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The Greenhouse Gas Emissions Trading Scheme Regulations 2012

Type Statutory-Instrument

Publication 2012-12-05

Last updated 2021-05-01

State In force

Department King's Printer of Acts of Parliament

Source legislation.gov.uk

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

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

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

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

PART 1 — General

Citation and commencement

1

These Regulations may be cited as the Greenhouse Gas Emissions Trading Scheme Regulations 2012 and come into force on 1st January 2013.

Duty to review these Regulations

2

(1) The DAERA must from time to time—

(a) carry out a review of these Regulations;

(b) set out the conclusions of the review in a report; and

(2) In carrying out the review the DAERA must, so far as is reasonable, have regard to how the Directive, and measures adopted under it by the European Commission, are implemented in ... member States.

(3) The report must in particular—

(a) set out the objectives intended to be achieved by the regulatory system established by these Regulations;

(b) assess the extent to which those objectives are achieved; and

(c) assess whether those objectives remain appropriate and, if so, the extent to which they could be achieved with a system that imposes less regulation.

(4) The first report under this regulation must be published before the end of the period of five years beginning with the day on which these Regulations come into force.

(5) Reports under this regulation are afterwards to be published at intervals not exceeding five years.

Interpretation

3

(1) In these Regulations—

“the 2005 Regulations” means the Greenhouse Gas Emissions Trading Scheme Regulations 2005 ;

“the 2010 Regulations” means the Aviation Greenhouse Gas Emissions Trading Scheme Regulations 2010 ;

“the 2018 surrender deadline” means, subject to paragraphs (1A) to (1C), 10.59 pm on 29th March 2019;

“allocation”, in relation to an allowance, means allocation free of charge in accordance with Chapter 2 or 3 of the Directive (and, except in regulation 87A(3), “allocated” has the corresponding meaning);

“allocation period” means— the period which begins with 1st January 2021 and ends with 31st December 2025 (“the first allocation period”);the period which begins with 1st January 2026 and ends with 31st December 2030 (“the second allocation period”);

“allowance”—... has the meaning given in Article 3(a) of the Directive, ......

“annual reportable emissions” means the reportable emissions arising in any scheme year;

“Article 27 installation” means an installation of the kind described in regulation 15(A1);

“Article 27a installation” means an installation of the kind described in regulation 15A(1);

“Article 27 installation emissions permit” means a permit which— is granted following an application under regulation 10(2); orresults from a variation made under regulation 88 or paragraph 2 of Schedule 5;

“authority” means DAERA;

“bioliquids” has the meaning given in Article 2(h) of the Renewable Energy Directive;

“cease operation”, in relation to an installation, has the meaning given in paragraph (3);

“change of status notice” means a notice under— paragraph 8(1) or 8(4) of Schedule 5 that an installation will cease to be treated as an Article 27 installation;paragraph 5(1) of Schedule 5A, that an installation will cease to be treated as an Article 27a installation;

“chief inspector” means the chief inspector constituted under regulation 8(3) of the Northern Ireland Regulations;

“current operator” has the meaning given by regulation 12(1);

“DAERA” means the Department of Agriculture, Environment and Rural Affairs in Northern Ireland;

“the Directive” means Directive 2003/87/EC of the European Parliament and of the Council establishing a scheme for greenhouse gas emissions allowance trading within the Community and amending Council Directive 96/61/EC , as amended from time to time and as adapted by Annex 20 to the EEA agreement ;

“duly made”, in relation to an application, means made in accordance with the requirements of these Regulations;

“emissions” has the meaning given in Article 3(b) of the Directive;

“emissions target”, in relation to a scheme year, means an amount of reportable emissions specified in an Article 27 installation emissions permit as the target for that excluded installation in that year;

“entry year” means the scheme year following the scheme year in which the operator of an excluded installation is given a change of status notice;

“excluded installation” means— an Article 27 installation; oran Article 27a installation;

“fee”, in relation to any matter, means the fee or charge prescribed in respect of that matter by a scheme, or regulations, made under—......regulation 4 of the Greenhouse Gas Emissions Trading Scheme Charging Scheme Regulations (Northern Ireland) 2010 ; orArticle 127 of the Planning (Northern Ireland) Order 1991 ;

“greenhouse gas emissions permit” means a permit granted following an application under—regulation 10(1); orregulation 8 of the 2005 Regulations;

“installation” has the meaning given in Article 3(e) of the Directive (and references to an “installation” include a reference to a part of an installation);

“KP registry administrator” has the meaning given by regulation 81(1);

“monitoring and reporting conditions” has the meaning given by paragraph 3(8) of Schedule 5;

“monitoring and reporting requirements” has the meaning given by paragraph 2(3) of Schedule 4;

“the Monitoring and Reporting Regulation” means Commission Regulation (EU) No 601/2012 of 21 June 2012 on the monitoring and reporting of greenhouse gas emissions pursuant to Directive 2003/87/EC of the European Parliament and of the Council , as amended from time to time;

“the Monitoring and Reporting Regulation 2018” means Commission Implementing Regulation (EU) 2018/2066 of 19 December 2018 on the monitoring and reporting of greenhouse gas emissions pursuant to Directive 2003/87/EC of the European Parliament and of the Council and amending Commission Regulation (EU) No 601/2012, as amended from time to time;

“new operator” has the meaning given by regulation 12(1);

“Northern Ireland Regulations” means the Pollution Prevention and Control (Industrial Emissions) Regulations (Northern Ireland) 2013;

“notice of surrender” has the meaning given in regulation 13(7);

“operator”, in relation to an installation, has the meaning given in paragraph (2) (and “operate” has the corresponding meaning);

“partial transfer” has the meaning given by regulation 12(2);

“permit” (except in paragraph 1(2)(b) of Schedule 4 ...) means—a greenhouse gas emissions permit; oran Article 27 installation emissions permit;

“the Planning Appeals Commission” means the Planning Appeals Commission established under article 110 of the Planning (Northern Ireland) Order 1991 ;

“prescribed” (in relation to a fee) means specified in, or determined under, the scheme or regulations in question;

“the Registries Regulation 2010” means Commission Regulation (EU) No 920/2010 of 7 October 2010 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 ;

“the Registries Regulation 2013” means 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, as amended from time to time;

“the Registries Regulation 2019” means Commission Delegated Regulation (EU) 2019/1122 of 12 March 2019 supplementing Directive 2003/87/EC of the European Parliament and of the Council as regards the functioning of the Union Registry, as amended from time to time;

“registry administrator” has the meaning given by regulation 8(1);

“registry account” means an operator holding account ... in the Union Registry (and “open”, “blocked” , “excluded” or “closed” status, in relation to such an account, have the meanings given by Article 10 of the Registries Regulation 2013);

“regulated activity” means an activity ... that—is listed in Annex 1 to the Directive, andresults in specified emissions;

“regulator” means the chief inspector;

“the Renewable Energy Directive” means Directive 2009/28/EC of the European Parliament and of the Council on the promotion of the use of energy from renewable sources and amending and subsequently repealing Directives 2001/77/EC and 2003/30/EC , as amended from time to time;

“reportable emissions” means—in relation to an installation, the total specified emissions (expressed in tonnes of carbon dioxide equivalent) which arise from the regulated activities carried out at that installation; ......

