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29.11.2011 Official
Journal
of
the
European
Union
L
315/1
II
(Non-legislative acts)
REGULATIONS
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)
THE EUROPEAN COMMISSION,
Council and Decision No 280/2004/EC of the European
Parliament and of the Council ( 3 ) provides for such a
Union Registry.
Having regard to the Treaty on the Functioning of the European
Union,
(2) Directive
2003/87/EC
has
been
substantially
amended
by
Directive 2009/29/EC of the European Parliament and of
Having regard to Directive 2003/87/EC of the European
the Council ( 4 ), requiring major changes to the registries
Parliament and of the Council of 13 October 2003 establishing
system. The amendments apply from the trading period
a system for greenhouse gas emission allowance trading within
starting in 2013. At present, there is no international
the Community and amending Council Directive 96/61/EC ( 1 ),
agreement replacing the Kyoto Protocol that would
and in particular Article 19 thereof,
apply to Member States after 2012. Aviation allowances
will be auctioned from 2012 on the basis of Commission
Regulation (EU) No 1031/2010 ( 5 ), in the same way as
general allowances. Therefore, in the interest of clarity
Having regard to Decision No 280/2004/EC of the European
and urgency, a new regulation should be adopted
Parliament and of the Council of 11 February 2004 concerning
pursuant to Article 19 of Directive 2003/87/EC that
a mechanism for monitoring Community greenhouse gas
should apply to the trading period of the Union
emissions and for implementing the Kyoto Protocol ( 2 ), and in
emissions trading scheme commencing on 1 January
particular the first subparagraph, second sentence, Article 6(1)
2013 and to subsequent periods. It should also apply
thereof,
to aviation allowances to be auctioned in 2012.
Having consulted the European Data Protection Supervisor,
(3) Commission Regulation (EC) No
2216/2004 of
21 December 2004 for a standardised and secured
system of registries pursuant to Directive 2003/87/EC
Whereas:
of the European Parliament and of the Council and
Decision No 280/2004/EC of the European Parliament
and of the Council ( 6 ) and Regulation (EU) No 920/2010
should continue to apply in parallel to the trading period
(1) Article
19(1)
of
Directive
2003/87/EC
requires
that
all
between 2008 and 2012 and to the obligations arising
allowances issued from 1 January 2012 onwards are held
from the Kyoto Protocol. Regulations (EC)
in a Union Registry on accounts managed by the
No 2216/2004 and (EU) No 920/2010 should be
Member States. Commission Regulation (EU)
amended to implement urgent security provisions and
No 920/2010 of 7 October 2010 for a standardised
other improvements, with immediate effect.
and secured system of registries pursuant to Directive
2003/87/EC of the European Parliament and of the
( 3 ) OJ L 270, 14.10.2010, p. 1.
( 4 ) OJ L 140, 5.6.2009, p. 63.
( 1 ) OJ L 275, 25.10.2003, p. 32.
( 5 ) OJ L 302, 18.11.2010, p. 1.
( 2 ) OJ L 49, 19.2.2004, p. 1.
( 6 ) OJ L 386, 29.12.2004, p. 1.

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Official Journal of the European Union
29.11.2011
(4)
In order to ensure that Kyoto units and allowances can
(10) Adequate
and
harmonised
requirements
on
opening
of
be held on the same Union Registry accounts, the Union
accounts, authentication and access rights should be
Registry must conform to the functional and technical
applied to protect the security of information held in
specifications for data exchange standards for registry
the integrated registries system and to avoid fraud. The
systems under the Kyoto Protocol, adopted by Decision
review of these requirements should be considered in the
12/CMP.1 of the Conference of the Parties to the
future with a view to ensuring their effectiveness while
UNFCCC serving as the Meeting of the Parties to the
taking into account proportionality. Records concerning
Kyoto Protocol.
all processes, operators and persons in the registries
system should be kept.
(5) Article
20
of
Directive
2003/87/EC
requires
that
an
inde
pendent transaction log, the European Union Transaction
(11) The central administrator should ensure that inter
Log (EUTL) is established to record the issue, transfer and
ruptions to the operation of the registries system are
cancellation of allowances. Article 6(2) of Decision
kept to a minimum by taking all reasonable steps to
No 280/2004/EC requires that information on the
ensure the availability of the Union Registry and the
issue, holding, transfer, acquisition, cancellation and with
EUTL and by providing for robust systems and
drawal of assigned amount units, removal units, emission
procedures to safeguard relevant information.
reduction units and certified emission reductions and the
carryover of assigned amount units, emission reduction
units and certified emission reductions is made available
to the transaction log.
(12) As
allowances
and
Kyoto
units
exist
only
in
demateri
alised form and are fungible, the title to an allowance or
Kyoto unit should be established by their existence in the
account of the Union Registry in which they are held.
