Commission Regulation (EC) No 994/2008 of 8 October 2008 for a standardised and secured system of registries pursuant to Directive 2003/87/EC of the European Parliament and of the Council and Decision No 280/2004/EC of the European Parliament and of the Council (Text with EEA relevance)
Date: 2008-10-08
Institutions: European Commission
Subjects: EU environmental policy, database, exchange of information, greenhouse gas, information system, technical specification, tradeable emission permit

11.10.2008

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Official Journal of the European Union

L 271/3

COMMISSION REGULATION (EC) No 994/2008

of 8 October 2008

for a standardised and secured system of registries pursuant to Directive 2003/87/EC of the
the European
European Parliament and of

the Council and Decision No 280/2004/EC of

Parliament and of the Council

(Text with EEA relevance)

THE COMMISSION OF THE EUROPEAN COMMUNITIES,

(3)

Having regard to the Treaty
Community,

establishing the European

Having regard to Directive 2003/87/EC of
the European
Parliament and of the Council of 13 October 2003 establishing
a system for greenhouse gas emission allowance trading within
the Community and amending Council Directive 96/61/EC (1),
and in particular Article 19(3) thereof,

Having regard to Decision No 280/2004/EC of the European
Parliament and of the Council of 11 February 2004 concerning
a mechanism for monitoring Community greenhouse gas
emissions and for implementing the Kyoto Protocol (2), and in
particular the first subparagraph, second sentence, Article 6(1)
thereof,

Whereas:

(1)

(2)

An integrated Community system of registries, consisting
of the registries of the Community and its Member States
established pursuant
to Article 6 of Decision No
280/2004/EC that incorporate the registries established
pursuant
to Article 19 of Directive 2003/87/EC and
the Community independent transaction log (hereinafter
CITL) established pursuant to Article 20 of that Directive,
is necessary to ensure that the issue, transfer and cancel­
lation of allowances does not involve irregularities and
transactions are compatible with the obligations
that
Framework
resulting
Convention on Climate Change (hereinafter UNFCCC)
and the Kyoto Protocol.

from the United Nations

In accordance with Directive 2003/4/EC of the European
Parliament and of the Council of 28 January 2003 on
public access to environmental information and repealing
Council Directive 90/313/EEC (3) and Decision 13/CMP.1
of the Conference of the Parties to the UNFCCC serving
as the Meeting of the Parties to the Kyoto Protocol (here­
inafter Decision 13/CMP.1), specific reports should be
made public on a regular basis to ensure that
the
public has access to information held within the inte­
certain
registries,
system of
grated
confidentiality requirements.

subject

to

(4)

(5)

the European Parliament and of

Community legislation concerning the protection of indi­
viduals with regard to the processing of personal data
and on the free movement of such data,
in particular
Directive 95/46/EC of the European Parliament and of
the Council of 24 October 1995 on the protection of
individuals with regard to the processing of personal data
and on the free movement of such data (4), Directive
2002/58/EC of
the
Council of 12 July 2002 concerning the processing of
personal data and the protection of privacy in the elec­
tronic communications sector (5) and Regulation (EC) No
45/2001 of the European Parliament and of the Council
of 18 December 2000 on the protection of individuals
with regard to the processing of personal data by the
Community institutions and bodies and on the free
movement of such data (6), should be respected where
these are applicable to information held and processed
pursuant to this Regulation.

pursuant

replacement

accounts
and

required
each registry

Each registry should contain at least one Party holding
account, one retirement account, and the cancellation
to
and
Decision 13/CMP.1,
established
pursuant to Article 19 of Directive 2003/87/EC should
contain national accounts and holding accounts
for
operators and for other persons required to implement
the requirements of that Directive. Each such account
should be created in accordance with standardised
procedures
the registries
system and public access to information held in this
system.

to ensure the integrity of

under

registry

for
systems
adopted by Decision 12/CMP.1 of

Article 6 of Decision No 280/2004/EC requires the
Community and its Member States to apply the func­
tional and technical specifications for data exchange
the Kyoto
standards
the
Protocol,
Conference of
the Parties to the UNFCCC serving as
the Meeting of the Parties to the Kyoto Protocol (here­
inafter Decision 12/CMP.1),
for the establishment and
operation of registries and the CITL. The application
and elaboration of
these specifications in relation to
the integrated Community registries system allows the
incorporation of the registries established pursuant
to
Article 19 of Directive 2003/87/EC into the registries
to Article 6 of Decision No
established pursuant
280/2004/EC.

(1) OJ L 275, 25.10.2003, p. 32.
(2) OJ L 49, 19.2.2004, p. 1.
(3) OJ L 41, 14.2.2003, p. 26.

(4) OJ L 281, 23.11.1995, p. 31.
(5) OJ L 201, 31.7.2002, p. 37.
(6) OJ L 8, 12.1.2001, p. 1.

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(6)

(7)

(8)

(9)

ITL)

The CITL should perform automated checks on all
processes in the Community registries system concerning
allowances, verified emissions, accounts and Kyoto units,
and the UNFCCC international
transaction log (here­
should perform automated checks on
inafter
processes concerning Kyoto units to ensure that there
are no irregularities. Processes that
these checks
should be terminated in order to ensure that transactions
in the Community registries system comply with the
the
requirements
requirements elaborated pursuant to the UNFCCC and
the Kyoto Protocol.

of Directive

2003/87/EC

and

fail

All
transactions in the Community registries system
should be executed in accordance with standardised
procedures and, where necessary, on a harmonised
to ensure compliance with the
timetable,
requirements of Directive 2003/87/EC and with the
requirements elaborated pursuant to the UNFCCC and
the Kyoto Protocol, and to protect the integrity of that
system.

in order

Adequate and harmonised requirements on authenti­
cation and access rights should be applied to protect
the security of
information held in the integrated
Community registries system.

The Central Administrator and each registry adminis­
trator should ensure that interruptions to the operation
of the integrated Community registries system are kept to
a minimum by taking all reasonable steps to ensure the
availability of
the registries and the CITL and by
providing for robust systems and procedures for the safe­
guarding of all information.

(10)

Records concerning all processes, operators and persons
in the Community registries system should be stored in
accordance with the data logging standards set out in the
functional and technical specifications for data exchange
standards for registry systems under the Kyoto Protocol
elaborated pursuant to Decision 12/CMP.1.

(11)

The Community should make all necessary efforts to
ensure that every Member State registry, the CITL and
the UNFCCC international transaction log are connected
to each other by 1 December 2008 at the latest.

(12)

Each registry should issue assigned amount units (here­
inafter AAUs) pursuant to Decision 13/CMP.1 and issue
allowances as
required by Article 11 of Directive
2003/87/EC. Registries should ensure that they keep a

that

is equal

to the amount of
reserve of AAUs
allowances issued by them in order to ensure that any
transactions with allowances may be followed up with
corresponding transfers of AAUs via an annual clearing
mechanism. Transactions with allowances between two
registries should be carried out through a communication
link involving the CITL, whereas transactions with Kyoto
units should be carried out through a communication
link involving both the CITL and the ITL. Provisions
should be adopted to ensure that Member States that
are not able to issue AAUs under the Kyoto Protocol
because
they have no binding emission reduction
commitment are able to continue their equal partici­
pation in the Community emissions trading system.
Such participation would not be possible in the 2008-
12 period as, unlike all other Member States,
these
Member States would not be able to issue allowances
that are linked to AAUs recognised under the Kyoto
Protocol. Such equal participation should be allowed
through a specific mechanism within the Community
registry.

(13)

(14)

This Regulation reflects the fact that the currently valid
functional and technical specifications for data exchange
standards for registry systems under the Kyoto Protocol
developed by the UNFCCC Secretariat still do not provide
modalities for registries to connect to the International
Transaction Log via the Community independent trans­
action log. The existence of such modalities would allow
the Community to establish the required registries infra­
structure in a much simpler way;
in particular, there
would be no need for two connections between registries
and the Community
transaction log.
if, pursuant to the Community's request to
Therefore,
the above mentioned modalities
in 2007,
that effect
are included and adequately regulated by the UNFCCC
Secretariat in the functional and technical specifications
for data exchange standards within six months from the
date of the connection to the ITL, the Commission would
promptly propose an amendment to the Regulation with
the purpose of simplifying the infrastructure of
the
registries system before any expenses in software deve­
lopment needed for the Regulation were incurred by
Member States and the Community.

independent

(EC) No

2216/2004

the European Parliament and of

of
Commission Regulation
21 December 2004 for a standardised and secured
system of registries pursuant to Directive 2003/87/EC
of
the Council and
Decision No 280/2004/EC of the European Parliament
and of the Council (1) laid down general provisions, func­
tional and technical specifications and operational and
maintenance requirements concerning the standardised
and secured registries system consisting of registries, in
the form of standardised electronic databases containing
common data elements. In the interest of legal clarity, the
entire Regulation (EC) No 2216/2004 should be
replaced.

(1) OJ L 386, 29.12.2004, p. 1.

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(15)

The measures provided for in this Regulation are in
accordance with the opinion of
the Climate Change
Committee,

in accordance with the emission levels determined pursuant
to Article 7 of Decision No 280/2004/EC;

HAS ADOPTED THIS REGULATION:

CHAPTER I

SUBJECT MATTER AND DEFINITIONS

Article 1

Subject matter

This Regulation lays down general as well as operational and
maintenance requirements concerning the standardised and
registries, and the
secured registries
system consisting of
in
Community independent
transaction log provided for
Article 20(1) of Directive 2003/87/EC, hereinafter ‘CITL’.
It
also provides for a communication system between the CITL
and the independent transaction log established, operated and
maintained by the Secretariat of the United Nations Framework
Convention on Climate Change (UNFCCC), hereinafter ‘ITL’.

Article 2

Definitions

For the purposes of this Regulation, the definitions laid down in
Article 3 of Directive 2003/87/EC shall apply. The following
definitions shall also apply:

(f)

(g)

‘CDM registry’ means the clean development mechanism
registry established, operated and maintained by the
the clean development mechanism
executive board of
and
pursuant
the Parties
Decision 3/CMP.1 of
serving as the meeting of the Parties to the Kyoto Protocol;

the Kyoto Protocol

the Conference of

to Article 12 of

‘Central Administrator’ means the person designated by the
Commission
of Directive
2003/87/EC;

to Article

pursuant

20

(h)

‘Chapter VI allowances’ mean allowances issued by Chapter
VI registries;

(i)

registry’ means a registry operated by a
‘Chapter VI
Member State that
is not able to issue AAUs due to
reasons other than being determined to be ineligible to
transfer ERUs, AAUs and CERs in accordance with the
provisions of Decision 11/CMP.1 of
the Conference of
the Parties serving as the meeting of the Parties to the
Kyoto Protocol;

(j)

‘competent authority’ means the authority or authorities
designated by a Member State pursuant to Article 18 of
Directive 2003/87/EC;

(a)

‘2005-07 period’ means the period from 1 January 2005 to
31 December 2007 as referred to in Article 11(1) of
Directive 2003/87/EC;

(k)

‘Kyoto unit’ means an AAU, RMU, ERU or CER;

(b)

‘2008-12 period’ and ‘subsequent periods’ mean the period
from 1 January 2008 to 31 December 2012 and conse­
cutive periods as referred to in Article 11(2) of Directive
2003/87/EC, respectively;

(l)

to Decision 5/CMP.1 of

‘long-term CER’ (lCER) is a CER issued for an afforestation
or reforestation project activity under the CDM which,
subject
the
Parties serving as the meeting of the Parties to the Kyoto
the emission reduction
Protocol, expires at
crediting period of
reforestation
project activity under the CDM for which it was issued;

the end of
the

the Conference of

afforestation or

(c)

‘account holder’ means a person who holds an account in
the registries system;

(m) ‘registry’ means a registry established, operated and main­
tained pursuant to Article 6 of Decision No 280/2004/EC
and Article 19 of Directive 2003/87/EC;

(d)

‘assigned amount unit’ (AAU) means a unit issued pursuant
to Article 7(3) of Decision No 280/2004/EC or by a Party
to the Kyoto Protocol;

(n)

‘removal unit’
Article 3 of the Kyoto Protocol;

(RMU) means a unit

issued pursuant

to

(e)

‘assigned amount’ means the amount of greenhouse gas
emissions in tonnes of carbon dioxide equivalent calculated

(o)

‘standard allowances’ mean allowances issued by registries
that are not Chapter VI registries;

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(p)

(q)

(r)

‘temporary CER’ (tCER) is a CER issued for an afforestation
or reforestation project activity under the CDM which,
subject to Decision 5/CMP.1, expires at the end of the
Kyoto Protocol commitment period following the one
during which it was issued;

The CITL shall conform to the hardware, network and
2.
software requirements set out in the Data Exchange Format
referred to in Article 9.

