
| 4 | Account holder ID (given by UR) | M | Free | Yes | Yes | Yes |
| 5 | Account holder name | M | Free | Yes | Yes | Yes |
| 6 | Account identifier (given by account holder) | M | Free | Yes | No | No |
| 7 | AH Address — country | M | Choice | Yes | Yes | Yes |
| 8 | AH Address — region or State | O | Free | Yes | Yes | Yes |
| 9 | AH Address — city | M | Free | Yes | Yes | Yes |
| 10 | AH Address — postcode | M | Free | Yes | Yes | Yes |
| 11 | AH Address — line 1 | M | Free | Yes | Yes | Yes |
| 12 | AH Address — line 2 | O | Free | Yes | Yes | Yes |
| 13 | AH Company registration No or ID No | M | Free | Yes | Yes | Yes |
| 14 | AH Telephone 1 | M | Free | Yes | No | No |
| 15 | AH Telephone 2 | M | Free | Yes | No | No |
| 16 | AH E-mail address | M | Free | Yes | No | No |
| 17 | Date of birth (for natural persons) | M for natural persons | Free | No | n.a. | No |
| 18 | Place of birth — city (for natural persons) | M for natural persons | Free | No | n.a. | No |
| 19 | Place of birth — country | O | Free | No | n.a. | No |
| 20 | VAT registration number with country code | M where assigned | Free | Yes | Yes | No |
| 21 | Account opening date | M | Preset | No | n.a. | Yes |
| 22 | Account closing date | O | Preset | Yes | Yes | Yes |
(a) an identity card issued by a State that is a member of the European Economic Area or the Organisation for Economic Cooperation and Development; (b) a passport.
(a) the identity document submitted under point 3, if it contains the address of the permanent residence; (b) any other government-issued identity document that contains the address of permanent residence; (c) if the country of permanent residence does not issue identity documents that contain the address of permanent residence, a statement from the local authorities confirming the nominee’s permanent residence; (d) any other document that is customarily accepted in the Member State of the administrator of the account as evidence of the permanent residence of the nominee.
(a) a copy of the instruments establishing the legal entity and a copy of a document proving the registration of the legal entity; (b) bank account details; (c) a confirmation of VAT registration; (d) information on the legal entity’s beneficial owner as defined in Directive 2005/60/EC; (e) list of directors; (f) a copy of the annual report or of the latest audited financial statements, or if no audited financial statements available, a copy of the financial statements stamped by the tax office or the financial director.
| A | B | C | D | E | F | |
|---|---|---|---|---|---|---|
| Item No | Account detail item | Mandatory or optional? | Type | Can be updated? | Is approval from NA needed for update? | Displayed on UR public website? |
| 1 | Installation ID | M | Preset | No | — | Yes |
| 2 | Permit ID | M | Free | Yes | Yes | Yes |
| 3 | Permit entry into force date | M | Free | No | — | Yes |
| 4 | Permit expiry date | O | Free | Yes | Yes | Yes |
| 5 | Installation name | M | Free | Yes | Yes | Yes |
| 6 | Installation activity type | M | Choice | Yes | Yes | Yes |
| 7 | Installation address — country | M | Preset | Yes | Yes | Yes |
| 8 | Installation address — region or State | O | Free | Yes | Yes | Yes |
| 9 | Installation address — city | M | Free | Yes | Yes | Yes |
| 10 | Installation address — postcode | M | Free | Yes | Yes | Yes |
| 11 | Installation address — line 1 | M | Free | Yes | Yes | Yes |
| 12 | Installation address — line 2 | O | Free | Yes | Yes | Yes |
| 13 | Installation telephone 1 | M | Free | Yes | No | No |
| 14 | Installation telephone 2 | M | Free | Yes | No | No |
