Commission Regulation (EU) No 389/2013 of 2 May 2013 establishing a Union Registry pursuant to Directive 2003/87/EC of the European Parliament and of the Council, Decisions No 280/2004/EC and No 406/2009/EC of the European Parliament and of the Council and repealing Commission Regulations (EU) No 920/2010 and No 1193/2011 (Text with EEA relevance)Text with EEA relevance

• Published date: 03 May 2013
• Subject Matter: ambiente,medio ambiente,environnement
• Official Gazette Publication: Gazzetta ufficiale dell’Unione europea, L 122, 3 maggio 2013,Diario Oficial de la Unión Europea, L 122, 3 de mayo de 2013,Journal officiel de l’Union européenne, L 122, 3 mai 2013

02013R0389 — EN — 22.07.2019 — 004.001

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►B COMMISSION REGULATION (EU) No 389/2013 of 2 May 2013 establishing a Union Registry pursuant to Directive 2003/87/EC of the European Parliament and of the Council, Decisions No 280/2004/EC and No 406/2009/EC of the European Parliament and of the Council and repealing Commission Regulations (EU) No 920/2010 and No 1193/2011 (Text with EEA relevance) (OJ L 122 3.5.2013, p. 1)

Amended by:

		Official Journal
		No	page	date
►M1	COMMISSION DELEGATED REGULATION (EU) 2015/1844 of 13 July 2015	L 268	1	15.10.2015
►M2	COMMISSION REGULATION (EU) 2018/208 of 12 February 2018	L 39	3	13.2.2018
M3	COMMISSION DELEGATED REGULATION (EU) 2019/401 of 19 December 2018	L 72	4	14.3.2019
►M4	COMMISSION DELEGATED REGULATION (EU) 2019/1122 of 12 March 2019	L 177	3	2.7.2019

Corrected by:

►C1 Corrigendum, OJ L 073, 15.3.2019, p. 193 (2019/401)

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▼B

COMMISSION REGULATION (EU) No 389/2013

of 2 May 2013

establishing a Union Registry pursuant to Directive 2003/87/EC of the European Parliament and of the Council, Decisions No 280/2004/EC and No 406/2009/EC of the European Parliament and of the Council and repealing Commission Regulations (EU) No 920/2010 and No 1193/2011

(Text with EEA relevance)

TITLE I

COMMON GENERAL PROVISIONS

CHAPTER 1

Subject matter, scope and definitions

Article 1

Subject matter

This Regulation lays down general, operational and maintenance requirements concerning the Union Registry for the trading period commencing on 1 January 2013 and subsequent periods, concerning the independent transaction log provided for in Article 20(1) of Directive 2003/87/EC, and concerning registries provided for in Article 6 of Decision No 280/2004/EC.

This Regulation also provides for a communication system between the Union Registry and the ITL.

Article 2

Scope

This Regulation applies to allowances created for the trading period of the Union emissions trading scheme commencing on 1 January 2013 and subsequent periods, annual emission allocation units and Kyoto units.

This Regulation also applies to aviation allowances to be auctioned that were created for the trading period from 1 January 2012 to 31 December 2012.

Article 3

Definitions

Unless otherwise indicated, terms used in Title II of this Regulation have the same meaning as under Directive 2003/87/EC. Moreover, the definitions set out in Article 3 of Regulation (EU) No 1031/2010 and in Article 3 of Commission Decision 2011/278/EU apply. The following definitions also apply:

(1) ‘account holder’ means a natural or legal person that holds an account in the registries system;

(2) ‘central administrator’ means the person designated by the Commission pursuant to Article 20 of Directive 2003/87/EC;

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

(4) ‘external trading platform’ means any type of multilateral exchange that brings together or facilitates the bringing together of multiple third-party buying and selling interests as defined in Article 4 of Directive 2004/39/EC of the European Parliament and of the Council ( 1 ), where the interests bought and sold are in allowances or Kyoto units;

(5) ‘verifier’ means a verifier as defined in Article 3(3) of Commission Regulation (EU) No 600/2012 ( 2 );

(6) ‘assigned amount units’ (‘AAUs’) means units issued pursuant to Article 7(3) of Decision No 280/2004/EC;

(7) ‘aviation allowances’ means allowances created pursuant to Article 3c(2) of Directive 2003/87/EC;

(8) ‘general allowances’ means all other allowances created pursuant to Directive 2003/87/EC;

(9) ‘long-term certified emission reductions (‘lCERs’) means units issued for an afforestation or reforestation project activity under the clean development mechanism (‘CDM’) which, subject to Decision 5/CMP.1 of the Conference of the Parties serving as the meeting of the Parties to the Kyoto Protocol, expire at the end of the emission reduction crediting period of the afforestation or reforestation project activity under the CDM for which they were issued;

(10) ‘removal units’ (‘RMUs’) means units issued pursuant to the relevant provisions in the annex to Decision 13/CMP.1;

(11) ‘temporary certified emission reductions’ (‘tCERs’) means units issued for an afforestation or reforestation project activity under the CDM which, subject to Decision 5/CMP.1, expire at the end of the Kyoto Protocol commitment period following the one during which they were issued;

(12) ‘Kyoto units’ means AAUs, emission reduction units (‘ERUs’), certified emission reductions (‘CERs’), RMUs, lCERs and tCERs.