‘third country registry’ means
operated and maintained by
outside the European Economic Area;

a
a governmental

registry established,
entity

‘transaction’ means a process concerning the issuance,
conversion, transfer, cancellation, replacement, retirement,
carry-over or expiry date change of a Kyoto unit, or a
process described in points (d) and (e) of Article 31(1)
concerning an allowance;

(s)

‘verifier’ means a verifier as defined in Annex I(5)(m) of
Commission Decision 2007/589/EC (1).

The Central Administrator shall operate and maintain the

3.
CITL in accordance with the provisions of this Regulation.

The CITL shall be capable of executing correctly all

4.
processes referred to in Article 31(1).

Article 6

Direct communication link between registries and the CITL

A direct communication link between each registry and

1.
the CITL shall be established.

CHAPTER II

REGISTRIES AND TRANSACTION LOGS

Article 3

Registries

2.
The Central Administrator shall activate the communi­
cation link after the testing procedures set out in the Data
Exchange
referred to in Article 9 have been
completed successfully and the Central Administrator shall
notify the relevant registry administrator of that activation.

Format

1.
A registry shall be established in the form of a stan­
dardised electronic database by each Member State and the
Commission.

2. Member States that are not able to issue AAUs due to
reasons other than being determined to be ineligible to transfer
ERUs, AAUs and CERs in accordance with the provisions of
Decision 11/CMP.1 shall establish registries that conform to the
special provisions set out in Chapter VI.

3.
Each registry shall conform to the hardware, network and
software requirements set out in the Data Exchange Format
referred to in Article 9.

Article 4

Consolidated registries

A Member State or the Commission may establish, operate and
maintain their registry in a consolidated manner together with
one or more other Member States or the Community, provided
that its registry remains distinct.

Article 5

CITL

The CITL shall be established by the Commission in the

1.
form of a standardised electronic database.

(1) OJ L 229, 31.8.2007, p. 1.

All processes except those concerning Kyoto units shall be
3.
completed through the exchange of data via this direct commu­
nication link.

Article 7

Indirect communication link between registries and the
CITL via the ITL

1.
An indirect communication link between the registries
and the CITL via the ITL shall be considered as established
when the transaction logs are linked on the basis of a
decision taken by the Central Administrator after consulting
the Climate Change Committee. The Central Administrator
shall establish and maintain such a link when:

(a) all

registries have completed the UNFCCC initialisation

procedure; and.

(b) the CITL and the ITL are able to provide the necessary

functionality and to link to each other.

If the conditions set out in paragraph 1 are not met, the
2.
Commission may,
the
Climate Change Committee, instruct the Central Administrator
to establish and maintain such a link.

to the majority support of

subject

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The decisions referred to in paragraphs 1 and 2 shall,
three months prior to

3.
where possible, be adopted at
their implementation.

least

All processes concerning Kyoto units shall be completed

4.
through the exchange of data via the ITL.

Article 8

Registry administrators

1.
Each Member State and the Commission shall designate a
registry administrator to operate and maintain its registry in
accordance with the provisions of
this Regulation. The
registry administrator of the Community registry shall be the
Central Administrator.

response codes, as well as the testing procedures and security
requirements necessary for the launching of data exchange. The
Data Exchange Format and its revisions shall be adopted with a
majority support of
the Climate Change Committee after
consultation with the registry administrators' working group.
The Data Exchange Format shall conform to the functional
and technical specifications for data exchange standards for
registry systems under the Kyoto Protocol elaborated pursuant
to Decision 12/CMP.1.

CHAPTER III

CONTENTS OF THE REGISTRIES

SECTION 1

Accounts

Article 10

Party accounts and national accounts

1.

Each registry shall contain the following Party accounts:

2. Member States and the Commission shall ensure that
there is no conflict of interest between the registry administrator
and its account holders or between the registry administrator
and the Central Administrator.

(a) at least one Party holding account;

3.
Each Member State shall notify the Commission of the
identity and contact details of the registry administrator for
its registry.

(b) one cancellation account for the 2008-12 period and one

for each subsequent period;

(c) one retirement account for the 2008-12 period and one for

each subsequent period;

4.
retain
The Member States and the Commission shall
ultimate responsibility and authority for the operation and
maintenance of their registries.

(d) one ETS AAU deposit account for the 2008-12 period and

one for each subsequent period.

5.
The Commission shall coordinate the implementation of
the requirements of this Regulation with the registry adminis­
trators of each Member State and the Central Administrator. In
particular, the Commission shall regularly convene the registry
adminstrators' working group to consult them on issues and
procedures related to the operation of registries and the imple­
mentation of
this Regulation. The registry administrators'
working group shall agree on common operational procedures
for the implementation of this Regulation. Rules of procedure
for the registry administrators' working group shall be adopted
by the Climate Change Committee.

Each registry

2.
accounts:

shall

contain the

following national

(a) at least one national allowance holding account;

(b) at least one national allowance deletion account for the
2008-12 period and one for each subsequent period.

Article 9

Data Exchange Format

The Central Administrator shall make available to registry
Format necessary
administrators
for
the Data Exchange
exchanging data between registries
and transaction logs,
identification codes, automated checks and
including the

3.
The Party accounts shall hold only Kyoto units while the
national accounts shall hold only allowances. Kyoto units held
in the cancellation and retirement accounts may not be trans­
ferred to any other account within the registry or in other
registries. With the exception of
the transaction reversal
process, allowances held in the national allowance deletion
account may not be transferred to any other account within
the registry or in other registries.

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The ETS AAU deposit account will be designated as a
4.
Party holding account for the purposes of the ITL, but shall
only be capable of holding AAUs. AAUs held in the ETS
AAU deposit account may not be transferred to any operator
holding account or personal holding account within the registry
or in other registries. With the exception of the transaction
reversal, the clearing of allowance transfers with AAUs and
the adding AAUs to banked allowances processes, AAUs held
in the ETS AAU deposit account may not be transferred to any
Party holding account within the registry or in other registries
before the completion of
the assigned
trading period.

the last clearing of

National accounts shall be created in accordance with

5.
Article 12.

National accounts shall conform to the Data Exchange

6.
Format referred to in Article 9.

Article 11

Special accounts in the Community registry

1.
The Community registry shall contain the following
accounts in addition to the accounts to be created in accordance
with Article 10:

(a) one ETS central clearing account for the 2008-12 period

and one for each subsequent period;

(b) a single Chapter VI registries ETS AAU deposit account for
all Chapter VI registries for the 2008-12 period and one for
each subsequent period.

The applicant shall notify its registry administrator within
4.
10 working days of any changes in the information provided to
its registry administrator pursuant to paragraph 1. Within 10
working days of the receipt of such a notification the registry
administrator shall update that information using the account
update process.

5.
The registry administrator may require applicants to agree
to comply with reasonable terms and conditions addressing the
issues set out in Annex II.

Article 13

Closure of Party accounts and national accounts

Within 10 working days of the receipt of an application from
the relevant body of a Member State to close a Party holding
account or a national account in its registry, its registry admin­
istrator shall close the account using the account closure
process. Within 10 working days of the receipt of an appli­
cation from the relevant body of the Commission to close a
Party holding account or a national holding account in the
Community registry, the Central administrator shall close the
account using the account closure process.

Article 14

Operator holding accounts and person holding accounts

1.
Each Member State registry shall contain one operator
holding account created in accordance with Article 15 for
each installation and at least one person holding account for
each person requesting person holding accounts created in
accordance with Article 17.

The special accounts referred to in points (a) and (b) of

2.
paragraph 1 shall hold only AAUs.

3.
Registry administrators shall be able to view the current
balance and the transactions of the ETS central clearing account.

2.
Operator and personal holding accounts shall be capable
of holding standard allowances and, where authorised by
Member State legislation, Kyoto units. Registry Administrators
shall inform the Central Administrator about the type of Kyoto
units that may be held by operator and personal holding
accounts in their registry.

Article 12

Creation of Party accounts and national accounts

The

relevant body of

1.
and the
Commission shall submit an application to their respective
registry administrator for the creation in their registries of the
party accounts and national accounts.

the Member State

The applicant shall provide the registry administrator with

2.
the information set out in Annex I.

The registry administrator may request further information from
the applicant, provided that such requests are reasonable.

Article 15

Creation of operator holding accounts

1. Within 10 working days of the entry into force of each
greenhouse gas emissions permit issued to the operator of an
installation that has not previously been covered by such a
permit or the activation of the communication link between
the
the
competent authority, or the operator where the competent
authority so requires, shall provide the registry administrator
of the Member State registry with the information set out in
Annex III.

registry and the CITL, whichever

later,

the

is

3. Within 10 working days of the receipt of an application
in accordance with paragraph 1 or
the
the activation of
communication link between the
registry and the CITL,
whichever is the later, the registry administrator shall create
the account in the registry using the account creation process.

2. Within 10 working days of the receipt of the information
in paragraph 1 or the activation of the communication link
between the registry and the CITL, whichever is the later, the
registry administrator shall create an operator holding account
for each installation in its registry using the account creation
process.

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The competent authority, or

the operator where the
3.
competent authority so requires, shall notify the registry admin­
istrator within 10 working days of any changes in the infor­
mation provided to the registry administrator pursuant
to
paragraph 1. Within 10 working days of the receipt of such
a notification the registry administrator shall update the oper­
ator's details using the account update process.

(a) deleting from the national allocation plan table any
allowances allocated to the installation in the national allo­
cation plan table that have not yet been transferred to the
operator holding account of the installation;

(b) adding an equivalent number of allowances to the part of
the national allocation plan table representing the quantity
of allowances not allocated to existing installations.

4.
The registry administrator may require operators to agree
to comply with reasonable terms and conditions addressing the
issues set out in Annex II before creating or giving access to the
account.

4.
The proposal shall be submitted to, and checked and im­
plemented automatically by the CITL using the national allo­
cation plan table update for closure process

Article 16

Creation of personal holding accounts

Article 17

Closure of operator holding accounts

The competent authority shall notify the registry admin­
1.
istrator within 10 working days of a greenhouse gas emissions
permit being revoked or surrendered for an installation that is,
as a result, not covered by any such permit. Without prejudice
shall close all
the registry administrator
to paragraph 2,
revocation or
relating to that
operator holding accounts
surrender using the account closure process between 1 May
and 30 June the year after the revocation or surrender took
place if the relevant installation's compliance status figure for
the latest year is greater than or equal to zero. If the relevant
the
installation's compliance status figure is less than zero,
registry administrator shall close its account the working day
after the entry is greater than or equal
to zero or on the
working day after the competent authority has instructed the
registry administrator to close the account because there is no
reasonable prospect of further allowances being surrendered by
the installation's operator.

first

request

2.
If there is a positive balance of allowances or Kyoto units
in an operator holding account which the registry administrator
is to close in accordance with paragraph 1, the registry admin­
istrator shall
to specify another
account within the registry system to which such allowances
or Kyoto units shall then be transferred. If the operator has not
responded to the registry administrator's request within 60
the
calendar days,
allowances to the national allowance holding account and the
Kyoto units to a Party holding account.

the registry administrator

the operator

transfer

shall

1.
An application for the creation of a personal holding
account shall be submitted to the registry administrator of the
Member State registry concerned. The applicant shall provide
the registry administrator with the information reasonably
required by the registry administrator. That information shall
include the information set out in Annex I.

2. Within 10 working days of the receipt of an application
the activation of
in accordance with paragraph 1 or
the
communication link between the
registry and the CITL,
whichever is the later, the registry administrator shall create a
personal holding account
in its registry using the account
creation process.

3.
The registry administrator shall not establish more than
99 personal holding accounts in any one person's name in its
registry.

4.
The applicant shall notify the registry administrator within
10 working days of any changes in the information provided to
the registry administrator pursuant to paragraph 1. Within 10
working days of the receipt of such a notification the registry
administrator shall update the person's details using the account
update process.

5.
The registry administrator may require the applicants
referred to in paragraph 1 to agree to comply with reasonable
terms and conditions addressing the issues set out in Annex II
before creating or giving access to the account.

3. Where the competent authority has notified the registry
administrator of the revocation or surrender of a greenhouse
gas emissions permit belonging to an installation related to an
account which has an entry in the relevant national allocation
plan table submitted in accordance with Article 38, the registry
administrator shall, prior to closing the account, propose to the
Central Administrator the following changes to the national
allocation plan table:

Article 18

Closure of person holding accounts

1. Within 10 working days of the receipt of an application
from an account holder to close its person holding account, the
registry administrator shall close the account using the account
closure process.

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If a personal holding account has a zero balance and no
2.
transactions have been recorded during a year,
the registry
administrator may notify the account holder that the person
holding account
shall be closed within 60 calendar days
unless the registry administrator receives within that period a
request
the personal holding
account be maintained. If the registry administrator does not
receive any such request from the account holder, it shall close
the account using the account closure process.

from the account holder that

pients set out in Annex IV in a transparent and organised
manner via its registry website. Registry administrators shall
not release additional information held in the registry.

2.
The Central Administrator shall make available the infor­
mation listed in Annex IV at the frequencies and to the reci­
pients set out in Annex IV in a transparent and organised
manner via the CITL website. The Central Administrator shall
not release additional information held in the CITL.

