Legalize / United Kingdom / Statutory-Instrument

The Vehicle Emissions Trading Schemes Order 2023

Type Statutory-Instrument

Publication 2023-12-13

Last updated 2026-01-01

State In force

Department King's Printer of Acts of Parliament

Source legislation.gov.uk

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(c) the number of ZE SPVs of which the participant is the manufacturer and which were registered during the scheme year, except for ZE wheelchair accessible SPVs, and a breakdown of that number by vehicle category for the purposes of Article 4 of Regulation (EU) 2018/858;

(d) the number of ZE wheelchair accessible SPVs of which the participant is the manufacturer and which were registered during the scheme year; and

(e) a copy of the audit certificate referred to in article 75(3).

(6) Subject to paragraph (7), a participant in the Trading Schemes must notify the administrator on or before the date which is two months after the date on which this Order comes into force of—

(a) the name, address and other contact details of the person to whom any notification or correspondence about the Trading Schemes should be sent;

(b) the name which the participant, or which each manufacturer which is a member of a pool participant in the Trading Schemes, indicates or intends to indicate on the certificate of conformity or the individual vehicle approval certificate for the cars, vans or ZE SPVs of which it is the manufacturer; and

(c) the world manufacturer identifier of the vehicle identification number which the participant, or which each manufacturer which is a member of a pool participant in the Trading Schemes, indicates, or intends to indicate, on the certificate of conformity or the individual vehicle approval certificate for the cars, vans or ZE SPVs of which it is the manufacturer.

(7) A participant which becomes a participant in the Trading Schemes after the date mentioned in paragraph (6) must provide the administrator with the information mentioned in that paragraph without delay after becoming a participant.

(8) A participant in the Trading Schemes must notify any changes to the information mentioned in paragraph (6) to the administrator without delay.

(9) The administrator must notify each manufacturer which is a participant in the Trading Schemes, or which is a member of a pool participant in the Trading Schemes, of its account number in the registry before the start of the trading window which follows the first scheme year for which that manufacturer becomes a participant in the Trading Schemes or a member of a pool participant in the Trading Schemes.

Information: SPV manufacturers

74

(1) Where an SPV manufacturer wishes to acquire a CRTS credit or a VRTS credit for a scheme year accordance with article 21, 22, 53 or 54, the SPV manufacturer must comply with paragraphs (2) to (4).

(2) An SPV manufacturer must notify the administrator on or before 20th April of the year following the scheme year for which it wishes to acquire a credit described in paragraph (1) of—

(a) the name, address and other contact details of the person to whom any notification or correspondence about the Trading Schemes should be sent;

(b) the name which the SPV manufacturer indicates, or intends to indicate, on the certificate of conformity or the individual vehicle approval certificate for the ZE SPVs of which it is the manufacturer; and

(c) the world manufacturer identifier of the vehicle identification number which the SPV manufacturer indicates, or intends to indicate, on the certificate of conformity or the individual vehicle approval certificate for the ZE SPVs of which it is the manufacturer.

(3) Subject to paragraph (5), an SPV manufacturer must ensure that the following information, in relation to each ZE SPV of which is the manufacturer and which is registered during a scheme year for which it wishes to acquire a credit described in paragraph (1), is available to the administrator through the process of type-approval and registration of vehicles, and to the extent that it is not, provide it to the administrator on or before 31st August of the year following that scheme year—

(a) the information specified in sub-paragraphs (a) to (s) of paragraph 1 of Schedule 7, in relation to each ZE SPV of category M1 which is registered during that scheme year; and

(b) the information specified in sub-paragraphs (a) to (t) of paragraph 6 of Schedule 7, in relation to each ZE SPV of category N1, and each ZE SPV of category N2 which is within the description in paragraph (c) of the definition of “van” in article 3 (1), which is registered during that scheme year.

(4) An SPV manufacturer must provide to the administrator, on or before 31st August of the year following the scheme year for which it wishes to acquire a credit described in paragraph (1)—

(a) the number of ZE SPVs of which the participant is the manufacturer and which were registered during the scheme year which are to be used exclusively by a car club for the provision of a car club service for a period of 18 months from the date they are registered, along with the vehicle identification numbers of the SPVs and the name by which the operator of the car club is known;

(b) evidence that condition C of the zero-emission conditions (warranty) is met in relation to the ZE SPVs of which the SPV manufacturer is the manufacturer and which were registered during the scheme year;

(c) the number of ZE SPVs of which the participant is the manufacturer and which were registered during the scheme year, except for ZE wheelchair accessible SPVs, and a breakdown of that number by vehicle category for the purposes of Article 4 of Regulation (EU) 2018/858;

(d) the number of ZE wheelchair accessible SPVs of which the participant is the manufacturer and which were registered during the scheme year; and

(e) a copy of the audit certificate referred to in article 76 (3).

(5) The obligation in paragraph (3) does not apply to the extent that the administrator—

(a) is satisfied that the information referred to in that paragraph is not available in relation to a particular vehicle; and

(b) notifies the SPV manufacturer concerned of that fact in writing

Maintenance and audit of records by participants in the Trading Schemes

75

(1) A participant in the Trading Schemes must keep a record of the information referred to in article 73 (1) and (5)(a) to (d) in relation to the cars, vans and ZE SPVs of which the participant is the manufacturer and which are registered during each scheme year.