“revocation notice” has the meaning given by regulation 14(1);

“scheme year” means the year beginning with 1st January 2013 or any subsequent calendar year;

“specified emissions”, in relation to an activity listed in Annex 1 to the Directive, means emissions of gases specified in Annex 1 in respect of that activity;

“surrender requirements” has the meaning given by paragraph 2(4) of Schedule 4;

“tonne of carbon dioxide equivalent” has the meaning given in Article 3(j) of the Directive;

“trading period” means one of the following ... periods—2013 to 2020; andsubsequent consecutive periods of ten calendar years;

“the Union Registry” means the registry established by Article 4 of the Registries Regulation 2013;

“the UK Registry” means the registry operated by the Environment Agency for the purposes specified in Article 3(1) of the Registries Regulation 2010 immediately before the coming into force of these Regulations;

“variation”, in relation to a permit or a plan, means the amendment of its provisions (and “vary” has the corresponding meaning);

“the Verification Regulation ...” means Commission Implementing Regulation (EU) 2018/2067 of 19 December 2018 on the verification of data and on the accreditation of verifiers pursuant to Directive 2003/87/EC of the European Parliament and of the Council, as amended from time to time;

“working day” means any day other than—a Saturday, Sunday, Good Friday, or Christmas Day; ora day which is a bank holiday under the Banking and Financial Dealings Act 1971 ;

“written procedures” means the written procedures required by Article 11(1) of the Monitoring and Reporting Regulation 2018.

(1A) This paragraph applies if at any time before 10.59 pm on 29th March 2019 an enactment (“enactment 1”) has made provision, in any form, which has the effect that exit day, within the meaning of section 20(1) of the European Union (Withdrawal) Act 2018 (“the 2018 Act”), is to be a date after 29th March 2019.

(1B) This paragraph applies where—

(a) paragraph (1A) applies; and

(b) at any time on or after 10.59 pm on 29th March 2019 but before the 2018 surrender deadline which applies in relation to enactment 1, a subsequent enactment (“enactment 2”) has made provision, in any form, which has the effect that exit day, within the meaning of section 20(1) of the 2018 Act, is to be a date after the date provided for in enactment 1,

and in the event of an enactment subsequent to enactment 2, the references in sub-paragraph (b) to enactment 1 are to be read as references to enactment 2 and so on.

(1C) Where paragraph (1A) or paragraph (1B) applies—

(a) if exit day is a day falling before 1st May 2019, the 2018 surrender deadline is immediately before the UK’s exit from the European Union; and

(b) if exit day is a day falling on or after 1st May 2019, the 2018 surrender deadline is 30th April 2019.

(2) The “operator” of an installation is the person who has control over its operation; but where—

(a) an installation has not been put into operation, the operator is the person who will have control over the operation of the installation when it is put into operation;

(b) an installation that is not an Article 27a installation has ceased operation, the operator is the person who holds the permit relating to the installation; ...

(ba) an Article 27a installation has ceased operation, the operator is the person who had control over its operation immediately before the installation ceased operation; and

(c) the holder of a permit has ceased to have control of the installation to which it relates, the operator is that permit holder.

(3) For the purposes of these Regulations, an installation has ceased operation if—

(a) a regulated activity is no longer being carried out at the installation; and

(b) it is technically impossible to resume operation.

(5) References in these Regulations to anything taking effect (or ceasing to have effect) on a particular date are to be read as references to it taking effect (or ceasing to have effect) as from the beginning of that date.

Application to the Crown etc.

4

Schedule 1 (application to the Crown etc.) has effect.

Notices etc.

5

Schedule 2 (notices etc.) has effect.

Applications etc.

6

Schedule 3 (applications etc.) has effect.

Functions of the regulator: Northern Ireland

7

(1) Regulation 8(4) of the Northern Ireland Regulations (delegation of functions) has effect as if the reference to the chief inspector's functions included a reference to the chief inspector's functions under these Regulations.

(2) Regulation 40(1) of the Northern Ireland Regulations (power of the Department to give directions) has effect as if the reference to functions under those Regulations included a reference to functions under these Regulations.

(3) Any direction of the Department of the Environment that is given by virtue of paragraph (2) must be published in such manner as the Department of the Environment considers appropriate.

Commission Regulations: designations

8

(1) DAERA is the national administrator designated by the United Kingdom for the purposes of the Registries Regulation 2019, and in these Regulations is referred to in that capacity as the “registry administrator”.

(2) Subject to paragraph (3), the regulator is the competent authority designated by the United Kingdom for the purposes of the Registries Regulation 2019 (other than for Articles 22(3) and 30(7)).

(3) DAERA is the competent authority so designated for the purposes of—

(a) Article 28(1);

(b) Article 30(8);

(d) Article 66(1).

(4) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(5) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(6) The regulator is the competent authority designated by the United Kingdom for the purposes of the Monitoring and Reporting Regulation 2018.

(7) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(8) ... The regulator is the competent authority designated by the United Kingdom for the purposes of the Verification Regulation.

(9) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(10) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

PART 2 — Stationary installations

CHAPTER 1 — Permits

Requirement for permit to carry out regulated activities

9

(1) No person may carry out a regulated activity at an installation except to the extent authorised by a permit held by the operator of the installation.

(2) Paragraph (1) does not apply in relation to a person carrying out a regulated activity at an Article 27a installation.

Applications for and grant of permits

10

(1) The operator of an installation (other than an excluded installation) may apply to the regulator for a greenhouse gas emissions permit to carry out a regulated activity at the installation.

(2) The operator of an Article 27 installation may apply to the regulator for an Article 27 installation emissions permit to carry out a regulated activity at the installation.

(3) However, an application may not be made—

(a) under paragraph (1) or (2) where a permit has already been granted in respect of the installation and continues to have effect; or

(b) under paragraph (2) where an Article 27 installation emissions permit has been granted in respect of the installation and has been surrendered or revoked.

(3A) An Article 27 installation emissions permit that is granted for the purposes of the first allocation period continues to have effect for the purposes of the second allocation period if the installation is deemed to be approved by the European Commission under the first subparagraph of Article 27(2) of the Directive in relation to that period.

(4) Following an application under paragraph (1) or (2), the permit must be granted if the regulator is satisfied that—

(a) the application is duly made, and

(b) at the time that the permit is granted (or, if later, has effect) the applicant will be capable of monitoring and reporting emissions from the installation in accordance with—

(i) the monitoring and reporting requirements of the greenhouse gas emissions permit, or

(ii) the monitoring and reporting conditions of the Article 27 installation emissions permit,

but must otherwise be refused.

(5) A permit may be granted under this regulation in respect of more than one installation on the same site, provided that they are operated by the same operator.

(6) Paragraph 1 of Schedule 4 makes further provision about applications for permits.

(7) Paragraph 2 of Schedule 4 makes provision about the contents of greenhouse gas emissions permits, and paragraph 3 of Schedule 5 makes provision about the contents of Article 27 installation emissions permits.

Review, variation and consolidation of permits

11

(1) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(2) The regulator may, by giving notice to the operator, vary a permit at any time and may in particular make any variation of the permit that the regulator considers necessary in consequence of—

(a) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(b) any report made by the operator under Article 69 of the Monitoring and Reporting Regulation 2018; or

(3) The regulator may by giving notice to the operator vary a permit where the operator—

(a) applies to the regulator for such a variation pursuant to a provision of the permit; or

(b) has failed to comply with a requirement of the permit to apply for such a variation.