Article 19

Authorised representatives

1.
Each account holder shall appoint at least one authorised
representative for each Party account, national account and
personal holding account and at least two authorised represen­
tatives for each operator holding account. Requests to the
shall be
registry
submitted by an authorised representative on behalf of
the
account holder.

to carry out processes

administrator

2.
Each Member State and the Commission may allow
account holders in its registry to nominate additional authorised
representatives whose agreement is required in addition to the
agreement of an authorised representative to submit a request
to their registry administrator to carry out any of the processes
concerning transactions with allowances or Kyoto units.

Each verifier shall appoint at least one authorised rep­
3.
resentative to enter or approve the entry of
the annual
verified emissions for an installation in the records of a registry.

4.
Each registry administrator and the Central Administrator
shall appoint at least one authorised representative to operate
and maintain their registry and the CITL on behalf of that
administrator.

Each website shall allow the recipients of the reports listed

3.
in Annex IV to query those reports using search facilities.

Each registry administrator is responsible for the accuracy

4.
of the information that originates from his registry.

Neither the CITL nor registries shall require account holders to
submit price information concerning allowances or Kyoto units.

Article 22

Confidentiality

All

information held in the registries and the CITL,

1.
in
particular the all account holdings and all transactions, shall
for any purpose other than the
be considered confidential
this Regulation,
implementation of
Directive 2003/87/EC or national law.

requirements of

the

Information held in the registries may not be used without
2.
the prior consent of
to
operate and maintain those registries in accordance with the
provisions of this Regulation.

the relevant account holder except

Only natural persons may be appointed as authorised

5.
representatives.

The Central Administrator, each competent authority and
shall only perform processes where
their respective functions as Central

3.
registry administrator
necessary to carry out
Administrator, competent authority or registry administrator.

Article 20

Notification

The registry administrator shall immediately notify each account
holder of the creation, update or closure of his accounts.

SECTION 3

Tables, codes and identifiers

Article 23

National allocation plan tables

SECTION 2

Reporting and confidentiality

Article 21

Reporting

1.
Each registry administrator shall make available the infor­
mation listed in Annex IV at the frequencies and to the reci­

The CITL shall contain one national allocation plan table for
each Member State for the 2008-12 period and for each
subsequent period. National
shall
tabulate the following information:

allocation plan tables

(a)

total number of allowances issued: in a single cell the total
number of allowances that will be issued for the period
covered by the national allocation plan;

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(b) total number of allowances not allocated to incumbents
(reserve):
in a single cell the total number of allowances
(issued or purchased) that are set aside for new entrants
and auctioning for the period covered by the national allo­
cation plan;

not been recorded in the registry, the registry administrator
shall block the transfer of any allowances and Kyoto units
out of the operator holding account for that installation.

(c) years: in individual cells for each of the years covered in the

national allocation plan in ascending order;

2. When the installation's annual verified emissions for the
year referred to in paragraph 1 have been recorded in the
registry, the registry administrator shall unblock the account.

(d) installation identification code:

in individual

in
ascending order. The installations listed shall include instal­
lations unilaterally included under Article 24 of Directive
2003/87/EC and shall not
installations
include
temporarily
excluded under Article 27 of Directive
2003/87/EC;

cells

any

(e) allocated allowances: the allowances to be allocated for a
specified year for a specified installation shall be entered
into the cell connecting that year to that installation's iden­
tification code.

Article 24

Codes

Each registry shall contain input codes and response codes to
ensure the correct
information exchanged
during each process. The input codes and response codes
shall correspond to those contained in the Data Exchange
Format referred to in Article 9.

interpretation of

Article 25

Account identification codes and alphanumeric identifiers

Before creating an account
the registry administrator shall
assign to each account a unique account identification code
specified by the account
and the alphanumeric identifier
holder as part of the information given under Annexes I and
III respectively. Before creating an account, the registry admin­
istrator shall also assign to the account holder a unique account
holder identification code.

CHAPTER IV

CHECKS AND PROCESSES

SECTION 1

Blocking of accounts

Article 26

Blocking of operator holding accounts

1.
If, on 1 April of each year starting in 2006, an instal­
lation's annual verified emissions for the preceding year have

The registry administrator shall

3.
immediately notify the
relevant account holder and the competent authority of the
blocking and unblocking of each operator holding account.

Paragraph 1 shall not apply to the allowance surrendering
the surrender of CERs and ERUs process and the

4.
process,
allowance banking process.

SECTION 2

Automated checks and the data reconciliation process

Article 27

Detection of discrepancies by the CITL

The Central Administrator shall ensure that

1.
the CITL
conducts automated checks for all processes to identify irregu­
larities, hereinafter referred to as discrepancies, whereby the
proposed process does not conform to the requirements
specified under Directive 2003/87/EC and this Regulation.

If the automated checks referred to in paragraph 1 identify
2.
the Central Administrator shall
a discrepancy in a process,
immediately inform the registry administrator or administrators
concerned by returning an automated response code.

Upon receiving a response code for a process referred to
3.
the initiating
the registry administrator of
in paragraph 2,
registry shall
terminate that process and inform the CITL
thereof. The registry administrator or administrators concerned
shall immediately inform the relevant account holders that the
process has been terminated.

Article 28

Detection of inconsistencies by the CITL

The Central Administrator shall ensure that a data recon­
1.
ciliation process is periodically initiated by the CITL to ensure
that the CITL's records of the holdings of allowances and Kyoto
units matches each registry's
the holdings of
allowances and Kyoto units. For that purpose the CITL shall
record all processes.

records of

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allowances,

If during the data reconciliation process, an irregularity,
2.
hereinafter referred to as inconsistency, whereby the infor­
mation regarding
accounts or Kyoto units
provided by a registry as part of the periodic reconciliation
process differs from the information contained in either trans­
action log is identified, the Central Administrator shall imme­
diately inform the registry administrator or administrators
concerned.
the Central
the inconsistency is not resolved,
Administrator shall ensure that the CITL does not allow any
further process concerning any of the allowances, accounts or
Kyoto units which are the subject of the earlier inconsistency to
proceed.

If

Article 29

Detection of discrepancies by the ITL

If the ITL, following an automated check, informs the registry
administrator or administrators of a discrepancy in a process
initiated by them, the registry administrator of the initiating
registry shall
terminate the process and inform the ITL
thereof. The registry administrator or administrators concerned
shall immediately inform the relevant account holders that the
process has been terminated.

Article 30

(d) processes concerning transactions for generating allowances

or Kyoto units:

(i) issuance of Kyoto units process;

(ii) issuance of allowances process;

(iii) correction to allowances process;

(e) other processes concerning allowances:

(i) allowance allocation process;

(ii) allowance deletion process;

(iii) allowance surrendering process;

(iv) internal transfer of allowances process;

(v) external transfer of allowances process;

Registry automated checks

(vi) allowance banking process;

Prior to and during the execution of all processes the registry
administrator shall ensure that appropriate automated checks
in order to detect discre­
are conducted within the registry,
pancies
in advance of
and thereby terminate processes
automated checks being conducted by the CITL or ITL.

(vii) adding AAUs to banked allowances process;

(f) other processes concerning Kyoto units:

SECTION 3

Execution and finalisation of processes

Article 31

Processes

(i) cancellation of Kyoto units process;

(ii) surrender of CERs and ERUs process;

(iii) internal transfer of Kyoto units process;

Registries shall be capable of completing the following

1.
types of processes:

(iv) external transfer of Kyoto units process;

(a) processes concerning account management:

(v) clearing of allowance transfers with AAUs process;

(i) account creation process;

(ii) account update process;

(iii) account closure process;

(b) processes concerning verified emissions:

(i) verified emissions entry process;

(ii) verified emissions update process;

(vi) transfer of AAUs before retirement or cancellation

process;

(vii) retirement of Kyoto units process;

(g) processes concerning the entry and update of national allo­

cation plan tables:

(i) national allocation plan table entry process;

(ii) national
process;

allocation plan table update

for

closure

(iii) national allocation plan table new entrant update

(c)

the data reconciliation process;

process;

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(iv) national allocation plan table revision update process;

(v) national allocation plan table replenishment of reserve

process;

detected any discrepancies in the proposal sent by the initiating
registry and the CITL has received confirmation from the
acquiring registry that it has updated its records in accordance
with the initiating registry's proposal.

(h) transaction reversal process;

(i)

registry functions testing process.

2.
Each registry shall be capable of completing the processes
in accordance with the complete message exchange sequence
requirements described
and the format and informational
using web service description language described for
that
particular process in the Data Exchange Format referred to in
Article 9.

Each registry shall be capable of fulfilling notifications sent by
the CITL in accordance with the Data Exchange Format referred
to in Article 9.

The registry administrator shall assign to each process a

3.
unique process identification code.

Article 32

Finalisation of processes concerning accounts, verified
emissions and national allocation plan tables

All processes concerning accounts, verified emissions and
national allocation plan tables shall be final when the CITL
informs the initiating registry or the Community registry if
the initiating registry is a Chapter VI registry that it has not
detected any discrepancies in the proposal sent to it.

Article 33

Finalisation of processes concerning allowances and Kyoto
units within registries

1.
All processes concerning allowances except the external
transfer of allowances process shall be final when the CITL
informs the initiating registry that it has not detected any dis­
crepancies in the proposal sent to it and the CITL has received
confirmation from the initiating registry that the records were
updated in accordance with the proposal.

All processes concerning Kyoto units except the external
2.
transfer of Kyoto units process and the clearing of allowance
transfers with AAUs process shall be final when both the ITL
and the CITL concluded that there are no discrepancies in the
proposal sent to them and both the ITL and CITL have received
confirmation from the initiating registry that the records were
updated in accordance with the proposal.

Article 34

Finalisation of processes

involving transfers between

registries

2.
An external transfer of Kyoto units process and a clearing
of allowance transfers with AAUs process shall be final when
both the ITL and the CITL concluded that there are no discre­
pancies in the proposal sent by the initiating registry and both
the ITL and CITL have received confirmation from the acquiring
registry that it has updated its records in accordance with the
initiating registry's proposal.

Article 35

Finalisation of the data reconciliation process

The data reconciliation process shall be final when all incon­
sistencies between the information contained in a registry and
the information contained in the CITL for a specific time and
date have been resolved, and the data reconciliation process has
been successfully re-initiated and completed for that registry.

Article 36

Reversal of finalised transactions initiated in error

allowances, or

If an account holder or a registry administrator acting on
1.
the account holder unintentionally or erroneously
behalf of
the
transaction concerning
initiated any
surrender of CERs and ERUs process,
it may propose to its
registry administrator to carry out a reversal of the transaction
in a written request duly signed by the authorised representative
or representatives of the account holder that are able to initiate
a transaction and posted within five working days of the final­
isation of the transaction. The request shall contain a statement
indicating that the transaction was initiated erroneously or unin­
tentionally.

Paragraph 1 shall not apply to the external transfer of
transfer of allowances

2.
allowances process and the internal
process.

3. Within 40 calendar days of the finalisation of the trans­
action, the registry administrator may inform in writing the
Central Administrator of
the request and its decision to
reverse the transaction.

4.
The Central Administrator shall, within 40 calendar days
of its receipt of the registry administrator's information referred
to in paragraph 3 enable the reversal of the relevant transaction
using the transaction reversal process, provided that:

1.
An external transfer of allowances process shall be final
when the CITL informs the acquiring registry that it has not

(a)

the request and the notification was posted within the
deadlines set out in paragraphs 1 and 3;

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(b) the proposed reversal only reverses the effects of the trans­
action considered to have been initiated unintentionally or
erroneously and does not involve reversing the effects of
any later transactions involving the same allowances;

(c) no operator would become non-compliant for a previous

year as a result of the reversal;

(d) in the case of allowance surrendering processes, surrender of
CERs and ERUs processes and allowance deletion processes,
a quantity of AAU, ERUs or CERs equal to the quantities
surrendered or deleted by the process were not already
retired in accordance with Article 56 or cancelled in
accordance with Article 58.

A registry administrator may request the central adminis­
5.
trator to reinstate the communication link between its registry
and the CITL or to reinstate suspended processes if the registry
administrator estimates that the outstanding issues that caused
the suspension have been resolved. The central administrator
shall inform the registry administrator of his decision as soon
as possible. A member state may request this to be included on
the agenda of the climate change committee, for views to be
given to the central administrator in this matter.

CHAPTER V

TRANSACTIONS

SECTION 1

Allocation and issue of allowances

Article 38

5.
The registry administrator shall reverse the relevant trans­
action using the transaction reversal process within five working
days of its receipt of the Central Administrator's notice indi­
cating that
the reversal was enabled in accordance with
paragraph 3.

Entry into the CITL and correction of national allocation
plan tables

1.
At least 12 months before the start of each subsequent
period, each Member State shall notify to the Commission its
national allocation plan table, corresponding to the decision
taken under Article 11 of Directive 2003/87/EC.

