Procedures for application
1. The procedures for the application to become an authorised CBAM declarant (‘the application’) shall be performed via the CBAM registry in electronic format.
2. When applying for authorisation, each applicant referred to in Article 5 of Regulation (EU) 2023/956 shall provide the information listed in that Article.
3. Where the applicant is a legal person established in a third country and is in one of the situations referred to in Article 5, point (31)(b), of Regulation (EU) No 952/2013 of the European Parliament and of the Council ( 4 ) , the applicant shall provide its address in that third country, its address of establishment and the EORI number in the Member State where the application is submitted.
4. Each application shall automatically be assigned a unique application reference number in the CBAM registry.
Adjustments to the submitted application
1. The applicant shall inform the competent authority without delay of any changes to the information provided in the application and shall request an adjustment of that information before a decision on the application has been made. The applicant shall submit the request for an adjustment, together with any relevant information and supporting documents, to the competent authority.
2. A request for adjustment of the information set out in Article 5(5), points (a), (c), and (h), of Regulation (EU) 2023/956 shall not require justification and the information shall be automatically adjusted and registered.
3. The applicant shall provide justifications for a request to adjust the information set out in Article 5(5), points (d) to (g), of Regulation (EU) 2023/956 in the request for adjustment.
4. The competent authority may extend the deadline set out in Article 4(1) by 30 calendar days where it needs to reassess the application due to the applicant’s request for adjustment of the information provided in the application.
5. Where the requested adjustments are substantial, the competent authority may discard the application and require the submission of a new application.
Withdrawal of application after the consultation procedure has been initiated
Where the applicant withdraws the application after a consultation procedure has been initiated in accordance with Article 11(1), the competent authority shall discontinue the consultation procedure and shall notify the competent authorities in the other Member States and the Commission (the ‘consulted parties’) of the withdrawal.
Assessment of the application by the competent authority
1. The competent authority shall assess the application within 120 calendar days from the date of receipt of the application.
2. For the purposes of evaluating whether the criteria set out in Article 17(2) of Regulation (EU) 2023/956 are met, the competent authority may take into account the following:
(a)
expert conclusions;
(b)
third-party conclusions;
(c)
audits provided by the applicant.
3. The competent authority shall document the evaluation of compliance with the criteria set out in Article 17(2) of Regulation (EU) 2023/956 and its results.
4. Where the applicant is not established in the Member State of submission of the application, the competent authority shall refuse the application. The competent authority shall notify the applicant of the refusal and the reasons thereof without delay.
5. By way of derogation from paragraph 1, for applications to become an authorised CBAM declarant submitted before 15 June 2025, the competent authority shall assess the application within 180 calendar days.
Request for additional information by the competent authority
1. The competent authority may request additional information from the applicant necessary for the evaluation of the conditions and compliance with the criteria set out in Article 17(2) of Regulation (EU) 2023/956.
2. The applicant shall provide the competent authority with the information requested in accordance with paragraph 1, including supporting documents where applicable, within the deadline set by the authority. That deadline shall not exceed 30 calendar days from the date of the request for additional information.
3. When the competent authority requests additional information, the deadline set out in Article 4(1) may be extended by up to 30 calendar days. The competent authority shall inform the applicant of such an extension and the reasons thereof.
4. The assessment of an application in the cases where additional information is requested in accordance with this Article shall not exceed 180 calendar days from the date of receipt of the application.
Intended negative decision and appeal
1. When the competent authority intends to refuse granting the status of authorised CBAM declarant, the competent authority shall inform the applicant thereof and shall provide the applicant with the possibility to submit observations.
2. The competent authority shall state the following in the communication to the applicant:
(a)
the intention of and the reasons for refusing to grant the status of authorised CBAM declarant;
(b)
the period within which the applicant can submit its observations.
3. The period referred to in paragraph 2, point (b), shall run from the date on which the competent authority notified the applicant of the communication and shall not exceed 30 calendar days.
4. After the expiry of the period referred to in paragraph 2, point (b), the competent authority, taking into account the observations submitted by the applicant, may proceed with its final decision making.
5. Where the competent authority refuses to grant the status of authorised CBAM declarant, and the applicant has exercised the right of appeal, the competent authority shall register the existence of the appeal and its result in the CBAM registry.
Date of effect of a decision on the application
1. A decision on the application shall take effect on the date on which the competent authority registers that decision in the CBAM registry, and the applicant is notified of that decision in the CBAM registry.
2. Where the registration of a guarantee is required in accordance with Article 17(5) of Regulation (EU) 2023/956, the decision referred to in paragraph 1 shall take effect on the day of the registration of the guarantee in accordance with Article 13 of this Regulation.
Identification of importers of electricity
1. Each person to whom explicit capacity has been allocated for the import of electricity in accordance with Article 5(4) of Regulation (EU) 2023/956, and who nominates that capacity for import, shall provide, within one month after the customs declaration referred to in Article 5(4) of that Regulation, the competent authority of the Member State in which the customs declaration was lodged with the following:
(a)
that customs declaration covering the electricity imports;
(b)
the information referred to in Article 5(5), points (a), (b) and (c), of Regulation (EU) 2023/956;
(c)
an indication that capacity for the import of electricity has been allocated to that person and that such capacity was nominated for import in accordance with Article 5(4) of Regulation (EU) 2023/956;
(d)
documents supporting the indication referred to in point (c) of this paragraph.
