Union Registry. Aircraft Operator Holding Account (AOHA) Application Guidance Notes

Union Registry Aircraft Operator Holding Account (AOHA) Application Guidance Notes This document does not purport to be and should not be considered a legal interpretation of the provisions and requirements of Commission Regulation (EU) No. 920/2010 and associated amendments. IRL ETR 030-1 Environmental Protection Agency

GUIDANCE NOTES ON AIRCRAFT OPERATOR HOLDING ACCOUNT (AOHA) APPLICATION These guidance notes have been prepared to assist Aircraft Operators to apply for an Aircraft Operator Holding Account (AOHA) in the Union Registry. This document does not purport to be and should not be considered a legal interpretation of the provisions and requirements of the Commission Regulation (EU) No. 920/2010 and associated amendments. INTRODUCTION This guidance note details all the required information that must be provided as part of your application. Accounts cannot be opened until all required documentation and relevant fee is submitted. INCOMPLETE APPLICATIONS WILL BE RETURNED. Charges Account Fee Payment of an account fee ( 350.00) is required for each Aircraft Operator Holding Account. Payment in EURO can be made by cheque, banker s draft or postal order, made payable to the Environmental Protection Agency. This fee must be included with all other relevant documentation in the completed application. A change fee of 100 per application will apply to change account details or account representatives further to account opening. Submission of Application Documentation The complete application documentation must be submitted by both email and post: (i) email to ETRAdmin@epa.ie and (ii) post to the following address: Registry Account Application, Emission Trading Registry, Climate Change Unit EPA Headquarters PO Box 3000 Johnstown Castle Estate Co Wexford IRELAND Further Guidance If, having read the guidance note, you remain unclear as to how to submit an application please contact us by email at ETRAdmin@epa.ie Page 1 of 15

OVERVIEW In accordance with Commission Regulation (EU) No. 920/2010, each Aircraft Operator must have one Aircraft Operator Holding Account (AOHA). Each account must have a Primary Registry Contact (PRC) who is the primary contact point for the account. In addition, each account must have three authorised representatives: Primary Authorised Representative (PAR) Secondary Authorised Representative (SAR) Additional Authorised Representative (AAR) These individuals are authorised to carry out processes (e.g. transactions) on behalf of the account holder. A summary of the role of each account representative is given below. Primary Registry Contact (PRC) Each Aircraft Operator must nominate a Primary Registry Contact (PRC). The PRC is the primary contact point in relation to the account. This individual has responsibility for nominating authorised representatives and for authorising changes to the details of the account holder and/or representatives. Changes to the account will only be accepted if they are authorised by the PRC in writing. The PRC does not have access to the registry system. It is recommended that the: PRC is not also an authorised representative (PAR, SAR or AAR) with access to the registry system; PRC be of sufficient seniority within the organisation to give periodic instructions and to deal with any issues that may arise as a result of the PAR, SAR and AAR activities in the registry system. Primary and Secondary Authorised Representatives Primary Authorised Representative (PAR) and Secondary Authorised Representative (SAR) have access to the registry system with equal permissions or levels of authority. They are authorised to initiate transactions and other processes on behalf of the account holder. The PAR and SAR also have authority to carry out compliance functions including appointing a verifier, entering annual emissions and surrendering allowances and units. Should you wish to appoint additional PAR or SAR with view only access to the aircraft operator holding account, please email ETRAdmin@epa.ie for further instructions. Page 2 of 15

Additional Authorised Representative (AAR) The Additional Authorised Representative (AAR) has access to the registry system and is required to authorise certain processes that were initiated by the PAR or SAR. In this way, the AAR acts as a second signatory which provides additional security and facilitates best practice in corporate governance. All accounts require at least one AAR for increased security. Until trusted accounts are available on the Union Registry (30th June 2012), it is a mandatory requirement that AARs authorise all transfers to another account. It is at the account holder s discretion to indicate if an AAR is required to authorise other transactions and in particular: cancellation (i.e. the internal transfer of an allowance to a cancellation account, in order that it may not be used for compliance purposes) and surrender (i.e. the internal transfer of an allowance to an account, in order that they can be used by the account holder to demonstrate compliance with its obligations). Appointing an AAR for all transactions on your account will ensure maximum security. Should you wish to appoint more than one AAR on the Aircraft Operator Holding Account, please email ETRAdmin@epa.ie for further instructions. Section 1: Aircraft Operator Declaration The Aircraft Operator must complete, sign and stamp or seal the Aircraft Operator Declaration (See Section 8 for document template) to provide details of the Aircraft Operator Account Holder and to nominate the PRC, PAR, SAR and AAR. The Operator Declaration should be signed by off by a person of sufficient seniority within the organisation to nominate the PRC, PAR, SAR and AAR. In the interests of corporate governance, the person signing this Declaration should not be a nominee for PRC, PAR, SAR or AAR. Please use the Document Template Aircraft Operator Declaration in Section 8 of this Guidance. This template should be printed out and completed on company letter headed paper. Section 2: PRC and Account Representative Requirements The PRC and each account representative (PAR, SAR and AAR) must provide the following documentation: Statement of Particulars: Declaration signed by the PRC/PAR/SAR/AAR confirming full name, full contact details, place and country of birth. Please use the Document Template Statement of Particulars in Section 8 of this Guidance. This template should be printed out and completed on company letter headed paper. Page 3 of 15