| 15 | Installation e-mail address | M | Free | Yes | No | No |
| 16 | Parent company | O | Free | Yes | No | Yes |
| 17 | Subsidiary company | O | Free | Yes | No | Yes |
| 18 | EPRTR identification number | M where assigned | Free | Yes | No | Yes |
| 19 | Latitude | O | Free | Yes | No | Yes |
| 20 | Longitude | O | Free | Yes | No | Yes |
| A | B | C | D | E | F | |
|---|---|---|---|---|---|---|
| Item No | Account detail item | Mandatory or optional? | Type | Can be updated? | Is approval from NA needed for update? | Displayed on UR public website? |
| 1 | Verifier | O | Choice | Yes | No | Yes |
| Company name | O | Free | Yes | No | Yes | |
| Company department | O | Free | Yes | No | Yes | |
| 2 | Contact person within MS first name | O | Free | Yes | No | No |
| 3 | Contact person within MS last name | O | Free | Yes | No | No |
| 4 | Contact person address — country | O | Preset | Yes | No | Yes |
| 5 | Contact person address — region or State | O | Free | Yes | No | Yes |
| 6 | Contact person address — city | O | Free | Yes | No | Yes |
| 7 | Contact person address — postcode | O | Free | Yes | No | Yes |
| 8 | Contact person address — line 1 | O | Free | Yes | No | Yes |
| 9 | Contact person address — line 2 | O | Free | Yes | No | Yes |
| 10 | Contact person telephone 1 | O | Free | Yes | No | No |
| 11 | Contact person telephone 2 | O | Free | Yes | No | No |
| 12 | Contact person e-mail address | O | Free | Yes | No | No |
| A | B | C | D | E | F | |
|---|---|---|---|---|---|---|
| Item No | Account detail item | Mandatory or optional? | Type | Can be updated? | Is approval from NA needed for update? | Displayed on UR public website? |
| 1 | Aircraft operator ID (assigned by Union Registry) | M | Free | No | — | Yes |
| 2 | Unique code under Commission Regulation (EC) No 748/2009 | M | Free | Yes | Yes | Yes |
| 3 | Call sign (ICAO designator) | O | Free | Yes | Yes | Yes |
| 4 | Monitoring plan ID | M | Free | Yes | Yes | Yes |
| 5 | Monitoring plan — first year of applicability | M | Free | No | — | Yes |
| 6 | Monitoring plan — year of expiry | O | Free | Yes | Yes | Yes |
| A | B | C | D | E | F | |
|---|---|---|---|---|---|---|
| Item No | Account detail item | Mandatory or optional? | Type | Can be updated? | Is approval from NA needed for update? | Displayed on UR public website? |
| 1 | Person ID | M | Free | No | n.a. | No |
| 2 | Type of AR | M | Choice | Yes | No | Yes |
| 3 | First name | M | Free | Yes | Yes | No |
| 4 | Last name | M | Free | Yes | Yes | No |
| 5 | Title | O | Free | Yes | No | No |
| 6 | Job title | O | Free | Yes | No | No |
| Company name | O | Free | Yes | No | No | |
| Company department | O | Free | Yes | No | No | |
| 7 | Country | M | Preset | No | n.a. | No |
| 8 | region or state | O | Free | Yes | Yes | No |
| 9 | City | M | Free | Yes | Yes | No |
| 10 | Postcode | M | Free | Yes | Yes | No |
| 11 | Address — line 1 | M | Free | Yes | Yes | No |
| 12 | Address — line 2 | O | Free | Yes | Yes | No |
| 13 | Telephone 1 | M | Free | Yes | No | No |
| 14 | Mobile phone | M | Free | Yes | Yes | No |
| 15 | E-mail address | M | Free | Yes | Yes | No |
| 16 | Date of birth | M | Free | No | n.a. | No |
| 17 | Place of birth — city | M | Free | No | n.a. | No |
| 18 | Place of birth — country | M | ||||
| 19 | Preferred language | O | Choice | Yes | No | No |
| 20 | Confidentiality level | O | Choice | Yes | No | No |
| 21 | AARs rights | M | Multiple choice | Yes | No | No |
(a) an identity card issued by a State that is a member of the European Economic Area or the Organisation for Economic Cooperation and Development; (b) a passport.
