ANNEX IHardware and software requirements of registries and the Community independent transaction log
Architecture requirements
1.
Each registry and the Community independent transaction log shall include the following hardware and software in their architecture:
- (a)
web server;
- (b)
application server;
- (c)
database server installed on a separate machine to that or those used for the web server and application server;
- (d)
firewalls.
Communication requirements
2.
From 1 January 2005 until the communication link between the Community independent transaction log and the UNFCCC independent transaction log is established:
- (a)
the record of the time in the Community independent transaction log and each registry shall be synchronised to Greenwich Mean Time;
- (b)
all processes concerning allowances, verified emissions and accounts shall be completed by the exchange of data written in extensible markup language (XML) using the simple object access protocol (SOAP) version 1.1 over the hypertext transfer protocol (HTTP) version 1.1 (remote procedure call (RPC) encoded style).
3.
After the communication link between the Community independent transaction log and the UNFCCC independent transaction log is established:
- (a)
the record of the time in the UNFCCC independent transaction log, Community independent transaction log and each registry shall be synchronised, and
- (b)
all processes concerning allowances, verified emissions, accounts and Kyoto units shall be completed by the exchange of data,
using the hardware and software requirements 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.
ANNEX IITables to be contained in Member State registries
- 1.
Each Member State registry shall be capable of tabulating the following information which shall comprise the verified emissions table:
- (a)
Years: in individual cells from 2005 onwards in ascending order.
- (b)
Installation identification code: in individual cells comprising the elements set out in Annex VI and in ascending order.
- (c)
Verified emissions: the verified emissions for a specified year for a specified installation shall be entered into the cell connecting that year to that installation’s identification code.
- (a)
- 2.
Each Member State registry shall be capable of tabulating the following information which shall comprise the surrendered allowances table:
- (a)
Years: in individual cells from 2005 onwards in ascending order.
- (b)
Installation identification code: in individual cells comprising the elements set out in Annex VI and in ascending order.
- (c)
Surrendered allowances: the number of allowances surrendered in accordance with Articles 52, 53 and 54 for a specified year for a specified installation shall be entered into the three cells connecting that year to that installation’s identification code.
- (a)
- 3.
Each Member State registry shall be capable of tabulating the following information which shall comprise the compliance status table:
- (a)
Years: in individual cells from 2005 onwards in ascending order.
- (b)
Installation identification code: in individual cells comprising the elements set out in Annex VI and in ascending order.
- (c)
Compliance status: the compliance status for a specified year for a specified installation shall be entered into the cell connecting that year to that installation’s identification code. The compliance status shall be calculated in accordance with Article 55.
- (a)
ANNEX IIIInformation concerning each operator holding account to be provided to the registry administrator
- 1.
Points 1 to 4.1, 4.4 to 5.5 and point 7 (activity 1) of the information identifying the installation as listed in section 11.1 of Annex I to Decision 2004/156/EC.
- 2.
The permit identification code specified by the competent authority, comprising the elements set out in Annex VI.
- 3.
The installation identification code, comprising the elements set out in Annex VI.
- 4.
The alphanumeric identifier specified by the operator for the account, which shall be unique within the registry.
- 5.
Name, address, city, postcode, country, telephone number, facsimile number and e-mail address of the primary authorised representative of the operator holding account specified by the operator for that account.
- 6.
Name, address, city, postcode, country, telephone number, facsimile number and e-mail address of the secondary authorised representative of the operator holding account specified by the operator for that account.
- 7.
Name, address, city, postcode, country, telephone number, facsimile number and e-mail address of any additional authorised representatives of the operator holding account and their account access rights, specified by the operator for that account.
- 8.
Evidence to support the identity of the authorised representatives of the operator holding account.
ANNEX IVInformation concerning accounts referred to in Article 11(1), (3) and (4) and person holding accounts to be provided to the registry administrator
- 1.
Name, address, city, postcode, country, telephone number, facsimile number and e-mail address of the person requesting the opening of the person holding account.
- 2.
Evidence to support the identity of the person requesting the opening of the person holding account.
- 3.