(2) A participant in the Trading Schemes must, on at least an annual basis, carry out an audit of the records required to be kept under paragraph (1) to ensure its compliance with the requirements of that paragraph.

(3) The participant in the Trading Schemes must evidence the satisfactory completion of such an audit by completing a document in writing (referred to in paragraph (4) as an “audit certificate”).

(4) The audit certificate may be in such form as the participant in the Trading Schemes sees fit but must be—

(a) signed by a person who exercises management control in respect of the activities of the participant; and

(b) kept with its records.

Maintenance and audit of records by SPV manufacturers

76

(1) An SPV manufacturer must keep a record of the information referred to in article 74 (3) and (4)(a) to (d) in relation to the ZE SPVs of which it is the manufacturer and which are registered during each scheme year for which the SPV manufacturer wishes to earn a CRTS credit or VRTS credit.

(2) An SPV manufacturer must, on at least an annual basis, carry out an audit of the records required to be kept under paragraph (1) to ensure its compliance with the requirements of that paragraph.

(3) An SPV manufacturer must evidence the satisfactory completion of such an audit by completing a document in writing (referred to in paragraph (4) as an “audit certificate”).

(4) The audit certificate may be in such form as the SPV manufacturer sees fit but must be—

(a) signed by a person who exercises management control in respect of the activities of the SPV manufacturer; and

(b) kept with its records.

Preparation of provisional information

77

(1) On or before 31st May of each year following a scheme year, the administrator must prepare the following information for the scheme year, and for each participant in the Trading Schemes—

(a) the total number of cars of which the participant is the manufacturer and which were registered during the scheme year;

(b) the total number of vans of which the participant is the manufacturer and which were registered during the scheme year;

(d) the number of ZE vans of which the participant is the manufacturer and which were registered during the scheme year;

(e) the number of NZE cars of which the participant is the manufacturer and which were registered during the scheme year and their specific emissions of CO₂;

(f) the number of NZE vans of which the participant is the manufacturer and which were registered during the scheme year and their specific emissions of CO₂;

(g) the average of the specific emissions of CO₂ of the NZE cars of which the participant is the manufacturer and which were registered during the scheme year;

(h) the average of the specific emissions of CO₂ of the NZE vans of which the participant is the manufacturer and which were registered during the scheme year;

(i) the number of ZE SPVs of category M1, except for ZE wheelchair accessible SPVs, of which the participant is the manufacturer and which were registered during the scheme year;

(j) the number of ZE wheelchair accessible SPVs of which the participant is the manufacturer and which were registered during the scheme year;

(k) the number of ZE SPVs of category N1, or of category N2 which fall within the description in paragraph (c) of the definition in “van” in article 3 (1), of which the participant is the manufacturer and which were registered during the scheme year;

(l) the number of CRTS allowances allocated and, where applicable, the number of banked CRTS allowances , within the meaning of article 9(b);

(m) the number of VRTS allowances allocated and, where applicable, the number of banked VRTS allowances , within the meaning of article 41(b);

(n) the number of CCTS allowances allocated;

(o) the number of VCTS allowances allocated;

(p) the number of CRTS credits acquired;

(q) the number of VRTS credits acquired;

(r) the number of units of activity in the CRTS and any additional matters for which the participant must account for that scheme year in accordance with article 27 (1)(b) or (c) (car club credits and borrowed CRTS allowances);

(s) the number of units of activity in the VRTS and any additional matters for which the participant must account for that scheme year in accordance with article 59 (1)(b) or (c) (car club credits and borrowed VRTS allowances);

(t) the number of units of activity in the CCTS;

(u) the number of units of activity in the VCTS.

(2) The administrator must, on or before 31st May of each year following a scheme year, notify in writing each participant in the Trading Schemes of—

(a) the provisional information mentioned in paragraph (1); and

(b) such of the information specified in Schedule 7 for that participant and that scheme year as the administrator holds.

(3) On or before 31st May of each year following a scheme year, the administrator must prepare the following information for the scheme year and for each SPV manufacturer—

(a) the number of ZE SPVs of category M1, except for ZE wheelchair accessible SPVs, of which the SPV manufacturer is the manufacturer and which were registered during the scheme year;

(b) the number of ZE wheelchair accessible SPVs of which the SPV manufacturer is the manufacturer and which were registered during the scheme year;

(c) the number of ZE SPVs of category N1, or of category N2 which fall within the description in paragraph (c) of the definition in “van” in article 3 (1), of which the SPV manufacturer is the manufacturer and which were registered during the scheme year;

(d) the number of CRTS credits acquired;

(e) the number of VRTS credits acquired.

(4) The administrator must, on or before 31st May of each year following a scheme year, notify in writing each SPV manufacturer of—

(a) the provisional information mentioned in paragraph (3); and

(b) such of the information specified in Schedule 7 in relation to that SPV manufacturer and that scheme year as the administrator holds.