(6) Article
6
of
Decision
No
280/2004/EC
requires
the
Moreover, to reduce the risks associated with the
Union and its Member States to apply the functional
undoing of transactions entered in a registry, and the
and technical specifications for data exchange standards
consequent disruption to the system and to the market
for registry systems under the Kyoto Protocol, adopted
that such undoing may cause, it is necessary to ensure
by Decision 12/CMP.1, for the establishment and
that allowances and Kyoto units are fully fungible. In
operation of registries and the EUTL.
particular, transactions cannot be reversed, revoked or
unwound, other than as defined by the rules of the
registry, after a moment set out by those rules.
Nothing in this Regulation should prevent an account
(7) The
Union
Registry
should
contain
the
accounts
required
holder or a third party from exercising any right or
to implement the requirements of Directive 2003/87/EC.
claim resulting from the underlying transaction that
Each account should be created in accordance with stan
they may have in law to recovery or restitution in
dardised procedures to ensure the integrity of the
respect of a transaction that has entered a system, e.g.
registries system and public access to information held
in case of fraud or technical error, as long as this does
in this system. Allowances should be issued in the Union
not lead to the reversal, revocation or unwinding of the
Registry.
transaction. Furthermore, the acquisition of an allowance
or Kyoto unit in good faith should be protected.
(8) Transactions
with
allowances
within
the
Union
Registry
should be carried out through a communication link
(13) Since
it may be desirable to provide for additional
involving the EUTL, whereas transactions with Kyoto
account types or other means that would facilitate the
units should be carried out through a communication
holding of allowances or Kyoto units on behalf of third
link involving both the EUTL and the United Nations
parties, or the taking of a security interest in them, these
Framework Convention on Climate Change (UNFCCC)
issues should be examined in the context of a future
International Transaction Log (ITL).
review of this Regulation.
(9) The
EUTL
should
perform
automated
checks
on
all (14) In
accordance
with
Directive
2003/4/EC
of
the
European
processes in the registries system concerning allowances,
Parliament and of the Council of 28 January 2003 on
verified emissions, accounts and Kyoto units, and the ITL
public access to environmental information and repealing
should perform automated checks on processes
Council Directive 90/313/EEC
( 1 ) and Decision
concerning Kyoto units to ensure that there are no
13/CMP.1, specific reports should be made public on a
irregularities. Processes that fail these checks should be
regular basis to ensure that the public has access to
terminated in order to ensure that transactions in the
information held within the integrated system of
Union registries system comply with the requirements
registries, subject to certain confidentiality requirements.
of Directive 2003/87/EC and the requirements elaborated
pursuant to the UNFCCC and the Kyoto Protocol.
( 1 ) OJ L 41, 14.2.2003, p. 26.

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29.11.2011 Official
Journal
of
the
European
Union
L
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(15) Union
legislation concerning the protection of indi
Article 3
viduals with regard to the processing of personal data
and on the free movement of such data, in particular
Definitions
Directive 95/46/EC of the European Parliament and of
Unless otherwise indicated, terms used in this Regulation shall
the Council of 24 October 1995 on the protection of
have the same meaning as under Directive 2003/87/EC.
individuals with regard to the processing of personal data
Moreover, the definitions set out in Article 3 of Regulation
and on the free movement of such data ( 1 ), Directive
(EU) No 1031/2010 and in Article 3 of Commission Decision
2002/58/EC of the European Parliament and of the
2011/278/EU ( 4 ) shall apply. The following definitions shall also
Council of 12 July 2002 concerning the processing of
apply:
personal data and the protection of privacy in the elec
tronic communications sector ( 2 ) and Regulation (EC)
No 45/2001 of the European Parliament and of the
Council of 18 December 2000 on the protection of
(1) ‘account holder’ means a natural or legal person that holds
individuals with regard to the processing of personal
an account in the registries system;
data by the Community institutions and bodies and on
the free movement of such data ( 3 ), should be respected
where these are applicable to information held and
processed pursuant to this Regulation.
(2) ‘central administrator’ means the person designated by the
Commission pursuant to Article 20 of Directive
2003/87/EC;
(16) The
measures
provided
for
in
this
Regulation
are
in
accordance with the opinion of the Climate Change
Committee,
(3) ‘competent authority’ means the authority or authorities
designated by a Member State pursuant to Article 18 of
Directive 2003/87/EC;
HAS ADOPTED THIS REGULATION:
(4) ‘external platform’ is an external system securely connected
to the Union Registry for the purposes of automating
CHAPTER I
functions related to the Union Registry;
SUBJECT MATTER, SCOPE AND DEFINITIONS
Article 1
Subject matter
(5) ‘verifier’ means a verifier as defined in Annex I, section 2,
point 5(m) of Commission Decision 2007/589/EC ( 5 );
This Regulation lays down general as well as operational and
maintenance requirements concerning the Union Registry for
the trading period commencing 1 January 2013 and subsequent
periods, and concerning the independent transaction log
(6) ‘assigned amount units’ or ‘AAUs’ means units issued
provided for in Article 20(1) of Directive 2003/87/EC.
pursuant to Article 7(3) of Decision No 280/2004/EC;
It also provides for a communication system between the Union
(7) ‘aviation allowances’ or ‘aEUAs’ means allowances created
Registry and the ITL.
pursuant to Article 3c(2) of Directive 2003/87/EC;
Article 2
(8) ‘general allowances’ or ‘EUAs’ means all other allowances
created pursuant to Directive 2003/87/EC;
Scope
This Regulation concerns allowances created for the trading
period of the Union emissions trading scheme commencing
on 1 January 2013 and subsequent periods.