Serious or repeated infringements
1. The criteria laid down in Article 17(2), point (a), of Regulation (EU) 2023/956 shall be fulfilled where the applicant, the persons in charge of the applicant’s CBAM matters, the persons in charge of the applicant and the persons exercising control over the management of the applicant meet the following conditions:
(a)
there is no decision, taken after administrative or judicial proceedings, concluding that those persons have been involved, during the three years preceding the application, in serious or repeated infringements of customs legislation, taxation rules, market abuse rules, of Regulation (EU) 2023/956, or the delegated and implementing acts adopted pursuant to that Regulation;
(b)
they have no record of serious criminal offences in relation to their economic activities during the five years preceding the application.
2. Where the applicant has been established for less than five years, the competent authority of the Member State of establishment shall assess the application on the basis of the records and information that are available to it.
3. The competent authority shall request the following information, where necessary, to establish that the applicant has not been involved in serious or repeated infringements referred to in Article 17(2), point (a), of Regulation (EU) 2023/956:
(a)
the criminal record or any other document that is accepted under national law as a criminal record of the natural person applying for authorisation;
(b)
the criminal record, or any other document that is accepted under national law as a criminal record, of the beneficial owner of the legal person acting as applicant and the managers of that legal person.
4. Where the competent authority requests the criminal record or any other document that is accepted under national law as a criminal record referred to in paragraph 3, the competent authority shall record the reasons for such request. The competent authority shall not retain the criminal record, or any other document accepted under national law as criminal record after the decision to grant the authorisation has been taken. When a decision to refuse the application was taken pursuant to Article 6(4), those records or documents should only be retained for the duration of the appeal pursuant to Article 6(5), where applicable. The competent authority shall ensure that access to criminal records is limited to persons who are responsible in that competent authority for carrying out the assessment of serious or repeated infringements.
Conditions for financial and operational capacity
1. The criteria laid down in Article 17(2), point (b), of Regulation (EU) 2023/956 shall be fulfilled where the following conditions are met:
(a)
the applicant is not subject to bankruptcy proceedings;
(b)
the applicant is not in material arrears with the payment of customs duties, taxes or charges which are collected on or in connection with the import of goods and financial regulatory obligations;
(c)
the applicant demonstrates a sufficient financial standing to meet its obligations and fulfil commitments having regard to the type and volume of the economic activity performed by indicating the financial figures and any other financial information;
(d)
the applicant has an administrative organisation suitable for fulfilment of the estimated obligations to surrender CBAM certificates, and has internal controls capable of preventing, detecting and correcting errors in CBAM declarations and CBAM certificates management, and of preventing and detecting illegal or any irregular transactions.
2. If the applicant has been established for less than two years, the financial capacity as referred to in Article 17(2), point (b), of Regulation (EU) 2023/956 shall be checked and assessed on the basis of records and information that are available.
3. When examining the conditions referred to in paragraph 1 of this Article, the competent authority shall examine the data provided in the application, and where necessary, the supporting documents provided together with the application and shall take into account the specific characteristics of the applicant, including the information on the estimated volume of imports provided by the applicant in accordance with Article 5(5), point (g), of Regulation (EU) 2023/956.
Consultation procedure and format for granting an authorisation
1. The competent authority shall initiate, in electronic format via the CBAM registry, the consultation procedure involving consulted parties referred to in Article 17(1), second subparagraph of Regulation (EU) 2023/956 (the ‘consultation procedure’) within 45 calendar days from the moment where it received the application referred to in Article 1(1).
2. During the consultation procedure, the competent authority shall initiate the consultation on the following:
(a)
have they any objections to granting the status of authorised CBAM declarant;
(b)
has the applicant submitted an application for authorisation in their Member State;
(c)
has the applicant been granted an authorisation in their Member State;
(d)
has the applicant had an authorisation revoked in their Member State.
3. Where a consulted party in the consultation procedure has in its possession information that the applicant may not fulfil one or more of the conditions and criteria for granting the status of authorised CBAM declarant, it shall register its position stating the reasons, duly documented and justified, in the CBAM registry without delay.
4. Consulted parties in the consultation procedure shall have access, via the CBAM registry, to the EORI number, the contact information, the status of the application, and to the responses of consulted parties referred to in paragraph 3.
5. The competent authority may request additional information and documentation from the consulted parties, where that competent authority considers it necessary following the responses from those consulted parties referred to in paragraph 3. A consulted party who is requested to provide additional information and documentation shall produce that additional information and documentation within 5 working days.
Period for consultation
1. The competent authority shall set a deadline for the consulted parties to provide their observations pursuant to Article 11(3).
2. The deadline referred to in paragraph 1 shall not exceed 5 working days where, according to the information provided in the application, the estimated yearly volume of imports of goods corresponds to 1 tonne or less.
3. The deadline referred to in paragraph 1 shall not exceed 15 working days where, according to the information provided in the application, the estimated yearly volume of imports of goods exceeds 1 tonne.
4. The competent authority may extend the deadline established for the consultation in accordance with paragraphs 2 and 3 in any of the following cases:
(a)
the applicant requests adjustments in accordance with Article 2 that are accepted by the competent authority and relevant for the purpose of the consultation;
(b)
the consulted party requests more time due to the nature of the examinations to be performed.
(c)
the extension referred to in point (b) shall not exceed 15 working days.
5. Where the consulted parties do not respond within the deadlines established for the consultation in accordance with paragraphs 2, 3 and 4, the conditions and criteria for which the consultation took place shall be deemed to be fulfilled.
Source: EUR-Lex (Publications Office of the EU), © European Union, reuse permitted under Commission Decision 2011/833/EU.