(4) The regulator may by giving notice to the operator vary a permit in order to comply with regulator's duty under—

(a) regulation 88(2) or (4); or

(b) any of the following provisions of Schedule 5—

(i) paragraph 2(1);

(ii) paragraph 3(3);

(iii) paragraph 6(5) or (6);

(iv) paragraph 7(4)(b), (6)(b) or (7)(b);

(v) paragraph 8(6) or 8(6A).

(5) A notice given under paragraph (2), (3)(b) or (4) may specify a period within which a fee for the variation of the permit must be paid.

(6) The regulator may by giving notice to the operator replace a permit with a consolidated permit applying to the same regulated activities, and containing the same or equivalent provisions, in the following circumstances—

(a) where the permit has been varied;

(b) where there is more than one permit applying to installations on the same site operated by the same operator.

Transfer of permits

12

(1) Subject to paragraph (6), the holder of a permit (“the current operator”) and another person may jointly apply to the regulator for the permit to be transferred to that other person (“the new operator”).

(2) An application may also be made under paragraph (1) for the partial transfer of a permit; and for that purpose a “partial transfer” is a transfer in respect of—

(a) some only of the installations to which the permit relates; or

(b) some only of the parts of an installation to which the permit relates.

(3) Paragraph 3 of Schedule 4 makes further provision about the transfer, or partial transfer, of a permit.

(4) ... An application under paragraph (1) must be granted if the regulator is satisfied that—

(a) the application is duly made, and

(b) the new operator will (from the relevant date) be the operator of the installation and will be capable of monitoring and reporting emissions from the installation in accordance with—

(i) the monitoring and reporting requirements of the greenhouse gas emissions permit, or

(ii) the monitoring and reporting conditions of the Article 27 installation emissions permit,

but must otherwise be refused.

(5) For the purposes of paragraph (4), the relevant date is the date mentioned in paragraph 3(6), (8) or (10) of Schedule 4 as the case may be.

(6) An application for the transfer (or partial transfer) of a permit may not be made in respect of any installation (or part of an installation) that has ceased operation.

Surrender of permits

13

(1) Subject to paragraph (4), if an installation has ceased operation the operator must apply to the regulator to surrender the permit authorising regulated activities at the installation.

(1A) Where a permit authorises regulated activity to be carried out at an installation where a regulated activity is no longer being carried out but it is not technically impossible to resume operation, the operator of the installation may apply to the regulator to surrender the permit.

(2) An application under paragraph (1) must be made before the end of the period of one month beginning with the date that the regulated activities at the installation ceased, or such later date as may be agreed with the regulator.

(4) The application need not be made where—

(a) the permit authorises regulated activities at more than one installation, some of which have not ceased operation; and

(b) by the end of the period mentioned in paragraph (2), the operator has applied to vary that permit so that it no longer applies to any of those installations that have ceased operation.

(5) Where the carrying out of regulated activities at an installation mentioned in paragraph (6) has been suspended, but the installation has not ceased operation, the operator may at any time make an application under paragraph (1) but is not obliged to do so.

(6) Those installations are—

(a) an Article 27 installation; or

(b) an installation that, by virtue of Article 10a(3) of the Directive, is not eligible for an allocation.

(7) If the application under paragraph (1) is granted, the notice of determination given to the operator (“notice of surrender”) takes effect on the date specified in the notice.

(8) Paragraph 4 of Schedule 4 makes further provision about the surrender of permits.

Revocation of permits

14

(1) The regulator—

(a) may at any time revoke a permit by serving on the operator a notice to that effect (a “revocation notice”), and in particular may do so if the operator has failed to pay a fee for the subsistence of the permit; and

(b) must do so where—

(i) the regulator becomes aware that the operator has failed to comply with regulation 13(1) and (2);

(ii) a greenhouse gas emissions permit is held by the operator of an Article 27a installation;

(iii) an Article 27 installation emissions permit is held by the operator of an Article 27a installation.

(2) A revocation notice takes effect—

(a) 28 days after the date on which it is served; or

(b) if a later date is specified in the notice, on that date.

(3) Paragraph 5 of Schedule 4 makes further provision about the revocation of permits.

CHAPTER 2 — Excluded installations: further provision

Excluded installations

15

(A1) An installation is an Article 27 installation for the duration of a particular allocation period if, in relation to that period, it is deemed to be approved by the European Commission under the first subparagraph of Article 27(2) of the Directive, unless a notice has been given to the operator under paragraph 8(1) or (4) of Schedule 5 (in which case the installation ceases to be an Article 27 installation as from the date specified in the notice).

(B1) An installation's status as an Article 27 installation expires at the end of the particular allocation period in relation to which it has been excluded.

(C1) Where an installation ceases to be an Article 27 installation at the end of the first allocation period in accordance with paragraph (B1) and approval is not deemed in accordance with paragraph (A1) in respect of the second allocation period, paragraph 8(6A) of Schedule 5 applies.

(1) Schedule 5 makes further provision about Article 27 installations.

(2) Subject to paragraphs (3) and (4), and unless a contrary intention appears, these Regulations apply to an Article 27 installation as they apply to an installation that is not an excluded installation.

(3) The following provisions do not so apply—

(a) regulation 12(2); ...

(b) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(4) The following provisions so apply—

(a) paragraph 4 of Schedule 4, but as if—

(i) any reference in that paragraph to the monitoring and reporting requirements of the greenhouse gas emissions permit were a reference to the monitoring and reporting conditions of the Article 27 installation emissions permit; and

(ii) sub-paragraph (1)(c) and sub-paragraphs (2)(b)(ii), (3), (4) and (6) to (8) were omitted;

(b) paragraph 5 of Schedule 4, but as if—

(i) any reference in that paragraph to the monitoring and reporting requirements of the greenhouse gas emissions permit were a reference to the monitoring and reporting conditions of the Article 27 installation emissions permit; and

(ii) sub-paragraph (1)(c) and sub-paragraphs (3)(b)(ii), (4), (5) and (7) to (9) were omitted.

CHAPTER 3 — Allocation of allowances

Allocation of allowances for 2013 to 2020

16

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CHAPTER 4 — Offshore installations

Powers of entry

17

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Charging schemes

18

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Charging schemes: supplementary

19

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PART 3 — Aviation

CHAPTER 1 — General

Interpretation

20

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Civil Aviation Authority

21

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CHAPTER 2 — UK administered operators, UK aircraft operators and regulators

UK administered operators: power to designate

22

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Application to be designated as a UK administered operator

23

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Transfers of operators between member States

24

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Gibraltar operators

25

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UK aircraft operators

26

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Regulators: general

27

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Regulators: assessment of emissions

28

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Regulators: change in registered office

29

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CHAPTER 3 — Allocation of aviation allowances

Allocation of aviation allowances

30

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CHAPTER 4 — Monitoring and reporting aviation emissions

Interpretation

31

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Application for an emissions plan by a UK administered operator

32

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Requirement to notify the regulator if an emissions plan is not applied for

33

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Issue of an emissions plan

34

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Monitoring and reporting emissions

35

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Emissions plan conditions

36

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Variation of an emissions plan

37

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Variation of a benchmarking plan

38

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CHAPTER 5 — Sanctions (other than civil penalties)

Detention and sale of aircraft

39

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Aircraft operating bans

40

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PART 4 — Surrender of allowances

Surrender of allowances: operators of installations

41

For each scheme year, the operator of an installation must surrender allowances in accordance with the surrender requirements of the permit for the installation.