(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
It also concerns aviation allowances to be auctioned that were
Parties to the Kyoto Protocol, expire at the end of the
created for the trading period running from 1 January 2012 to
emission reduction crediting period of the afforestation
31 December 2012.
or reforestation project activity under the CDM for
which they were issued;
( 1 ) OJ L 281, 23.11.1995, p. 31.
( 2 ) OJ L 201, 31.7.2002, p. 37.
( 4 ) OJ L 130, 17.5.2011, p. 1.
( 3 ) OJ L 8, 12.1.2001, p. 1.
( 5 ) OJ L 229, 31.8.2007, p. 1.

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(10) ‘removal units’ or ‘RMUs’ means units issued pursuant to
(23) ‘directors’ includes the persons effectively directing the
Article 3 of the Kyoto Protocol;
day-to-day operations of a legal person
(11) ‘temporary CERs’ or ‘tCERs’ means units issued for an
afforestation or reforestation project activity under the
(24) ‘central European time’ means central European summer
CDM which, subject to Decision 5/CMP.1, expire at the
time during the summer-time period as defined in Articles
end of the Kyoto Protocol commitment period following
1, 2 and 3 of Directive 2000/84/EC of the European
the one during which they were issued;
Parliament and of the Council ( 2 ).
(12) ‘Kyoto units’ means AAUs, ERUs, CERs, RMUs, lCERs and
tCERs;
CHAPTER II
THE REGISTRIES SYSTEM
(13) ‘process’ means an automated technical means to carry out
Article 4
an action relating to an account or a unit in a registry;
Union Registry
1. A
Union
Registry
for
the
trading
period
of
the
Union
emissions trading scheme commencing on 1 January 2013
(14) ‘transaction’ means a process in the Union Registry that
and subsequent periods is hereby established.
includes the transfer of an allowance or Kyoto unit from
one account to another account;
2. The
central
administrator
shall
operate
and
maintain
the
(15) ‘surrender’ means the accounting of an allowance or a
Union Registry.
Kyoto unit by an operator or aircraft operator against
the verified emissions of its installation or aircraft;
3. Member
States
shall
use
the
Union
Registry
for
the
(16) ‘cancellation’ means the definitive disposal of a Kyoto unit
purposes of meeting their obligations under Article 19 of
by its holder without accounting it against verified
Directive 2003/87/EC and to ensure accurate accounting with
emissions;
respect to allowances within the scope of this Regulation. The
Union Registry shall provide national administrators and
account holders with the processes set out in this Regulation.
(17) ‘deletion’ means the definitive disposal of an allowance by
its holder without accounting it against verified emissions;
4. The
Union
Registry
shall
conform
to
the
functional
and
(18) ‘retirement’ means the accounting of a Kyoto unit by a
technical specifications for data exchange standards for registry
Party to the Kyoto Protocol against the reported emissions
systems under the Kyoto Protocol elaborated pursuant to
of that Party;
Decision 12/CMP.1 and comply with the hardware, network,
software and security requirements set out in the data
exchange and technical specifications provided for in Article 79.
(19) ‘money laundering’ means the same as defined in Articles
1(2) of Directive 2005/60/EC of the European Parliament
and the Council ( 1 );
Article 5
European Union Transaction Log
(20) ‘serious crime’ means the same as defined in Article 3,
point 5 of Directive 2005/60/EC;
1. An
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
(21) ‘terrorist financing’ means the same as defined in
information relating to the holdings and transfers of Kyoto
Article 1(4) of Directive 2005/60/EC;
units made available in accordance with Article 6(2) of
Decision No 280/2004/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
2. The
central
administrator
shall
operate
and
maintain
the
Union Registry, designated in accordance with Article 7;
EUTL in accordance with the provisions of this Regulation.
( 1 ) OJ L 309, 25.11.2005, p. 15.
( 2 ) OJ L 31, 2.2.2001, p. 21.

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29.11.2011 Official
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3. The
EUTL
shall
be
capable
of
checking
and
recording
all 4. The
Commission
shall
coordinate
the
implementation
of
processes referred to under this Regulation, and shall conform
this Regulation with the national administrators of each
to the functional and technical specifications for data exchange
Member State and the central administrator. In particular, the
standards for registry systems under the Kyoto Protocol elab
Commission shall consult the Administrators’ Working Group
orated pursuant to Decision 12/CMP.1 and comply with the
of the Climate Change Committee on issues and procedures
hardware, network and software requirements set out in the
related to the operation of registries and the implementation
data exchange and technical specifications provided for in
of this Regulation. By 31 March 2012, the Administrators’
Article 79.
Working Group shall agree on the terms of cooperation
between the central administrator and the national adminis
trators, which shall include common operational procedures
4. The
EUTL
shall
be
capable
of
recording
all
processes for the implementation of this Regulation and change and
described in Chapters III to V.
incident management procedures for the Union Registry and
technical specifications for the functioning and reliability of
the Union Registry and the EUTL. Rules of procedure for the
Article 6
Administrators’ Working Group shall be adopted by the Climate
Change Committee.