Error notification

78

(1) On or before 31st August of each year following a scheme year, a participant in the Trading Schemes or an SPV manufacturer may notify the administrator of any errors identified in the information notified by the administrator under article 77 (2) or (4).

(2) A notification given under paragraph (1)—

(a) must identify the error; and

(b) may be accompanied by evidence which demonstrates that the administrator has made an error.

(3) The administrator must take into account a notification given under this article in the preparation of the final information under article 79.

Preparation and notification of final information

79

On or before 31st October of each year following a scheme year, the administrator must prepare the final information mentioned in article 77 (1) and (3) and notify it in writing to each participant in the Trading Schemes and each SPV manufacturer.

Publication of final information

80

(1) On or before 15th March of the year which begins one year after the end of a scheme year, the administrator must publish the following information for the scheme year—

(a) the information mentioned in paragraph 1 of Schedule 7, with the exception of the information in sub-paragraph (n) and sub-paragraphs (t) to (v);

(b) the information mentioned in paragraph 6 of Schedule 7, with the exception of the information in sub-paragraph (o) and sub-paragraphs (u) to (w);

(i) the number of ZE cars and ZE vans of which the participant was the manufacturer and which were registered during the scheme year;

(ii) the number of NZE cars and NZE vans of which the participant was the manufacturer and which were registered during the scheme year;

(iii) the baseline for the purposes of the CCTS or VCTS;

(iv) the number of credits acquired by the participant under each of article 19(1), 19(2), 20, 51 and 52;

(v) the net number of allowances and, where applicable, credits in each of the Trading Schemes which each participant in the schemes acquired or disposed of through trading during the trading window following the scheme year;

(vi) the average of the specific emissions of CO₂ of the NZE cars, and of the NZE vans, of which the participant was the manufacturer and which were registered during the scheme year;

(d) in relation to each SPV manufacturer—

(i) the number of ZE SPVs of which the manufacturer is the manufacturer and which were registered during the scheme year, stating how many of those were ZE wheelchair accessible SPVs;

(ii) the number of credits acquired by the SPV manufacturer under each of articles 21(1), 21(2), 22, 53 and 54;

(iii) the number of credits in each of the CRTS or VRTS which the SPV manufacturer disposed of through trading during the trading window following the scheme year;

(e) the average of the specific emissions of CO₂ of all the NZE cars, and of all the NZE vans, registered during the scheme year.

(2) In paragraph (1)(c)(v), a reference to “trading” is a reference to trading allowances or credits under article 25, 25A, 26, 26A, 37, 57, 57A, 58, 58A or 69.

(3) In paragraph (1)(d)(iii), a reference to “trading” is a reference to disposing of credits through trading under article 26, 26A, 58 or 58A.

(4) The administrator may publish amended information at any time where it discovers any error or omission in the published information.

Power of administrator to require information from participants and SPV manufacturers

81

(1) The administrator may at any time require a participant in the Trading Schemes or an SPV manufacturer to provide information which is required by the administrator in order to administer the Trading Schemes by giving a notice to the participant or the manufacturer.

(2) Any notice given under paragraph (1) must—

(a) be in writing;

(b) identify the information required and the reason it is required; and

(3) A person to whom a notice is given under this article must comply with the requirement contained in the notice.

(4) The information which a person may be required to provide under this article includes information that, although not in the person’s possession, it is reasonable to require the person to obtain or compile for the purpose of administering the Trading Schemes.

Updating information provided with an application under Part 3 of Schedule 4 (low-volume participants)

82

A low-volume CRTS participant and a low-volume VRTS participant must notify the administrator without delay if there is a change in the information provided with the application made under Part 3 of Schedule 4 which affects the participant’s eligibility to be a low-volume CRTS participant or a low-volume VRTS participant, as the case may be.

Updating information provided with an application under Schedule 5 (pool participants)

83

(1) Each manufacturer which is a member of a pool participant in the Trading Schemes must notify the administrator without delay if there is a change to the identity of the manufacturer notified to the administrator as the contact point in accordance with paragraph 5 (c)(i) of Schedule 5.

(2) A notification under paragraph (1) must be accompanied by the evidence mentioned in paragraph 7 (b) of Schedule 5 in relation to the new manufacturer which will act as the contact point.

Manner of provision of information to administrator

84

(1) Any obligation of a participant in the Trading Schemes or an SPV manufacturer to provide information to, or to notify, the administrator must be complied with by providing the information, or making the notification—

(a) through a website of the administrator; or

(b) in another manner, in a case where the administrator determines that it is necessary to allow notification or the provision of information in that manner.

(2) This article is subject to article 81 (2)(c) (power of administrator to require information for Trading Scheme administration), article 86 (b) (power of administrator to require production of information or documents) and paragraph 9 (d) of Schedule 4 (form of application under that Schedule).

Part 5 — Monitoring compliance and enforcement

Powers of administrator in respect of monitoring compliance

85

(1) The powers of the administrator in this Part may only be exercised where the administrator reasonably believes there has been a failure by a participant in the Trading Schemes or an SPV manufacturer (referred to in this Part as “P”) to comply with a requirement of this Order.

(2) The administrator may authorise a person to exercise, on behalf of the administrator and in accordance with the terms of the authorisation, the administrator’s powers in this Part.