Article 37

Suspension of processes

Pursuant to Article 8 of Decision No 280/2004/EC, if the
1.
Secretariat to the UNFCCC informs a Member State that it does
not meet the requirements allowing it to transfer Kyoto units,
the Central Administrator shall suspend the ability of
the
transfer of
Member State's registry to perform the external
the Member
allowances process, and the relevant body of
State shall
to initiate
any transactions involving Kyoto units.

the registry administrator not

instruct

2.
The Commission may instruct the Central Administrator
to temporarily suspend a process referred to in Article 31(1)
initiated by a registry if that process is not being executed in
accordance with Articles 31 to 35 and shall immediately notify
the administrator of the registry thereof.

The Commission may instruct the Central Administrator
3.
to temporarily suspend the communication link between a
registry and the CITL or
the
processes referred to in Article 31(1),
if that registry is not
operated and maintained in accordance with the provisions of
this Regulation and shall immediately notify the administrator
of the registry thereof.

to suspend all or some of

If the national allocation plan table is based upon the
2.
national allocation plan notified to the Commission which
was not rejected under Article 9(3) of Directive 2003/87/EC
or on which the Commission has
accepted proposed
amendments, the Commission shall instruct the Central Admin­
istrator to enter the national allocation plan table into the CITL
using the national allocation plan table entry process.

3.
A Member State shall notify each correction to its national
allocation plan together with each corresponding correction in
its national allocation plan table to the Commission.
If the
correction to the national allocation plan table is based upon
the national allocation plan notified to the Commission which
was not rejected under Article 9(3) of Directive 2003/87/EC or
on which the Commission has accepted amendments and that
correction results from improvements in data, the Commission
shall
the Central Administrator to enter the corre­
sponding correction into the national allocation plan table
held in the CITL.

instruct

4.
Registry administrators may request the Central Adminis­
trator to temporarily suspend the communication link between
a registry and the CITL or to suspend all or some of the
processes referred to in Article 31(1)
for the purposes of
carrying out scheduled maintenance on their registry.

4.
Corrections relating to the allocation of allowances to new
entrants shall be made using the national allocation plan table
new entrant update process. Corrections relating to the increase
in the new entrant reserve through the purchase of allowances
shall be made using the national allocation plan table replen­
ishment of reserve process. Other corrections shall be made
using the national allocation plan table revision update process.

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In all other cases,

the Commission does not

the Member State shall notify the
5.
correction to its national allocation plan to the Commission
and if
this correction in
accordance with the procedure in Article 9(3) of Directive
2003/87/EC, the Commission shall instruct the Central Admin­
istrator to enter the corresponding correction into the national
allocation plan table held in the CITL using the national allo­
cation plan table revision update process.

reject

The

shall,

registry administrator

6.
to any
correction made pursuant to paragraph 2 which occurs after
allowances have been issued in accordance with Article 39
and which reduces the total quantity of allowances issued in
accordance Article 39 for the 2008-12 period or subsequent
periods, and using the correction to allowances process:

subsequent

(a)

the number of

specified by the
transfer
competent authority to the national allowance deletion
account for the relevant period; and

allowances

3. Where foreseen for an installation in the national allo­
cation plan of
the registry administrator
may transfer that proportion at a later date of each year.

the Member State,

Article 41

Surrender of allowances on instruction of the competent
authority

If instructed to do so by the competent authority pursuant
1.
to Article 16(1) of Directive 2003/87/EC, the registry adminis­
trator shall surrender part or all of the proportion of the total
quantity of allowances issued which has been allocated to an
installation for a specific year, by recording the number of
surrendered allowances for that
installation for the current
period. These surrendered allowances shall be transferred to
the national allowance deletion account.

2.
Allowances surrendered on instruction of the competent
authority shall be surrendered using the allowance surrender
process.

(b) transfer an equal amount of AAUs from the ETS AAU

deposit account to a Party holding account.

Article 42

Allocation of allowances to new entrants

Article 39

Issue of allowances

After the national allocation plan table has been entered into
the CITL and, subject to Article 38(2) by 28 February of the
first year of the 2008-12 period of each subsequent period, the
registry administrator shall, using the issuance of allowances
process:

(a)

issue the total quantity of allowances set out in the national
allocation plan table into the national allowance holding
account; and

(b) assign each allowance a unique unit identification code; and

(c)

transfer an equal amount of AAUs from a Party holding
account to the ETS AAU deposit account.

Article 40

Allocation of allowances to operators

1. Without prejudice to Articles 38(2) and 41, by 28
February of each year, the registry administrator shall transfer
from the national allowance holding account to the relevant
operator holding account the proportion of the total quantity
of allowances issued which has been allocated to the corre­
sponding installation for that year in accordance with the
relevant section of the national allocation plan table.

The allocation shall be carried out using the allowance

2.
allocation process.

If instructed to do so by the competent authority, the registry
administrator shall transfer a proportion of allowances issued by
any registry administrator that are in the national allowance
holding account to the operator holding account of a new
the
entrant
national allocation plan table for that new entrant
for the
year in question. Allowances shall be transferred using the
allowance allocation process.

in accordance with the

section of

relevant

Article 43

Allocation of allowances following their sale by Member
State

transfer a quantity of allowances

If instructed to do so by the competent authority, following a
sale of allowances by a Member State, the registry administrator
shall
from the national
allowance holding account to the holding account designated
by the buyer. Allowances transferred within the same registry
shall be transferred using the internal transfer of allowances
process. Allowances transferred from one registry to another
shall be transferred using the external transfer of allowances
process.

SECTION 2

Transfers and eligibility

Article 44

Transfers of allowances by account holders

Upon request of an account holder, the registry adminis­
1.
trator shall carry out any transfer of allowances held in the
the account holder between national allowance
account of
holding accounts, operator holding accounts
and person
holding accounts within its registry using the internal transfer
of allowances process.

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Upon request of an account holder, the registry adminis­
2.
trator shall carry out any transfer of allowances held in the
the account holder between national allowance
account of
holding accounts, operator holding accounts
and person
holding accounts in its registry and such accounts in another
registry using the external transfer of allowances process.

Allowances may only be transferred from an account in a
3.
registry to an account in a third country registry or the CDM
Registry, or acquired from an account in a third country registry
or the CDM Registry , if the following conditions are met:

(a) an agreement has been concluded in accordance with

Article 25(1) of Directive 2003/87/EC; and

(b) those transfers are in accordance with the provisions
relating to the mutual recognition of allowances under
that agreement drawn up by the Commission pursuant to
Article 25(2) of Directive 2003/87/EC.

Article 45

Transfers of Kyoto units by account holders

1.
Upon request of an account holder, the registry adminis­
trator shall carry out any transfer of Kyoto units held in the
account of the account holder between Party holding accounts,
operator holding accounts and personal holding accounts
within its registry using the internal transfer of Kyoto units
process, provided that such Kyoto units can be held in the
acquiring account in accordance with Article 14.

If as a result of a proposed external transfer of allowances
2.
process or allowance deletion process,
the total combined
amount of allowances held in the registries of Member States
that have acceded to the European Union before the year 2000
would become lower than the quantity of Kyoto units required
to be held in these registries under Decision 11/CMP.1 as the
commitment period reserve of the European Community, minus
the amount of Kyoto units currently held in these registries
outside of the ETS AAU deposit accounts and the cancellation
accounts, the CITL shall reject the proposed transfer.

SECTION 3

Verified emissions

Article 47

Verified emissions of an installation

1.
Upon the verification as satisfactory of an operator's
report in accordance with the first paragraph of Article 15 of
Directive 2003/87/EC on the emissions from an installation
during a previous year, the verifier, including those competent
authorities acting as verifiers shall enter or approve the entry of
the annual verified emissions for that installation for that year
into the records of the registry using the verified emissions
entry process.

2.
The registry administrator may prohibit the entry of the
annual verified emissions for an installation until the competent
authority has received the verified emissions report submitted
by operators pursuant to Article 14(3) of Directive 2003/87/EC
for that installation, and enabled the registry to receive the
annual verified emissions.

2.
Upon request of an account holder, the registry adminis­
trator shall carry out any transfer of Kyoto units held in the
account of the account holder between Party holding accounts,
operator holding accounts and personal holding accounts in its
registry and such accounts in another registry using the external
transfer of Kyoto units process, provided that such Kyoto units
can be held in the acquiring account
in accordance with
Article 14.

3.
The competent authority may instruct the registry admin­
istrator to correct the annual verified emissions for an instal­
lation for a previous year to ensure compliance with the
detailed requirements
State
established by
pursuant to Annex V to Directive 2003/87/EC, by entering
the corrected annual verified emissions for that installation for
that year into the records of the registry using the verified
emissions update process.

the Member

Article 46

Minimum holding of allowances in registries

If as a result of a proposed external transfer of allowances
1.
process or allowance deletion process,
the total amount of
allowances held in a registry would become lower than the
quantity of Kyoto units required to be held in that registry
under Decision 11/CMP.1 as the commitment period reserve,
minus the amount of Kyoto units currently held in the registry
outside of the ETS AAU deposit account and the cancellation
account, the CITL shall reject the proposed transfer.

4.
If the competent authority instructs the registry adminis­
trator to correct the annual verified emissions for an installation
for a previous year after the deadline specified in Article 6(2) of
Directive 2003/87/EC for surrendering allowances equal to the
emissions of that previous year, the Central Administrator shall
only allow such a correction if
the
competent authority's decision on the new compliance status
applicable to the installation as a result of the correction of the
verified emissions.

informed of

it was

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SECTION 4

Surrender of allowances, ERUs and CERs

Article 48

Surrender of allowances

1.
An operator shall surrender allowances for an installation
by requesting or, where provided in Member State legislation,
be deemed to have requested, the registry administrator to:

(a)

transfer a specified number of allowances for a specified
period from the relevant operator holding account
into
the national allowance deletion account of that registry;

(b) record the number of transferred allowances for that instal­

lation as surrendered for the current period.

The transfer and recording shall

2.
allowance surrender process.

take place using the

Article 49

The surrender of CERs and ERUs

1.
The surrender of ERUs and CERs by an operator in
accordance with Article 11a of Directive 2003/87/EC in
respect of an installation shall take place through an operator
requesting the registry administrator to:

(a)

transfer a specified number of CERs or ERUs for a specified
year from the relevant operator holding account into a Party
holding account of the registry where the operator holds its
operator holding account;

(b) record the number of transferred CERs and ERUs for that

installation as surrendered for the current period.

2.
The registry administrator shall only accept requests to
surrender CERs and ERUs up to the percentage of allocation
to each installation specified by Member State legislation. The
CITL shall reject any request to surrender CERs and ERUs that
would surpass the maximum allowed amount of CERs and
ERUs to be surrendered in the Member State.

The transfer and recording shall

3.
surrender of CERs and ERUs process.

take place using the

Article 50

Calculation of compliance status figures

1.
On 1 May of each year, the registry administrator shall
determine the compliance status figure for every installation by
and ERUs
calculating the

allowances, CERs

sum of

all

the current period minus the sum of all
surrendered for
verified emissions in the current period up to and including
the current year, plus a correction factor.

2.
The correction factor referred to in paragraph 1 shall be
zero if the compliance status figure of the last year of the
previous period was greater than zero, but shall remain as the
compliance status figure of the last year of the previous period
if this figure is less than or equal to zero.

Article 51

Recording and notification of compliance status figures

The registry administrator shall record the compliance
1.
status figure calculated in accordance with Article 50 for
every installation for each year.

2.
On the first working day following 1 May of each year the
registry administrator shall notify all the recorded compliance
status figures to the competent authority.
the
to the
shall notify
registry
compliance status figures for previous years to the competent
authority.

In addition,
changes

administrator

any

Article 52

Recording of verified emissions

Where, on 1 May of each year, no verified emissions figure has
been recorded in the registry for an installation for a previous
year, any substitute emissions figure determined pursuant to
Article 16(1) of Directive 2003/87/EC which has not been
calculated as closely as possible in accordance with the
detailed requirements
State
established by
pursuant to Annex V of Directive 2003/87/EC shall not be
recorded in the registry.

the Member

SECTION 5

Deletion of allowances and cancellation of Kyoto units

Article 53

Deletion of allowances

The registry administrator shall carry out any request from an
account holder pursuant
to Article 12(4) of Directive
2003/87/EC to delete allowances held in the accounts of the
account holder using the allowance deletion process by:

(a)

transferring a specified number of allowances from the
relevant account
into the national allowance deletion
account of that registry; and

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(b) recording the number of transferred allowances as deleted

for the current year.

If a registry administrator has not carried out the tasks
3.
described under paragraph 1 within the deadlines, the Central
Administrator shall block all processes referred to in points (d)
to (h) of Article 31(1), except for the clearing of allowance
transfers with AAUs process until those tasks are completed.

Article 54

Cancellation of Kyoto units

The registry administrator 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 using the cancellation of Kyoto units process by
transferring a specified number of Kyoto units from the relevant
account into the cancellation account of that registry.

