# 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of the Council and amending Commission Regulations (EC) No 2216/2004 and (EU) No 920/2010 (Text with EEA relevance) (repealed) EU Regulation No 1193/2011 · adopted 18 November 2011 Commission Regulation (EU) No 1193/2011 of 18 November 2011 establishing a Union Registry for the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of the Council and amending Commission Regulations (EC) No 2216/2004 and (EU) No 920/2010 (Text with EEA relevance) (repealed) ## Introductory text Commission Regulation (EU) No 1193/2011 of 18 November 2011 establishing a Union Registry for the trading period commencing on 1 January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of the Council and amending Commission Regulations (EC) No 2216/2004 and (EU) No 920/2010 (Text with EEA relevance) (repealed) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## Chapter I: SUBJECT MATTER, SCOPE AND DEFINITIONS ## 1 Subject matter . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 2 Scope . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 3 Definitions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## Chapter II: THE REGISTRIES SYSTEM ## 4 Union Registry . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 5 European Union Transaction Log . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 6 Communication links between registries, the ITL and the EUTL . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 7 Administrators . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## Chapter III: ACCOUNTS ### Section 1: Provisions applicable to all accounts ## 8 Accounts . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 9 Account status . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 10 The administering of accounts . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 11 Notifications from the central administrator . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ### Section 2: Opening and updating accounts ## 12 Opening management accounts . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 13 Opening an auction delivery account in the Union Registry . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 14 Opening operator holding accounts in the Union Registry . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 15 Opening aircraft operator holding accounts in the Union Registry . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 16 Opening person holding and trading accounts in the Union Registry . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 17 Opening national holding accounts in the Union Registry . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 18 Opening external platform accounts in the Union Registry . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 19 Opening verifier accounts in the Union Registry . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 20 Refusal to open an account . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 21 Authorised representatives . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 22 Nominating and approval of authorised representatives and additional authorised representatives . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 23 Updating of account information and information on authorised representatives . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 24 Trusted account list . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ### Section 3: Closure of accounts ## 25 Closure of accounts . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 26 Closure of operator holding accounts . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 27 Closure of aircraft operator holding accounts . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 28 Closure of verifier accounts . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 29 Positive balance on accounts under closure . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 30 Closure of accounts and removal of authorised representative on the administrator’s initiative . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ### Section 4: Suspension of access to accounts ## 31 Suspension of access to accounts . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## Chapter IV: VERIFIED EMISSIONS AND COMPLIANCE ## 32 Verified emissions data for an installation or aircraft operator . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 33 Blocking of accounts due to a failure to submit verified emissions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 34 Calculation of compliance status figures . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## Chapter V: TRANSACTIONS ## 35 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 36 Execution of transfers . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 37 Nature of allowances and finality of transactions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ### Section 1: Creation of allowances ## 38 Creation of allowances . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ### Section 2: Account transfers before auctions and allocation ## 39 Transfer of general allowances to be auctioned . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 40 Transfer of general allowances to be allocated free of charge . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 41 Transfer of general allowances for the new entrant reserve . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 42 Transfer of aviation allowances to be auctioned . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 43 Transfer of aviation allowances to be allocated free of charge . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 44 Transfer of aviation allowances to the special reserve . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 45 Transfer of general allowances to the EU Total Quantity Account . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 46 Transfer of aviation allowances to the EU Aviation Total Quantity Account . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 47 Deletion of aviation allowances . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ### Section 3: Allocation to stationary installations ## 48 National allocation tables . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 49 Entry of national allocation tables into the EUTL . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 50 Changes to the national allocation tables . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 51 Free allocation of general allowances . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ### Section 4: Allocation to aircraft operators ## 52 National aviation allocation tables . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 53 Entry of national aviation allocation tables into the EUTL . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 54 Changes to the national aviation allocation tables . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 55 Free allocation of aviation allowances . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ### Section 5: Auction ## 56 Auction tables . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 57 Entry of auction tables into the EUTL . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 58 Changes to the auction tables . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 59 Auctioning of allowances . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ### Section 6: Trading ## 60 Transfers of allowances or Kyoto units initiated by a holding account . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 61 Transfers of allowances or Kyoto units initiated by a trading account . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ### Section 7: Surrender of allowances ## 62 Surrender of allowances . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ### Section 8: Deletion of allowances ## 63 Deletion of allowances . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ### Section 9: Transaction reversal ## 64 Reversal of finalised processes initiated in error . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## Chapter VI: TECHNICAL REQUIREMENTS OF THE REGISTRIES SYSTEM ### Section 1: Availability ## 65 Availability and reliability of the Union Registry and the EUTL . