COMMISSION DELEGATED REGULATION (EU) 2023/2830
of 17 October 2023
supplementing Directive 2003/87/EC of the European Parliament and of the Council by laying down rules on the timing, administration and other aspects of auctioning of greenhouse gas emission allowances
(Text with EEA relevance)
CHAPTER I
GENERAL PROVISIONS
Article 1
Subject Matter
Article 2
Scope
Article 3
Definitions
CHAPTER II
THE DESIGN OF AUCTIONS
Article 4
Auctioned products
Article 5
Auction format
Article 6
Submission and withdrawal of bids
Article 7
Auction clearing price and resolution of tied bids
CHAPTER III
AUCTIONS CALENDARS
Article 8
Timing, frequency and distribution of the volume of allowances
Article 9
Circumstances preventing the conduct of auctions
Article 10
Annual volumes of auctioned allowances in respect of maritime transport activities and stationary installations
Article 11
Annual volumes of auctioned allowances in respect of aviation
Article 12
Auction calendar for individual auctions of allowances referred to in Articles 10 and 11 auctioned by the common auction platform
Article 13
Annual volumes and calendars for individual auctions of allowances in respect of buildings, road transport and additional sectors
Article 14
Adjustments of auction calendars and of the volume of allowances to be auctioned
CHAPTER IV
ACCESS TO AUCTIONS
Article 15
Persons who may submit bids directly in an auction
Article 16
Means of access
Article 17
Training and helpline
Article 18
Persons eligible to apply for admission to bid
Article 19
Requirements for admission to bid
Article 20
Submission and processing of applications for admission to bid
Article 21
Refusal, revocation or suspension of an admission to bid
CHAPTER V
APPOINTMENT OF THE AUCTIONEER AND ITS TASKS
Article 22
Appointment of the auctioneer
Article 23
The auctioneer’s tasks
CHAPTER VI
AUCTIONING OF ALLOWANCES FOR FUNDS AND CANCELLATION OF ALLOWANCES
Article 24
Allowances to be auctioned for the Innovation Fund, the Modernisation Fund, the Recovery and Resilience Facility and the Social Climate Fund
Article 25
Procedure for cancellation of allowances
CHAPTER VII
APPOINTMENT OF AND SERVICES PROVIDED BY THE COMMON AUCTION PLATFORM
Article 26
Appointment of a common auction platform
Article 27
Services provided to the Member States by the common auction platform
Article 28
Services provided to the Commission by the common auction platform
CHAPTER VIII
APPOINTMENT AND TASKS OF OPT-OUT AUCTION PLATFORMS
Article 29
Appointment of opt-out auction platforms
Article 30
Tasks of opt-out auction platforms
Article 31
Auction calendar for opt-out auction platforms
CHAPTER IX
APPOINTMENT REQUIREMENTS APPLICABLE TO AUCTIONEERS AND AUCTION PLATFORMS
Article 32
Appointment requirements applicable to auctioneers
Article 33
Appointment requirements applicable to auction platforms
CHAPTER X
REPORTING ON TRANSACTIONS
Article 34
Obligation to report transactions
CHAPTER XI
PAYMENT AND TRANSFER OF THE AUCTION PROCEEDS
Article 35
Payment by successful bidders and transfer of proceeds to the Member States
Article 36
Consequences of late or non-payment
CHAPTER XII
DELIVERY OF THE AUCTIONED ALLOWANCES
Article 37
Transfer of the auctioned allowances
Article 38
Delivering the auctioned allowances
Article 39
Late delivery of the auctioned allowances
CHAPTER XIII
MANAGEMENT OF COLLATERAL
Article 40
Collateral given by the bidder
Article 41
Collateral given by the auctioneer
CHAPTER XIV
FEES AND COSTS
Article 42
Structure and level of fees
Article 43
Costs of the auction process
CHAPTER XV
AUCTION SURVEILLANCE, REMEDIAL MEASURES AND SANCTIONS
Article 44
Monitoring of auctions
Article 45
Monitoring the relationship with bidders
Article 46
Notification of money laundering, terrorist financing or criminal activity
Article 47
Notification of market abuse
Article 48
Maximum bid-size and other remedial measures
Article 49
Market conduct rules and other contractual arrangements
Article 50
Conduct rules for persons authorised to bid on behalf of others
CHAPTER XVI
TRANSPARENCY AND CONFIDENTIALITY
Article 51
Publication
Article 52
Announcement and notification of the auction results
Article 53
Protection of confidential information
Article 54
Language regime
CHAPTER XVII
FINAL PROVISIONS
Article 55
Right of appeal
Article 56
Correction of errors
Article 57
Repeal
Article 58
Entry into force
ANNEX I