Section 3: Account Representative Evidentiary Requirements Each account representative with access to the Union Registry (i.e. PAR, SAR and AAR) must provide the following evidentiary documentation; 1. Evidence of Identity: Evidence to support the identity of the PAR/SAR/AAR nominee must be provided by: (i) (ii) Copy of passport OR Identity card issued by a Member State of the EEA/OECD. 2. Evidence of Address of Permanent Residence: Evidence to support the address of permanent residence of the PAR/SAR/AAR nominee must be provided by: (i) (ii) (iii) (iv) Copy of the above identity document if it contains the address of permanent residence OR Any other government issued identity document that contains the address of permanent residence OR If the country of permanent residence does not issue identity documents that contain the address of permanent residence, a statement from the local authorities confirming the nominee s permanent residence OR Utility bill (not older than 90 days) of fixed telephone landline, gas or electricity connection. 3. Criminal Record of the Nominee: Nominees from Ireland: Nominees from Ireland must provide: 1. A Data Protection Disclosure from An Garda Síochána (see www.garda.ie for information on how to obtain same) AND 2. A statutory declaration please use the template provided in see Section 8 Ireland Nominees Statutory Declaration. Please note that the completed statutory declaration must be provided as an original. A copy of same will not suffice. Page 4 of 15

Nominees from outside Ireland: Nominees from outside Ireland must provide: 1. An official copy of their criminal record, which must be legalised (See Section 5 for further information) AND 2. A declaration - please use the template provided in Section 8 Non-Ireland Nominees Declaration. Please note that the completed declaration must be provided as an original. A copy of same will not suffice. All evidentiary documentation must be certified as a true copy by a Notary Public. Evidentiary documentation issued outside of Ireland must also be legalised. The date of notarisation and legalisation must not exceed three months prior to the date of the application. See Section 5 of this Guidance for further information on Document Certification. Notarised/legalised translation of documents into English must also be submitted where so required. See Section 6 of this Guidance for further information on Translation to English. Section 4: Security Terms of Use Security Terms of Use must be requested from ETRAdmin@epa.ie. These must be signed by PRC, PAR, SAR and AAR and submitted as part of the application documentation. The Security Terms of Use make clear the responsibilities of the end users in terms of minimum requirements for security of their systems and a safe behaviour in handling data/navigating on the internet. Section 5: Document Certification All evidentiary documentation must be certified as a true copy by a Notary Public, with date of notarisation not being more than three months prior to date of application. Documents issued outside of Ireland must also be legalised, with date of legalisation not being more than three months prior to date of application. Further information on legalisation is provided below. Country of Origin is Signatory to the Hague Convention: Where the country of origin is a signatory to the Hague Convention, the evidentiary documentation must also have an Apostille affixed by the Competent Authority within that jurisdiction. A list of competent authorities is available from www.hcch.net The onus is on applicants to seek advice from their Competent Authority to ensure that all steps are carried out for the application of the Apostille. Page 5 of 15

Note that private documents (e.g. utility bill provided as proof of permanent residence) originating from a signatory country and which are certified as true copies by a Notary Public must also be apostilled 1. Remember that this date of legalisation cannot be more than three months prior to date of application. Exemption: Documents originating from Denmark, France, Italy & Belgium are only required to be certified as true by a Notary Public and are not required to have an Apostille affixed to them 2. Country of Origin is NOT Signatory to the Hague Convention: Where the country of origin is NOT a signatory to the Hague Convention, the evidentiary documentation must also be legalised. It is normally the Irish Embassy or Consulate in the foreign jurisdiction that completes the legalisation process by applying their certification. However the legalisation process is country-specific and must be carried out in accordance with the regulations of that foreign jurisdiction. The onus is on applicants to seek appropriate advice in their jurisdiction on how to achieve legalisation. Remember that this date of legalisation cannot be more than three months prior to date of application. Section 6: Translation to English All required application/evidentiary documentation must also be translated into English where so required. This translation must be carried out by a qualified person in the relevant jurisdiction with the translator s qualification credentials produced to the Notary Public and certified. This translation must also be aspostilled or legalised as appropriate. The translator must affix a statement to the translation which: confirms that the translation is a true, accurate and correct rendering of either the original document or of a certified copy of the original document; states the language from which the translation has been carried out and is signed by the translator in the presence of a Notary Public, stating the translator s name, address, contact details and the date, together with a certification stamp affixed at the end of a translation. The Notary Public must then notarize this by affixing a certificate stating that the translator has attended before him/her and produced the certified translation. 1 Article 1 of the Convention provides that private documents which have been subject to notarial acts are deemed to be public documents. 2 EC Convention of 25 May 1987 Page 6 of 15