The alphanumeric identifier specified by the Member State, the Commission or person for the account, which shall be unique within the registry.
- 4.
Name, address, city, postcode, country, telephone number, facsimile number and e-mail address of the primary authorised representative of the account specified by the Member State, the Commission or person for that account.
- 5.
Name, address, city, postcode, country, telephone number, facsimile number and e-mail address of the secondary authorised representative of the account specified by the Member State, the Commission or person for that account.
- 6.
Name, address, city, postcode, country, telephone number, facsimile number and e-mail address of any additional authorised representatives of the account and their account access rights, specified by the Member State, the Commission or person for that account.
- 7.
Evidence to support the identity of the authorised representatives of the account.
ANNEX VCore terms and conditions
Structure and effect of core terms and conditions
1.
The relationship between account holders and registry administrators.
The account holder and authorised representative’s obligations
2.
The account holder and authorised representative’s obligations with respect to security, usernames and passwords, and access to the registry website.
3.
The account holder and authorised representative’s obligation to post data on the registry website and ensure that data posted is accurate.
4.
The account holder and authorised representative’s obligation to comply with the terms of use of the registry website.
The registry administrator’s obligations
5.
The registry administrator’s obligation to carry out account holder’s instructions.
6.
The registry administrator’s obligation to log the account holder’s details.
7.
The registry administrator’s obligation to create, update or close the account in accordance with the provisions of the Regulation.
Process procedures
8.
The process finalisation and confirmation provisions.
Payment
9.
The terms and conditions regarding any registry fees for establishing and maintaining accounts.
Operation of the registry website
10.
Provisions regarding the right of the registry administrator to make changes to the registry website.
11.
Conditions of use of the registry website.
Warranties and indemnities
12.
Accuracy of information.
13.
Authority to initiate processes.
Modification of these core terms to reflect changes to this Regulation or changes to domestic legislationSecurity and response to security breaches
Dispute resolution
14.
Provisions relating to disputes between account holders.
Liability
15.
The limit of liability for the registry administrator.
16.
The limit of liability for the account holder.
Third party rightsAgency, notices and governing law
ANNEX VIDefinitions of identification codes
Introduction
1.
This Annex prescribes the elements of the following identification codes:
- (a)
unit identification code;
- (b)
account identification code;
- (c)
permit identification code;
- (d)
account holder identification code;
- (e)
installation identification code;
- (f)
correlation identification code;
- (g)
transaction identification code;
- (h)
reconciliation identification code;
- (i)
project identification code.
The version of the ISO3166 codes shall be 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.
Display and reporting of identification codes
2.
For the purpose of displaying and reporting the identification codes set out in this Annex, each element of an identification code shall be separated by a dash ‘-’ and without spaces. Leading zeros in numeric values shall not be displayed. The separating dash ‘-’ shall not be stored in the elements of the identification code.
Unit identification code
3.
Table VI-1 details the elements of the unit identification code. Each Kyoto unit and allowance shall be assigned a unit identification code. Unit identification codes shall be generated by registries and shall be unique throughout the registries system.
4.
A set of units shall be transmitted as a unit block defined by the starting block identifier and the ending block identifier. Every unit of a unit block shall be identical, except for their unique identifier element. Every unique identifier element of the units of a unit block shall be consecutive. When necessary to perform a transaction, keep track of, record or otherwise characterise a unit or unit block, registries or transaction logs shall create multiple unit blocks from a single unit block. When transmitting a single unit, the starting block identifier and ending block identifier shall be equal.
5.
Multiple unit blocks shall not overlap with respect to their identifier element. Multiple unit blocks in the same message shall appear in the message in ascending order of their starting block identifier.
