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The Greenhouse Gas Emissions Trading Scheme Regulations 2012

S.I. 2012/3038 · Made 5 December 2012 · Extends to United Kingdom

Not fully up to date. 1 change made by later legislation has not yet been written into this text, which is revised to 1 May 2021.

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RegulationsmodifiedFinance Act 2019 s. 79(5)

Climate Change

Made 5th December 2012

Laid before Parliament 10th December 2012

Coming into force 1st January 2013

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

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

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

Accordingly the Secretary of State, in exercise of the powers conferred by sections 2 and 7(9) of and Schedule 1 to the 1999 Act M4 and by section 2(2) of the European Communities Act 1972, as read with paragraph 1A of Schedule 2 to the European Communities Act 1972 M5, makes the following Regulations M6:C1

Annotations to the whole text

Textual amendments

F1

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

Marginal citations

M1

S.I. 2008/301.

M2

1972 c. 68; section 2(2) was amended by section 27(1)(a) of the Legislative and Regulatory Reform Act 2006 (c. 51) and by section 3(3) of, and Part 1 of the Schedule to, the European Union (Amendment) Act 2008 (c. 7).

M3

1999 c. 24.

M4

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

M5

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

M6

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

Modifications

C1

Regulations modified (31.12.2020 for specified purposes) by The Greenhouse Gas Emissions Trading Scheme (Withdrawal Agreement) (EU Exit) Regulations 2020 (S.I. 2020/1369), regs. 1(2), 45 (with reg. 46)