Communication links between registries, the ITL and the
EUTL
1. The
Union
Registry
shall
maintain
a
communication
link
5. The
central
administrator,
the
competent
authorities
and
with the ITL for the purposes of communicating transactions
national administrators shall only perform processes necessary
that transfer Kyoto units.
to carry out their respective functions.
2. The
EUTL
shall
also
maintain
a
communication
link
with
CHAPTER III
the ITL for the purposes of recording and checking transfers
referred to under paragraph 1.
ACCOUNTS
SECTION 1
3. The
Union
Registry
shall
also
maintain
a
direct
communi
Provisions applicable to all accounts
cation link with the EUTL for the purposes of checking and
recording transactions that transfer allowances and the account
Article 8
management processes set out in Chapter III. All transactions
Accounts
involving allowances shall take place within the Union Registry,
and shall be recorded and checked by the EUTL.
1. The
Union
Registry
shall
contain
accounts
as
specified
in
Annex I.
4. The
central
administrator
may
establish
a
restricted
communication link between the EUTL and the registry of an
2. The
unit
types
that
may
be
held
in
each
account
type
are
Accession Country for the purposes of enabling such registries
set out in Annex I.
to communicate with the ITL through the EUTL and to record
verified emissions data of operators in the EUTL. Those
registries must successfully complete all testing and initialisation
procedures required of registries before the establishment of this
Article 9
communication link.
Account status
1. Accounts
shall
be
in
one
of
the
following
status:
open,
Article 7
blocked, excluded or closed.
Administrators
1. Each Member State shall designate a national adminis
2. No
processes
may
be
initiated
from
blocked
accounts,
trator. The Member State shall access and manage its own
except for the surrendering of units, the entering of verified
accounts and the accounts in the Union Registry under its
emissions, and the updating of account details.
jurisdiction through its national administrator.
2. The
Member
States
and
the
Commission
shall
ensure
that 3. No
processes
may
be
initiated
from
closed
accounts.
A
there is no conflict of interest amongst national administrators,
closed account may not be reopened, and may not acquire
the central administrator and holders of accounts.
units.
3. Each
Member
State
shall
notify
the
Commission
of
the 4. Upon
exclusion
of
an
installation
from
the
Union
scheme
identity and contact details of its national administrator,
pursuant to Article 27 of Directive 2003/87/EC, the national
including an emergency telephone number to be used in the
administrator shall set the corresponding operator holding
case of a security incident.
account to excluded status for the duration of the exclusion.

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Official Journal of the European Union
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5. Upon notification from the competent authority that an
Article 13
aircraft operator’s flights are no longer included in the Union
scheme in accordance with Annex I to Directive 2003/87/EC,
Opening an auction delivery account in the Union Registry
the national administrator shall set the corresponding aircraft
1. An
auctioneer,
an
auction
platform,
a
clearing
system
or
a
operator holding account to excluded status until notification
settlement system as defined in the Regulation (EU)
from the competent authority that an aircraft operator’s flights
No 1031/2010 may submit to a national administrator a
are again included in the Union scheme.
request for an auction delivery account in the Union Registry.
The person requesting the account shall provide the information
set out in Annex III.
Article 10
The administering of accounts
2. Within 20 working days of the receipt of a complete set
1. Every account shall have an administrator who shall be
of information in accordance with paragraph 1 and in
responsible for administering the account on behalf of a
accordance with Article 22, the national administrator shall
Member State or on behalf of the Union.
open the auction delivery account in the Union Registry or
inform the person requesting the account of the refusal to
open the account, pursuant to Article 20.
2. The
administrator
of
an
account
is
determined
for
each
account type as set out in Annex I.
Article 14
Opening operator holding accounts in the Union Registry
3. The
administrator
of
an
account
shall
be
responsible
for 1. Within 20 working days of the entry into force of a
opening, suspending, limiting access to, or closing an account,
greenhouse gas emissions permit, the relevant competent
approving authorised representatives, permitting changes to
authority or the operator shall provide the relevant national
account details that require the approval of the administrator,
administrator with the information set out in Annex V and
and for initiating transactions as requested by the account
shall request the national administrator to open an operator
holder in accordance with Article 21(5).
holding account in the Union Registry.
4. The
administrator
may
require
the
account
holders
and
its 2. Within 20 working days of the receipt of a complete set
representatives to agree to comply with reasonable terms and
of information in accordance with paragraph 1 and in
conditions consistent with this Regulation.
accordance with Article 22, the national administrator shall
open an operator holding account for each installation in the
Union Registry or inform the prospective account holder of the
5. Accounts shall be governed by the laws and fall under the
refusal to open the account, pursuant to Article 20.
jurisdiction of the Member State of their administrator and the
units held in them shall be considered to be situated in that
Member State’s territory.