Element | Display Order | Identifier Required for the Following Unit Types | Data Type | Length | Range or Codes |
---|---|---|---|---|---|
Originating Registry | 1 | AAU, RMU, CER, ERU | A | 3 | ISO3166 (2 letter code), ‘EU’ for the Community registry |
Unit Type | 2 | AAU, RMU, CER, ERU | N | 2 | 0 = not a Kyoto unit 1 = AAU 2 = RMU 3 = ERU converted from AAU 4 = ERU converted from RMU 5 = CER (not lCER or tCER) 6 = tCER 7 = lCER |
Supplementary Unit Type | 3 | AAU, RMU, CER, ERU | N | 2 | Blank for Kyoto units 1 = Allowance issued for the 2008-2012 period and subsequent five-year periods 2 = Allowance issued for the 2005-2007 period 3 = Force-majeure allowance |
Unit Serial Block Start | 4 | AAU, RMU, CER, ERU | N | 15 | Unique numeric values assigned by registry from 1 – 999 999 999 999 999 |
Unit Serial Block End | 5 | AAU, RMU, CER, ERU | N | 15 | Unique numeric values assigned by registry from 1 – 999 999 999 999 999 |
Original Commitment Period | 6 | AAU, RMU, CER, ERU | N | 2 | 0 = 2005-2007 1 = 2008-2012 … 99 |
Applicable Commitment Period | 7 | AAU, CER, ERU | N | 2 | 0 = 2005-2007 1 = 2008-2012 … 99 |
LULUCF Activity | 8 | RMU, CER, ERU | N | 3 | 1 = Afforestation and reforestation 2 = Deforestation 3 = Forest management 4 = Cropland management 5 = Grazing land management 6 = Re-vegetation |
Project Identifier | 9 | CER, ERU | N | 7 | Unique numeric value assigned for project |
Track | 10 | ERU | N | 2 | 1 or 2 |
Expiry Date | 11 | lCER, tCER | Date | Expiration date for lCERs or tCERs |
6.
Table VI-2 lists the valid initial unit type and supplementary unit type combinations. An allowance shall have a supplementary unit type regardless of the period for which it was issued and whether it has been converted from an AAU or other Kyoto unit. An AAU or other Kyoto unit that has not been converted into an allowance shall not have a supplementary unit type. On conversion of an AAU into an allowance in accordance with the provisions of this Regulation the supplementary unit type shall be set to 1. On conversion of an allowance into an AAU in accordance with the provisions of this Regulation there shall be no supplementary unit type.
Initial Unit Type | Supplementary Unit Type | Description |
---|---|---|
1 | [not applicable] | AAU |
2 | [not applicable] | RMU |
3 | [not applicable] | ERU converted from AAU |
4 | [not applicable] | ERU converted from RMU |
5 | [not applicable] | CER (not tCER or lCER) |
6 | [not applicable] | tCER |
7 | [not applicable] | lCER |
1 | 1 | Allowance issued for the 2008-2012 period and subsequent 5-year periods and is converted from an AAU |
0 | 2 | Allowance issued for the 2005-2007 period and not converted from an AAU or other Kyoto unit |
0 | 3 | Force-majeure allowance |
Account identification code
7.
Table VI-3 details the elements of the account identification code. Each account shall be assigned an account identification code. Account identification codes shall be generated by registries and shall be unique throughout the registries system. Account identification codes of accounts that were previously closed shall not be re-used.
8.
An operator holding account identification code shall be linked to one installation. An installation shall be linked to one operator holding account identification code. Holding accounts referred to in Article 11(1) and (2) shall not have an applicable commitment period, regardless of the account type.
Element | Display Order | Data Type | Length | Range or Codes |
---|---|---|---|---|
Originating Registry | 1 | A | 3 | ISO3166 (2 letter code), ‘CDM’ for the CDM registry, ‘EU’ for the Community registry |
Account Type | 2 | N | 3 | 100 = Party holding account 120 = operator holding account 121 = person holding account The remaining account types are 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 |
Account Identifier | 3 | N | 15 | Unique numeric values assigned by a registry from 1 to 999 999 999 999 999 |
Applicable Commitment Period | 4 | N | 2 | 0 for holding accounts 0-99 for retirement and cancellation accounts |
Permit identification code
9.
Table VI-4 details the elements of the permit identification code. Each permit shall be assigned a permit identification code. Permit identification codes shall be generated by the competent authority and shall be unique throughout the registries system.
10.
A permit identification code shall be assigned to one operator. An operator shall be assigned at least one permit identification code. A permit identification code shall be assigned to at least one installation. An installation shall have one permit identification code at any single point in time.