Surrender of allowances: UK aircraft operators

42

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PART 5 — Enforcement etc.

Enforcement notices

43

(1) Where the regulator considers that a person (“P”) has contravened, is contravening, or is likely to contravene a relevant provision, the regulator may serve a notice (“enforcement notice”) on P.

(2) For the purpose of paragraph (1), a “relevant provision” is any provision of—

(a) these Regulations;

(b) the Monitoring and Reporting Regulation 2018;

(d) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(3) An enforcement notice must—

(a) state the regulator's view under paragraph (1);

(b) specify the matters constituting the contravention or making a contravention likely;

(c) specify the steps that must be taken to remedy the contravention or to ensure that the likely contravention does not occur; and

(d) specify the period within which those steps must be taken.

(4) P must comply with the requirements of the notice within the period so specified.

(5) The regulator may withdraw an enforcement notice at any time by further notice served on P.

Power to determine reportable emissions

44

(1) A power of the regulator to make a conservative estimate of emissions in accordance with Article 70 of the Monitoring and Reporting Regulation 2018 (a “determination of emissions”) may also be exercised where—

(a) an operator fails to comply with the requirement to submit—

(i) a surrender report in accordance with paragraph 4(1)(a) and (b) of Schedule 4; or

(ii) a revocation report in accordance with paragraph 5(1)(a) and (b) of Schedule 4;

(b) an operator has failed to satisfy the regulator as required pursuant to paragraph 2(3)(c) of Schedule 4 or paragraph 3(8)(c) of Schedule 5; or

(d) the regulator considers that such a determination is necessary for the purpose of imposing, or considering whether to impose, a penalty under Part 7.

(2) In the case referred to in paragraph (1)(b), in making the determination the regulator may substitute an emissions factor of greater than zero for the factor reported in respect of the bioliquids concerned.

(3) The regulator may make a determination of emissions where—

(a) the operator has failed to submit a report as required pursuant to paragraph 3(8)(b) of Schedule 5; or

(b) the regulator has reason to believe that the report submitted is incorrect.

(4) A determination of emissions—

(a) must be notified to the operator ... concerned; and

(b) except where paragraph (5B) applies to that determination, is to be treated as determining all of the reportable emissions from the installation ... for the period to which the determination relates.

(5) A notice under paragraph (4) or under paragraph (5C)(a)—

(a) except where it relates to an Article 27 installation, must be served on the registry administrator (and is in that case to be regarded as an instruction to the registry administrator for the purposes of Article 31(6) of the Registries Regulation 2019); and

(b) must, where required by Article 70(2) of the Monitoring and Reporting Regulation 2018, specify the corrections that are required to the verified report mentioned ... in paragraph 2(3)(b) of Schedule 4.

(5A) Paragraph (5B) applies where –

(a) a determination of emissions has been notified to the operator ... under paragraph (4); and

(b) the regulator is satisfied that there is a defect in the estimate of the reportable emissions in that determination.

(5B) The regulator must withdraw the determination and make a further determination of emissions (the “rectified determination”).

(5C) A rectified determination—

(a) must be notified to the operator ... concerned; and

(b) is to be treated as determining all of the reportable emissions from the installation ... for the period to which the determination relates.

(5D) Where—

(a) any rectified determination is notified to the operator ... concerned; and

(b) the regulator is satisfied that there is a defect in the estimate of the reportable emissions in that determination,

the regulator must withdraw the rectified determination and make one or more further rectified determinations.

(6) A regulator who makes a determination of emissions under the Monitoring and Reporting Regulation 2018, or by virtue of this regulation, may recover the cost of doing so from the operator ... concerned.

PART 6 — Information

Provision of information

45

(1) An authority ... may, by notice served on a regulator (“R”), require R to furnish such information about the discharge of R's functions as the authority ... may require.

(2) For the purposes mentioned in paragraph (4), an authority, the Secretary of State, the registry administrator, the KP registry administrator or a regulator (a “relevant body”) may, by notice served on any person, require that person (“P”) to furnish such information as is specified in the notice, in such form and within such period following service of the notice or at such time as is so specified.

(3) The information which P may be required to furnish by a notice under paragraph (2) includes information, which, although it is not in P's possession or would not otherwise come into P's possession, is information which it is reasonable to require P to compile for the purpose of complying with the notice.

(4) The purposes referred to in paragraph (2) are—

(a) the discharge of the relevant body's functions; ...

(b) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(5) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(6) In this regulation, “functions” means functions under or by virtue of—

(a) these Regulations;

(b) the Monitoring and Reporting Regulation 2018;

(d) the Registries Regulation 2010; ...

(e) the Registries Regulation 2013; or

(ea) the Registries Regulation 2019

Disclosure of information

46

(1) Subject to paragraph (2) a relevant body (within the meaning of regulation 45(2)) must not disclose or publish any information provided to the relevant body under these Regulations except where—

(a) disclosure or publication is—

(i) required in these Regulations or otherwise by law;

(ii) necessary for the performance of the relevant body's functions (as defined by regulation 45(6)); or

(iii) made with the consent of the person by or on behalf of whom the information was provided; or

(iv) necessary for the performance of the Environment Agency’s functions in England under the Emissions Performance Standard Regulations 2015; or

(iv) necessary for the performance of the NRBW’s functions in Wales under the Emissions Performance Standard (Enforcement) (Wales) Regulations 2015.

(v) necessary for the performance of the chief inspector’s functions in Northern Ireland under the Emissions Performance Standard Monitoring and Enforcement Regulations (Northern Ireland) 2016; or

(b) disclosure is between one relevant body and another.

(2) The Secretary of State may use any information held or obtained for the purposes of these Regulations, and may share such information with other government bodies, for the purpose of preparing and publishing national energy and emissions statistics, including the preparation and publication of a national inventory.

(3) For the purpose of paragraph (2), “national inventory” means the estimation, under Article 4(1)(a) of the United Nations Framework Convention on Climate Change , of anthropogenic emissions of greenhouse gases by sources and removals of all greenhouse gases by sinks not controlled by the Montreal Protocol.

National security

47

(1) No information may be published—

(a) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(b) by the regulator under regulation 71,

if, in the opinion of the Secretary of State, the publication of that information would be contrary to the interests of national security.

(2) For the purposes of paragraph (1)(b), the Secretary of State may give to the regulator directions specifying information which may not be published under regulation 71.

(3) The regulator must notify the Secretary of State of any information which is excluded from publication in accordance with directions under paragraph (2).

PART 7 — Civil Penalties

Interpretation

48

In this Part—

“carbon price”, in relation to a tonne of carbon dioxide equivalent, is the price referred to in regulation 49;

“penalty notice” means a notice served under regulation 50(1);

“additional penalty notice” means a notice served under regulation 50(3).

Carbon Price

49

(1) In respect of the scheme year beginning with 1st January 2013, the carbon price is £6.70.

(2) From the scheme year beginning with 1st January 2021, and for each subsequent scheme year, DAERA must determine a price as the carbon price for that year, based on the sterling equivalent of the average end of day settlement price (in Euro per tonne of carbon dioxide equivalent) of the December futures contracts for that scheme year.