Section 7: Application Checklist Aircraft Operator Declaration Template Used and Printed on Company Letter Head Paper YES Fully completed with all required details PRC, PAR, SAR and AAR nominated Signed by Director/Company Secretary/Senior Company Officer Stamped/Sealed PRC: Statement of Particulars Template Used and Printed on Company Letter Head Paper Fully completed with all required details Signed and dated PAR/SAR/AAR: Statement of Particulars Template Used and Printed on Company Letter Head Paper Fully completed with all required details Signed and dated Completed for ALL PAR/SAR/AAR nominees PAR/SAR/AAR: Evidentiary Documentation Proof of identity provided Proof of address of permanent residence provided Proof of Criminal Record Template used and Original Declaration regarding criminal record provided Evidentiary documentation certified/legalised Translation to English where required Completed for ALL PAR/SAR/AAR nominees Security Terms of Use: Signed by PRC, PAR, SAR and AAR Account fee submitted Account Fee: Application Submission Electronic submission of all application documentation to etradmin@epa.ie Hard copy posted to EPA, Ireland Page 7 of 15

Section 8: Document Templates Aircraft Operator Declaration Aircraft Operator Account Holder Name: Account holder is the aircraft operator. The name recorded for the account holder shall be identical to the name recorded in the Monitoring Plan. In case of the name in the Monitoring Plan being obsolete, the name used by Eurocontrol shall be used. Aircraft Operator Account Holder Contact Details: Address Line 1 Address Line 2 City State/Province/Region Postcode/ZIP Country Account Holder Email Telephone 1 Telephone 2 Company Registration Number/ID Number VAT Number Incl. Country Code Unique Code under EC Regulation No. 748/2009 Call Sign/ICAO Designator: Box 7 of flight plan. If not available, provide registration marking of the aircraft. Monitoring Plan: Monitoring Plan ID 1st year of applicability Year of expiry Natural Applicants Only: Date of Birth dd/mm/yyyy Place of Birth (City) Country of Birth Page 8 of 15

Union Registry - PRC, PAR, SAR and AAR PRC: I hereby nominate the following individual to act as Primary Registry Contact (PRC): Primary Registry Contact (PRC) Name PAR and SAR: I hereby nominate the following individuals to act as PAR and SAR with the right to initiate transactions on behalf of the Aircraft Operator Account Holder. Primary Authorised Representative (PAR) Name Secondary Authorised Representative (SAR) Name AAR: I hereby nominate the following individual to act as Additional Authorised Representative with the right to approve transactions on behalf of the Aircraft Operator Account Holder. Additional Authorised Representative (AAR) Name Please tick Surrender if you require the AAR sign off on surrender transactions: Surrender: Please tick Cancellation if you require the AAR sign off on cancellation transactions: Cancellation: I hereby request that an Aircraft Operator Holding Account be opened. I am aware of the legislation governing the operation of the Union Registry. I certify that I am making the above requests and nominations with the authority of the Aircraft Operator as identified above. I certify having regard to Section 13(5)(c) of the Environmental Protection Act 1992, that the information given in this application is truthful, accurate and complete. Signed by Aircraft Operator: Director/Company Secretary/Senior Company Officer (delete as appropriate) Print Signature Name: Date: Company Stamp/Seal Page 9 of 15

Statement of Particulars PRC/PAR/SAR/AAR Statement: delete as appropriate I declare that my particulars are as follows: Title First name Last name Job Title Organisation Address Line 1 Organisation Address Line 2 City State/Province/Region Postcode/ZIP Country Telephone 1 Unique Mobile/Cell Number Email Address Date of Birth (dd/mm/yyyy) Place of Birth (City) Country of Birth I certify having regard to Section 13(5)(c) of the Environmental Protection Act 1992, that this information is truthful, accurate and complete. Signed: Print Signature Name: Date: Page 10 of 15

