Commission Regulation (EC) No 2216/2004 of 21 December 2004 for a standardised and secured system of registries pursuant to Directive 2003/87/EC of the European Parliament and of the Council and Decision No 280/2004/EC of the European Parliament and of the Council (Text with EEA relevance) (repealed) (c. 2216)

ANNEX IX U.K. Processes concerning transactions with response codes

Process types U.K.

1. Each process concerning a transaction shall be assigned a process type consisting of an initial process type and a supplementary process type. The initial process type shall describe its category as set out in the functional and technical specifications for data exchange standards for registry systems under the Kyoto Protocol, elaborated pursuant to Decision 24/CP.8 of the Conference of the Parties to the UNFCCC. The supplementary process type shall describe its category as set out in the provisions of this Regulation, elaborated pursuant to Directive 2003/87/EC. The process types are set out in table IX-1. U.K.

Requirements for each process U.K.

2. The message sequence for processes concerning a transaction, the status of the transaction and the status of the Kyoto units or allowances involved in the transaction during the message sequence, and the components and functions which are utilised during the message sequence, are set out in the functional and technical specifications for data exchange standards for registry systems under the Kyoto Protocol, elaborated pursuant to Decision 24/CP.8 of the Conference of the Parties to the UNFCCC. U.K.

Preliminary checks for each process U.K.

3. The Community independent transaction log shall check the status of a registry for each process concerning a transaction. If the communication link between the registry and the Community independent transaction log has not been established or is temporarily suspended pursuant to Article 6(3) in respect of the requested process, it shall be rejected and the response codes 7005 or 7006 shall be returned. U.K.

[F1 4. The Community independent transaction log shall perform the following categories of preliminary checks on each process concerning a transaction: U.K.

(a)

registry version and registry authentication checks;

(b)

message viability checks;

(c)

data integrity checks;

(d)

general transaction checks; and

(e)

message sequence checks.

The Community independent transaction log shall return the appropriate response codes if a discrepancy is detected, as set out in Table XII-1 under the range 7900 to 7999. The above-mentioned checks are equivalent to the checks related to the response codes that are set out in the functional and technical specifications for data exchange standards for registry systems under the Kyoto Protocol, elaborated pursuant to Decision 24/CP.8 of the Conference of the Parties to the UNFCCC and are reproduced in the last column of Table XII-1 alongside the equivalent response codes under the range 7900 to 7999. If a check under the above mentioned data exchange standards is equivalent to the checks whose response codes are set out in Table XII-1 under the range 7900 to 7999 and the implementation by the UNFCCC independent transaction log of such a check is changed by the ITL Administrator, the Central Administrator shall disable the equivalent check.]

Textual Amendments

F1 Substituted by Commission Regulation (EC) No 916/2007 of 31 July 2007 amending Regulation (EC) No 2216/2004 for a standardised and secured system of registries pursuant to Directive 2003/87/EC of the European Parliament and of the Council and Decision No 280/2004/EC of the European Parliament and of the Council (Text with EEA relevance).

Secondary and tertiary checks for each process U.K.

5. For each process concerning a transaction which has passed all of the preliminary checks, the Community independent transaction log shall perform the following secondary checks to ascertain whether: U.K.

(a)

the Kyoto units or allowances are held in the transferring account (a discrepancy returns response code 7027);

(b)

the transferring account exists in the specified registry (a discrepancy returns response code 7021);

(c)

the acquiring account exists in the specified registry (a discrepancy returns response code 7020);

(d)

both accounts exist in the same registry for an internal transfer (a discrepancy returns response code 7022);

(e)

both accounts exist in different registries for an external transfer (a discrepancy returns response code 7023);

(f)

the transferring account is not blocked pursuant to Article 27 (a discrepancy returns response code 7025);

(g)

force majeure allowances are not being transferred (a discrepancy returns response code 7024).

6. The Community independent transaction log shall perform tertiary checks on each process concerning a transaction which has passed all of the preliminary checks. The tertiary checks, and the adjoining response codes which are returned when a discrepancy is found, are set out in table IX-1. U.K.