Article 15
Opening aircraft operator holding accounts in the Union
Registry
Article 11
1. Within 20 working days from the approval of the moni
Notifications from the central administrator
toring plan of an aircraft operator, the competent authority or
The central administrator shall notify the account represen
aircraft operator shall provide the relevant national adminis
tatives and the administrator of the initiation and completion
trator with the information set out in Annex VI and shall
or termination of any process related to the account, and of the
request the national administrator to open an aircraft operator
change of status of the account, through an automated
holding account in the Union Registry.
mechanism described in the data exchange and technical spec
ifications provided for in Article 79.
2. Each aircraft operator shall have one aircraft operator
holding account.
SECTION 2
Opening and updating accounts
3. Within 40 working days of the receipt of a complete set
Article 12
of information in accordance with paragraph 1 and in
Opening management accounts
accordance with Article 22, the national administrator shall
open an aircraft operator holding account for each aircraft
The central administrator shall open all management accounts
operator in the Union Registry or inform the prospective
in the Union Registry within 20 working days of the receipt of
account holder of the refusal to open the account, pursuant
the information set out in Annex II.
to Article 20.

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4. The status of aircraft operator holding accounts shall be
national administrator. This information shall include, at a
changed from blocked to open following the entry of verified
minimum, the information set out in Annex III and evidence
emissions pursuant to Article 32(1) to (5) and a compliance
that the external platform ensures a level of security equivalent
status figure greater than or equal to 0 calculated pursuant to
or higher than the security ensured by the Union Registry in
Article 34(1). The status of the account shall also be changed to
accordance with this Regulation.
open at an earlier date following receipt by the national admin
istrator 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
2. National administrators shall ensure that external
exchange and technical specifications provided for in Article 79.
platforms conform to the technical and security requirements
described in the data exchange and technical specifications
provided for in Article 79.
Article 16
Opening person holding and trading accounts in the Union
3. Within 20 working days of the receipt of a complete set
Registry
of information in accordance with paragraph 1 and in
1.
A request for a person holding account or trading account
accordance with Article 22, the national administrator shall
in the Union Registry shall be submitted to the national admin
open an external platform account in the Union Registry or
istrator by the prospective account holder. The prospective
inform the central administrator or the person requesting the
account holder shall provide information as required by the
account of the refusal to open the account, pursuant to
national administrator, which shall include, at a minimum,
Article 20.
the information set out in Annex III.
4. The
approval
of
an
additional
authorised
representative
2. The Member State of the national administrator may
shall not be required pursuant to Article 21(3) to initiate a
require as a condition for opening a person holding or
transaction for transactions initiated by exempted external
trading account that the prospective account holders have
platforms. An external platform may be exempted by the
their permanent residence or registration in the Member State
national administrator upon written request if the external
of the national administrator administering the account.
platform provides evidence that it has security arrangements
in place that offer at least a level of protection equivalent to
that afforded by the requirement in Article 21(3). The minimum
technical and security requirements shall be set out in the data
3. The Member State of the national administrator may
exchange and technical specifications provided for in Article 79.
require as a condition for opening a person holding or
The national administrator concerned shall notify the
trading account that prospective account holders are registered
Commission of such requests without delay. Exemptions
for VAT in the Member State of the national administrator of
pursuant to this paragraph shall be made public by the
the account.
Commission.
4. Within 20 working days of the receipt of a complete set
Article 19
of information in accordance with paragraph 1 and in
accordance with Article 22, the national administrator shall
Opening verifier accounts in the Union Registry
open a person holding account or trading account in the
1. A
request
for
a
verifier
account
in
the
Union
Registry
shall
Union Registry or inform the prospective account holder of
be submitted to the national administrator. The person
the refusal to open the account, pursuant to Article 20.
requesting the account shall provide information as required
by the national administrator including the information set
out in Annex II and Annex IV.
Article 17
Opening national holding accounts in the Union Registry
2. Within 20 working days of the receipt of a complete set
The competent authority of a Member State shall instruct the
of information in accordance with paragraph 1 of this Article
national administrator to open a national holding account in
and in accordance with Article 22, the national administrator
the Union Registry within 20 working days of the receipt of the
shall open the verifier account in the Union Registry or inform
information set out in Annex II.
the prospective account holder of the refusal to open the
account, pursuant to Article 20.
Article 18
Article 20
Opening external platform accounts in the Union Registry
Refusal to open an account
1. External
platforms
may
submit
a
request
for
an
external
platform account in the Union Registry. This request shall be
1. The
national
administrator
shall
verify
whether
the
submitted to the national administrator. The person requesting
information and documents provided for account opening are
the account shall provide information as required by the
complete, up to date, accurate and true.

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2. A
national
administrator
may
refuse
to
open
an
account:
nominate as authorised representatives a person who is already
the authorised representative of an external platform account.