(3) A person authorised in accordance with paragraph (2) is referred to in this Part as an “authorised person”.

Power to require production of documents or provision of information

86

The administrator or an authorised person may, by a written notice given to P, require P—

(a) to provide the administrator or the authorised person with information or documents; and

(b) to provide such information or documents in the form specified in the notice and within such period, or at such time, as is specified in the notice.

Power to question officers of a company

87

The administrator or an authorised person may, by a written notice given to P, require P to make available any officer of a company believed to be able to give information relevant to an investigation into whether there has been a failure by P to comply with a requirement of this Order and require that officer—

(a) to attend at a place and time specified by the administrator or authorised person;

(b) to answer questions (in the absence of any person other than those whom the administrator or authorised person allows to be present and a person nominated by the officer being asked questions); and

Powers of entry, etc

88

The administrator or an authorised person may—

(a) enter any premises with a warrant issued in accordance with article 90, together with any equipment or material as may be required; and

(b) when entering premises by virtue of paragraph (a), be accompanied by such persons as appear to the administrator or authorised person to be necessary.

Seizure of documents or records

89

(1) The administrator or an authorised person exercising the power of entry under article 88 may seize any documents or records.

(2) Where the administrator or authorised person seizes documents or records under paragraph (1), they must—

(a) provide the occupier of the premises with a written record of any items which are seized; and

(b) retain any seized item for no longer than necessary, and so far as possible, in its original condition.

Warrant

90

(1) A justice may issue a warrant in relation to any premises for the purposes of article 88 (a) where the justice is satisfied that—

(a) there are reasonable grounds for the exercise of the power in that paragraph; and

(b) one or more of the conditions in paragraph (2) are fulfilled in relation to the premises.

(2) The conditions referred to in paragraph (1)(b) are that—

(a) the exercise of the power by consent in relation to the premises has been refused;

(b) a refusal of consent to the exercise of the power is reasonably expected;

(d) the occupier is temporarily absent from the premises and the case is one of urgency; or

(e) a request for admission to the premises would defeat the purpose of the entry.

(3) A warrant issued in accordance with this article continues to have effect until the purpose for which it was issued has been fulfilled.

(4) In paragraph (1), “justice” means—

(a) in England or Wales, a justice of the peace;

(b) in Scotland, a justice of the peace or sheriff;

Legal professional privilege

91

Nothing in this Part requires any person to produce a document which that person would be entitled to withhold the production of on the grounds of legal professional privilege.

Enforcement notices

92

(1) Where the administrator considers that a participant in the Trading Schemes or an SPV manufacturer has contravened, is contravening or is likely to contravene a requirement imposed by or under this Order, the administrator may give notice (an “enforcement notice”) to the participant or SPV manufacturer.

(2) An enforcement notice must be given in writing and must set out—

(a) the requirement that the administrator considers has been contravened, is being contravened or is likely to be contravened;

(b) details of the contravention or likely contravention;

(d) the period within which the steps must be taken and any updates which must be provided to the administrator about the steps taken;

(e) information about rights of appeal.

(3) A person to whom an enforcement notice is given must comply with the requirements of the notice within the period set out in the notice.

(4) The administrator may withdraw an enforcement notice at any time by giving notice of the withdrawal to the person to whom the enforcement notice is given.

Part 6 — Civil penalties

Civil penalties: general

93

(1) The administrator—

(a) may impose a civil penalty in accordance with articles 97 to 106; and

(b) where it does so, it must give written notice of such penalty (referred to in this Part as a “penalty notice”).

(2) A penalty notice must specify—

(a) the provision of this Order that is breached; and

(b) information about rights of appeal.

(3) In this Part—

“block” means the restriction of the operation of a participant in the Trading Schemes’, or an SPV manufacturer’s, account in the registry, so that the participant or SPV manufacturer may not—trade allowances or credits;bank or borrow CRTS allowances, within the meaning of article 9;be treated as falling within article 13(4) or (6) (transitional allocation of CRTS allowances);acquire CCTS allowances under article 35;bank or borrow VRTS allowances within the meaning of article 41;be treated as falling within article 45(4) or (6) (transitional allocation of VRTS allowances);acquire VCTS allowances under article 67;be treated as a low-volume CRTS participant or low-volume VRTS participant in accordance with Schedule 4; ... make an application for the specific emissions of CO₂ of a vehicle to be determined in accordance with Part 6 of Schedule 3A; or make an application to be a pool participant in the Trading Schemes under Schedule 5;

“financial year”, in relation to a participant in the Trading Schemes or an SPV manufacturer, has the meaning given in section 390 of the Companies Act 2006¹⁷;

“publication” means to publish on a part of the registry which is accessible to the public—the name of a participant in the Trading Schemes or an SPV manufacturer, including, where a participant is a pool participant in the Trading Schemes, the name of each member of that pool participant; anddetails of the breach for which a civil penalty has been imposed;

“turnover”, in relation to a participant in the Trading Schemes or an SPV manufacturer, means its turnover as defined in section 474(1) of the Companies Act 2006¹⁸, as if that section applied to participants in the Trading Schemes or SPV manufacturers, and excluding turnover arising outside the United Kingdom.