(3) For that purpose—

“average end of day settlement price” means the average over the 12 months ending with the relevant date;

“futures contract” means the futures contract as traded on the single largest carbon market exchange (as determined by volume of sales in the 12 months ending with the relevant date);

“sterling equivalent” means the sterling equivalent converted by reference to the Bank of England annual average spot exchange rate for the 12 months ending with the relevant date;

“the relevant date”, in relation to the year for which the carbon price is set, is 11th November in the preceding year.

(4) DAERA must publish a determination made under paragraph (2) one month before the beginning the scheme year in question.

Penalty notices

50

(1) Where the regulator is satisfied that a person (“P”) is liable to a civil penalty under this Part the regulator must (subject to regulation 51) serve a notice on P.

(2) The penalty notice must specify—

(a) the regulation under which that liability arises;

(b) the amount of the civil penalty due;

(d) whether or not P may be liable to a civil penalty in accordance with regulation 53(3)(b), 56(2)(b), 68(2)(b), or 69(2)(b) (an “additional daily penalty”); and

(e) if P will not be liable to an additional daily penalty, the date by which the penalty for which P is liable must be paid.

(3) Subject to regulation 51 ..., where the regulator is satisfied that P is liable to an additional daily penalty the regulator must, when the amount of that additional daily penalty can be determined, serve a notice on P specifying—

(a) the total amount of the civil penalties due; and

(b) the date by which that amount must be paid.

(4) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(5) A civil penalty imposed by a penalty notice or an additional penalty notice must be paid to the regulator by the date specified in the notice.

(6) Any such civil penalty is recoverable by the regulator—

(a) as a civil debt; ...

(b) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(7) the regulator must, as soon as is reasonably practicable—

(a) give notice to the authority of the service of any penalty notice or additional penalty notice; and

(b) pass to the authority any civil penalty that has been paid to the regulator.

Discretion in imposing civil penalties

51

(1) Where the regulator considers it appropriate to do so, the regulator may (subject to paragraph (2))—

(a) refrain from imposing a civil penalty;

(b) reduce the amount of a penalty (including the amount of an additional daily penalty);

(d) withdraw a penalty notice or an additional penalty notice;

(e) modify the notice by substituting a lower penalty.

(2) The powers under paragraph (1) do not apply in relation to any penalty arising under regulation 54(1).

Carrying out a regulated activity contrary to regulation 9

52

(1) Where in any scheme year a regulated activity is carried out that is not authorised by a permit, contrary to regulation 9, the operator of the installation (“P”) is at the end of that year liable to the civil penalty in paragraph (2).

(2) Subject to paragraph (3), for each such year, the civil penalty is A + (B × C), where—

A is the estimated amount of the costs avoided by P in that year as a result of carrying out a regulated activity without such authorisation;

B is the estimated amount of reportable emissions from the installation in the period during which a regulated activity was carried out without such authorisation;

C is the carbon price for that year.

(2A) In paragraph (2), the reference to “costs” includes a reference to carbon emissions tax.

(3) In imposing the penalty under paragraph (2), the regulator may increase the amount determined under that paragraph by a percentage designed to ensure that the penalty exceeds the amount of any economic benefit that P has obtained as result of the failure to comply with regulation 9.

(4) The authority must exercise powers under ... regulation 40 of the Northern Ireland Regulations to give the regulator directions as to—

(a) the estimation by the regulator of A and B in paragraph (2); and

(b) the exercise of the regulator's powers under paragraph (3).

Failure to comply with a condition of a permit

53

(1) An operator is liable to the civil penalties in paragraph (3) where the operator fails to comply (or comply on time) with a condition of a permit included pursuant to—

(a) paragraph 2(1)(e)(ii) or (iv) of Schedule 4 ...;

(b) paragraph 3(1)(g), (h) or (i) of Schedule 5; or

(c) regulation 10 of the 2005 Regulations, other than regulation 10(3) and (4) (or such a condition as modified by virtue of regulation 88 of these Regulations).

(2) However, an operator is not liable to those civil penalties where the failure to comply gives rise to a penalty under regulation 57.

(3) The civil penalties are—

(a) £20,000; and

(b) £500 for each day that the operator fails to comply with the condition following service of a penalty notice, up to a maximum of £45,000.

(4) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Failure to surrender allowances

54

(1) A person (“P”) is liable to the civil penalty in paragraph (2) where P fails to surrender sufficient allowances, contrary to regulation 41 ....

(2) The civil penalty (“excess emissions penalty”) is the sterling equivalent of 100 Euros for each allowance that P failed so to surrender.

(2A) Any—

(a) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(b) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(c) deemed increase in an installation's annual reportable emissions in a recovery year pursuant to paragraph 2(5) of Schedule 4,

must be disregarded for the purpose of calculating the excess emissions penalty.

(3) But paragraph (1) is subject to paragraphs (4) to (6).

(4) Where paragraph (5) applies, P is not liable to the excess emissions penalty for a failure to surrender allowances in respect of those reportable emissions in a scheme year exceed P's verified annual reportable emissions for that year.

(5) This paragraph applies where—

(a) the regulator becomes aware that P's annual reportable emissions in a scheme year exceed P's verified annual reportable emissions in respect of that year; and

(b) P failed to surrender a number of allowances equal to the unreported emissions by 30th April in the following scheme year.

(6) Where paragraph (5) applies, P is liable to the civil penalty of the sterling equivalent of 20 Euros for each allowance that P failed to surrender in respect of the unreported emissions ....

(7) In this regulation—

(a) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(b) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(ca) “verified annual reportable emissions” means annual reportable emissions that are—

(i) verified pursuant to ... paragraph 2(3)(b) of Schedule 4;

(ii) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . or

(iii) determined by the regulator pursuant to regulation 44;

(d) “sterling equivalent” means, subject to paragraph (8), the sterling equivalent converted by reference to the applicable rate of conversion; and

(e) for that purpose the applicable rate is the first rate of conversion to be published in September of the year preceding the scheme year in which P is liable to the penalty in the C series of the Official Journal of the European Union, adjusted in accordance with paragraph (8).

(8) If the last Harmonised Index of Consumer Prices for the member States of the European Union (“HICP”) published by Eurostat before the end of April in the year in which P failed to surrender the allowances shows an average percentage price increase as compared with the last HICP published before the end of April 2012, the sterling equivalent is increased by the same percentage.

(9) Where—

(a) a person was liable to a civil penalty under this regulation for a failure to surrender a number of allowances equal to the unreported emissions in any relevant year; and

(b) a penalty notice has not been served in respect of that penalty,

the provisions of paragraphs (4) to (7) apply in respect of such emissions.

(10) In paragraph (9), “relevant year” means a scheme year during the years 2013 to 2018.

Exceeding an emissions target for an excluded installation

55

(1) An operator of an Article 27 installation is liable to the civil penalty in paragraph (2) where in any scheme year the operator fails to comply with paragraph 5 of Schedule 5.

(2) The civil penalty is (A – B) × C, where—

A is the amount of annual reportable emissions arising in the scheme year;

B is the emissions target for that year;

C is the carbon price for that year.

Failure to pay a penalty for exceeding an emissions target for an excluded installation

56

(1) An operator of an Article 27 installation is liable to the civil penalties in paragraph (2) where the operator fails to pay a penalty imposed under regulation 55 by the date specified in the penalty notice.