(a) if the information and documents provided are incomplete,
out of date or otherwise inaccurate or false;
5. If
an
authorised
representative
cannot
access
the
Union
Registry for technical or other reasons, the national adminis
(b) if the prospective account holder, or, if it is a legal person,
trator may initiate transactions on behalf of the authorised
any of the directors, is under investigation or has been
representative upon request, provided that the national adminis
convicted in the preceding five years for fraud involving
trator allows such requests and that access was not suspended
allowances or Kyoto units, money laundering, terrorist
in accordance with this Regulation.
financing or other serious crimes for which the account
may be an instrument;
6. The
data
exchange
and
technical
specifications
may
set
a
maximum number of authorised representatives and additional
(c) if the national administrator has reasonable grounds to
authorised representatives for each account type.
believe that the accounts may be used for fraud involving
allowances or Kyoto units, money laundering, terrorist
financing or other serious crimes;
7. Authorised representatives and additional authorised
representatives must be natural persons over 18 years of age.
(d) for reasons set out in national law.
All authorised representatives and additional authorised repre
sentatives of a single account must be different persons but the
same person can be an authorised representative or an addi
3. If the national administrator refuses to open an account,
tional authorised representative on more than one account. The
the person requesting the account opening may object to the
Member State of the national administrator may require that at
relevant authority under national law, who shall either instruct
least one of the authorised representatives of an account must
the national administrator to open the account or uphold the
be a permanent resident in that Member State, except for
refusal in a reasoned decision, subject to requirements of
verifier accounts.
national law that pursue a legitimate objective compatible
with this Regulation and are proportionate.
Article 22
Article 21
Nominating and approval of authorised representatives and
Authorised representatives
additional authorised representatives
1. Each account, with the exception of the verifier account,
1. When
requesting
an
account,
the
prospective
account
shall have at least two authorised representatives. A verifier
holder shall nominate a number of authorised representatives
account shall have at least one authorised representative. The
and additional authorised representatives in accordance with
authorised representatives shall initiate transactions and other
Article 21.
processes on behalf of the account holder.
2. In
addition
to
the
authorised
representatives
specified
in
2. When
nominating
an
authorised
representative
or
addi
paragraph 1, accounts may also have authorised representatives
tional authorised representative, the account holder shall
with view only access to the account.
provide information as required by the administrator. That
information shall include, at a minimum, the information set
out in Annex VII.
3. Accounts
may
have
one
or
more
additional
authorised
representatives. The approval of an additional authorised repre
sentative is required, in addition to the approval of an auth
3. Within 20 working days of the receipt of a complete set
orised representative, in order to initiate a transaction, except
of information required in accordance with paragraph 2, the
for:
national administrator shall approve an authorised represen
tative or additional authorised representative, or inform the
account holder of its refusal. Where evaluation of the
(a) transfers to an account on the trusted account list in the
nominee information requires more time, the administrator
Union Registry of the account holder; and
may extend the evaluation process by up to 20 additional
working days, and notify the extension to the account holder.
(b) transactions initiated by external platforms exempted
pursuant to Article 18(4).
4. The
national
administrator
shall
verify
whether
the
information and documents provided for nominating an auth
4. Account
holders
may
enable
their
accounts
to
be
accessed orised representative or additional authorised representative are
through an external platform. Such account holders shall
complete, up to date, accurate and true.

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Union
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315/9
5. A
national
administrator
may
refuse
to
approve
an
auth
4. At
least
once
every
three
years,
the
national
administrator
orised representative or additional authorised representative:
shall review whether the information submitted for the opening
of an account remains complete, up to date, accurate and true,
and shall request that the account holder notify any changes as
appropriate.
(a) if the information and documents provided are incomplete,
out of date or otherwise inaccurate or false;
5. The account holder of an operator holding account may
only sell or divest of its operator holding account together with
the installation linked to the operator holding account.
(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
6. Subject
to
paragraph
5,
no
account
holder
may
sell
or
account may be an instrument;
divest of the ownership of its account to another person.
7. An
authorised
representative
or
additional
authorised
(c) for reasons set out in national law.
representative may not transfer its status as such to another
person.
6. If
the
national
administrator
refused
to
approve
an
auth
8. An account holder may request the removal of an auth
orised representative or additional authorised representative, the
orised representative from an account. Upon receipt of the
account holder may object through the relevant authority under
request the national administrator shall suspend the access of
national law, who shall either instruct the national administrator
the authorised representative or additional authorised represen
to approve the representative or uphold the refusal in a
tative. Within 10 working days of the receipt of the request, the
reasoned decision, subject to requirements of national law
relevant administrator shall remove the authorised represen
that pursue a legitimate objective compatible with this Regu
tative.
lation and are proportionate.
9. An
account
holder
may
nominate
new
authorised
repre
sentatives or additional authorised representatives in accordance
Article 23
with Article 22.
Updating of account information and information on
authorised representatives
1. All
account
holders
shall
notify
the
national
administrator 10. If
the
administering
Member
State
of
an
aircraft
operator
within 10 working days of changes to the information
changes in accordance with the procedure set out in Article 18a
submitted for the opening of an account. In addition, account
of Directive 2003/87/EC or due to the enlargement of the
holders shall confirm to the national administrator by 31
Union, the central administrator shall update the national
December each year that the information for their account
administrator of the corresponding aircraft operator holding
remains complete, up to date and true.
account. Where the administrator of an aircraft operator
holding account changes, the new administrator may require
the aircraft operator to submit the account opening information
that it requires in accordance with Article 15 and the
information about authorised representatives that it requires in
2. Aircraft
operators
shall
notify
the
administrator
of
their accordance with Article 21.
account within 10 working days if they have undergone a
merger involving two or more aircraft operators or if they
have split into two or more aircraft operators.