(4) For so long as the operation of a pool participant in the Trading Schemes' account in the registry is restricted by a block, that participant continues to be treated as a pool participant in the Trading Schemes, even where the grant of an application by the administrator under Schedule 5 would otherwise be required.

(5) In relation to a pool participant in the Trading Schemes—

(a) its turnover for the purposes of paragraph (3) is the aggregate turnover of each of the members of the pool participant; and

(b) a reference to its financial year is a reference to the financial year of the manufacturer identified to the administrator in accordance with—

(i) paragraph 5(c)(i) of Schedule 5 (application to be treated as a pool participant) in the application made under that Schedule; or

(ii) article 83(1) (updating information provided with application under Schedule 5).

Financial penalties: general

94

(1) A penalty notice in respect of a financial penalty must specify—

(a) that payment must be made to the administrator;

(b) how payment must be made;

(c) where no daily penalty applies or the total amount of the daily penalty can be determined at the date of the giving of the notice—

(i) the total amount due;

(ii) where applicable, how it has been calculated; and

(iii) the date by which it must be paid; and

(d) where a daily penalty rate applies and the total amount of the daily penalty cannot be determined at the date of the giving of the notice—

(i) the amount of the initial penalty; and

(ii) details of the applicable daily rate.

(2) Where paragraph (1)(d) applies and the total amount of the daily penalty can be determined after the date of giving of the notice, the administrator must give a further notice to the person liable to the penalty which complies with paragraph (1)(c).

(3) The administrator must pay any financial penalty received into the consolidated fund.

(4) In England and Wales, a financial penalty is recoverable as if it were payable under an order of the county court in England and Wales.

(5) In Scotland, a financial penalty may be enforced in the same manner as an extract registered decree arbitral bearing a warrant of execution issued by the sheriff court of any sheriffdom in Scotland.

(5A) In Northern Ireland, a financial penalty is recoverable as if it were payable under an order of the County Court.

(6) Where action is taken under paragraph (4) for the recovery of a sum payable as a financial penalty pursuant to this Order, the financial penalty is, for England and Wales, to be treated for the purposes of section 98 of the Courts Act 2003¹⁹ (register of judgments and orders etc.) as if it were a judgment entered in the county court.

(7) Where action is taken under paragraph (5A) for the recovery of a sum payable as a financial penalty pursuant to this Order, the financial penalty is, for Northern Ireland, to be treated for the purposes of Article 116 of the Judgments Enforcement (Northern Ireland) Order 1981 (register of judgments) as if it were a judgment in respect of which an application has been accepted under Article 22 or 23(1) of that Order.

Non-financial penalties: general

95

(1) The administrator may impose the penalty of a block until—

(a) the failure is remedied; and

(b) any financial penalty imposed in respect of the same failure is paid.

(2) Publication lasts until—

(a) the failure is remedied; and

(b) any financial penalty imposed in respect of the same failure is paid.

(3) The administrator must remove a block or publication promptly when the breach to which it relates has been remedied and any associated financial penalty is paid.

(4) A civil penalty other than a financial penalty has effect from the date of service of the penalty notice, unless the notice provides otherwise.

Waiver and modification of civil penalties

96

(1) Where the administrator considers appropriate, the administrator may—

(a) waive a penalty;

(b) allow additional time to pay a financial penalty;

(c) impose a lower financial penalty than the amount provided for in articles 97 to 106 or substitute such a lower financial penalty where one has already been imposed; or

(d) modify the application of a publication or a block.

(2) Where at any time before a financial penalty is due to be paid the administrator ceases to be satisfied that the person is liable for that penalty, the administrator may serve a further notice on that person to—

(a) withdraw the penalty notice; or

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

(3) Before exercising a power in this article, the administrator must consult the relevant national authorities²⁰.

Failure to make a payment to account for activity in the Trading Schemes

97

(1) The administrator may impose the penalties in paragraph (2) where a participant in the Trading Schemes fails to make a payment which is due in accordance with a payment notice given under article 28, 39, 60 or 71.

(2) The penalties are—

(a) the financial penalty of—

(i) the amount of the payment which was specified in the payment notice and which remains outstanding; and

(ii) a daily penalty at a daily rate which is the sum of £750 and 0.75% of the amount of the payment specified in the payment notice, beginning with the day after the day on which that payment was due;

(b) publication; and

Failure to provide information under article 73

98

(1) The administrator may impose the penalties in paragraph (2) where a participant in the Trading Schemes fails to comply with a requirement in article 73 to provide, or to ensure that the administrator has available to it, the information or evidence specified in—

(a) article 73 (5)(a) to (d) (SPVs, car clubs and ZE car or van warranties);

(b) paragraph 1 (g), 6 (g)12 (c) or 13 (c) of Schedule 7 (specific emissions of CO₂ of a car, van or SPV);

(d) paragraph 1 (l) or 6 (n) of Schedule 7 (code for any eco-innovations);

(e) paragraph 1 (r) or 6 (r) of Schedule 7 (electric range of a car, van or SPV, where applicable).