Contents

  1. Part 1: General
  2. 1Citation and commencement
  3. 1AApplication
  4. 2Duty to review these Regulations
  5. 3Interpretation
  6. 4Application to the Crown etc.
  7. 5Notices etc.
  8. 6Applications etc.
  9. 7Functions of the regulator: Northern Ireland
  10. 8Commission Regulations: designations
  11. Part 2: Stationary installations
  12. Chapter 1: Permits
  13. 9Requirement for permit to carry out regulated activities
  14. 10Applications for and grant of permits
  15. 11Review, variation and consolidation of permits
  16. 12Transfer of permits
  17. 12ATransfer of permits: underreporting discovered after transfer
  18. 13Surrender of permits
  19. 14Revocation of permits
  20. Chapter 2: Excluded installations: further provision
  21. 15Excluded installations : Article 27 installations
  22. 15AExcluded installations: Article 27a installations
  23. Chapter 3: Allocation of allowances
  24. 16Allocation of allowances for 2013 to 2020 Repealed
  25. Chapter 4: Offshore installations
  26. 17Powers of entry Repealed
  27. 18Charging schemes Repealed
  28. 19Charging schemes: supplementary Repealed
  29. Part 3: Aviation
  30. Chapter 1: General
  31. 20Interpretation Repealed
  32. 21Civil Aviation Authority Repealed
  33. Chapter 2: UK administered operators, UK aircraft operators and regulators
  34. 22UK administered operators: power to designate Repealed
  35. 23Application to be designated as a UK administered operator Repealed
  36. 24Transfers of operators between member States Repealed
  37. 25Gibraltar operators Repealed
  38. 26UK aircraft operators Repealed
  39. 27Regulators: general Repealed
  40. 28Regulators: assessment of emissions Repealed
  41. 29Regulators: change in registered office Repealed
  42. Chapter 3: Allocation of aviation allowances
  43. 30Allocation of aviation allowances Repealed
  44. Chapter 4: Monitoring and reporting aviation emissions
  45. 31Interpretation Repealed
  46. 32Application for an emissions plan by a UK administered operator Repealed
  47. 32AApplication for an emissions plan by a UK administered operator: activities during 2015 to 2023 Repealed
  48. 32BApplication for an emissions plan by a UK administered operator: post-2023 activities Repealed
  49. 32CApplication for an emissions plan by a UK administered operator: general Repealed
  50. 33Requirement to notify the regulator if an emissions plan is not applied for before 1st January 2015 Repealed
  51. 33ARequirement to notify the regulator if an emissions plan is not applied for on or after 1st January 2015 Repealed
  52. 34Issue of an emissions plan Repealed
  53. 35Monitoring and reporting emissions Repealed
  54. 36Emissions plan conditions Repealed
  55. 37Variation of an emissions plan Repealed
  56. 38Variation of a benchmarking plan Repealed
  57. Chapter 5: Sanctions (other than civil penalties)
  58. 39Detention and sale of aircraft Repealed
  59. 40Aircraft operating bans Repealed
  60. Part 4: Surrender of allowances
  61. 41Surrender of allowances: operators of installations
  62. 42Surrender of allowances: UK aircraft operators Repealed
  63. 42ASurrender of allowances: UK aircraft operators: 2013, 2014 and subsequent scheme years Repealed
  64. 42BSurrender of a deficit of allowances: UK administered operators Repealed
  65. Part 5: Enforcement etc.
  66. 43Enforcement notices
  67. 44Power to determine reportable emissions
  68. Part 6: Information
  69. 45Provision of information
  70. 46Disclosure of information
  71. 47National security
  72. Part 7: Civil Penalties
  73. 48Interpretation
  74. 49Carbon Price
  75. 50Penalty notices
  76. 51Discretion in imposing civil penalties
  77. 52Carrying out a regulated activity contrary to regulation 9
  78. 53Failure to comply with a condition of a permit
  79. 53AFailure to transfer or surrender allowances where underreporting discovered after transfer
  80. 54Failure to surrender allowances
  81. 55Exceeding an emissions target for an Article 27 installation
  82. 56Failure to pay a penalty for exceeding an emissions target for an Article 27 installation
  83. 57Under-reporting of emissions from an Article 27 installation
  84. 58Failure to notify when an Article 27 installation ceases to meet the criteria for being Article 27
  85. 58ZAExceeding the maximum amount for an Article 27a installation
  86. 58ZBCarrying out regulated activity without the necessary permit
  87. 58AFailure to notify when an excluded installation has had a significant capacity reduction or partial cessation of regulated activities Repealed
  88. 58BFailure to notify when the operator of an excluded installation has suspended the carrying out of regulated activities at the installation Repealed
  89. 59Failure to surrender a permit
  90. 60Failure to submit or resubmit an application for an emissions plan Repealed
  91. 61Failure to notify the regulator if an emissions plan is not applied for Repealed
  92. 62Failure to comply with a condition of an emissions plan Repealed
  93. 63Failure to monitor aviation emissions Repealed
  94. 64Failure to report aviation emissions Repealed
  95. 65Failure to provide assistance and advice Repealed
  96. 66Failure to comply with a direction relating to an operating ban Repealed
  97. 67Failure to return allowances Repealed
  98. 68Failure to comply with an enforcement notice
  99. 69Failure to comply with an information notice
  100. 70Providing false or misleading information
  101. 71Publication of names of persons subject to penalties under regulation 54(1)
  102. Part 8: Appeals
  103. Chapter 1: General
  104. 72Interpretation
  105. 73Rights of appeal
  106. 74Rights of appeal: registries
  107. 75Appeal body
  108. 76Effect of an appeal
  109. 77Determination of an appeal
  110. Chapter 2: Appeals: ... Northern Ireland
  111. 78Procedure for appeals
  112. Part 9: The Union Registry ...
  113. 79Interpretation
  114. 80The Union Registry
  115. 81The UK Registry
  116. Part 10: Supplementary
  117. 82Recovery of fees
  118. 83Consequences of non-payment
  119. 84Guidance
  120. 84ADuty of Secretary of State to publish information Repealed
  121. Part 11: Revocations, savings and transitional provisions.
  122. 85Revocations
  123. 86Savings and transitional provisions: the 2005 Regulations
  124. 87Savings and transitional provisions: the 2010 Regulations Repealed
  125. 87AObligations in relation to aviation emissions arising before 2013 Repealed
  126. 87AAObligations in relation to aviation emissions arising before 2013: deficits Repealed
  127. 87BUnreported emissions arising before 2013
  128. 88Transitional provisions: permits
  129. 89Transitional provisions: aviation emissions plans Repealed