11. Subject
to
paragraph
10,
the
Member
State
responsible
for managing an account shall not change.
3. The
notification
of
change
shall
be
supported
by
information as required by the national administrator in
Article 24
conformity with this Section. Within 15 working days of the
receipt of such a notification and supporting information, the
Trusted account list
relevant national administrator shall approve the update of the
1. Auction
delivery
accounts,
holding
accounts
and
trading
information. The administrator may refuse to update the
accounts may have a trusted account list in the Union Registry.
information in accordance with Article 22(4) and (5). The
account holder shall be notified of any such refusal. Objections
to such refusals may be raised with the competent authority or
the relevant authority under national law in accordance with
2. Accounts
held
by
the
same
account
holder
shall
be
auto
Article 20.
matically included on the trusted account list.

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L 315/10
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Official Journal of the European Union
29.11.2011
3. Changes
to
the
trusted
account
list
shall
be
initiated
and
2. The
competent
authority
may
also
instruct
the
national
completed through the procedure set out in Article 36 for
administrator to close a verifier account where one of the
transfers specified in Section 6 of Chapter V. The change
following conditions is fulfilled:
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 36(4) shall not apply for the deletion of
(a) the verifier’s accreditation has expired or has been
accounts from the trusted account list; for all other changes
withdrawn;
to the trusted account list the delay shall be seven days.
(b) the verifier ceased operation.
SECTION 3
Closure of accounts
Article 29
Article 25
Positive balance on accounts under closure
Closure of accounts
1. If
there
is
a
positive
balance
of
allowances
or
Kyoto
units
on an account which an administrator is to close in accordance
Subject to Article 29(1), within 10 working days of the receipt
with Articles 25, 26 and 27, the administrator shall first request
of a request from the account holder of an account other than
the account holder to specify another account to which such
those specified in Articles 26, 27, 28 the administrator shall
allowances or Kyoto units shall be transferred. If the account
close the account.
holder has not responded to the administrator’s request within
40 working days, the administrator shall transfer the allowances
and Kyoto units to its national holding account.
Article 26
Closure of operator holding accounts
2. If
there
is
a
positive
balance
of
allowances
or
Kyoto
units
1. The
competent
authority
shall
notify
the
national
adminis
on an account to which access was suspended in accordance
trator within 10 working days of the revocation or suspension
with Article 31, the competent authority may require that the
of a greenhouse gas emissions permit or knowledge of instal
allowances and Kyoto units are transferred immediately to the
lation closure. Within 10 working days of such a notification,
relevant national account.
the national administrator shall record the relevant date in the
Union Registry.
Article 30
Closure of accounts and removal of authorised
2. The
national
administrator
may
close
an
operator
holding
representative on the administrator’s initiative
account by 30 June of the year following the year of closure of
1. If the situation giving rise to the suspension of access to
the installation, revocation or suspension of the greenhouse gas
accounts pursuant to Article 31 is not resolved within a
emissions permit if the relevant installation has surrendered an
reasonable period despite repeated notifications, the competent
amount of allowances equal to or greater than its verified
authority may instruct the national administrator to close, or in
emissions.
the case of operator holding accounts or aircraft operator
holding accounts to set to blocked status, those accounts for
which access is suspended until the competent authority
determines that the situation giving rise to the suspension no
Article 27
longer subsists.
Closure of aircraft operator holding accounts
Aircraft operator holding accounts shall only be closed by the
national administrator if instructed by the competent authority
2. If a person holding account or trading account has a zero
to do so because the competent authority has discovered that
balance and no transactions have been recorded for a period of
the aircraft operator merged into another aircraft operator or
one year, the national administrator may notify the account
the aircraft operator has permanently ceased all its operations
holder that the person holding account or trading account
covered by Annex I to Directive 2003/87/EC, either through a
will be closed within 40 working days unless the national
notification by the account holder or through other evidence.
administrator receives a request that the account be maintained.
If the national administrator does not receive any such request
from the account holder, the national administrator may close
the account.
Article 28
Closure of verifier accounts
3. The
national
administrator
shall
close
an
operator
holding
1. Within
10
working
days
of
the
receipt
of
a
request
from
a account upon instruction from the competent authority on the
verifier to close its account, the national administrator shall
basis that there is no reasonable prospect of further allowances
close the verifier account.
being surrendered.

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European
Union L
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4. The
national
administrator
may
remove
an
authorised (a) the account holder died without a legal successor or ceased
representative or an additional authorised representative if it
to exist as a legal person;
considers that the approval of the authorised representative or
an additional authorised representative should have been refused
in accordance with Article 22(3), and in particular if it discovers
(b) the account holder did not pay fees;
that the documents and identification information provided
upon nomination were incomplete, out of date or otherwise
inaccurate or false.