(a) the identity document submitted under point 3., if it contains the address of the permanent residence; (b) any other government-issued identity document that contains the address of permanent residence; (c) if the country of permanent residence does not issue identity documents that contain the address of permanent residence, a statement from the local authorities confirming the nominee’s permanent residence; (d) any other document that is customarily accepted in the Member State of the administrator of the account as evidence of the permanent residence of the nominee.
| A | B | C | |
|---|---|---|---|
| 1 | Installation ID: | ||
| 2 | Reporting year | ||
| in tonnes | in tonnes of CO | ||
| 3 | CO | ||
| 4 | N | ||
| 5 | PFC emissions | ||
| 6 | Total emissions | — | Σ (C2 + C3 + C4) |
| Name | Quantity of general allowances allocated free of charge | ||||||||
|---|---|---|---|---|---|---|---|---|---|
| Pursuant to Article 10a(7) of Directive 2003/87/EC | Pursuant to Article 10c of Directive 2003/87/EC (transferable) | Pursuant to Article 10c of Directive 2003/87/EC (non-transferable) | Pursuant to another provision of Directive 2003/87/EC | Total | |||||
| Country code of Member State | Manual input | ||||||||
| 3 | Account ID of installation A | Manual input | |||||||
| 4 | Quantity to be allocated to installation A: | ||||||||
| 5 | in year 2013 | Manual input | |||||||
| 6 | in year 2014 | Manual input | |||||||
| 7 | in year 2015 | Manual input | |||||||
| 8 | in year 2016 | Manual input | |||||||
| 9 | … | Manual input | |||||||
| 10 | Account ID of installation B | Manual input | |||||||
| 11 | Quantity to be allocated to installation B: | ||||||||
| 12 | in year 2013 | Manual input | |||||||
| 13 | in year 2014 | Manual input | |||||||
| 14 | in year 2015 | Manual input | |||||||
| 15 | in year 2016 | Manual input | |||||||
| Row No | Name | Quantity of aviation allowances allocated free of charge | |||||
|---|---|---|---|---|---|---|---|
| Pursuant to Article 3e of Directive 2003/87/EC | Pursuant to Article 3f of Directive 2003/87/EC | In Total | |||||
| Country code of Member State | Manual input | ||||||
| 3 | Account ID of aircraft operator A | Manual input | |||||
| 4 | Quantity to be allocated to aircraft operator A: | ||||||
| 5 | in year 2013 | Manual input | |||||
| 6 | in year 2014 | Manual input | |||||
| 7 | in year 2015 | Manual input | |||||
| 8 | in year 2016 | Manual input | |||||
| 9 | … | Manual input | |||||
| 10 | Account ID of aircraft operator B | Manual input | |||||
| 11 | Quantity to be allocated to aircraft operator B: | ||||||
| 12 | in year 2013 | Manual input | |||||
| 13 | in year 2014 | Manual input | |||||
| 14 | in year 2015 | Manual input | |||||
| 15 | in year 2016 | Manual input | |||||
| 16 | in year 2017 | Manual input | |||||
| Identification code of the auction platform | ||||
| Identity of the auction monitor | ||||
| The Auction Delivery Account number | ||||
| Individual volume of the auction | Date and time of delivery to the Auction Delivery Account | Identity of the auctioneer(s) connected to each auction | Manual input | |
| Manual input | ||||
| Manual input | ||||
| Manual input | ||||
| Manual input | ||||
| Manual input | ||||
| Manual input | ||||
| Manual input | ||||
| Manual input | ||||
| Manual input | ||||
| Manual input | ||||
| Manual input | ||||
| Manual input | ||||
| Manual input | ||||
| Manual input | ||||
(a) all information indicated as to be "displayed on UR public website" in Tables II-I, V-I, V-II, VI-I, VII-I. This information shall be updated every 24 hours; (b) allowances allocated to individual account holders pursuant to Article 40 and Article 41. This information shall be updated every 24 hours; (c) the status of the account in accordance with Article 9(1). This information shall be updated every 24 hours; (d) the number of allowances surrendered in accordance with Article 62; (e) the verified emissions figure, along with its corrections for the installation related to the operator holding account for year X shall be displayed from 1 April onwards of year (X + 1); (f) a symbol and a statement indicating whether the installation or aircraft operator related to the operator holding account surrendered a number of allowances by 30 April that is at least equal to all its emissions in all past years. The symbols and the statements to be displayed are set out in Table XIII-I. The symbol shall