SECTION 6

Clearing of allowance transfers with Kyoto unit transfers

Article 55

Clearing of allowance transfers

1.
In order to ensure that the amount of AAUs in the ETS
AAU deposit account of a registry is equal to the amount of
allowances held in that
registry on the first working day
following 1 May the following steps shall be taken:

The Central Administrator may initiate additional clearing
4.
processes at times other than specified in paragraph 1, after
giving appropriate advance notice to registry administrators.

SECTION 7

Retirement of Kyoto units

Article 56

Retirement of AAUs, ERUs or CERs against surrenders of
allowances, ERUs and CERs

By 30 June of the year following the year of entry into
1.
force of this Regulation and each year thereafter, registry admin­
istrators shall retire an amount of AAUs, ERUs or CERs, but not
lCERs or tCERs, equal to the amount of allowances, ERUs or
CERs surrendered pursuant to Articles 48 and 49, by:

(a) on the first working day following 1 May,

the Central
Administrator shall make a snapshot for each registry of
all the allowances held in the registry and the AAUs held
in the ETS AAU deposit account of the registry;

(a)

transferring an amount of AAUs equal to the amount of
allowances surrendered for the current period between 1
May of the preceding year and 30 April of the current
year from the AAU deposit account to a Party holding
account using the transfer of AAUs before retirement or
cancellation process; and

(b) by 10 May, the registry administrator shall, upon notifi­
cation by the Central Administrator, transfer any quantity
of AAUs in the ETS AAU deposit account that exceeded the
quantity of allowances held in the registry according to the
in the
snapshot
to the ETS central clearing account
Community
allowance
transfers with AAUs process;

registry using the

clearing of

(c) by 15 May, the administrator of the Community registry
shall, upon notification by the Central Administrator,
transfer a quantity of AAUs equal
to the quantity of
allowances held in the registry that exceeded the quantity
of AAUs in the ETS AAU deposit account of that registry
according to the snapshot, to the ETS AAU deposit account
of that registry using the clearing of allowance transfers
with AAUs process.

(b) transferring an amount of AAUs, ERUs or CERs, but not
lCERs or tCERs, equal to the amount of allowances, ERUs or
CERs surrendered for the current period between 1 May of
the preceding year and 30 April of the current year from a
Party holding account to the retirement account using the
retirement of Kyoto units process.

2.
If a registry administrator has not carried out the tasks set
out in paragraph 1 within the deadline, the Central Adminis­
trator shall block the allowance banking process until those
tasks are completed.

Article 57

Retirement of Kyoto units

2.
For the purposes of this article, allowances in the national
allowance deletion account for which no retirement or cancel­
lation has yet been made in accordance with Articles 56 and 58
shall be considered to be allowances held in the registry.

1.
If instructed by the relevant body of the Member State, the
registry administrator shall transfer any quantity and types of
Kyoto units specified by that body held in any Party holding
account to the appropriate Retirement account in his registry
using the retirement of Kyoto units process.

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It shall not be possible to transfer allowances from
2.
operator or personal holding accounts into retirement accounts.

deposit account of the current period, using the adding AAUs
to banked allowances process. Registry administrators shall also
transfer any AAUs remaining in the ETS AAU deposit account
for the preceding period to a Party holding account.

SECTION 8

Cancellation of Kyoto units

Article 58

CHAPTER VI

PROVISIONS FOR REGISTRIES OF MEMBER STATES NOT ABLE
TO ISSUE AAUs

Cancellation of Kyoto units against allowance deletions

Article 60

1.
By 30 June of the year following the year of entry into
force of this Regulation and each year thereafter the registry
administrators shall cancel an amount of AAUs, ERUs or
CERs, but not
to the amount of
allowances deleted for the current period between 1 January
of the preceding year and 1 January of the current year, by:

tCERs, equal

lCERs or

Operation of registries of Member States not able to issue
AAUs

1. Member States that are not able to issue AAUs due to
reasons other than being determined to be ineligible to transfer
CERs, ERUs and AAUs in accordance with the provisions of
Decision 11/CMP.1 shall establish, operate and maintain their
registries
in a consolidated manner with the Community
registry.

(a)

transferring an amount of AAUs equal to the amount of
allowances deleted between 1 January of the preceding year
and 1 January of the current year from the AAU deposit
account to a Party holding account using the transfer of
AAUs before retirement or cancellation process; and

2.
Chapter VI registries shall communicate with the CITL
through a communication link established by the Community
registry.

(b) transferring an amount of AAUs, ERUs or CERs, but not
lCERs or tCERs, equal to the amount of allowances deleted
pursuant to Article 53 from a Party holding account to the
cancellation account using the cancellation of Kyoto units
process.

3.
Except for Articles 3, 8, 12, 13, 14(1), 15 to 28, 29(3),
30, 31(2) and (4), 32, 33, 34(1), 35 to 37, 38(1), (2) and (3),
40 to 43, 44(1) and (3), 45(1), 47, 48, 50 to 54, and 59 to 90
the provisions applicable to registries shall not apply to Chapter
VI registries.

2.
If a registry administrator has not carried out the tasks
described under paragraph 1 within the deadline, the Central
Administrator shall block the allowance banking process until
those tasks are completed.

SECTION 9

Banking of allowances between periods

Article 59

Banking between periods

1.
On 1 May 2013 and 1 May of the year after the end of
each subsequent period, registry administrators shall convert
allowances held in their registry and not yet surrendered into
allowances valid for the current period using the banking of
allowances process.

2.
Registry administrators in Member States, that are able to
issue AAUs for the period beginning in 2013 shall, by 30 June
of the same year, transfer an amount of AAUs valid for the
current period that
to the amount of allowances
converted in accordance with paragraph 1 to the ETS AAU

is equal

The obligations provided

in Article 85 and
4.
Article 86(2) and (3) shall, as regards registry administrators
of Chapter VI registries be carried out by the administrator of
the Community Registry.

for

Article 61

National accounts in Chapter VI registries

Each Chapter VI

1.
national accounts:

registry shall contain the following

(a) at least one national allowance holding account;

(b) one national allowance deletion account for the 2008-12

period and one for each subsequent period.

National accounts in Chapter VI registries shall only hold

2.
Chapter VI allowances.

National accounts in Chapter VI registries shall conform

3.
to the Data Exchange Format referred to in Article 9.

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Article 62

Article 66

Allowance holdings in Chapter VI registries

Operator and personal holding accounts in Chapter VI registries
shall hold Chapter VI allowances and, where authorised by
Member
units.
Operator holding accounts in Chapter VI registries shall also
be capable of holding standard allowances.

legislation, Kyoto

or Community

State

Article 63

Chapter VI registries allowance creation table

The Community registry shall contain a Chapter VI registries
allowance creation table, which shall be capable of tabulating
the following information:

(a) registry identification code;

(b) number of standard allowances converted to Chapter VI

allowances;

(c) number of Chapter VI allowances converted to standard

allowances;

(d) net balance of conversions from standard allowances to
Chapter VI allowances expressed by deducting the value
under (c) from the value under (b). This balance may have
a negative value.

Article 64

Detection of discrepancies and inconsistencies by the ITL
in Chapter VI registries

initiated through the

The ITL shall inform a Chapter VI registry of any discrepancy
detected following an automated check in a process which that
registry has
the
the Chapter VI
Community registry. The administrator of
registry shall terminate the process and the administrator of
inform the ITL thereof. The
the Community registry shall
administrator of
registry, and any other
registry administrators concerned shall immediately inform the
relevant account holders that the process has been terminated.

administrator of

the Chapter VI

Article 65

Additional processes in Chapter VI registries

1.
Chapter VI registries shall be capable of completing the
processes set out in Article 31(1), except for the processes set
out in point (d) thereof, and the following processes:

(a)

issuance of Chapter VI allowances process;

(b) correction to Chapter VI allowances process.

2.
Chapter VI registries shall apply the processes referred to
in points (a) and (b) of paragraph 1 in place of the processes set
out in point (d) of Article 31(1).

Finalisation of processes concerning accounts, verified
emissions and national allocation plan tables

registries concerning
All processes initiated by Chapter VI
accounts, verified emissions and national allocation plan tables
shall be
the
Community registry that it has not detected any discrepancies
in the proposal sent to it.

final when the CITL successfully informs

Article 67

Finalisation of processes concerning Kyoto units

for

Chapter VI registries

All processes concerning Kyoto units initiated by Chapter VI
registries except the external transfer of Kyoto units process
shall be final when both the ITL and the CITL inform the
Community registry that they have not detected any discre­
pancies in the proposal sent
to them and the Community
registry has successfully sent confirmation to both transaction
logs that
the records were updated in accordance with the
proposal.

Article 68

Finalisation of the external transfer process for Kyoto units
involving Chapter VI registries

A process involving a Chapter VI
registry concerning the
external transfer of a Kyoto unit shall be final if the following
conditions are fulfilled:

(a) both the ITL and the CITL inform the acquiring registry, or
the Community registry if the acquiring registry is a Chapter
VI registry, that they have not detected any discrepancies in
the proposal
the
Community registry if the initiating registry is a Chapter
VI registry; and

initiating registry, or

sent by the

(b) the acquiring registry, or the Community registry if the
acquiring registry is a Chapter VI registry, has successfully
sent confirmation to both transaction logs that
it has
updated its
in accordance with the initiating
registry's proposal.

records

Article 69

Correction to allowances in Chapter VI registries

The registry administrator of a Chapter VI
registry shall,
subsequent to any correction made pursuant to the first sub­
paragraph of Article 38(2) which occurs after allowances have
been issued pursuant to Article 70 and which reduces the total
the 2008-12 period or
quantity of
subsequent periods,
allowances
specified
to the national
allowance deletion account for the relevant period using the
correction to Chapter VI allowances process.

those allowances
transfer
competent

for
the number of
authority

the

by

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Article 70

Issue of allowances in Chapter VI registries

After the national allocation plan table has been entered into
the CITL and, subject to Article 38(2) by 28 February of the
first year of the 2008-12 period and of each subsequent period,
the registry administrator shall, using the issuance of Chapter VI
allowances process:

(a)

issue the total quantity of allowances set out in the national
allocation plan table into the national allowance holding
account; and

personal holding accounts in its registry and in a non-Chapter
VI registry as requested by an account holder using the external
transfer of Kyoto units process.

Article 73

Conversion of standard allowances to Chapter VI
allowances

1. Where the registry administrator of a Chapter VI registry
receives a request from an account holder to convert standard
allowances held in its registry into Chapter VI allowances, the
registry administrator shall, using the conversion of standard
registry allowances to Chapter VI allowances process:

(b) assign each allowance a unique unit identification code.

(a) convert the standard allowance into a Chapter VI allowance;

and

Article 71

Transfers of allowances by account holders in Chapter VI
registries

1.
Upon request of an account holder, the registry adminis­
trator of a Chapter VI registry shall carry out any transfer of
Chapter VI allowances between national allowance holding
accounts, operator holding accounts and personal holding
accounts in its registry and in another Chapter VI registry
using the internal transfer of allowances process.

2.
Upon request of an account holder, the registry adminis­
trator of a Chapter VI registry shall carry out any transfer of
Chapter VI allowances between national allowance holding
accounts, operator holding accounts and personal holding
accounts in its registry and a registry that is not a Chapter VI
registry using the external transfer of allowances process.

3. With the exception of their conversion to Chapter VI
allowances, the registry administrator of a Chapter VI registry
shall not allow any transactions with standard allowances from
any accounts in its registry to any account in a Chapter VI
registry.

Article 72

Transfers of Kyoto units by account holders in Chapter VI
registries

1.
Upon request of an account holder, the registry adminis­
trator of a Chapter VI registry shall carry out any transfer of
Kyoto units between national allowance holding accounts,
operator holding accounts and personal holding accounts in
its registry and in another Chapter VI
registry using the
internal transfer of Kyoto units process.

(b) request the Community registry to update the Chapter VI
registries allowance creation table with the quantity of
allowances converted.

Only registry administrators of Chapter VI registries may

2.
convert standard allowances to Chapter VI allowances.

Article 74

Conversion of Chapter VI allowances to standard registry
allowances

1. Where the registry administrator of a Chapter VI registry
receives a request from an account holder to convert Chapter VI
allowances into standard allowances it shall verify whether the
amount requested to be converted is lower than or equal to the
sum of:

(a)

the balance of the Chapter VI registries ETS AAU deposit
account; and

(b) the net balance of conversions from standard allowances to
Chapter VI allowances in the Chapter VI registries allowance
creation table.

2.
If the amount requested to be converted is higher than the
sum calculated in accordance with paragraph 1, the registry
administrator shall refuse the conversion.

3.
If the amount requested to be converted is lower than or
equal to the sum calculated in accordance with paragraph 1, the
registry administrator shall, in order to carry out the conversion
using the conversion of Chapter VI allowances to standard
allowances process:

2.
The registry administrator of a Chapter VI registry shall
carry out any transfer of Kyoto units between national
allowance holding accounts, operator holding accounts and

(a) convert the Chapter VI allowance into a standard allowance;

and

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(b) request the Community registry to update the Chapter VI
registries allowance creation table with the quantity of
allowances converted.