(c) the account holder violated the terms and conditions
applicable to the account;
5. The
account
holder
may
object
to
the
change
of
account (d) the account holder did not agree to changes in the terms
status of an account in accordance with paragraph 1 or the
and conditions set by the national administrator or the
removal of an authorised representative or additional authorised
central administrator;
representative in accordance with paragraph 4 with the
authority competent under national law within 30 calendar
days, who shall either instruct the national administrator to
(e) the account holder did not notify changes to account
reinstate the account or the authorised representative or addi
information or provide evidence concerning the changes
tional authorised representative or uphold the change of
to account information, or evidence concerning new
account status or removal in a reasoned decision, subject to
account information requirements;
requirements of national law that pursue a legitimate objective
compatible with this Regulation and are proportionate.
(f) the account holder failed to maintain the required minimum
number of authorised representatives for the account;
SECTION 4
(g) the account holder failed to maintain compliance with the
Suspension of access to accounts
Member State requirement to have an authorised represen
tative with a permanent residence in the Member State of
Article 31
the national administrator;
Suspension of access to accounts
1. An
administrator
may
suspend
the
access
of
an
authorised (h) the account holder failed to maintain compliance with the
representative or an additional authorised representative to any
Member State requirement that the account holder have a
account in the registry or to processes to which that authorised
permanent residence or registration in the Member State of
representative would otherwise have access if the administrator
the administrator of the account.
has reasonable grounds to believe that the authorised represen
tative has:
3. 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) attempted to access accounts or processes for which he is
not authorised;
(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) repeatedly attempted to access an account or a process
using an incorrect username and password; or
(b) on the basis of and in accordance with national law
provisions that pursue a legitimate objective.
(c) attempted to compromise the security, the availability, the
integrity or the confidentiality of the Union Registry or the
4. The
national
administrator
may
suspend
access
to
an
EUTL, or of the data handled or stored therein.
account if it considers that the opening of the account should
have been refused in accordance with Article 20 or that the
account holder no longer meets the requirements for the
opening of the account.
2. An
administrator
may
suspend
the
access
of
all
authorised
representatives or additional authorised representatives of a
5. The
administrator
of
the
account
shall
reverse
the
specific account where one of the following conditions is
suspension immediately once the situation giving rise to the
fulfilled:
suspension is resolved.

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6. The
account
holder
may
object
to
the
suspension
of
its 4. Upon
the
satisfactory
verification
in
accordance
with
access in accordance with paragraphs 1 and 3 to the competent
Article 15, first paragraph of Directive 2003/87/EC of an
authority or the relevant authority under national law within 30
operator’s report on the emissions from an installation during
calendar days, who shall either instruct the national adminis
a previous year, or of an aircraft operator’s report on the
trator to reinstate access or uphold the suspension in a reasoned
emissions from all aviation activities it performed during a
decision, subject to requirements of national law that pursue a
previous year, the verifier or the competent authority shall
legitimate objective compatible with this Regulation and are
approve the annual verified emissions.
proportionate.
5. The
emissions
approved
in
accordance
with
paragraph
4
7. The
competent
authority
or
the
Commission
may
also shall be marked as verified in the Union Registry by the
instruct the national administrator or central administrator to
national administrator or the competent authority. The
implement a suspension.
competent authority may decide that instead of the national
administrator, the verifier shall be responsible for marking
emissions as verified in the Union Registry.
8. A
national
law
enforcement
authority
of
the
Member
State
of the administrator may also request the administrator to
implement a suspension on the basis of and in accordance
6. The
competent
authority
may
instruct
the
national
admin
with national law.
istrator to correct the annual verified emissions for an instal
lation or an aircraft operator to ensure compliance with Articles
14 and 15 of Directive 2003/87/EC, by entering the corrected
9. When access to an external platform account is verified or estimated emissions for that installation or an aircraft
suspended, the administrator shall also suspend access enabled
operator for a given year in the Union Registry.
for the external platform to user accounts in accordance with
Article 21(4). When access of authorised representatives and
additional authorised representatives of an external platform
7. Where, on 1 May of each year, no verified emissions
account is suspended, the administrator shall also suspend the
figure has been recorded in the Union Registry for an instal
access of those representatives enabled by an account holder for
lation or an aircraft operator for a previous year or the verified
the external platform in accordance with Article 21(4).
emissions figure was proven to be incorrect, any substitute
emissions figure estimate entered in the Union Registry shall
be calculated as closely as possible in accordance with Articles
10. Where
the
holder
of
an
operator
holding
account
or 14 and 15 of Directive 2003/87/EC.
aircraft operator holding account is prevented from surren
dering in the 10 working days preceding the surrender time-
limit laid down in Article 12(2a) and (3) of Directive
Article 33
2003/87/EC due to suspension in accordance with this
Article, the national administrator shall, if so requested by the
Blocking of accounts due to a failure to submit verified
account holder, surrender the number of allowances specified
emissions
by the account holder.
1. If,
on
1
April
of
each
year,
the
annual
verified
emissions
of an installation or aircraft operator for the preceding year
have not been recorded in the Union Registry, the Union
CHAPTER IV