Element | Display Order | Data Type | Length | Range or Codes |
---|---|---|---|---|
Originating Registry | 1 | A | 3 | ISO3166 (2 letter code), ‘EU’ for the Community registry |
Permit Identifier | 2 | A | 50 | ([0-9] | [A-Z] |[‘-’]) + |
Account holder identification code
11.
Table VI–5 details the elements of the account holder identification code. Each account holder shall be assigned an account holder identification code. Account holder identification codes shall be generated by registries and shall be unique throughout the registries system. Account holder identification codes shall not be re-used for another account holder and shall not change for an account holder throughout their existence.
Element | Display Order | Data Type | Length | Range or Codes |
---|---|---|---|---|
Originating Registry | 1 | A | 3 | ISO3166 (2 letter code), ‘EU’ for the Community registry |
Permit Identifier | 2 | A | 50 | ([0-9] | [A-Z]) + |
Installation identification code
12.
Table VI–6 details the elements of the installation identification code. Each installation shall be assigned an installation identification code. Installation identification codes shall be generated by registries and shall be unique throughout the registries system. The installation identifier shall be an integer assigned as an increasing monotone sequence, starting from 1. Installation identifiers shall not contain gaps. Therefore when generating installation identifier n, a registry shall have generated every identifier in the range 1 to n-1. An installation identification code shall not be re-used for another installation and shall not change for an installation throughout its existence.
13.
An installation identification code shall be assigned to one installation. An installation shall be assigned one installation identification code.
Element | Display Order | Data Type | Length | Range or Codes |
---|---|---|---|---|
Originating Registry | 1 | A | 3 | ISO3166 (2 letter code), ‘EU’ for the Community registry |
Installation Identifier | 2 | N | 15 | Unique numeric values assigned by a registry from 1 to 999 999 999 999 999 |
Correlation identification code
14.
Table VI-7 details the elements of the correlation identification codes. Each process under Annex VIII shall be assigned a correlation identification code. Correlation identification codes shall be generated by registries and shall be unique throughout the registries system. Correlation identification codes shall not be re-used. The re-submission of a process concerning an account or verified emissions that was previously terminated or cancelled shall be assigned a new, unique correlation identification code.
Element | Display Order | Data Type | Length | Range or Codes |
---|---|---|---|---|
Originating Registry | 1 | A | 3 | ISO3166 (2 letter code), ‘EU’ for the Community registry |
Correlation Identifier | 2 | N | 15 | Unique numeric values assigned by a registry from 1 to 999 999 999 999 999 |
Transaction identification code
15.
Each process under Annex IX shall be assigned a transaction identification code. Transaction identification codes shall be generated by registries and shall be unique throughout the registries system. Transaction identification codes shall not be re-used. The re-submission of a process concerning a transaction that was previously terminated or cancelled shall be assigned a new, unique transaction identification code.
16.
The elements of the transaction identification codes 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.
Reconciliation identification code
17.
Each process under Annex X shall be assigned a reconciliation identification code. Prior to the communication link between the Community independent transaction log and UNFCCC independent transaction log being established, the Community independent transaction log shall generate the reconciliation identification code when requesting reconciliation information from registries for a specified time and date. Thereafter, registries shall receive the reconciliation identification code from the UNFCCC independent transaction log. The reconciliation identification code shall be unique throughout the registries system, and all messages exchanged through all stages of a reconciliation process for a specified time and date shall use the same reconciliation identification code.
18.
The elements of the reconciliation identification codes 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.
Project identification code
19.
Each project shall be assigned a project identification code. Project identification codes shall be generated by the executive board of the CDM for CERs and by the relevant body of the Party or the Article 6 supervisory committee in accordance with Decision 16/CP.7 of the Conference of the Parties to the UNFCCC for ERUs and shall be unique throughout the registries system.
20.
The elements of the project identification codes 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.
ANNEX VIIList of input codes
Introduction
1.
This Annex defines the codes for all elements and code support tables. The version of the ISO3166 codes shall be 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.
EU-specific codes
2.
