
COMMISSION REGULATION (EU) No 1193/2011 of 18 November 2011 establishing a Union Registry for the trading period commencing on 1 January 2013, and subsequent trading periods, of the Union emissions trading scheme pursuant to Directive 2003/87/EC of the European Parliament and of the Council and Decision No 280/2004/EC of the European Parliament and of the Council and amending Commission Regulations (EC) No 2216/2004 and (EU) No 920/2010 (Text with EEA relevance) (repealed) 

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CHAPTER I
SUBJECT MATTER, SCOPE AND DEFINITIONS
Subject matter
Article 1 
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Scope
Article 2 
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Definitions
Article 3 
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CHAPTER II
THE REGISTRIES SYSTEM
Union Registry
Article 4 
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European Union Transaction Log
Article 5 
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Communication links between registries, the ITL and the EUTL
Article 6 
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Administrators
Article 7 
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CHAPTER III
ACCOUNTS
SECTION 1
Provisions applicable to all accounts
Accounts
Article 8 
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Account status
Article 9 
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The administering of accounts
Article 10 
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Notifications from the central administrator
Article 11 
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SECTION 2
Opening and updating accounts
Opening management accounts
Article 12 
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Opening an auction delivery account in the Union Registry
Article 13 
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Opening operator holding accounts in the Union Registry
Article 14 
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Opening aircraft operator holding accounts in the Union Registry
Article 15 
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Opening person holding and trading accounts in the Union Registry
Article 16 
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Opening national holding accounts in the Union Registry
Article 17 
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Opening external platform accounts in the Union Registry
Article 18 
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Opening verifier accounts in the Union Registry
Article 19 
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Refusal to open an account
Article 20 
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Authorised representatives
Article 21 
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Nominating and approval of authorised representatives and additional authorised representatives
Article 22 
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Updating of account information and information on authorised representatives
Article 23 
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Trusted account list
Article 24 
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SECTION 3
Closure of accounts
Closure of accounts
Article 25 
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Closure of operator holding accounts
Article 26 
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Closure of aircraft operator holding accounts
Article 27 
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Closure of verifier accounts
Article 28 
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Positive balance on accounts under closure
Article 29 
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Closure of accounts and removal of authorised representative on the administrator’s initiative
Article 30 
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SECTION 4
Suspension of access to accounts
Suspension of access to accounts
Article 31 
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CHAPTER IV
VERIFIED EMISSIONS AND COMPLIANCE
Verified emissions data for an installation or aircraft operator
Article 32 
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Blocking of accounts due to a failure to submit verified emissions
Article 33 
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Calculation of compliance status figures
Article 34 
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CHAPTER V
TRANSACTIONS
Article 35 
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Execution of transfers
Article 36 
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Nature of allowances and finality of transactions
Article 37 
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SECTION 1
Creation of allowances
Creation of allowances
Article 38 
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SECTION 2
Account transfers before auctions and allocation
Transfer of general allowances to be auctioned
Article 39 
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Transfer of general allowances to be allocated free of charge
Article 40 
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Transfer of general allowances for the new entrant reserve
Article 41 
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Transfer of aviation allowances to be auctioned
Article 42 
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Transfer of aviation allowances to be allocated free of charge
Article 43 
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Transfer of aviation allowances to the special reserve
Article 44 
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Transfer of general allowances to the EU Total Quantity Account
Article 45 
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Transfer of aviation allowances to the EU Aviation Total Quantity Account
Article 46 
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Deletion of aviation allowances
Article 47 
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SECTION 3
Allocation to stationary installations
National allocation tables
Article 48 
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Entry of national allocation tables into the EUTL
Article 49 
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Changes to the national allocation tables
Article 50 
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Free allocation of general allowances
Article 51 
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SECTION 4
Allocation to aircraft operators
National aviation allocation tables
Article 52 
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Entry of national aviation allocation tables into the EUTL
Article 53 
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Changes to the national aviation allocation tables
Article 54 
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Free allocation of aviation allowances
Article 55 
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SECTION 5
Auction
Auction tables
Article 56 
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Entry of auction tables into the EUTL
Article 57 
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Changes to the auction tables
Article 58 
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Auctioning of allowances
Article 59 
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SECTION 6
Trading
Transfers of allowances or Kyoto units initiated by a holding account
Article 60 
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Transfers of allowances or Kyoto units initiated by a trading account
Article 61 
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SECTION 7
Surrender of allowances
Surrender of allowances
Article 62 
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SECTION 8
Deletion of allowances
Deletion of allowances
Article 63 
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SECTION 9
Transaction reversal
Reversal of finalised processes initiated in error
Article 64 
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CHAPTER VI
TECHNICAL REQUIREMENTS OF THE REGISTRIES SYSTEM
SECTION 1
Availability
Availability and reliability of the Union Registry and the EUTL
Article 65 
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Helpdesks
Article 66 
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SECTION 2
Security and authentication
Authentication of the Union Registry
Article 67 
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Accessing accounts in the Union Registry
Article 68 
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Authentication and authorisation of authorised representatives in the Union Registry
Article 69 
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Suspension of all access due to a security breach or a security risk
Article 70 
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Suspension of access to allowances or Kyoto units in the case of a suspected fraudulent transaction
Article 71 
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Cooperation with competent authorities and notification of money laundering, terrorist financing or criminal activity
Article 72 
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Suspension of processes
Article 73 
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SECTION 3
Automated checking, recording and completing of processes
Automated checking of processes
Article 74 
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Detection of discrepancies
Article 75 
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Detection of discrepancies within the Union Registry
Article 76 
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Reconciliation — Detection of inconsistencies by the EUTL
Article 77 
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Finalisation of processes
Article 78 
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SECTION 4
Specifications and change management
Data exchange and technical specifications
Article 79 
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Change and release management
Article 80 
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CHAPTER VII
RECORDS, REPORTS, CONFIDENTIALITY AND FEES
Records
Article 81 
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Reporting
Article 82 
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Confidentiality
Article 83 
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Fees
Article 84 
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Interruption of operation
Article 85 
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CHAPTER VIII
TRANSITIONAL AND FINAL PROVISIONS
Implementation
Article 86 
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Further use of accounts
Article 87 
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Amendments to Regulation (EC) No 2216/2004
Article 88 
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Amendments to Regulation (EU) No 920/2010
Article 89 
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Entry into force
Article 90 
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ANNEX I