Elements to be included in an application for admission to bid as referred to in Article 20(3)
ANNEX II
Template for the notification of voluntary cancellation by a Member State as referred to in Article 25(1)
|
Notification pursuant to Article 12(4) of Directive 2003/87/EC |
1. |
Member State and public authority submitting the notification: |
2. |
Date of the notification: |
3. |
Identification of the closed electricity generation installation (‘installation’) on the territory of the Member State in accordance with the data recorded in the Union Registry, including the following: |
(a) |
The name of the installation: |
(b) |
The installation identifier from the Union Registry: |
(c) |
The name of the installation operator: |
4. |
The date of partial/full closure of the installation and revocation/modification of the greenhouse gas permit: |
5. |
Description and reference of the additional national measures that triggered the partial/full closure of the installation: |
6. |
The verified emission reports of the installation for the five years preceding the year of the partial/full closure: |
7. |
The maximum total volume of allowances to be cancelled: |
8. |
The period over which the allowances are to be cancelled: |
9. |
A description of the methodology that is to be used to determine the exact volume of allowances to be cancelled for the entire period in which cancellation takes place: |
ANNEX III
List of opt-out auction platforms referred to in Article 29(6)
Auction platforms appointed by Germany
Auction platform |
European Energy Exchange AG (EEX) |
||||
Legal Basis |
Article 29(1) |
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Term of appointment |
From 5 January 2024 at the latest for a maximum period of five years until 4 January 2029, without prejudice to Article 29(4), second subparagraph. |
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Conditions |
Admission to the auctions shall not be dependent on becoming a member of or a participant in the secondary market organised by EEX or of any other trading place operated by EEX or by any third party. |
||||
Obligations |
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ANNEX IV
Correlation table
This Regulation |
Regulation (EU) No 1031/2010 |
Article 1 to Article 2 |
|
Article 3(1) |
Article 3(3) |
Article 3(2) |
Article 3(5) |
Article 3(3) |
Article 3(6) |
Article 3(4) |
Article 3(7) |
Article 3(5) |
Article 3(8) |
Article 3(6) |
Article 3(9) |
Article 3(7) |
Article 3(10) |
Article 3(8) |
Article 3(11) |
Article 3(9) |
Article 3(12) |
Article 3(10) |
Article 3(13) |
Article 3(11) |
Article 3(14) |
Article 3(12) |
Article 3(15) |
Article 3(13) |
Article 3(16) |
Article 3(14) |
Article 3(17) |
Article 3(15) |
Article 3(18) |
Article 3(16) |
Article 3(19) |
Article 3(17) to Article 3(27) |
|
Article 3(28) |
Article 3(29) |
Article 3(29) |
Article 3(28) |
Article 3(30) |
Article 3(28a) |
Article 3(31) |
Article 3(30) |
Article 3(32) |
Article 3(31) |
Article 3(33) |
Article 3(32) |
Article 3(34) |
Article 3(33) |
Article 3(35) |
Article 3(34) |
Article 3(36) |
Article 3(35) |
Article 3(37) |
Article 3(36) |
Article 3(38) |
Article 3(37) |
Article 3(39) |
Article 3(38) |
Article 3(40) |
Article 3(39) |
Article 3(41) |
Article 3(40) |
Article 3(42) |
Article 3(41) |
Article 3(43) to Article 3(44) |
|
Article 4 to Article 5 |
|
Article 6(1) to Article 6(2) |
|
Article 6(3), first subparagraph |
Article 6(3), second subparagraph |
Article 6(3), second subparagraph |
Article 6(3), third subparagraph |
Article 6(3), third subparagraph |
Article 6(3), fourth subparagraph |
Article 6(4) to Article 6(5) |
|
Article 7(1), first subparagraph |
Article 7(1) |
Article 7(1), second subparagraph |
Article 7(2), first subparagraph |
Article 7(2) |
Article 7(2), second subparagraph |
Article 7(3) to Article 7(8) |
|
Article 7(9) |
Article 7(8), first subparagraph |
Article 7(10), first subparagraph |
Article 7(8), second subparagraph |
Article 7(10), second subparagraph |
Article 7(8), second subparagraph |
Article 7(10), third subparagraph |
|
Article 8(1) to Article 8(2) |
|
Article 8(3), first subparagraph |
|
Article 8(3), second subparagraph |
Article 8(4), first subparagraph |
Article 8(3), third subparagraph |
|
Article 8(3), fourth subparagraph |
Article 8(4), second subparagraph |
Article 8(3) fifth subparagraph |
Article 8(4), second subparagraph |
Article 8(4), first subparagraph |