  130. Signature
  131. Schedule 1: Application to the Crown etc.
  132. 1Crown application
  133. 2Entry to Crown premises
  134. 3Service on certain Crown operators
  135. Schedule 2: Notices etc.
  136. 1Paragraph 1
  137. 2Paragraph 2
  138. 3Paragraph 3
  139. 4Paragraph 4
  140. 5Paragraph 5
  141. 6Paragraph 6
  142. 7Paragraph 7
  143. 8Paragraph 8
  144. 9Paragraph 9 Repealed
  145. 10Paragraph 10 Repealed
  146. Schedule 3: Applications etc.
  147. 1Applications etc.: general
  148. 2Determination of applications
  149. Schedule 4: Permits
  150. 1Applications for permits
  151. 2Content of a greenhouse gas emissions permit
  152. 3Transfer of permits
  153. 4Surrender of permits
  154. 5Revocation of permits
  155. Schedule 5: Excluded installations : Article 27 installations
  156. 1Interpretation
  157. 2Conversion of a greenhouse gas emissions permit
  158. 3Content of an Article 27 installation emissions permit
  159. 4Activities during 2012: duty to notify regulator Repealed
  160. 5Emissions target: duty not to exceed
  161. 6Emissions target: increase in the capacity of an Article 27 installation
  162. 7Banking an overachieved emissions target
  163. 8Termination of an Article 27 installation emissions permit
  164. 9End of excluded installation status Repealed
  165. Schedule 5A
  166. 1Interpretation
  167. 2Duty to monitor emissions
  168. 3The operator's preferred alternative permit
  169. 4Duty to notify if emissions exceed maximum amount during an allocation period
  170. 5Termination of Article 27a status
  171. Schedule 6: Allocation and adjustment of allowances Repealed
  172. 1Interpretation Repealed
  173. 1AApplication Repealed
  174. 2Application for an allocation from the new entrant reserve: new entrants Repealed
  175. 3Application for an allocation from the new entrant reserve: significant capacity extensions Repealed
  176. 4Notification of preliminary annual number of allowances: new entrants and significant capacity extensions Repealed
  177. 5Calculation of final total annual amount of allowances allocated free of charge: new entrants and significant capacity extensions Repealed
  178. 6Adjustment of allocation: significant capacity reductions Repealed
  179. 7Adjustment of allocation to an installation: permanent cessations of regulated activities Repealed
  180. 8Adjustment of allocation to an installation: partial cessation of regulated activities Repealed
  181. 9Notification of preliminary annual number of allowances: significant capacity reductions and partial cessation of regulated activities Repealed
  182. 10Calculation of final total annual amount of allowances: significant capacity reductions and partial cessation of regulated activities Repealed
  183. 11Recovery of allowances Repealed
  184. Schedule 6A: Allocation and adjustment of allowances: installations which cease to be excluded installations Repealed
  185. 1Application of this Schedule Repealed
  186. 2Interpretation Repealed
  187. 3Notification of end of excluded installation status: no significant capacity reduction or partial cessation Repealed
  188. 4Application for an allocation from the new entrant reserve: significant capacity extensions of excluded installations Repealed
  189. 5Notification of preliminary annual number of allowances: significant capacity extensions of excluded installations Repealed
  190. 6Calculation of final total annual amount of allowances allocated free of charge: significant capacity extensions of excluded installations Repealed
  191. 7Adjustment of allocation: significant capacity reduction of excluded installation Repealed
  192. 8Adjustment of allocation: permanent cessation of regulated activities at an excluded installation Repealed
  193. 9Adjustment of allocation to an installation: partial cessation of regulated activities of excluded installation Repealed
  194. 10Notification of preliminary annual number of allowances: significant capacity reductions and partial cessation of regulated activities Repealed
  195. 11Calculation of final total annual amount of allowances: significant capacity reductions and partial cessation of regulated activities Repealed
  196. 12Recovery of allowances Repealed
  197. Schedule 7: Allocation of aviation allowances Repealed
  198. 1Purpose of this Schedule Repealed
  199. 1AInterpretation Repealed
  200. 2Application for a benchmarking plan Repealed
  201. 3Issue of a benchmarking plan Repealed
  202. 4Amendment of a benchmarking plan Repealed
  203. 5Monitoring tonne-kilometre data Repealed
  204. 6Reporting tonne-kilometre data Repealed
  205. 7Submission of the report to the Secretary of State and the European Commission Repealed
  206. 8Publication of aviation allowances Repealed
  207. 9Force majeure Repealed
  208. 10Recovery of allowances Repealed
  209. Schedule 8: Allocation of aviation allowances from the special reserve Repealed
  210. 1Purpose of this Schedule Repealed
  211. 2Application for a benchmarking plan Repealed
  212. 3Issue of a benchmarking plan Repealed
  213. 4Amendment of a benchmarking plan Repealed
  214. 5Monitoring tonne-kilometre data Repealed
  215. 6Application for an allocation of allowances Repealed
  216. 7Submission of an application to the Secretary of State and to the European Commission Repealed
  217. 8Publication of aviation allowances from the special reserve Repealed
  218. 9Maximum allocation of aviation allowances from the special reserve Repealed
  219. Schedule 9: Detention and sale of aircraft Repealed
  220. 1Interpretation Repealed
  221. 2Sale following detention of aircraft Repealed
  222. 3Release of aircraft Repealed
  223. 4Court procedures Repealed
  224. 5Proceeds of sale Repealed
  225. 6Equipment and documents Repealed
  226. 7Assistance of aerodrome operator Repealed
  227. 8Procedure for applying for leave to sell an aircraft Repealed
  228. Schedule 10: Aircraft operating bans Repealed
  229. 1Application for an operating ban Repealed
  230. 2Enforcement of an operating ban Repealed
  231. Schedule 11: Appeals to the Scottish Ministers Repealed
  232. Part 1 Repealed
  233. 1Paragraph 1 Repealed
  234. 2Paragraph 2 Repealed
  235. 3Paragraph 3 Repealed
  236. 4Paragraph 4 Repealed
  237. 5Paragraph 5 Repealed
  238. 6Paragraph 6 Repealed
  239. 7Paragraph 7 Repealed
  240. 8Paragraph 8 Repealed
  241. 9Paragraph 9 Repealed
  242. Part 2 Repealed
  243. 10Paragraph 10 Repealed
  244. 11Paragraph 11 Repealed
  245. 12Paragraph 12 Repealed
  246. 13Paragraph 13 Repealed
  247. 14Paragraph 14 Repealed
  248. 15Paragraph 15 Repealed
  249. Schedule 12: Appeals (Northern Ireland)
  250. 1Paragraph 1
  251. 2Paragraph 2
  252. 3Paragraph 3
  253. 4Paragraph 4
  254. Explanatory note