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ANNEX II
Information to be submitted with requests for all accounts
1. The information set out in Table II-I. 

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2. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

ANNEX III
Information concerning auction delivery accounts, person holding accounts, trading accounts and external platform accounts to be provided
1. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

2. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

3. Evidence to support the identity of the natural person requesting the account opening, which may be a copy of one of the following: 

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4. Evidence to support the address of the permanent residence of the natural person account holder, which may be a copy of one of the following: 

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5. The following documents in case of a legal person requesting the account opening: 

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6. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

7. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

8. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

9. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

10. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

ANNEX IV
Additional information concerning verifier accounts to be provided to the national administrator

1. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

ANNEX V
Information concerning each operator holding account to be provided to the national administrator
1. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

2. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

3. The information set out in Table V-I and V-II 

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ANNEX VI
Information concerning each aircraft operator holding account to be provided to the national administrator
1. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

2. Under the data provided in accordance with table II-I, the aircraft operator shall be given as the account holder. The name recorded for the account holder shall be identical to the name in the Monitoring Plan. In case of the name in the Monitoring Plan being obsolete, the name in the trading registry or the name used by Eurocontrol shall be used. 

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3. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

ANNEX VII
Information concerning authorised representatives and additional authorised representatives to be provided to the administrator of the account
1. The information set out in Table VII-I. 

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2. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

3. Evidence to support the identity of the nominee, which may be a copy of one of the following: 

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4. Evidence to support the address of the permanent residence of the nominee, which may be a copy of one of the following: 

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5. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

6. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

7. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

8. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

ANNEX VIII
Formats for submitting annual emissions data
1. Emissions data for operators shall contain the information set out in Table VIII-I. 

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2. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

ANNEX IX

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ANNEX X

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ANNEX XI

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ANNEX XII
Reporting requirements of the central administratorInformation available to the public 
 1. The EUTL shall display on the public website of the EUTL the following information for each account: 

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 2. The EUTL shall display on the public website of the EUTL the following general information, and shall update it every 24 hours: 

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 3. The EUTL shall display on its public website the following general information, on 30 April of each year: 

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 4. The EUTL shall display on the public website of the EUTL the following information about each completed transaction recorded by the EUTL, on 1 January of the fifth year after the year of the recording of the information. 

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Information available to account holders 
 5. The Union Registry shall display on the part of the Union Registry’s website only accessible to the account holder the following information, and shall update it in real time: 

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Information available to national administrators 
 6. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