(2) The penalties are—

(a) the financial penalty of—

(i) £7,500;

(ii) £15,000 for each car to which a failure in paragraph (1) relates;

(iii) £15,000 for each ZE SPV of category M1 to which a failure in paragraph (1) relates;

(iv) £18,000 for each van to which a failure in paragraph (1) relates; and

(v) £18,000 for each ZE SPV which is of category N1, or which is of category N2 and which falls within the description in paragraph (c) of the definition in “van” in article 3 (1), to which a failure in paragraph (1) relates;

(b) publication; and

(3) The administrator may impose the penalties in paragraph (4) where a participant in the Trading Schemes fails to comply with a requirement in article 73 to provide, or to ensure that the administrator has available to it, any information other than that specified in paragraph (1).

(4) The penalties are—

(a) the financial penalty of £750; and

(b) publication.

Failure to maintain records

99

(1) The administrator may impose the penalties in paragraph (2) where a participant in the Trading Schemes fails to maintain and audit its records, as required by article 75, or where an SPV manufacturer fails to maintain and audit its records, as required by article 76.

(2) The penalties are—

(a) the financial penalty of £7,500;

(b) publication; and

Failure to provide information under article 81 (information required for the purposes of administering the Trading Schemes)

100

(1) The administrator may impose the penalties in paragraph (2) where—

(a) the administrator has required a participant in the Trading Schemes or an SPV manufacturer to provide information in a notice in accordance with article 81; and

(b) the participant or manufacturer has failed to comply with the notice by the time specified in it.

(2) The penalties are—

(a) the financial penalty of £7,500; and

(b) publication.

Failure to provide information under article 86 (information required where suspected failure to comply with this Order)

101

(1) The administrator may impose the penalties in paragraph (2) where—

(a) the administrator or an authorised person has given notice to a participant in the Trading Schemes or an SPV manufacturer under article 86; and

(b) the participant or SPV manufacturer has failed to comply with the notice by the time specified in it.

(2) The penalties are—

(a) the financial penalty of £750,000 or, if lower, 0.5% of the turnover of the participant in the Trading Schemes or the SPV manufacturer for its financial year ending during the scheme year to which the failure relates;

(b) publication; and

Failure to make officer available for questioning

102

(1) The administrator may impose the penalties in paragraph (2) where—

(a) the administrator or an authorised person has given notice to a participant in the Trading Schemes or an SPV manufacturer under article 87 to make an officer available for questioning in accordance with that article; and

(b) that officer was not made available in accordance with the notice by the time specified in it.

(2) The penalties are—

(a) the financial penalty of £75,000;

(b) a block; and

Refusal to allow access to premises

103

(1) The administrator may impose the penalties in paragraph (2) where a person in control of any premises refuses the administrator or an authorised person access to those premises, or intentionally obstructs the administrator or an authorised person from accessing to those premises, contrary to article 88.

(2) The penalties are—

(a) the financial penalty of £75,000;

(b) a block; and

Failure to comply with enforcement notice

104

(1) The administrator may impose the penalty in paragraph (2) where a participant in the Trading Schemes or an SPV manufacturer fails to comply with the requirements of an enforcement notice given under article 92.

(2) The penalty is the financial penalty of—

(a) £4,500; and

(b) a daily penalty at a daily rate of £100, beginning with the day after the day by which the participant in the Trading Schemes or SPV manufacturer was to have taken steps to comply with the requirements of the enforcement notice, up to a maximum of £3,000.

Provision of false or misleading information: participants in the Trading Schemes

105

(1) The administrator may impose the penalties in paragraph (2) where a participant in the Trading Schemes provides false or misleading information under an obligation on a participant in article 73 (provision of information to administrator).

(2) The penalties are—

(a) where the false or misleading information is the information or evidence specified in article 98 (1), or where the false or misleading information consists of a failure to ensure that the administrator is aware of every car, van and SPV of which the participant in the Trading Schemes is the manufacturer and which is registered during a scheme year, the financial penalty of—

(i) £7,500;

(ii) £15,000 for each car to which the false or misleading information relates;

(iii) £15,000 for each ZE SPV of category M1 to which the false or misleading information relates;

(iv) £18,000 for each van to which the false or misleading information relates; and

(v) £18,000 for each ZE SPV which is of category N1, or which is of category N2 and which falls within the description in paragraph (c) of the definition in “van” in article 3 (1), to which the false or misleading information relates;

(b) where the false or misleading information is information other than that described in sub-paragraph (a), the financial penalty of £750;

(d) a block.

(3) The administrator may impose the penalties in paragraph (4) where a participant in the Trading Schemes provides false or misleading information in a notification under article 78 (error notification).

(4) The penalties are—

(a) where the false or misleading information is that specified in paragraph 1 (g), (i), (l) or (r) of Schedule 7 (specific emissions of CO₂, fuel type and fuel mode, eco-innovations and electric range), the financial penalty of—

(i) £7,500;

(ii) £15,000 for each car to which the false or misleading information relates; and

(iii) £15,000 for each ZE SPV of category M1 to which the false or misleading information relates;

(b) where the false or misleading information is that specified in paragraph 6 (g), (k), (n) or (r), or paragraph 12 (c) or 13 (c) of Schedule 7 (specific emissions of CO₂, fuel type and fuel mode, eco-innovations and electric range), the financial penalty of—

(i) £7,500;

(ii) £18,000 for each van to which the false or misleading information relates; and

(iii) £18,000 for each ZE SPV which is of category N1, or which is of category N2 and which falls within the description in paragraph (c) of the definition in “van” in article 3 (1), to which the false or misleading information relates;

(c) where the false or misleading information is information other than that referred to in sub-paragraph (a) or (b), the financial penalty of £750;

(d) publication; and

(e) a block.