Article 8(5), first and second subparagraphs |
Article 8(4), second subparagraph |
|
Article 8(4), third subparagraph |
Article 8(5), third subparagraph |
Article 9 to Article 10 |
|
Article 11 |
Article 12 |
Article 12 |
Articles 11 and Article 13 |
Article 13 to Article 15 |
|
Article 16(1) |
|
Article 16(2) |
Article 16(1a) |
Article 16(3) |
Article 16(2) |
Article 16(4) |
Article 16(3) |
Article 17 |
|
Article 18(1), first subparagraph |
Article 18(1) |
Article 18(1), second subparagraph |
|
Article 18(2) |
|
Article 18(3) |
Article 18(4) and Article 19(3) |
Article 18(4) |
Article 18(5) |
Article 19 |
|
Article 20(1) to Article 20(5) |
|
Article 20(6) |
Article 20(7) |
Article 20(7) |
Article 20(8) |
Article 20(8) |
Article 20(9) |
Article 20(9) |
Article 20(10) |
Article 21 |
|
Article 22(1) to Article 22(2) |
|
Article 22(3) |
Article 22(4) |
Article 22(4) |
Article 22(5) |
Article 22(5) |
Article 22(7) |
Article 23 |
|
Article 24(1) |
|
Article 24(2) |
Article 24(1) |
Article 24(3) |
|
Article 24(4) |
Article 24(2) |
Article 25(1) to Article 25(2) |
|
Article 25(3) |
Article 25(2) |
Article 25(4) |
Article 25(3) |
Article 26(1) |
|
Article 26(2) |
Article 26(3) |
Article 26(3) |
Article 26(4) |
Article 26(4) |
Article 26(5) |
Article 26(5) |
Article 26(6) |
Article 27 |
|
Article 28, point (a) to point (b) |
|
Article 28, point(c) |
Article 29, point(d) |
Article 28, point(d) |
Article 29, point(f) |
Article 28, point(e) |
Article 29, point(g) |
Article 29(1) |
|
Article 29(2) |
Article 30(3) |
Article 29(3) |
Article 30(4) |
Article 29(4) |
Article 30(5) |
Article 29(5) |
Article 30(6) |
Article 29(6) |
Article 30(7) |
Article 29(7) |
Article 30(8) |
Article 30 |
Article 31 |
Article 31(1) |
Article 32(1) |
Article 31(2) |
Article 32(2) |
Article 31(3) |
Article 32(4) |
Article 31(4) |
Article 32(5) |
Article 32 |
Article 34 |
Article 33 |
Article 35 |
Article 34(1) |
Article 36(1) |
Article 34(2) |
Article 36(2) |
Article 34(3) |
Article 36(4) |
Article 34(4), first subparagraph |
Article 36(5), first subparagraph |
Article 34(4), second subparagraph |
Article 36(3) |
Article 34(4), third subparagraph |
Article 36(5), second subparagraph |
Article 35(1) |
Article 44(1) |
Article 35(2) |
Article 44(2) |
Article 35(3) |
Article 44(3), first subparagraph |
Article 35(4) |
Article 44(3), second subparagraph |
Article 36 |
Article 45 |
Article 37 |
Article 46 |
Article 38 |
Article 47 |
Article 39 |
Article 48 |
Article 40 |
Article 49 |
Article 41(1) |
Article 50(1) |
Article 41(2) |
Article 50(3) |
Article 42 |
Article 51 |
Article 43(1) |
Article 52(1) |
Article 43(2), first to third paragraph |
Article 52(2), first to third subparagraph |
Article 43(3) |
Article 52(2), fourth subparagraph |
Article 44 |
Article 53 |
Article 45 |
Article 54 |
Article 46 |
Article 55 |
Article 47 |
Article 56 |
Article 48 |
Article 57 |
Article 49 |
Article 58 |
Article 50(1) |
Article 59(1) |
Article 50(2) |
Article 59(2) |
Article 50(3) |
Article 59(3) |
Article 50(4) |
Article 59(4) |
Article 50(5), first subparagraph |
Article 59(5) |
Article 50(5), second subparagraph |
Article 59(6), first subparagraph, first sentence |
Article 50(6), first subparagraph, first sentence |
Article 59(6), first subparagraph, second sentence |
Article 50(7) |
Article 59(7) |
Article 50(8) |
Article 59(8) |
Article 51 |
Article 60 |
Article 52 |
Article 61 |
Article 53(1), point (a) to point (e) |
|
Article 53(1), point (f) |
Article 62(1), point (g) |
Article 53(1), point (g) |
Article 62(1), point (h) |
Article 53(1), point (h) |
Article 62(1), point (i) |
Article 53(2) |
Article 62(2) |
Article 53(3), point (a) to point (e) |
|
Article 53(3), point (f) |
Article 62(3), point (g) |
Article 53(3), point (g) |
Article 62(3), point (i) |
Article 53(3), first and second indents of point (h) |
Article 62(3), first and second indents of point (j) |
Article 53(3), third indent of point (h) |
Article 62(3), fourth indent of point (j) |
Article 53(4) |
Article 62(4) |
Article 53(5) |
Article 62(5) |
Article 53(6) |
Article 62(6) |
Article 53(7) |
Article 62(7) |
Article 54 |
Article 63 |
Article 55 |
Article 64 |
Article 56 |
Article 65 |
Article 57 |
|
Article 58 |
Article 66 |
Annex I |
Annex II |
Annex II |
Annex I |
Annex III |
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Annex IV |
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