Only registry administrators of Chapter VI registries may

4.
convert Chapter VI allowances to standard allowances.

Article 75

Surrender of allowances, ERUs and CERs in Chapter VI
registries

Operators in Chapter VI registries shall only surrender

1.
Chapter VI allowances.

2.
The surrender of CERs and ERUs by an operator in
accordance with Article 11a of Directive 2003/87/EC in
respect of an installation shall take place through an operator
requesting the registry administrator of a Chapter VI registry to:

(a)

transfer a specified number of CERs or ERUs for a specified
year from the relevant operator holding account into the
Party holding account of the Community registry;

Article 77

Clearing of allowance transfers in Chapter VI registries

1.
In order to ensure that the amount of AAUs in the ETS
AAU deposit account of registries that are not Chapter VI
registries is equal to the amount of allowances held in that
registry on the first working day following 1 May the
following steps shall be taken with respect
to Chapter VI
registries:

(a) on 1 May, the Central Administrator records the net balance
of conversions from standard allowances to Chapter VI
allowances recorded in the Chapter VI registries allowance
creation table, and immediately afterwards sets all values in
that table to zero;

the registry administrator of

(b) if the balance recorded in accordance with point (a) was
negative,
the Community
registry shall, upon notification by the Central Adminis­
trator, transfer by 5 May a quantity of AAUs equal to this
value from the Chapter VI registries ETS AAU deposit
account to the to the ETS central clearing account in the
Community registry using the internal transfer of Kyoto
units process;

(b) record the number of transferred CERs and ERUs for that

installation as surrendered for the current period.

(c)

The registry administrator shall only accept requests to
3.
surrender CERs and ERUs up to the percentage of allocation
to each installation specified by Member State legislation. The
CITL shall reject any request to surrender CERs and ERUs that
would surpass the maximum allowed amount of CERs and
ERUs to be surrendered.

The transfer and recording shall

4.
surrender of CERs and ERUs process.

take place using the

Article 76

Deletion of allowances, retirement of CERs and ERUs in
Chapter VI registries

1.
By 30 June of the year following the year of entry into
force of this Regulation and each year thereafter, registry admin­
istrators of Chapter VI registries shall either:

the registry administrator of

if the balance recorded in accordance with point (a) was
positive,
the Community
registry shall, upon notification by the Central Adminis­
trator, transfer by 5 May a quantity of AAUs equal to this
value
in the
Community registry to the Chapter VI registries ETS AAU
deposit account using the internal transfer of Kyoto units
process.

from the ETS central

clearing account

2.
No conversions of Chapter VI allowances into standard
allowances shall be possible until the process referred to in
paragraph 1 is completed.

CHAPTER VII

SECURITY REQUIREMENTS, AUTHENTICATION AND ACCESS
RIGHTS

Article 78

Security requirements

(a)

transfer AAUs, ERUs or CERs (but not lCERs or tCERs) to
the retirement account; or

Each registry and the CITL shall comply with the security
requirements set out in the Data Exchange Format referred to
in Article 9.

(b) transfer allowances

to the national allowance deletion

account.

2.
The sum of units transferred in accordance with points (a)
or (b) of paragraph 1 shall be equal to the amount of ERUs or
CERs surrendered pursuant to Article 75 for the current period
between 1 May of the preceding year and 30 April of the
current year.

Article 79

Authentication

1.
The identity of each registry and the CITL shall be auth­
enticated using digital certificates and usernames and passwords
as indicated in the Data Exchange Format
referred to in
Article 9.

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Chapter VI registries shall be authenticated to the CITL
2.
through the Community registry using digital certificates and
usernames and passwords as specified in the Data Exchange
Format referred to in Article 9.

authorised representatives and the secure area of the registry
website shall be encrypted in accordance with the security
requirements described in the Data Exchange Format referred
to in Article 9.

3.
The Commission, or an entity designated by it, shall act as
the certification authority for all digital certificates referred to
under paragraph 1 used for the purposes of establishing the
direct communication link referred to in Article 6 and shall
distribute the usernames and passwords.

7.
The registry administrator shall take all necessary steps to
ensure that unauthorised access to the secure area of the registry
website does not occur.

The Member States and the Community shall use the
4.
digital certificates issued by the Secretariat to the UNFCCC, or
an entity designated by it, to authenticate their registries to the
ITL for the purposes of establishing the indirect communication
link referred to in Article 7.

5.
Chapter VI registries shall be authenticated to the ITL
through the Community registry with the digital certificates
issued by the Secretariat to the UNFCCC, or an entity designated
by it.

Article 80

Access to registries

1.
An authorised representative shall only have access to the
accounts within a registry which he is authorised to access and
shall only be able to request the initiation of processes which he
is authorised to request pursuant to Article 19.

That access or request shall take place through a secure

2.
area of the website for that registry.

The registry administrator shall issue each authorised rep­
3.
resentative with a username and password to permit the level of
access to accounts or processes to which he is authorised.
Registry
or more
stringent security requirements if they are compatible with the
provisions of this Regulation.

administrators may

additional

apply

Article 81

Suspension of access to accounts

1.
The Central Administrator and each registry administrator
may only suspend an authorised representative's password to
accounts or processes to which that authorised representative
would otherwise have access if the authorised representative has,
or that administrator has reasonable grounds to believe the
authorised representative has:

(a) attempted to access accounts or processes which he is not

authorised to access;

(b) repeatedly attempted to access an account or a process

using a non-matching username and password; or

(c) attempted, or is attempting, to undermine the security of

the registry or the registries system.

2. Where access to an operator holding account has been
suspended pursuant to paragraph 1 between 28 April and 30
April, the registry administrator shall,
if so requested by the
account holder and following submission of his authorised
representative's
supporting evidence,
surrender
the number of allowances and ERUs and CERs
specified by the account holder using the allowance surrender
process and the surrender of CERs and ERUs process.

identity by means of

4.
The registry administrator may assume that a user who
the
entered a matching username and password is
has
authorised representative registered under that username and
the authorised representative informs the
password, unless
registry administrator that
the security of his password has
been compromised and requests a replacement.

The registry administrator shall

5.
passwords without undue delay.

issue such replacement

6.
The registry administrator shall ensure that the secure area
of the registry website is accessible to any computer using a
widely available Internet browser. Communications between the

CHAPTER VIII

AVAILABILITY AND RELIABILITY OF INFORMATION

Article 82

Availability and reliability of registries and the CITL

The Central Administrator and each registry administrator

1.
shall take all reasonable steps to ensure that:

(a)

the registry is available for access by account holders 24
hours a day, 7 days a week, and that the communication
link between the registry and the CITL is maintained 24
hours a day, 7 days a week,
thereby providing backup
hardware and software in the event of a breakdown in
operations of the primary hardware and software;

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(b) the registry and the CITL respond promptly to requests

made by account holders.

The notices referred to in paragraphs 3 and 4 shall include
5.
the likely duration of
the suspension and shall be clearly
displayed on the public area of that registry's website or on
the public area of the CITL's website.

2.
They shall ensure that the registry and CITL incorporate
robust systems and procedures for the safeguarding of all data
and the prompt recovery of all data and operations in the event
of a disaster.

They shall keep interruptions to the operation of

3.
registry and CITL to a minimum.

the

Article 83

Suspension of access

The Central Administrator may suspend access to the CITL and
a registry administrator may suspend access to his registry if
there is a breach of security of the CITL or of a registry which
threatens the integrity of
the CITL or of a registry or the
integrity of
the registries system and the backup facilities
referred to in Article 82 are similarly affected.

Article 84

Notification of suspension of access

1.
In the event of a breach of security of the CITL 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 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.

If

the registry administrator becomes aware that

is
3.
necessary to suspend either access
to accounts or other
operations of the registry, he shall give all relevant account
the Central Administrator and other
holders and verifiers,
registry administrators such prior notice of the suspension as
is reasonably practicable.

it

If

the Central Administrator becomes aware that

4.
is
necessary to suspend access to operations of the CITL, it shall
give all
the
suspension as is reasonably practicable.

such prior notice of

registry administrators

it

Article 85

Testing area of each registry and the CITL

1.
Each registry administrator shall establish a testing area
within which any new version or release of a registry can be
tested using the testing procedures described in the Data
Exchange Format referred to in Article 9 so as to ensure that:

(a) any testing procedures on a new version or release of a
registry are completed without reducing the availability to
account holders of the version or release of the registry
which currently has a communication link with the CITL
or ITL; and

(b) any communication link between a new version or release
of a registry and the CITL or ITL is established and activated
with minimum disruption to its account holders.

The Central Administrator shall establish a testing area so
2.
as to facilitate testing procedures referred to in paragraph 1.

3.
The registry administrators and the Central Administrator
shall ensure that the hardware and software of their testing area
shall perform in a manner
the
performance of the primary hardware and software referred to
in Article 82.

representative of

that

is

Article 86

Change management

and the Secretariat

The Central Administrator shall coordinate with registry
1.
administrators
to the UNFCCC the
preparation and implementation of any future amendments to
this Regulation resulting in changes in the functional and
technical specifications of the registry system before their im­
plementation. After such coordination, the Central Adminis­
trator shall decide on the date of implementation by registries
the functional and
and the CITL of each new version of
technical
for
standards
registry systems under the Kyoto Protocol.

specifications

for data

exchange

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If a new version or release of a registry is required, each
2.
registry administrator and the Central Administrator
shall
complete the testing procedures set out in the Data Exchange
Format referred to in Article 9 before a communication link is
established and activated between the new version or release of
that registry and the CITL or ITL.

If, as a result of

3.
Each registry administrator shall continuously monitor the
availability, reliability and efficiency of his registry in order to
ensure a level of performance which meets the requirements of
this Regulation.
the
suspension of the communication link pursuant to Article 37,
a new version or release of a registry is required, each registry
administrator shall complete the testing procedures set out in
the Data Exchange Format referred to in Article 9 before a
communication link is established and activated between the
new version or release of that registry and the CITL or ITL.

this monitoring or

CHAPTER IX

RECORDS AND FEES

Article 87

Records

1.
The Central Administrator and each registry administrator
shall store records concerning all processes and account holders

for 15 years or until any questions of implementation relating
to them have been resolved, whichever is the later.

2.
Records shall be stored in accordance with the data
logging requirements described in the Data Exchange Format
referred to in Article 9.

Article 88

Fees

1.
Any fees charged by the registry administrator to account
holders shall be reasonable and shall be clearly displayed on the
public area of that registry's website. Registry administrators
the
shall not differentiate any such fees on the basis of
location of an account holder within the Community.

2.
Registry administrators shall not charge account holders
for processes relating to transfers of allowances, surrenders of
allowances,
cancellation and
and CERs, banking,
retirement.

ERUs

CHAPTER X

FINAL PROVISIONS

Article 89

Implementation

When implementing this Regulation, registry administrators shall move any allowances held in any account
that are recognised as AAUs by the ITL into the AAU deposit account: and

(a)

issue an equal amount of allowances not recognised as AAUs by the ITL;

(b) transfer to accounts an amount of allowances not recognised as AAUs by the ITL equal to earlier
allowance holdings of these accounts in accordance with procedures defined in the Data Exchange
Format.

Article 90

Amendments of Regulation (EC) No 2216/2004

Regulation (EC) No 2216/2004 is amended as follows:

(a) Article 7(5) is replaced by the following:

‘5.
Six months after the establishment of the first communication link referred to in paragraph 4, the
Commission shall review the functional and technical specifications for data exchange standards for
registry systems under the Kyoto Protocol elaborated pursuant to Decision 24/CP.8 of the Conference
of the Parties to the UNFCCC, and if it finds that they provide for the possibility of the establishment of
a communication link between registries and the UNFCCC international transaction log to be estab­
lished via the Community independent transaction log, thereby allowing a simplification of the archi­
tecture of the registries system, it shall promptly propose an amendment to this Regulation with the
purpose of simplifying the architecture of the registries system.’

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(b) A new Article 7a is added:

‘Article 7a

Should the communication link between the transaction logs referred to in Article 7 be established after
allowances for the 2008-12 period have been issued in accordance with Article 11 of Directive
2003/87/EC, registry administrators shall, upon completion of the connection, replace any allowances
in their registry with an equal amount of allowances recognised as assigned amount units by the
UNFCCC international transaction log.’

(c) Article 11(2) is replaced by the following:

‘2.
From 1 January 2005 onwards each Member State registry shall contain one operator holding
account for each installation created in accordance with Article 15 and at least one personal holding
account for each person created in accordance with Article 19.’

(d) The second paragraph of Article 53 is replaced by the following:

‘The registry administrator shall only accept requests to surrender CERs and ERUs up to the percentage
of allocation to each installation specified by Member State legislation. The CITL shall reject any request
to surrender CERs and ERUs that would surpass the maximum allowed amount of CERs and ERUs to
be surrendered in the Member State.’