Ireland Nominees - Statutory Declaration STATUTORY DECLARATION I, [name of applicant], do solemnly and sincerely declare, warrant and confirm that: I am not under investigation and have not been convicted in the preceding five years, in Ireland or elsewhere, for fraud involving allowances or Kyoto units, money laundering, terrorist financing or other serious crimes (such terms to be given the same meaning as defined in Directive 2005/60/EC) and I make this solemn declaration conscientiously believing the same to be true and by virtue of the Statutory Declarations Act 1938. [signature of applicant] Declared before me...[witness name in capitals] a [notary public] [commissioner for oaths] [peace commissioner] [person authorised by [insert authorising statutory provision]... to take and receive statutory declarations] by [name of applicant] [who is personally known to me], or [who is identified to me by [insert name in capitals] who is personally known to me] or [whose identity has been established to me before the taking of this Declaration by the production to me of: passport no. [applicant s passport number] issued on [date of issue] by the authorities of [issuing state], which is an authority recognised by the Irish Government] or national identity card no. [applicants identity card number] issued on [date of issue] by the authorities of [issuing state] [which is an EU Member State, the Swiss Confederation or a Contracting Party to the EEA Agreement] or [Aliens Passport no. (document equivalent to a passport) [passport number] issued on [date of issue] by the authorities of [issuing state] which is an authority recognised by the Irish Government] Page 11 of 15

at.[place of signature] this.day of.[date] [signature of witness]. Page 12 of 15

Non-Ireland Nominees Declaration DECLARATION I, [name of applicant], do solemnly and sincerely declare, warrant and confirm that: I am not under investigation and have not been convicted in the preceding five years, in Ireland or elsewhere, for fraud involving allowances or Kyoto units, money laundering, terrorist financing or other serious crimes (such terms to be given the same meaning as defined in Directive 2005/60/EC) and I make this solemn declaration conscientiously believing the same to be true. [signature of applicant] Declared before me...[witness name in capitals] a [notary public] [person authorised by [insert local authorising statutory provision]... to take and receive statutory declarations] by [name of applicant] [who is personally known to me], or [who is identified to me by [insert name in capitals] who is personally known to me] or [whose identity has been established to me before the taking of this Declaration by the production to me of: passport no. [applicant s passport number] issued on [date of issue] by the authorities of [issuing state], which is an authority recognised by the Irish Government] or national identity card no. [applicants identity card number] issued on [date of issue] by the authorities of [issuing state] [which is an EU Member State, the Swiss Confederation or a Contracting Party to the EEA Agreement] or [Aliens Passport no. (document equivalent to a passport) [passport number] issued on [date of issue] by the authorities of [issuing state] which is an authority recognised by the Irish Government] Page 13 of 15

at.[place of signature] this.day of.[date] [signature of witness]. Page 14 of 15

Right of Objection In line with Commission Regulation (EU) No. 920/2010 and associated amendments, the national registry administrator may refuse to (i) open an account(article 18(2)) (ii) or approve an authorised representative or additional authorised representative (Article 20 (3b)) (iii) update information related to the Aircraft Operator Holding Account (Article 21(1) Reasons for refusals under i), ii) and iii) may be made that: information and documents provided are incomplete, out-of-date or otherwise inaccurate or false; the prospective account holder, or if it is a legal person, any of the directors, or prospective representative, is under investigation or has been convicted in the preceding five years for fraud involving allowances or Kyoto units, money laundering, terrorist financing or other serious crimes for which the account may be an instrument; the national administrator has reasonable grounds to believe that the accounts may be used for fraud involving allowances, Kyoto units, money laundering, terrorist financing or other serious crimes; for reasons set out in national law. The national registry administrator may (iv) suspend access to Registry accounts/s Article 27(1) (v) remove an authorised representative or additional authorised representative - Article 28(4) The person requesting the account opening or Primary Registry Contact (PRC), as appropriate, may make an objection to this refusal, suspension or removal. A valid objection must state: - Name and address - The subject matter of the objection - The grounds for the objection and the reasons, consideration and arguments on which they are based. The objection must be lodged with the Environmental Protection Agency within 30 calendar days of the date of the refusal, suspension or removal under Article 18(3), Article 20(4), Article 27(5) and Article 28(5). An objection must be made in writing within the specified timeframe either: - Emailed to ETRAdmin@epa.ie - Sending it by prepaid post to the EPA Headquarters or - Giving it to an EPA employee at our HQ at Johnstown Castle Estate, Co Wexford, Ireland during office hours (9am-5pm, Monday to Friday). Once an objection is made further elaboration on it in later correspondence is not permitted (unless such elaboration is requested by the EPA). Page 15 of 15