(2) The civil penalties are—

(a) 10% of the penalty imposed under regulation 55; and

(b) £150 for each day that the operator fails to pay that penalty following service of a penalty notice in respect of the penalty under sub-paragraph (a), up to a maximum of £13,500.

Under-reporting of emissions from an excluded installation

57

(1) An operator of an Article 27 installation is liable to the civil penalty in paragraph (2) where there are reportable emissions in a scheme year (“the unreported emissions”) that—

(a) were not reported in the report submitted for that year under paragraph 3(8)(b) of Schedule 5; but

(b) have been determined by the regulator under regulation 44(3).

(2) The civil penalty is A + (B × C) where—

A is £5,000;

B is the amount of the unreported emissions;

C is the carbon price for that year.

Failure to notify when an excluded installation ceases to meet the criteria for being excluded

58

(1) An operator of an Article 27 installation (“P”) is liable to the civil penalties in paragraphs (2) and (3) where P fails to comply (or comply on time) with a notification requirement under—

(a) a condition of a permit included pursuant to paragraph 3(4) or (5) of Schedule 5; or

(b) paragraph 4(1) or (2) of Schedule 5.

(2) For the first scheme year in which P fails to comply with the requirement to notify by 31st March in that year, the civil penalty is £2,500.

(3) For the first and each subsequent scheme year in which P has still failed to comply with the notification requirement by 31st October in that year, P is at the end of the following scheme year (“S”) liable to the civil penalty in paragraph (4).

(4) The civil penalty is 2 × (A + B), where—

A is £2,500;

B is the avoided compliance costs.

(5) In paragraph (4) “avoided compliance costs” means ((W – X) × Y) – Z, where—

W is the amount of annual reportable emissions arising in S;

X is the number of allowances for S to which P would have been entitled in accordance with Article 10a of the Directive, if the installation had not been an Article 27 installation and had been carrying out regulated activities;

Y is the carbon price for S;

Z is any penalty due under regulation 55 in respect of S.

Failure to surrender a permit

59

Where an operator fails to make an application to surrender a permit, contrary to regulation 13(1) and (2), the operator is liable to a civil penalty of £5,000.

Failure to submit or resubmit an application for an emissions plan

60

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Failure to notify the regulator if an emissions plan is not applied for

61

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Failure to comply with a condition of an emissions plan

62

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Failure to monitor aviation emissions

63

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Failure to report aviation emissions

64

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Failure to provide assistance and advice

65

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Failure to comply with a direction relating to an operating ban

66

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Failure to return allowances

67

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Failure to comply with an enforcement notice

68

(1) A person (“P”) is liable to the civil penalties in paragraph (2) where P fails to comply (or to comply on time) with the requirements of an enforcement notice, contrary to regulation 43(4).

(2) The civil penalties are—

(a) £20,000; and

(b) £1,000 for each day that P fails to comply with the requirements of the enforcement notice, following service of a penalty notice, up to a maximum of £30,000.

Failure to comply with an information notice

69

(1) A person (“P”) is liable to the civil penalties in paragraph (2) where P fails to comply (or to comply on time) with the requirements of a notice served under regulation 45(2) (an “information notice”).

(2) The civil penalties are—

(a) £5,000; and

(b) £500 for each day that P fails to comply with the requirements of the information notice, following service of a penalty notice, up to a maximum of £45,000.

Providing false or misleading information

70

(1) A person (“P”) is liable to the civil penalty in paragraph (2) where P provides false or misleading information, or makes a statement which is false or misleading in a material particular, where the statement is made or the information is provided—

(a) in any application made under these Regulations, or in response to a notice served under paragraph 1(12) of Schedule 3;

(b) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(d) in response to a notice served under regulation 45(2);

(e) pursuant to a requirement mentioned in regulation 80(2) or (4);

(f) in purported compliance with the conditions of a permit ...; ...

(g) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(h) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(2) The civil penalty is £50,000.

Publication of names of persons subject to penalties under regulation 54(1)

71

(1) As soon as possible after—

(a) the expiry of the period for appealing the imposition of a penalty by the regulator under regulation 54(1), or

(b) if such an appeal is made, the determination or withdrawal of the appeal,

the regulator must (subject to paragraph (2)) publish the name of the person on whom that penalty was imposed.

(2) The name must not be published if, following such an appeal, the person is found not to be liable to any of the penalty imposed under regulation 54(1).

(3) Paragraph (1) is subject to regulation 47 (national security).

PART 8 — Appeals

CHAPTER 1 — General

Interpretation

72

In this Part—

(a) “appeal body” has the meaning given by regulation 75;

(b) “decision” means—

(i) a notice or deemed refusal under these Regulations; or

(ii) an action or decision of the registry administrator or the KP registry administrator;

(i) in the case of a notice determining an application for a permit or the transfer of the permit, the provisions of any permit attached to the notice; ...

(ii) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Rights of appeal

73

(1) Subject to paragraph (3), the following persons may appeal to the appeal body—

(a) a person who is aggrieved by a decision determining any application made by them under these Regulations;

(b) a person who is aggrieved by a notice served on them or notification given to them under any provision mentioned in paragraph (2).

(2) Those provisions are—

(a) regulation 11(2), (3)(b) or (4);

(b) regulation 14(1);

(d) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(e) regulation 43(1);

(f) regulation 44(4);

(g) regulation 45(2);

(h) regulation 50(1) or (3);

(i) paragraph 8(1) or (4) of Schedule 5;

(j) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(k) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(l) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(m) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(n) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(na) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(nb) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(nc) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(nd) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(ne) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(o) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(3) An appeal under paragraph (1) may not be made to the extent that the decision implements—

(a) a direction given by the authority under ... regulation 40 of the Northern Ireland Regulations , or

(b) a direction given by an appeal body under these Regulations.

Rights of appeal: registries

74

(1) A person who is aggrieved by a decision of the registry administrator or KP registry administrator referred to in a provision of the Registries Regulation 2019 mentioned in paragraph (2) may exercise the right to object given by that provision by appealing to the appeal body.

(2) Those provisions are—

(a) Article 19(4);

(b) Article 21(6);

(d) Article 28(5);

(e) Article 30(7);

(f) Article 80(8).

(3) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(4) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(5) On receiving notice under regulation 80(10), the account holder may appeal to the appeal body against the decision to set a registry account to blocked status.

Appeal body

75

(1) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(2) In the case of an appeal against a decision of the chief inspector or the registry administrator, the appeal body is the Planning Appeals Commission.

(3) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Effect of an appeal

76

(1) Subject to paragraphs (2) and (3), the bringing of an appeal under regulation 73 suspends the effect of the decision pending the final determination or withdrawal of the appeal.

(2) The bringing of an appeal does not suspend the effect of—

(a) a decision refusing an application;

(b) a deemed refusal;

(i) regulation 11(2), (3)(b) or (4);

(ii) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(iii) regulation 43(1);

(iv) paragraph 8(1) or (4) of Schedule 5; ...

(v) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(vi) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(3) Where (following an application for a permit or for the transfer of a permit) a permit has been granted or varied, the bringing of an appeal against the provisions of the permit or the terms of the variation does not suspend the effect of those provisions or terms.