(5) The administrator may impose the penalties in paragraph (6) where a participant in the Trading Schemes provides false or misleading information in response to a notice given by the administrator under article 81 (power of administrator to require information for purposes of Trading Schemes).

(6) The penalties are—

(a) the financial penalty of £7,500; and

(b) publication.

(7) The administrator may impose the penalties in paragraph (8) where a participant in the Trading Schemes provides false or misleading information in response to a notice given by the administrator or an authorised person under article 86 (power to require information where suspected failure to comply with this Order).

(8) The penalties are—

(a) the financial penalty of £750,000 or, if lower, 0.5% of the turnover of the participant in the Trading Schemes for its financial year ending during the scheme year to which the false or misleading information relates;

(b) publication; and

(9) The administrator may impose the penalties in paragraph (10) where a participant in the Trading Schemes provides false or misleading information in an application made under—

(a) Part 3 of Schedule 4 (application to be a low-volume CRTS or VRTS participant); or

(b) Schedule 5 (application to be pool participant in the Trading Schemes).

(10) The penalties are—

(a) the financial penalty of £75,000; and

(b) publication.

(11) The administrator may impose the penalties in paragraph (12) on a participant in the Trading Schemes where an officer of a company who is made available by that participant in accordance with article 87 (power to question officers of a company) provides false or misleading information when questioned under that article.

(12) The penalties are—

(a) the financial penalty of £750,000 or, if lower, 0.5% of the turnover of the participant in the Trading Schemes for its financial year ending during the scheme year to which the false or misleading information relates;

(b) publication; and

Provision of false or misleading information: SPV manufacturers

106

(1) The administrator may impose the penalties in paragraph (2) where an SPV manufacturer provides false or misleading information under an obligation on an SPV manufacturer in article 74 (provision of information to the administrator).

(2) The penalties are—

(a) where the false or misleading information is the information or evidence specified in article 74 (4)(a) to (d), the financial penalty of—

(i) £7,500;

(ii) £15,000 for each ZE SPV of category M1 to which the false or misleading information relates; and

(iii) £18,000 for each ZE SPV which is of category N1, or which is of category N2 and which falls within the description in paragraph (c) of the definition in “van” in article 3 (1), to which the false or misleading information relates;

(b) where the false or misleading information is information other than that specified in sub-paragraph (a), the financial penalty of £750;

(d) a block.

(3) The administrator may impose the penalties in paragraph (4) where an SPV manufacturer provides false or misleading information in a notification given by an SPV manufacturer under article 78 (error notification).

(4) The penalties are—

(a) where the false or misleading information is that specified in paragraph 1 (i) or (r) of Schedule 7 (fuel type and fuel mode and electric range), the financial penalty of—

(i) £7,500; and

(ii) £15,000 for each ZE SPV of category M1 to which the false or misleading information relates;

(b) where the false or misleading information is that specified in paragraph 6 (k) or (r) of Schedule 7 (fuel type and fuel mode and electric range), the financial penalty of—

(i) £7,500; and

(ii) £18,000 for each ZE SPV which is of category N1, or which is of category N2 and which falls within the description in paragraph (c) of the definition in “van” in article 3 (1), to which the false or misleading information relates;

(c) where the false or misleading information is information other than that mentioned in sub-paragraph (a) or (b), the financial penalty of £750;

(d) publication; and

(e) a block.

(5) The administrator may impose the penalties in paragraph (6) where an SPV manufacturer provides false or misleading information in response to a notice given by the administrator under article 81 (power to require information for purposes of Trading Schemes).

(6) The penalties are—

(a) the financial penalty of £7,500; and

(b) publication.

(7) The administrator may impose the penalties in paragraph (8) where an SPV manufacturer provides false or misleading information in response to a notice given by the administrator or an authorised person under article 86 (power of administrator to require information where suspected failure to comply with this Order).

(8) The penalties are—

(a) the financial penalty of £750,000 or, if lower, 0.5% of the turnover of the SPV manufacturer for its financial year ending during the scheme year to which the false or misleading information relates;

(b) publication; and

Part 7 — Appeals

Decisions to which this Part applies

107

This Part applies to the following decisions of the administrator—

(a) a decision under article 11(4), 32(3), 43(4) or 64(3) that a person is the manufacturer of a car or a van, as the case may be;

(b) a decision to give a notice under paragraph (2)(a) of article 20, 22, 52 or 54 in relation to the use of a vehicle by a car club;

(c) a decision not to reflect in the final information notified to a participant in the Trading Schemes or an SPV manufacturer under article 79 any error which that participant or manufacturer has notified to the administrator accordance with article 78;