be updated on 1 May and, except for the addition of a * in cases described under row 5 of Table XIII-I, it shall not change until the next 1 May. Table XIII-I: Compliance statements Row No Compliance status figure according to Article 34 Verified emissions are recorded for last complete year? Symbol Statement to be displayed on EUTL public website 1 0 or any positive number Yes A "The number of allowances surrendered by 30 April is greater than or equal to verified emissions" 2 any negative number Yes B "The number of allowances surrendered by 30 April is lower than verified emissions" 3 any number No C "Verified emissions for preceding year were not entered until 30 April" 4 any number No (because the allowance surrender process and/or verified emissions update process being suspended for the Member State’s registry) X "Entering verified emissions and/or surrendering was impossible until 30 April due to the allowance surrender process and/or verified emissions update process being suspended for the Member State’s registry" 5 any number Yes or No (but subsequently updated by the competent authority) * [added to the initial symbol] "Verified emissions were estimated or corrected by the competent authority."
(a) the national allocation table of each Member State, including indications of any changes made to the table in accordance with Article 50; (b) the national aviation allocation table of each Member State, including indications of any changes made to the table in accordance with Article 54; (c) the auction tables of each auction platform, including indications of any changes made to the tables in accordance with Article 58; (d) the total number of allowances, ERUs and CERs held in the Union Registry in all user accounts on the previous day; (e) a list of the unit IDs of all allowances that were surrendered, marking those units that were transferred out of the account they were surrendered into and are now held in person holding accounts or operator holding accounts; (f) a listing of the types of Kyoto units other than CERs and ERUs that can be held in user accounts administered by a particular national administrator in accordance with Annex I; (g) the fees charged by national administrators in accordance with Article 84.
(a) the percentage share of allowances surrendered in each Member State in the preceding calendar year that were surrendered from the account to which they were allocated to; (b) the sum of verified emissions by Member State entered for the preceding calendar year as a percentage of the sum of verified emissions of the year before that year; (c) the percentage share belonging to accounts administered by a particular Member State in the number and volume of all allowance and Kyoto unit transfer transactions in the preceding calendar year; (d) the percentage share belonging to accounts administered by a particular Member State in the number and volume of all allowance and Kyoto unit transfer transactions in the preceding calendar year between accounts administered by different Member States.
(a) account holder name and account holder ID of the transferring account; (b) account holder name and account holder ID of the acquiring account; (c) the amount of allowances or Kyoto units involved in the transaction, without unique unit identification code of the allowances and the unique numeric value of the unit serial number of the Kyoto units; (d) transaction identification code; (e) date and time at which the transaction was completed (in central European time); (f) type of the transaction.
(a) current holdings of allowances and Kyoto units, without the unique unit identification code of the allowances and the unique numeric value of the unit serial number of the Kyoto units; (b) list of proposed transactions initiated by that account holder, detailing for each proposed transaction (i) the elements in point 4; (ii) the date and time at which the transaction was proposed (in central European time); (iii) the current status of that proposed transaction; (iv) any response codes returned consequent to the checks made by the registry and the EUTL;
(c) a list of allowances or Kyoto units acquired by that account as a result of completed transactions, detailing for each transaction the elements in point 4; (d) list of allowances or Kyoto units transferred out of that account as a result of completed transactions, detailing for each transaction the elements in point 4.