(4) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(5) The bringing of an appeal against a determination of emissions under regulation 44(4) suspends the effect of the decision only for the purpose of assessing whether there has been compliance with regulation 41 or 42.

(6) The bringing of an appeal under regulation 74 does not suspend the effect of the decision pending the final determination or withdrawal of the appeal.

Determination of an appeal

77

(1) In determining an appeal under regulation 73(1) the appeal body may, subject to paragraph (3)—

(a) affirm the decision;

(b) quash the decision or vary any of its terms;

(d) give directions to the regulator as to the exercise of the regulator's functions under these Regulations.

(2) In determining an appeal under regulation 74, the appeal body may give directions to the registry administrator or the KP registry administrator as to the exercise of their functions under the Registries Regulation 2019.

(3) The appeal body may not make a determination that would result in a decision which could not otherwise have been made under these Regulations or under the Registries Regulation 2019.

CHAPTER 2 — Appeals: ... Northern Ireland

Procedure for appeals

78

(1) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(2) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(3) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(4) Schedule 12 has effect in relation to the making and determination of an appeal to the Planning Appeals Commission.

PART 9 — The Union Registry ...

Interpretation

79

(1) In this Part, a reference to a numbered Article is to that Article of the Registries Regulation 2019.

(2) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

The Union Registry

80

(1) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(2) It is the duty of the account holder to comply with the requirement to enter emissions data in accordance with Article 31(2); furthermore, an amount of zero must be entered by the account holder if the latter is—

(a) an operator who carried out no regulated activity in the year to which the data would relate; ...

(b) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(3) The verifier is responsible under Article 31(4) and (5) for—

(a) approving the annual verified emissions; and

(b) marking the emissions as verified.

(4) The operator ... is responsible for complying with the requirement under Article 14(1) to provide information to the registry administrator and request the opening of a registry account.

(5) In complying with the requirement mentioned in paragraph (4), the operator ... must provide such evidence of identity and address as may be required by the registry administrator.

(6) Where—

(a) an operator fails to comply with regulation 41, or

(b) a UK aircraft operator fails to comply with regulation 42,

the registry administrator must set the relevant registry account to blocked status until the compliance status figure for the installation or UK aircraft operator, calculated in accordance with Article 37, is greater than or equal to zero.

(7) This paragraph applies where—

(a) an operator is required to submit a report to the regulator by the terms of a notice of surrender or a revocation notice; and

(b) the operator—

(i) fails to submit the report to the regulator within the time specified in the report;

(ii) submits an incomplete report to the regulator within the time so specified; or

(iii) submits within the time so specified a report to the regulator that cannot be verified in whole or in part in accordance with the monitoring and reporting requirements for the installation.

(8) Where paragraph (7) applies, the registry administrator must set the relevant operator holding account to blocked status until—

(a) the report has been prepared and verified in accordance with the requirements of paragraph 4(1)(b) or 5(1)(b) of Schedule 4 and has been submitted to the regulator; or

(b) the regulator has notified, in accordance with regulation 44(4)(a), a determination of the reportable emissions referred to in paragraph 4(1)(a) or 5(1)(a) of that Schedule.

(9) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(10) Where the registry administrator sets a registry account to blocked status pursuant to paragraph (6), or (8) it must notify the account holder specifying the reason why, and the period during which, the relevant registry account will be blocked.

(11) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(12) The registry administrator must, as soon as is reasonably practicable, notify the European Commission in accordance with Article 52(2) or 55(2) of any changes to the allocation table or aviation allocation table (other than those falling within paragraph (11)(a)).

(13) This paragraph applies where—

(a) a notice of surrender or a revocation notice has been given and has taken effect; and

(b) the operator is unable to comply with the requirement to surrender allowances imposed by that notice by the date specified in the notice, due to the suspension of access to the relevant registry account by the registry administrator ....

(14) Where paragraph (13) applies, the registry administrator must, if so requested by the operator, surrender the number of allowances specified in the notice of surrender or the revocation notice.

(15) The registry administrator or the KP registry administrator may refuse to—

(a) open any account in the Union Registry or the UK Registry, or

(b) approve an authorised representative or an additional authorised representative in relation to such an account,

where it is not satisfied that the proposed account holder, authorised representative or additional authorised representative is ... a fit and proper person to hold such an account or, as the case may be, act as such a representative.

(16) The registry administrator may decide that national public holidays in Northern Ireland are not working days under Article 35(8), provided that the decision to do so is published by the registry administrator by 1st December in the previous scheme year.

The UK Registry

81

(1) The Environment Agency must continue to operate the UK Registry for the purposes of meeting the obligations of the United Kingdom referred to in Article 5(1) of the Registries Regulation 2013 (obligations as a Party to the Kyoto Protocol and under Article 6 of Decision No 280/2004/EC ), and in that capacity is referred to in these Regulations as the “KP registry administrator”.

(2) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

PART 10 — Supplementary

Recovery of fees

82

Any fee payable by virtue of these Regulations may be recovered by the regulator as a civil debt.

Consequences of non-payment

83

The regulator is not required to perform a function for which a fee is payable in relation to a person who has not paid a fee which that person is liable to pay.

Guidance

84

(1) The authority may issue guidance to the regulator with respect to the carrying out of any of the regulator's functions under these Regulations, the Monitoring and Reporting Regulation or the Verification Regulation.

(2) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(3) The regulator ... must have regard to any guidance issued under paragraph (1) ....

PART 11 — Revocations, savings and transitional provisions.

Revocations

85

The following enactments are revoked—

(a) the 2005 Regulations;

(b) the following enactments amending the 2005 Regulations—

(i) S.I. 2006/737;

(ii) S.I. 2007/465;

(iii) S.I. 2007/1096;

(iv) S.I. 2007/3433;

(v) regulation 3 of S.R. (N.I.) 2010/92;

(vi) regulation 4 of S.I. 2005/2903;

(vii) regulation 8 of S.I. 2010/1513;

(viii) regulations 3 and 4 of S.I. 2011/1506;

(ix) paragraphs 1 to 20 of the Schedule to S.I. 2011/2911;

(d) the 2010 Regulations;

(e) the Aviation Greenhouse Gas Emissions Trading Scheme (Amendment) Regulations 2011 .

Savings and transitional provisions: the 2005 Regulations

86

(1) Notwithstanding the revocations made by regulation 85, the following provisions of the 2005 Regulations (“the relevant provisions”) continue to have effect to the extent specified below.

("1A) the relevant provisions have effect as if—

(a) in regulation 2(1) the definition of “regulator” was amended as follows—

(i) in sub-paragraph (i) omit “and Wales”;

(ii) after sub-paragraph (i) insert—

(ia) in relation to an installation (other than an offshore installation) which is (or will be) situated in Wales, the Natural Resources Body for Wales;

(b) regulation 35(5) was amended as follows—

(i) in sub-paragraph (a) omit “and Wales”; and

(ii) in sub-paragraph (b) after “in relation to” insert “Wales,”.

(2) Part 1 and Schedule 1 have effect for the purpose of the relevant provisions.

(3) Regulations 16 and 17 have effect for the purposes of making an application for the surrender of a permit, or the service of a notice of revocation in respect of a failure to make such an application, where the circumstances giving rise to the requirement to make the application occurred before 1st January 2013.

(4) Regulation 18(3) to (5) has effect in relation to the charging schemes referred to in that regulation.