(ca) a decision under paragraph 10(b)(i) of Schedule 3A to reject an application by a CCTS participant for the specific emissions of CO₂ of a car to be determined in accordance with Part 6 of Schedule 3A, or to reject an application by a VCTS participant for the specific emissions of CO₂ of a van to be determined in accordance with that Part;

(d) a decision under paragraph 12 of Schedule 4 to reject an application by a CRTS participant to be a low-volume CRTS participant, or to reject an application by a VRTS participant to be a low-volume VRTS participant;

(e) a decision under paragraph 8 of Schedule 5 to reject an application made under that Schedule by two or more manufacturers to be treated as a pool participant in the Trading Schemes;

(f) a decision that a trade has not taken place under article 25(7), 26(5), 37(7), 57(7), 58(5) or 69(7);

(g) a decision to give a payment notice under article 28(3), 39(4), 60(4) or 71(4);

(h) a decision to give an enforcement notice under article 92;

(i) a decision to impose a civil penalty under Part 6.

Appeal against decisions of the administrator

108

(1) A participant in the Trading Schemes or an SPV manufacturer may appeal to the First-tier tribunal against a decision of the administrator to which this Part applies, on the ground that—

(a) the decision was based on an error of fact;

(b) the decision was wrong in law;

(d) in the case of a non-financial penalty, that the nature of the penalty is unreasonable; or

(e) that the decision was wrong or unreasonable for any other reason.

(2) The First-tier tribunal may confirm the administrator’s decision, cancel it or substitute its own decision.

(3) Until any appeal made under this article against a decision mentioned in article 107 (a) to (h) has been finally determined or withdrawn, no civil penalty may be imposed under Part 6 in relation to the decision.

(4) Until any appeal made under this article against a decision to impose a civil penalty under Part 6 has been finally determined or withdrawn, the civil penalty is suspended.

(5) If the outcome of an appeal made under this Part is that the administrator incorrectly treated a participant in the Trading Schemes or an SPV manufacturer as being, or as not being, entitled to an allowance or a credit, the administrator must take appropriate steps to correct the position in the registry.

Part 8 — Revocation, amendment and saving of EU Regulations relating to CO2 emission limits

Interpretation of Part 8

109

In this Part—

“Regulation (EU) 1014/2010” means Commission Regulation (EU) No 1014/2010 of 10 November 2010 on monitoring and reporting of data on the registration of new passenger cars pursuant to Regulation (EC) No 443/2009 of the European Parliament and of the Council²¹;

“Regulation (EU) 63/2011” means Commission Regulation (EU) No 63/2011 of 26 January 2011 laying down detailed provisions for the application for a derogation from the specific CO₂ emission targets pursuant to Article 11 of Regulation (EC) No 443/2009 of the European Parliament and of the Council²²;

“Regulation (EU) 293/2012” means Commission Implementing Regulation (EU)293/2012 of 3 April 2012 on monitoring and reporting of data on the registration of new light commercial vehicles pursuant to Regulation (EU) No510/2011 of the European Parliament and of the Council²³;

“Regulation (EU) 114/2013” means Commission Delegated Regulation (EU) No114/2013 of 6 November 2012 supplementing Regulation (EU) No510/2011 of the European Parliament and of the Council with regard to rules for the application for a derogation from the specific CO₂ emissions targets for new light commercial vehicles²⁴;

“Regulation (EU) 2017/1152” means Commission Implementing Regulation (EU) 2017/1152 of 2 June 2017 setting out a methodology for determining the correlation parameters necessary for reflecting the change in the regulatory test procedure with regard to light commercial vehicles and amending Implementing Regulation (EU) No 293/2012²⁵;

“Regulation (EU) 2017/1153” means Commission Implementing Regulation (EU) 2017/1153 of 2 June 2017 setting out a methodology for determining the correlation parameters necessary for reflecting the change in the regulatory test procedure and amending Regulation (EU) No 1014/2010²⁶.

Partial revocation and amendment of Regulation (EU) 2019/631

110

(1) Article 2(4), Articles 4, 5, 6, 7, 7a, 8, 9, 10, and 14 of, and Annexes 1 to 5 to, Regulation (EU) 2019/631 are revoked in relation to Great Britain, subject to the savings in article 116.

(2) Regulation (EU) 2019/631 is amended as follows.

(3) In Article 1 (subject matter and objectives)—

(a) in paragraph 1, after “new light commercial vehicles” insert “registered in Northern Ireland”;

(b) in paragraph 2—

(i) in both places where it occurs, for “United Kingdom fleet-wide” substitute “Northern Ireland fleet-wide”;

(ii) for “in the United Kingdom” substitute “in Northern Ireland”;

(iii) omit the words “in domestic law, and as that Regulation has effect”;

(c) in paragraphs 4 and 5, in each place where it occurs, for “United Kingdom fleet-wide” substitute “Northern Ireland fleet-wide”;

(d) at the end insert—

(8) This Regulation establishes an application process for the approval of CO₂ savings to be achieved through the use of innovative technologies, or a combination of innovative technologies, fitted to new passenger cars or new light commercial vehicles registered in the United Kingdom.

(4) In Article 2 (scope)—

(a) for paragraph 1 substitute—

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