(13) ‘process’ means an automated technical means to carry out an action relating to an account, a unit or a portion of the credit entitlement in a registry;

(14) ‘transaction’ means a process in the Union registry that includes the transfer of an allowance, a Kyoto unit, an annual emission allocation unit or a portion of the credit entitlement from one account to another account;

(15) ‘surrender’ means the accounting of an allowance by an operator or aircraft operator against the verified emissions of its installation or aircraft;

(16) ‘cancellation’ means the definitive disposal of a Kyoto unit by its holder without accounting it against verified emissions;

(17) ‘deletion’ means the definitive disposal of an allowance by its holder without accounting it against verified emissions;

(18) ‘retirement’ means the accounting of a Kyoto unit by a party to the Kyoto Protocol against the reported emissions of that Party;

(19) ‘money laundering’ means money laundering as defined in Article 1(2) of Directive 2005/60/EC of the European Parliament and the Council ( 3 );

(20) ‘serious crime’ means serious crime as defined in point (5) of Article 3 of Directive 2005/60/EC;

(21) ‘terrorist financing’ means terrorist financing as defined in Article 1(4) of Directive 2005/60/EC;

(22) ‘national administrator’ means the entity responsible for administering on behalf of a Member State a set of user accounts under the jurisdiction of a Member State in the Union Registry, designated in accordance with Article 8;

(23) ‘directors’ means the persons effectively directing the day-to-day operations of a legal person

(24) ‘Central European Time’ means Central European Summer Time during the summer-time period as defined in Articles 1, 2 and 3 of Directive 2000/84/EC;

(25) ‘national administrative platform’ means an external system operated by a national administrator or a competent authority that is securely connected to the Union Registry for the purposes of automating functions related to the administering of accounts and of compliance obligations in the Union Registry;

(26) ‘international credits’ means CERs, ERUs and credits from projects or other emission reducing activities which may be used pursuant to Article 11a(5) of Directive 2003/87/EC;

(27) ‘annual emission allocation unit’ (‘AEA’) means a subdivision of a Member State's annual emission allocation as determined pursuant to Article 3(2) and Article 10 of Decision No 406/2009/EC equal to one tonne of carbon dioxide equivalent;

(28) ‘credit entitlement’ means the right of a Member State, expressed as a number equal to a percentage of its 2005 greenhouse gas emissions as specified in Article 5(4) of Decision No 406/2009/EC, to use credits referred to in Article 5 of Decision No 406/2009/EC in order to comply with its obligations under Article 3 of Decision No 406/2009/EC;

(29) ‘unused credit entitlement’ means a Member State's credit entitlement less the sum of international credits, tCERs or lCERs held in the ESD Compliance Account at the moment of determination of the compliance status figures pursuant to Article 79 of this Regulation.

(30) ‘compliance period’ means the period from 1 January 2013 to 31 December 2020 during which the Member States shall limit their greenhouse gas emissions pursuant to Article 3 of Decision No 406/2009/EC.

CHAPTER 2

The registries system

Article 4

Union Registry

1. A Union Registry for the trading period of the Union emissions trading scheme commencing on 1 January 2013 and subsequent periods is established.

2. The central administrator shall operate and maintain the Union Registry, including its technical infrastructure.

3. Member States shall use the Union Registry for the purposes of meeting their obligations under Article 19 of Directive 2003/87/EC and Article 11 of Decision No 406/2009/EC and to ensure accurate accounting of allowances, AEAs and to the credit entitlement within the scope of this Regulation. The Union Registry shall provide national administrators and account holders with the processes set out in this Regulation.

4. The central administrator shall ensure that the Union Registry conforms to the functional and technical specifications for data exchange standards for registry systems under the Kyoto Protocol elaborated pursuant to Decision 12/CMP.1 and have regard to the hardware, network, software and security requirements set out in the data exchange and technical specifications provided for in Article 105 of this Regulation.

Article 5

National and Union KP registries

1. For the purposes of meeting their obligations as Parties...