(5) Regulation 22 (other than paragraph (2)) has effect for the purpose of allowing an operator to make an application for an allocation from the new entrant reserve (as defined by regulation 2 of the 2005 Regulations).

(6) But for the purpose of paragraph (5) above, the reference in regulation 22(22) to regulation 15(1) of the 2005 Regulations is to be read as a reference to regulation 12(1) of these Regulations (and the reference to the proposed transferee is accordingly to be read as a reference to the new operator).

(7) Subject to paragraph (8) below, regulation 26 has effect for all purposes relating to the registry referred to in Article 3(2) of the Registries Regulation 2010.

(8) In regulation 26—

(a) paragraphs (2) to (5) do not have effect; and

(b) paragraph (8) has effect as if the references to Articles 18, 20(4) and 27(5) were omitted.

(9) The following provisions have effect in so far as they relate to any activities carried out, or emissions arising, prior to 1st January 2013—

(a) regulation 27A;

(b) Part 4.

(10) Subject to paragraph (11) below, Part 5 and Schedules 2 to 4 have effect in relation to any appeal brought against a decision or notice specified in regulation 32(1) to (5) of the 2005 Regulations.

(11) Regulation 32(4) has effect as if the reference to the appropriate authority were a reference to the First-tier tribunal (and the reference to the appropriate authority in regulation 32(7) is to be construed accordingly).

(12) Regulation 35 has effect in so far as it relates to functions carried out before 1st January 2013 or under the relevant provisions.

(13) Regulation 36 has effect in so far as it relates to a civil penalty in respect of emissions arising before 1st January 2013.

(14) Regulation 37 has effect.

(15) Paragraph (1)(c) to (f) of regulation 38 has effect in so far as it relates to the relevant provisions, but where the conduct giving rise to the offence occurs after 31st December 2012 the following civil penalties apply (subject to the regulator’s discretion under regulation 51 above) instead of the offences under that paragraph—

(a) the penalty in regulation 59 above applies instead of the offence of failing to making an application to surrender a permit;

(b) the penalties in regulation 53 above apply instead of the offence of failing to comply with a notice under regulation 22(13)(a) (and for that purpose the condition of the notice is deemed to be a condition falling within paragraph (1)(c) of regulation 53);

(c) the penalties in regulation 68 above apply instead of the offence of failing to comply with an enforcement notice; and

(d) the penalty in regulation 70 above applies instead of an offence under paragraph (1)(f) of regulation 38.

(16) Subject to paragraph (17) below, regulation 38(2) and (3) has effect.

(17) No prosecution may be brought in respect of an offence under regulation 38(1)(a) if—

(a) the conduct that gave rise to the offence continues after 31st December 2012; and

(b) the person who has committed the offence will be liable to a civil penalty under regulation 52 above.

(18) Subject to regulation 87B below, regulations 39 to 41 have effect in relation to a failure to surrender allowances in respect of emissions arising before 1st January 2013, and regulation 40 has effect in relation to an understatement of such emissions.

(19) Parts 8 to 10 have effect in so far as they relate to functions carried out, or powers exercised, under the relevant provisions or as national administrator under the Registries Regulation 2010.

Savings and transitional provisions: the 2010 Regulations

87

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Transitional provisions: permits

88

(1) A permit granted under regulation 9 of the 2005 Regulations that is in force immediately before 1st January 2021, continues to have effect until it is revoked or surrendered under these Regulations.

(2) The regulator must vary the content of a greenhouse gas emissions permit that is in force immediately before 1st January 2021 to comply with the requirements of paragraph 2 of Schedule 4.

(3) Subject to paragraphs (4) and (5), an excluded installation emissions permit that is in force immediately before 1st January 2021 continues to have effect as if it were an Article 27 installation emissions permit until it is revoked, surrendered or varied under these Regulations.

(4) The regulator must vary the excluded installation emissions permit as necessary to bring it into a form in which it could have been granted under regulation 10(2).

(5) The regulator must, where an excluded installation is not eligible to obtain an Article 27 installation emissions permit, vary the excluded emissions permit with effect from 1st January 2021 so that the provisions of the permit that satisfy the requirements of paragraph 3 of Schedule 5 are replaced by provisions satisfying the requirements of paragraph 2 of Schedule 4.

(6) The regulator may make any arrangements it considers necessary during the transitional period to—

(a) vary a permit under paragraph (2), (4) or (5);

(b) grant an Article 27 installation emissions permit under regulation 10(2);

(d) vary a greenhouse gas emissions permit under paragraph 2 of Schedule 5.

(7) In this regulation, the “transitional period” means the period which—

(a) begins with 1st May 2020; and

(b) ends with 31st December 2020.

Transitional provisions: aviation emissions plans

89

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

SCHEDULE 1 — Application to the Crown etc.

Crown application

1

Subject to paragraphs 2 and 3, these Regulations bind the Crown.

Entry to Crown premises

2

(1) If the Secretary of State considers that in the interests of national security particular powers of entry must not be used in relation to particular Crown premises, the Secretary of State may certify that those powers must not be used in relation to those premises.

(2) In this paragraph—

“Crown premises” means premises held or used by or on behalf of the Crown;

“power of entry” means a power of entry exercisable under section 108 of the Environment Act 1995 or regulation 30 of the Northern Ireland Regulations, in relation to a function under these Regulations.

Service on certain Crown operators

3

(1) This paragraph applies in relation to an installation operated by a person acting on behalf of—

(a) the Royal Household;

(b) the Duchy of Lancaster; or

(2) In relation to the serving or giving of notices or other documents under these Regulations, the following person must be treated as the operator—

(a) in relation to sub-paragraph (1)(a), the Keeper of the Privy Purse;

(b) in relation to sub-paragraph (1)(b), the person appointed by the Chancellor of the Duchy of Lancaster;

(c) in relation to sub-paragraph (1)(c), the person appointed by the Duke of Cornwall or other possessor of the Duchy of Cornwall.

SCHEDULE 2 — Notices etc.

1

In this Schedule, “instrument” means any notice or direction served or given under these Regulations (but does not include a notice or direction required to be given to the regulator or registry administrator).

2

An instrument must be in writing.

3

An instrument may be served on or given to a person (“P”) by—

(a) delivering it to P in person;

(b) sending it to a postal or email address n provided by P for the purpose of service of instruments;

(d) sending it by post or electronic means to P's proper address.

4

In the case of a body corporate, an instrument may be served on or given to the secretary or clerk of that body.

5

In the case of a partnership, an instrument may be served on or given to a partner or a person having control or management of the partnership business.

6

If a person (“Q”) to be served with or given an instrument has specified an address in the United Kingdom (other than Q's proper address) at which Q or someone on Q's behalf will accept instruments of that description, that address must instead be treated as Q's proper address.

7

For the purposes of this Schedule, “proper address” means (subject to paragraph 6)—

(a) in the case of a body corporate or its secretary or clerk—

(i) the registered or principal office of that body, or

(ii) the email address of the secretary or clerk;

(b) in the case of a partnership or a partner or person having control or management of the partnership business—

(i) the principal office of the partnership, or

(ii) the email address (or, in the case of a partnership established outside the United Kingdom, the last known address) of a partner or a person having that control or management;

(c) in any other case, a person's last known address (which for the purpose of this paragraph and paragraph (b) includes an email address).

8

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