How to apply

Information on how to apply for industrial allocations, application types, important dates and record keeping requirements.

It's important you read all of the information on this page carefully before starting an application for an industrial allocation. There are certain requirements you must meet in order to be eligible, and it's important to understand what's required when submitting an application.

Applications for industrial allocations need to be submitted in the New Zealand Emissions Trading Register (the Register).

Step 1: Check if you're eligible for an allocation Plus

Eligible activities are set out in the Climate Change (Eligible Industrial Activities) Regulations 2010. People or organisations carrying out these activities may apply for an allocation.

Check if the activity you carry out is eligible

Step 2: Choose an application type Plus

You can choose to receive your allocation either in advance or in arrears.

Provisional

If you apply for a Provisional Allocation you receive your entitlement in advance, based on your production for the previous calendar year. To ‘square up’ your entitlement with what you actually produced, in the next application period you’re required to submit an allocation adjustment.


Final

If you apply for a Final Allocation you will receive your entitlement in arrears, based on your production for the previous calendar year. If this is your first year producing one of the prescribed products you won’t have any historical production data, so you’ll need to apply for a Final Allocation. You can then choose to apply for a Provisional Allocation from your second year of production.


Annual Allocation Adjustment

If you currently receive a Provisional Allocation but you’d like to start receiving your allocation in arrears (so it’s based on your actual production data) then you’ll need to submit an Annual Allocation Adjustment.


Closing Allocation Adjustment

If you stopped carrying out the activity you’re required to let us know within 20 working days. You’ll need to complete a Closing Allocation Adjustment to ‘square up’ your entitlement.

Step 3: Complete the application via the Register Plus

Applications for an Industrial Allocation are made via the Register.

To make an application, you, or your organisation, will need to be registered as an Account Holder in the Register. The person making the application will also need to be a registered user of the Register with access to the relevant account.

When you are ready to make your application, log in to the Register, go to your organisation's account and select 'ETS Activities' from the left hand menu. When the page opens, select 'Industrial Allocations' from the left hand menu. You will then be able to start your application.

If you're unsure if your application has been submitted successfully or you'd like any support with the submission process please contact us.

 

Demonstration videos: Applying for your allocation Plus

Watch this short video for a step by step guide to applying for a Final Allocation:

 

Watch this short video for a step by step guide to applying for a Provisional Allocation:

 

Deadlines Plus

You must submit your application via the Register by the following statutory deadlines:

  • Provisional allocation applications: Apply between 1 January - 30 April of the year for which you wish to receive NZUs.
  • Final allocation applications and annual allocation adjustments: Apply between 1 January - 30 April of the year following the year for which you wish to receive NZUs.
  • Closing allocation adjustments: May be submitted at any time and must be received by the EPA within 20 working days of the date of cessation of the activity.

Late applications cannot be accepted under any circumstances.

Records you must keep Plus

If you receive NZUs for a certain year, you must keep records of certain information for seven years after the end of the year for which you received them. You must assess for yourself which records will be sufficient to enable certain matters to be verified. Below are the matters you must be able to verify and some examples of the kind of records you might keep.

What must be able to be verifiedExample(s) of records you might keep
Proof that you are eligible to apply

Documents about the activity your business carries out. You must be carrying out the activity defined in the regulations as an "eligible industrial activity"

Note: You should also keep proof you responded if:

  • we requested information from you, and/or
  • sent a notice warning you that failing to provide the information in time would make you ineligible
Calculations relating to your allocation of NZUs, including any adjustments to the allocated units

You must keep:

  • Any information used to prepare your application or a response to any further information requests
  • A copy of any application summary we may send you where an amendment is required

You might also need to keep:

  • A copy of the MFE provided worksheet, if you used it
  • Records of your own calculations
The amount of product produced during the year
  • Documents about the product(s) you produce. Your product(s) must meet the definitions in the regulations
  • Sales records
  • Inventory records
  • Other relevant documentation showing the amount of product produced during the year
Unincorporated bodies Plus

If an unincorporated body wishes to apply for an industrial allocation, some details about the unincorporated body and its members will need to be provided before the application can be processed. A form will be sent to you for this purpose if applicable. For more information email etsallocations@epa.govt.nz.

For the purposes of Industrial Allocation, an unincorporated body is an identifiable group of associated persons or organisations that jointly carry out an eligible industrial activity that are not incorporated.  Unincorporated bodies include a partnership, joint venture or trustees of a trust.

Members of an incorporated body are generally specific legal entities in their own right (for example limited liability companies, a partner in a partnership, or individual persons).

 

Penalties under the Act Plus

There are penalties under the Climate Change Response Act 2002 for providing false information on applications for industrial allocation, and failing to keep required records. Make sure that any data you submit on your application can be supported with your records. Penalties may include being required to repay any over allocated units, a fine of up to $50,000, and/or imprisonment for up to five years.​​