Table IX-1:

Tertiary Checks

Process description	Process type	Community independent transaction log response codes
Issue of AAUs and RMUs	01-00	[not applicable]
Conversion of AAUs and RMUs to ERUs	02-00	7218
External transfer (2008-2012 onwards)	03-00	Range 7301 to 7302 7304
Cancellation (2008-2012 onwards)	04-00	[not applicable]
Retirement (2008-2012 onwards)	05-00	Range 7358 to 7361
Cancellation and replacement of tCERs and lCERs	06-00	[not applicable]
Carry-over of Kyoto units and allowances issued for the 2008-2012 period and subsequent five-year periods	07-00	[not applicable]
Change of expiry date of tCERs and lCERs	08-00	[not applicable]
Internal transfer	10-00	7304 Range 7406 to 7407
Allowance issue (2005-2007)	01-51	Range 7201 to 7203 7219
Allowance issue (2008-2012 onwards)	10-52	Range 7201 to 7203 7205 7219
Allowance allocation	10-53	7202 7203 Range 7206 to 7208 7214 7216 7304 7360
Force-majeure allowance issue	01-54	7202 Range 7210 to 7211 7215 7217 7220
Correction to allowances	10-55	Range 7212 to 7213
External transfer (2005-2007)	03-21	7302 Range 7304 to 7305 Range 7406 to 7407
Allowance cancellation (2005-2007)	10-01	7212 7305
Allowance surrender	10-02	7202 7304 Range 7353 to 7356
Retirement (2005-2007)	04-03	7209 7305 7357 Range 7360 to 7362
Cancellation and replacement	10-41	(2005 to 2007) 7205 7212 7219 7360 7402 7404 Range 7406 to 7407 (2008-2012 onwards) 7202 7205 7219 7360 Range 7401 to 7402 Range 7404 to 7407

[F2 7. An external transfer between a registry referred to in Article 63a and other registry shall be carried out in the following steps: U.K.

(a)

upon the account holder's request to transfer allowances with a supplementary unit type 4 from an account in a registry referred to in Article 63a, the transferring registry:

(i)

checks if the balance of the Party holding account in the registry referred to in Article 63a which is only capable of holding allowances with a supplementary unit type 1, 2 or 3 is at least equal to the quantity to be transferred;

(ii)

redirects the allowances to the Party holding account in the registry referred to in Article 63a which is only capable of holding allowances with a supplementary unit type 4;

(iii)

transfers an equivalent amount of supplementary unit type 1, 2 or 3 allowances from the Party holding account that is only capable of holding allowances with a supplementary unit type of 1, 2 or 3 to the account of the account holder initiating the transaction;

(iv)

transfers these supplementary unit type 1, 2 or 3 allowances from account of the account holder initiating the transaction to the destination account;

(b)

upon the account holder's request to transfer allowances with a supplementary unit type of 1, 2 or 3 to an account in a registry referred to in Article 63a, the acquiring registry:

(i)

transfers the allowances with a supplementary unit type of 1, 2 or 3 to the destination account;

(ii)

transfers these allowances from the destination account to the Party holding account in the registry operated in accordance with Article 63a which is only capable of holding allowances with a supplementary unit type 1, 2 or 3;

(iii)

transfers an equivalent amount of supplementary unit type 4 allowances from the Party holding account that is only capable of holding allowances with an initial unit type of 0 and a supplementary unit type of 4 to the destination account. If the balance on the Party holding account capable of holding supplementary unit type 4 allowances is less than the quantity that needs to be transferred, the missing number of supplementary unit type 4 allowances are created on the Party holding account before the transfer.]

Textual Amendments

F2 Inserted by Commission Regulation (EC) No 916/2007 of 31 July 2007 amending Regulation (EC) No 2216/2004 for a standardised and secured system of registries pursuant to Directive 2003/87/EC of the European Parliament and of the Council and Decision No 280/2004/EC of the European Parliament and of the Council (Text with EEA relevance).