(e) Article 63i is replaced by the following:

‘Article 63i

Registries operated in accordance with Article 63a: accounts

Registries operated in accordance with Article 63a shall contain at least two Party holding

1.
accounts created in accordance with Article 12.

One of the Party holding accounts shall be called the gateway deposit account. Only the gateway

2.
deposit account shall hold allowances with an initial unit type of 1.

3.
Operator and personal holding accounts in registries operated in accordance with Article 63a
shall be capable of holding allowances with an initial unit type of 1, allowances with an initial unit type
of 0 and a supplementary unit type of 4, and, where authorised by Member State or Community
legislation, CERs or ERUs. Account holders of these accounts shall not be allowed to initiate any
transactions with allowances of an initial unit type of 1, with the exception of their conversion to
allowances of an initial unit type of 0 and a supplementary unit type of 4, and their external transfer to
registries not operated in accordance with Article 63a.’

(f) Article 63l is replaced by the following:

‘Article 63l

Registries operated in accordance with Article 63a: transfers of allowances between operator
holding accounts in registries operated in accordance with Article 63a and other registries

1.
The registries operated in accordance with Article 63a shall carry out any transfer of allowances
of an initial unit type of 0 and a supplementary unit type of 4 between a holding account within its
registry or between two registries operated in accordance with Article 63a as requested by the account
holder using the internal transfer process set out in Annex IX.

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The registries operated in accordance with Article 63a shall not carry out any transfer of
2.
allowances of an initial unit type of 0 and a supplementary unit type of 4 to registries not operated
in accordance with Article 63a.

3.
The registries operated in accordance with Article 63a shall carry out any transfer of allowances
of an initial unit type of 1 to registries not operated in accordance with Article 63a as requested by the
account holder using the external transfer process set out in Annex IX.

4.
The registries operated in accordance with Article 63a shall not carry out any transfer of
allowances of an initial unit type of 1 to other holding accounts in the registry or to other registries
operated in accordance with Article 63a, with the exception of transfers during the conversion of
allowances with an initial unit type of 1 to allowances with an initial unit type of 0 and a supple­
mentary unit type of 4.’

(g) The following Article 63la is inserted after Article 63l:

‘Article 63la

Conversion of allowances

1.
The registry administrator of a registry operated in accordance with Article 63a shall carry out
any conversion of an allowance of an initial unit type of 1 held in its registry into an allowance of an
initial unit type of 0 and a supplementary unit type of 4 as requested by an account holder using the
conversion of allowances to supplementary unit type 4 process by:

(a)

transferring the allowance to be converted to the gateway deposit account of the registry; and

(b) issuing an equal amount of allowance with an initial unit type of 0 and a supplementary unit type

of 4 to the account where the allowances to be converted were transferred from.

2. Where the registry administrator of a registry operated in accordance with Article 63a receives a
request from an account holder to convert allowances with an initial unit type of 0 and a supple­
mentary unit type of 4 into allowances of an initial unit type of 1, it shall verify whether the amount
requested to be converted is lower than or equal to the balance of the gateway deposit account. If the
amount requested to be converted is higher than the balance of the gateway deposit account, the
registry administrator shall refuse to carry out the transaction. In other cases, the registry administrator
shall carry out the transaction as requested by the account holder using the conversion of allowances to
initial unit type of 1 process by:

(a)

transferring the allowances requested to be converted into the cancellation account; and

(b) transferring an equal amount of allowances with an initial unit type of 1 to the account where the

allowances to be converted were transferred from.

3.
The administrator of the Community registry may convert AAUs into allowances of an initial unit
type of 1 and shall transfer all such converted allowances into a gateway deposit account. Any
allowances remaining in gateway deposit accounts after 30 June of the year following the end of
the 2008-12 period and subsequent periods shall be transferred to the Community registry.

4.
The Central Administrator shall make available to administrators of registries operated in
accordance with Article 63a the data exchange format necessary for exchanging data between such
registries and transaction logs concerning the conversions referred to in paragraphs 1 and 2.’

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(h) Article 63o is deleted.

(i)

Point 1 of Annex III is replaced by the following:

‘Points 1 to 3.1, 3.4 to 4.5 and point 6 of the information identifying the installation as listed in
Section 14.1 of Annex I to Decision 2007/589/EC. The name of the operator should be identical to the
name of the natural or legal person that is the holder of the relevant greenhouse gas permit. The name
of the installation shall be identical to the name indicated in the relevant greenhouse gas permit.’

(j)

The following point 8a is added to Annex VI:

‘By 1 January 2010 at the latest, the registry administrator shall define the last two digits of the account
identifier in the form of a unique account number validation figure which is the result of a logical
function applied to the preceding numbers in the account identifier.’

(k) Annex IX is amended as follows:

(a)

In Table IX-1 of Annex IX, the following row is deleted:

‘External transfer (between a registry referred
to in Article 63a and other registry)

03-00

Range 7225 to 7226’

(b) Paragraph 7 is deleted.

(l) Annex XIa is amended as follows:

(a) The following rows are added to Table XIa-1:

‘IncreaseNAPallocationReserve

RemoveNAPallocationReserve

Public

Public’

(b) The following rows are added to the part of Table XIa-2 under the heading ‘Functions exposed

through Web Services’:

‘IncreaseNAPallocationReserve()

RemoveNAPallocationReserve()

Handles the requests for increasing the reserve in the
national allocation plan table by a quantity of
allowances acquired by the registry through “replen­
ishment”.

Handles the requests for removing from the reserve
in the national allocation plan table, a quantity of
allowances acquired by the registry through “replen­
ishment”.’

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(c) The following tables are inserted in Annex XI-a after Table XIa-6:

‘Table XIa-6a: NAPTableManagementWS IncreaseNAPallocationReserve () function

Purpose

This function receives a request for increasing the reserve in the national allocation plan table. The reserve is
increased by a quantity that is equivalent to the quantity of allowances acquired by the registry through
“replenishment”.

The Community independent transaction log authenticates the initiating registry (Originating Registry) by calling
the AuthenticateMessage() function and checks the version of the initiating registry by calling CheckVersion()
function.

If authentication and version checks pass, a “1” result identifier is returned without any response codes, the
contents of the request are written to a file by calling the WriteToFile() function and the request is put in a
queue.

If authentication or version checks fail, a “0” result identifier is returned together with a single response code
indicating the error cause.

Input parameters

Mandatory

Mandatory

Mandatory

Mandatory

Mandatory

Mandatory

Mandatory

Mandatory

Mandatory

Optional

From

To

CorrelationId

MajorVersion

MinorVersion

InitiatingRegistry

CommitmentPeriod

NewValueofReserve

Result Identifier

Response Code

— AuthenticateMessage

— WriteToFile

— CheckVersion

Not applicable (called as a web service).

Output parameters

Uses

Used By

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Table XIa-6b: NAPTableManagementWS RemoveNAPallocationReserve () function

Purpose

This function receives a request for removing from the reserve in the national allocation plan table a quantity of
allowances acquired by the registry through “replenishment”.

The Community independent transaction log authenticates the initiating registry (Originating Registry) by calling
the AuthenticateMessage() function and checks the version of the initiating registry by calling CheckVersion()
function.

If authentication and version checks pass, a “1” result identifier is returned without any response codes, the
contents of the request are written to a file by calling the WriteToFile() function and the request is put in a
queue.

If authentication or version checks fail, a “0” result identifier is returned together with a single response code
indicating the error cause.

Input parameters

From

To

CorrelationId

MajorVersion

MinorVersion

InitiatingRegistry

CommitmentPeriod

NewValueofReserve

Result Identifier

Response Code

— AuthenticateMessage
— WriteToFile
— CheckVersion

Not applicable (called as a web service).’

Output parameters

Uses

Used By

Mandatory

Mandatory

Mandatory

Mandatory

Mandatory

Mandatory

Mandatory

Mandatory

Mandatory

Optional

(d) The following rows are added to Table XIa-7:

‘IncreaseNAPallocationReserve

RemoveNAPallocationReserve

7005, 7122, 7153, 7154, 7155, 7156, 7700, 7702
7453

7005, 7122, 7153, 7154, 7155, 7156, 7700, 7702
7454’

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(m) The following rows are inserted in Table XII-1 in the appropriate numerical order:

‘7453

7454

The quantity of allowances added to the reserve must be positive.

The quantity of allowances removed from the reserve must not exceed the
total quantity of allowances acquired through “replenishment”.’

(n) Paragraph 5 of Annex XIV is replaced with the following:

‘5. The format for submitting a national allocation plan table to the Commission is the following:

(a)

total number of allowances issued: in a single cell the total number of allowances that will be
issued for the period covered by the national allocation plan;

(b) total number of allowances not allocated to incumbents (reserve):

in a single cell the total
number of allowances (issued or purchased) that are set aside for new entrants and auctioning
for the period covered by the national allocation plan;

(c) years:

in individual cells for each of the years covered in the national allocation plan in

ascending order;

(d) installation identification code:

in individual cells in ascending order. The installations listed
shall include installations unilaterally included under Article 24 of Directive 2003/87/EC and
shall not
temporarily excluded under Article 27 of Directive
2003/87/EC;

include any installations

(e) allocated allowances: the allowances to be allocated for a specified year for a specified instal­
lation shall be entered into the cell connecting that year to that installation's identification code.’

(o) Annex XVI is amended as follows:

(a) Paragraph 4a is replaced with the following:

‘The following general information shall be displayed and updated within seven working days and
of any changes thereto:

(a)

the national allocation plan table of each Member State, indicating the allocations to instal­
lations and the quantity of allowances reserved for later allocation or sale shall be displayed and
updated whenever there is a correction to the national allocation plan table, clearly indicating
where corrections were made;

(b) the fees charged for the creating and annual maintenance of holding accounts in each registry.
Updates to this information shall be notified to the Central Administrator by the registry
administrator within 15 working days of any change in fees;

(c)

the type of Kyoto units that may be held by operator and person holding accounts in registries.’

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(b) Paragraph 4b of Annex XVI is deleted.

(c) Paragraph 12a is replaced with the following:

‘The Central Administrator shall make available on the public area of the Community independent
transaction log's website the following information:

(a)

from 30 April onwards of year (X+1) information indicating the percentage share of allowances
surrendered in each Member State for year X that were not transferred prior to their surrender;

(b) a single number indicating the total number of allowances, ERUs, CERs held in all registries in

all operator and personal holding accounts on the previous day.’

Article 91

Entry into force

This Regulation shall enter into force on the day following its publication in the Official Journal of the

1.
European Union.

Articles 2 to 88 shall apply from 1 January 2012.

2.

Regulation (EC) No 2216/2004 is repealed from 1 January 2012.

This Regulation shall be binding in its entirety and directly applicable in all Member States.

Done at Brussels, 8 October 2008.

For the Commission

Stavros DIMAS
Member of the Commission

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ANNEX I

Information concerning Party accounts, national accounts and person holding accounts to be provided to the
registry administrator

1. Name, address, city, postcode, country, telephone number,

facsimile number and e-mail address of the person

requesting the creation of the person holding account.

2. Evidence to support the identity of the person requesting the creation of the person holding account.

3. The alphanumeric identifier specified by the Member State, the Commission or person for the account. The alpha­

numeric identifier shall be unique within the registry.

4. Name, address, city, postcode, country, telephone number, facsimile number and e-mail address of the primary
authorised representative of the account specified by the Member State, the Commission or person for that account.

5. Name, address, city, postcode, country, telephone number, facsimile number and e-mail address of the secondary
authorised representative of the account specified by the Member State, the Commission or person for that account.

6. Name, address, city, postcode, country, telephone number, facsimile number and e-mail address of any additional
the

the account and their account access rights, specified by the Member State,

authorised representatives of
Commission or person for that account.

7. Evidence to support the identity of the authorised representatives of the account.

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ANNEX II

CORE TERMS AND CONDITIONS

Structure and effect of core terms and conditions

1. The relationship between account holders and registry administrators.

The account holder and authorised representative’s obligations

2. The account holder and authorised representative’s obligations with respect to security, usernames and passwords,

and access to the registry website.

3. The account holder and authorised representative’s obligation to post data on the registry website and ensure that

data posted is accurate.

4. The account holder and authorised representative’s obligation to comply with the terms of use of the registry website.

The registry administrator’s obligations

5. The registry administrator’s obligation to carry out account holder’s instructions.

6. The registry administrator’s obligation to log the account holder’s details.

7. The registry administrator’s obligation to create, update or close the account in accordance with the provisions of the

Regulation.

