Current through Register 2024 Notice Reg. No. 38, September 20, 2024
(a)
General Requirements.
(1) The accounts
administrator cannot provide access to the tracking system to an individual
until the Executive Officer has determined the individual applying for
participation has complied with the requirements of this section.
(2) The requirements of this section are in
addition to any requirements contained elsewhere in this article that apply to
the functions the individual will undertake in the tracking system.
(3) All documents submitted to the Executive
Officer pursuant to this section shall be in English.
(4) Individuals with a criminal conviction in
any jurisdiction in the five previous years constituting a felony under U.S.
federal law or California law, or the equivalent thereof, are ineligible for
registration and participation in the Cap-and-Trade
Program.
(b) The
individual must provide, within 30 days of submitting a user registration
request in the tracking system, documentation of the following:
(1) Name;
(2) The address of the primary residence of
the applicant, which may be shown by any of the following:
(A) A valid government-issued identity card
or government-issued document with an expiration date;
(B) Any other document that is customarily
accepted by the State of California as evidence of the primary residence of the
individual;
(3) Date of
birth;
(4) Proof of an open bank
account in the United States, except as provided in section
95834(b)(4)(B)
below;
(A) The proof must be in the form of a
bank statement dated no earlier than 3 months prior to submission, must
identify the individual holding the account, and must contain the name and
business contact information of the bank.
(B) If an applicant will only represent a
covered entity located outside of the United States, the applicant may either
provide:
1. Proof of an open bank account in
the United States, or
2.
Documentation of an open bank account in the country in which the covered
entity is located. This documentation must be accompanied by a signed
attestation of an officer or director of the applicant's employer to ARB as
follows: "I certify under penalty of perjury under the laws of the State of
California that the person requesting access to the market tracking system will
be designated as an account representative for this entity. This entity is a
covered entity under the California Cap-and-Trade Regulation and has no
personnel residing in the United States with the authority to take actions that
are binding on all persons who have an ownership interest with respect to
compliance instruments held in the account for this
entity."
(5)
Employment or other relationship to an entity that has registered or has
applied to register with the California Cap-and-Trade Program if the individual
is or will represent an entity registering or registered pursuant to section
95830;
(6) A government-issued document providing
photographic evidence of identity of the applicant which may include:
(A) A valid government-issued identity card
or driver's license with an expiration date and date of birth; or
(B) A passport; and
(7) Any criminal conviction declared in any
jurisdiction during the previous five years constituting a felony under U.S.
federal law or California law, or the equivalent thereof. This disclosure must
include the type of violation, jurisdiction, and year.
(c) An individual who will become an account
representative or viewing agent of a covered entity or opt-in covered entity as
defined in section
95802 may choose to provide
documentation pursuant to section
95834(b) directly
to their employer instead of to ARB. An entity's director or officer disclosed
pursuant to section
95830(c)(1)(B)
must confirm that the individual meets the Know-Your-Customer Requirements
described in section
95834 and that the entity will
retain the documentation.
(1) The covered
entity or opt-in covered entity must verify the identity of the individual and
confirm that the individual does not have a criminal conviction constituting
the equivalent of a felony under U.S. federal law or California law, or the
equivalent thereof, in any jurisdiction during the previous five
years.
(2) A director or officer of
the covered entity who has been disclosed pursuant to section
95830(c)(1)(B)
must complete an attestation to verify the accuracy and veracity of the
documentation submitted pursuant to section
95834(b).
(3) The documents submitted by the individual
shall be retained by the entity, and the Executive Officer or his/her
designated representative shall be permitted, at any time, to review and audit
the documentation. The covered or opt-in covered entity must provide this
documentation to the Executive Officer or his/her designated representative
within 5 calendar days of a request by the Executive
Officer.
(d) Verification
of information.
(1) One of the documents
submitted pursuant to section
95834 must be notarized by a
notary public no more than three months before submittal.
(2) The notary stamp or seal, the notary
public's name, the county or state of the notary public's place of business,
and the commission expiration date must be legible.
(3) If a notary is obtained from outside of
the United States, an apostille must be submitted to confirm that the
individual who notarized the document had valid commission at the time that the
document was notarized. The apostille must be attached to the notarized
document.
(4) The Executive Officer
may re-verify all documents required pursuant to Section
95834 at least every two years. To
allow verification, upon request and within ten days, the individual must
provide updated documentation required pursuant to
95834(b).
1. New
section filed 12-13-2011; operative 1-1-2012 pursuant to Government Code
section
11343.4
(Register 2011, No. 50).
2. Amendment of section heading and
repealer and new section filed 8-29-2012; operative 9-1-2012 pursuant to
Government Code section
11343.4
(Register 2012, No. 35).
3. New subsection (c)(2) filed 6-26-2014;
operative 7-1-2014 pursuant to Government Code section
11343.4(b)(3)
(Register 2014, No. 26).
4. Amendment filed 9-18-2017; operative
10-1-2017 pursuant to Government Code section
11343.4(b)(3)
(Register 2017, No. 38).
5. Amendment of subsections (b), (b)(4)(A)
and (c)(2) filed 3-29-2019; operative 3-29-2019 pursuant to Government Code
section
11343.4(b)(3)
(Register 2019, No. 13).
Note: Authority cited: Sections
38510,
38560,
38562,
38570,
38571,
38580,
39600
and
39601,
Health and Safety Code. Reference: Sections
38530,
38560.5,
38564,
38565,
38570
and
39600,
Health and Safety Code.