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 66 Helpdesks . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ### Section 2: Security and authentication ## 67 Authentication of the Union Registry . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 68 Accessing accounts in the Union Registry . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 69 Authentication and authorisation of authorised representatives in the Union Registry . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 70 Suspension of all access due to a security breach or a security risk . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 71 Suspension of access to allowances or Kyoto units in the case of a suspected fraudulent transaction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 72 Cooperation with competent authorities and notification of money laundering, terrorist financing or criminal activity . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 73 Suspension of processes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ### Section 3: Automated checking, recording and completing of processes ## 74 Automated checking of processes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 75 Detection of discrepancies . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 76 Detection of discrepancies within the Union Registry . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 77 Reconciliation — Detection of inconsistencies by the EUTL . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 78 Finalisation of processes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ### Section 4: Specifications and change management ## 79 Data exchange and technical specifications . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 80 Change and release management . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## Chapter VII: RECORDS, REPORTS, CONFIDENTIALITY AND FEES ## 81 Records . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 82 Reporting . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 83 Confidentiality . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 84 Fees . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 85 Interruption of operation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## Chapter VIII: TRANSITIONAL AND FINAL PROVISIONS ## 86 Implementation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 87 Further use of accounts . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 88 Amendments to Regulation (EC) No 2216/2004 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 89 Amendments to Regulation (EU) No 920/2010 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 90 Entry into force . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## Signature . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## Annex I . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## Annex II: Information to be submitted with requests for all accounts ## 1 The information set out in Table II-I. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 2 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## Annex III: Information concerning auction delivery accounts, person holding accounts, trading accounts and external platform accounts to be provided ## 1 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 2 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 3 Evidence to support the identity of the natural person requesting the account opening, which may be a copy of one of the following: . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 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: . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 5 The following documents in case of a legal person requesting the account opening: . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 6 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 7 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 8 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 9 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 10 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## Annex IV: Additional information concerning verifier accounts to be provided to the national administrator ## 1 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## Annex V: Information concerning each operator holding account to be provided to the national administrator ## 1 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 2 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 3 The information set out in Table V-I and V-II . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## Annex VI: Information concerning each aircraft operator holding account to be provided to the national administrator ## 1 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 2 Under the data provided in accordance with table II-I, the aircraft operator shall be given as the account holder. The name recorded for the account holder shall be identical to the name in the Monitoring Plan. In case of the name in the Monitoring Plan being obsolete, the name in the trading registry or the name used by Eurocontrol shall be used. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 3 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## Annex VII: Information concerning authorised representatives and additional authorised representatives to be provided to the administrator of the account ## 1 The information set out in Table VII-I. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 2 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 3 Evidence to support the identity of the nominee, which may be a copy of one of the following: . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 4 Evidence to support the address of the permanent residence of the nominee, which may be a copy of one of the following: . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 5 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 6 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 7 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 8 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## Annex VIII: Formats for submitting annual emissions data ## 1 Emissions data for operators shall contain the information set out in Table VIII-I. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 2 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## Annex IX . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## Annex X . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## Annex XI . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## Annex XII: Reporting requirements of the central administrator ### Division: Information available to the public ## 1 The EUTL shall display on the public website of the EUTL the following information for each account: . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 2 The EUTL shall display on the public website of the EUTL the following general information, and shall update it every 24 hours: . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 3 The EUTL shall display on its public website the following general information, on 30 April of each year: . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 4 The EUTL shall display on the public website of the EUTL the following information about each completed transaction recorded by the EUTL, on 1 January of the fifth year after the year of the recording of the information. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ### Division: Information available to account holders ## 5 The Union Registry shall display on the part of the Union Registry’s website only accessible to the account holder the following information, and shall update it in real time: . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ### Division: Information available to national administrators ## 6 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . --- Source: https://www.legislation.gov.uk/eur/2011/1193 (the official version) Page: https://openlegislation.uk/eu-regulation-2011-1193 Contains public sector information licensed under the Open Government Licence v3.0. Source: legislation.gov.uk, The National Archives.