Process procedures

8. The process finalisation and confirmation provisions.

Payment

9. The terms and conditions regarding any registry fees for establishing and maintaining accounts.

Operation of the registry website

10. Provisions regarding the right of the registry administrator to make changes to the registry website.

11. Conditions of use of the registry website.

Warranties and indemnities

12. Accuracy of information.

13. Authority to initiate processes.

Modification of these core terms to reflect changes to this Regulation or changes to domestic legislation

Security and response to security breaches

Dispute resolution

14. Provisions relating to disputes between account holders.

Liability

15. The limit of liability for the registry administrator.

16. The limit of liability for the account holder.

Third party rights

Agency, notices and governing law

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ANNEX III

Information concerning each operator holding account to be provided to the registry administrator

1. Points 1 to 3.1, 3.4 to 4.5 and point 6 of the information identifying the installation as listed in Section 14.1 of
Annex I to Decision 2007/589/EC (1). The name of the operator should be identical to the name of the natural or legal
person who is the holder of the relevant greenhouse gas permit. The name of the installation shall be identical to the
name indicated in the relevant greenhouse gas permit.

2. The permit identification code specified by the competent authority.

3. The installation identification code.

4. The alphanumeric identifier specified by the operator for the account, which shall be unique within the registry.

5. Name, address, city, postcode, country, telephone number, facsimile number and e-mail address of the primary

authorised representative of the operator holding account specified by the operator for that account.

6. Name, address, city, postcode, country, telephone number, facsimile number and e-mail address of the secondary

authorised representative of the operator holding account specified by the operator for that account.

7. Name, address, city, postcode, country, telephone number, facsimile number and e-mail address of any additional
authorised representatives of the operator holding account and their account access rights, specified by the operator
for that account.

8. Evidence to support the identity of the authorised representatives of the operator holding account.

(1) Commission Decision 2007/589/EC of 18 July 2007 establishing guidelines for the monitoring and reporting of greenhouse gas

emissions pursuant to Directive 2003/87/EC of the European Parliament and of the Council (OJ L 229, 31.8.2007, p. 1).

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ANNEX IV

Reporting requirements of each registry administrator and the Central Administrator

PUBLICLY AVAILABLE INFORMATION FROM EACH REGISTRY AND THE CITL

1. The Central Administrator shall display and update the information in paragraphs 2 to 5 in respect of the registry
system on the public area of the CITL’s website, in accordance with the specified timing, and each registry admin­
istrator shall display and update this information in respect of its registry on the public area of that registry’s website,
in accordance with the specified timing.

2. The following information for each account shall be displayed in the week after the account has been created in a

registry, and shall be updated on a weekly basis:

(a) account holder name: the holder of the account (person, operator, Commission, Member State); in the case of
operator holding accounts, the account holder name should be identical to name of the natural or legal person
that is the holder of the relevant greenhouse gas permit;

(b) alphanumeric identifier: the identifier specified by the account holder assigned to each account;

(c) name, address, city, postcode, country, telephone number, facsimile number and email address of the primary,
secondary and additional authorised representatives of the account specified by the account holder for that
account, unless the registry administrator allows account holders to request keeping all or some of this infor­
mation confidential and the account holder requested the registry administrator in writing not to display all or
some of this information.

3. The following additional information for each operator holding account shall be displayed in the week after the

account has been created in the registry, and shall be updated on a weekly basis:

(a) points 1 to 3.1, 3.4 to 4.5 and point 6 of the information identifying the installation as listed in section 14.1 of

Annex I to Decision 2007/589/EC;

(b) permit identification code: the code assigned to the installation related to the operator holding account;

(c)

installation identification code: the code assigned to the installation related to the operator holding account;

(d) allowances allocated and issued to the installation related to the operator holding account, which is part of the
national allocation plan table under Article 11 of Directive 2003/87/EC and any corrections to such allocations;

(e)

the date of the greenhouse gas permit’s entry into force and the date of the creation of the account.

4. The following additional

information for each operator holding account for the years 2005 onwards shall be

displayed in accordance with the following specified dates:

(a) verified emissions figure, along with its corrections for the installation related to the operator holding account for

year X shall be displayed from 15 May onwards of year (X+1);

(b) allowances and ERUs/CERs surrendered, by unit identification code, for year X shall be displayed from 15 May

onwards of year (X+1);

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(c) a symbol identifying whether the installation related to the operator holding account did or did not surrender the
necessary number of allowances for year X by 30 April of year (X+1) in accordance with point (e) of Article 6(2)
of Directive 2003/87/EC and any subsequent changes to that status pursuant to corrections to verified emissions
in accordance with Article 51(4) of this Regulation shall be displayed from 15 May onwards of year (X+1).
Depending on the installation’s compliance status figure and the registry’s operational status, the following
symbols shall be displayed together with the following statements:

Table IV-1: Compliance statements

Compliance status for year X on 30 April of year
(X+1)

Symbol

Statement

to be displayed on CITL and registries

Total allowances and ERUs/CERs surrendered
for the period ≥ verified emissions in period
until current year

Total allowances and ERUs/CERs surrendered
for the period < verified emissions in period
until current year

Verified emissions in period until current year
were corrected by competent authority

A

B

C

D

Verified emissions in period until current year
were corrected by competent authority

E

‘The number of allowances and ERUs/CERs
is greater than or
surrendered by 30 April
equal to verified emissions’

‘The number of allowances and ERUs/CERs
surrendered by 30 April
than
verified emissions’

lower

is

‘Verified emissions were not entered until 30
April’

corrected

emissions were

‘Verified
by
competent authority after 30 April of year
X. The competent authority of the Member
State decided that the installation is not in
compliance for year X’

corrected

emissions were

‘Verified
by
competent authority after 30 April of year
X. The competent authority of the Member
in
the
State decided that
compliance for year X’

installation is

X

‘Entering verified emissions and/or
surren­
dering was impossible until 30 April due to
the
and/or
surrender process
verified
emissions update process being
suspended for the Member State’s registry’;

allowance

(d) a symbol indicating if the installation’s account is blocked be displayed from 31 March onwards of year (X+1).

5. The following general information shall be displayed and updated within a week of any changes thereto:

(a)

the national allocation plan table of each Member State, indicating the allocations to installations and the quantity
of allowances reserved for later allocation or sale shall be displayed and updated whenever there is a correction to
the national allocation plan table, clearly indicating where corrections were made;

(b) the fees charged for the creation and annual maintenance of holding accounts in each registry shall be displayed
on a continuous basis. Updates to this information shall be notified to the Central Administrator by the registry
administrator within 15 working days of any change in fees;

(c)

the type of Kyoto units that may be held by operator and person holding accounts in registries.

PUBLICLY AVAILABLE INFORMATION FROM EACH REGISTRY

6. Each registry administrator shall display and update the information in paragraphs 7 to 10 in respect of its registry

on the public area of that registry’s website, in accordance with the specified timing.

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7. The following information for each project identifier for a project activity implemented pursuant to Article 6 of the
Kyoto Protocol against which the Member State has issued ERUs shall be displayed in the week after the issue has
taken place:

(a) project name: a unique name for the project;

(b) project location: the Member State and town or region in which the project is located;

(c) years of ERU issuance: the years in which ERUs have been issued as a result of the project activity implemented

pursuant to Article 6 of the Kyoto Protocol;

(d) reports: downloadable electronic versions of all publicly available documentation relating to the project, including
proposals, monitoring, verification and issuance of ERUs, where relevant, subject to the confidentiality provisions
in Decision 9/CMP.1 (Guidelines for the implementation of Article 6 of the Kyoto Protocol) of the Conference of
the Parties to the UNFCCC serving as the meeting of the Parties to the Kyoto Protocol;

(e) any set-aside table drawn up in accordance with Commission Decision 2006/780/EC (1).

8. The following holding and transaction information, by unit identification code, relevant for that registry for the years

2005 onwards shall be displayed in accordance with the following specified dates:

(a)

the total quantity of ERUs, CERs, AAUs and RMUs held in each account (person holding, operator holding, Party
holding, cancellation, replacement or retirement) on 1 January of year X shall be displayed from 15 January
onwards of year (X+5);

(b)

the total quantity of AAUs issued in year X on the basis of the assigned amount pursuant to Article 7 of
Decision No 280/2004/EC shall be displayed from 15 January onwards of year (X+1);

(c)

the total quantity of ERUs issued in year X on the basis of project activity implemented pursuant to Article 6 of
the Kyoto Protocol shall be displayed from 15 January onwards of year (X+1);

(d)

the total quantity of ERUs, CERs, AAUs and RMUs acquired from other registries in year X and the identity of
the transferring accounts and registries shall be displayed from 15 January onwards of year (X+5);

(e)

the total quantity of RMUs issued in year X on the basis of each activity under Article 3, paragraphs 3 and 4 of
the Kyoto Protocol shall be displayed from 15 January onwards of year (X+1);

(f)

the total quantity of ERUs, CERs, AAUs and RMUs transferred to other registries in year X and the identity of
the acquiring accounts and registries shall be displayed from 15 January onwards of year (X+5);

(g)

the total quantity of ERUs, CERs, AAUs and RMUs cancelled in year X on the basis of activities under Article 3,
paragraphs 3 and 4 of the Kyoto Protocol shall be displayed from 15 January onwards of year (X+1);

(h)

the total quantity of ERUs, CERs, AAUs and RMUs cancelled in year X following determination by the
compliance committee under the Kyoto Protocol
in compliance with its
that
the Kyoto Protocol shall be displayed from 15 January
commitment under Article 3, paragraph 1 of
onwards of year (X+1);

the Member State is not

(1) Commission Decision 2006/780/EC of 13 November 2006 on avoiding double counting of greenhouse gas emission reductions under
the Community emissions trading scheme for project activities under the Kyoto Protocol pursuant to Directive 2003/87/EC of the
European Parliament and of the Council (OJ L 316, 16.11.2006, p. 12).

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(i)

the total quantity of other ERUs, CERs, AAUs and RMUs, or allowances, cancelled in year X and the reference to
the Article pursuant to which these Kyoto units or allowances were cancelled under this Regulation shall be
displayed from 15 January onwards of year (X+1);

(j)

the total quantity of ERUs, CERs, AAUs, RMUs and allowances retired in year X shall be displayed from 15
January onwards of year (X+1);

(k)

the total quantity of ERUs, CERs, AAUs carried over in year X from the previous commitment period shall be
displayed from 15 January onwards of year (X+1);

(l)

the total quantity of allowances from the previous commitment period cancelled and replaced in year X shall be
displayed from 15 May onwards of year X;

(m) current holdings of ERUs, CERs, AAUs and RMUs in each account (person holding, operator holding, Party
holding, cancellation or retirement) on 31 December of year X shall be displayed from 15 January onwards of
year (X+5).

9. The list of persons authorised by the Member State to hold ERUs, CERs, AAUs and/or RMUs under its responsibility
shall be displayed in the week after such authorisations have been given, and shall be updated on a weekly basis.

10. The total number of CERs and ERUs which operators are allowed to surrender for each period pursuant to
Article 11a(1) of Directive 2003/87/EC shall be displayed in accordance with Article 30(3) of Directive 2003/87/EC.

PUBLICLY AVAILABLE INFORMATION FROM THE CITL

11. The Central Administrator shall display and update the information in paragraphs 12 and 13 in respect of the

registry system on the public area of the CITL’s website, in accordance with the specified timing.

12. The following information for each completed transaction relevant for the registries system for year X shall be

displayed from 15 January onwards of year (X+5):

(a) account identification code of the transferring account;

(b) account identification code of the acquiring account;

(c) account holder name of the transferring account: the holder of the account (person, operator, Commission,

Member State);

(d) account holder name of the acquiring account: the holder of the account (person, operator, Commission, Member

State);

(e) allowances or Kyoto units involved in the transaction by unit identification code;

(f)

transaction identification code;

(g) date and time at which the transaction was completed (in Greenwich Mean Time);

(h) process type: the categorisation of a process according to Article 31.

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13. The Central Administrator shall make available on the public area of the CITL’s website the following information:

(a)

from 30 April onwards of year (X+1) information indicating the percentage share of allowances surrendered in
each Member State in year X that were not transferred prior to their surrender;

(b) from 1 March onwards of year (X+1) information indicating the sum of verified emissions by Member State

entered for year X as a percentage of the sum of verified emissions of year (X–1);

(c) a number indicating the total number of allowances, ERUs, CERs held in all registries in all operator and person

holding accounts on the previous day.

INFORMATION FROM EACH REGISTRY TO BE MADE AVAILABLE TO ACCOUNT HOLDERS

14. Each registry administrator shall display and update the information in paragraph 15 in respect of its registry on the

secure area of that registry’s website, in accordance with the specified timing.

15. The following elements for each account, by unit identification code, shall be displayed on the account holder’s

request to that account holder only:

(a) current holdings of allowances or Kyoto units;

(b) list of proposed transactions initiated by that account holder, detailing for each proposed transaction the elements
in paragraph 12(a) to (f), the date and time at which the transaction was proposed (in Greenwich Mean Time), the
current status of that proposed transaction and any response codes returned consequent to the checks made by
the registry and the CITL;

(c)

list of allowances or Kyoto units acquired by that account as a result of completed transactions, detailing for each
transaction the elements in paragraph 12(a) to (g);

(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 paragraph 12(a) to (g).