Field Name: Activity Type
Field Description: Numeric code indicating the activity type of an installation
Code | Description |
---|---|
1 | Combustion installations with a rated thermal input exceeding 20 MW |
2 | Mineral oil refineries |
3 | Coke ovens |
4 | Metal ore (including sulphide ore) roasting or sintering installations |
5 | Installations for the production of pig iron or steel (primary or secondary fusion) including continuous casting |
6 | Installations for the production of cement clinker in rotary kilns or lime in rotary kilns or in other furnaces |
7 | Installations for the manufacture of glass including glass fibre |
8 | Installations for the manufacture of ceramic products by firing, in particular roofing tiles, bricks, refractory bricks, tiles, stoneware or porcelain |
9 | Industrial plants for the production of (a) pulp from timber or other fibrous materials (b) paper and board |
99 | Other activity opted-in pursuant to Article 24 of Directive 2003/87/EC |
3.
Field Name: Relationship Type
Field Description: Numeric code indicating the type of relationship between an account and a person or operator
Code | Description |
---|---|
1 | Account holder |
2 | Primary authorised representative of the account holder |
3 | Secondary authorised representative of the account holder |
4 | Additional authorised representative of the account holder |
5 | Authorised representative of the verifier |
6 | Contact person for the installation |
4.
Field Name: Process Type
Field Description: Numeric code indicating the process type of a transaction
Code | Description |
---|---|
01-00 | Issue of AAUs and RMUs |
02-00 | Conversion of AAUs and RMUs to ERUs |
03-00 | External transfer (2008-2012 onwards) |
04-00 | Cancellation (2008-2012 onwards) |
05-00 | Retirement (2008-2012 onwards) |
06-00 | Cancellation and replacement of tCERs and lCERs |
07-00 | Carry-over of Kyoto units and allowances issued for the 2008-2012 period and subsequent five-year periods |
08-00 | Change of expiry date of tCERs and lCERs |
10-00 | Internal transfer |
01-51 | Allowance issue (2005-2007) |
10-52 | Allowance issue (2008-2012 onwards) |
10-53 | Allowance allocation |
01-54 | Force-majeure allowance issue |
10-55 | Correction to allowances |
03-21 | External transfer (2005-2007) |
10-01 | Allowance cancellation (2005-2007) |
10-02 | Allowance surrender |
04-03 | Retirement (2005-2007) |
10-41 | Cancellation and replacement |
5.
Field Name: Supplementary Unit Type
Field Description: Numeric code indicating the supplementary type of a unit
Code | Description |
---|---|
0 | No supplementary unit type |
1 | Allowance issued for the 2008-2012 period and subsequent five-year periods and is converted from an AAU |
2 | Allowance issued for the 2005-2007 period and not converted from an AAU or other Kyoto unit |
3 | Force-majeure allowance |
6.
Field Name: Action Code
Field Description: Numeric code indicating the action in the account update process
Code | Description |
---|---|
1 | Add people to the account or installation |
2 | Update people |
3 | Delete people |
UNFCCC codes
7.
The UNFCCC codes 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.
ANNEX VIIIProcesses concerning accounts and verified emissions with response codes
Requirements for each process
1.
The following message sequence for processes concerning an account or verified emissions shall apply:
- (a)
the authorised representative of an account shall submit a request to the registry administrator of that registry;
- (b)
the registry administrator shall assign a unique correlation identification code comprising the elements set out in Annex VI to the request;
- (c)
prior to the communication link between the Community independent transaction log and the UNFCCC independent transaction log being established, the registry administrator shall call the appropriate operation on the Community independent transaction log account management Web service, thereafter, the registry administrator shall call the appropriate operation on the UNFCCC independent transaction log account management Web service;
- (d)
the Community independent transaction log shall validate the request by calling the appropriate validation function within the Community independent transaction log;
- (e)
if the request is successfully validated and thereby accepted, the Community independent transaction log shall amend the information it holds in accordance with that request;
- (f)
the Community independent transaction log shall call the ‘receiveAccountOperationOutcome’ operation on the account management Web service of the registry which sent the request, notifying the registry as to whether the request was successfully validated and thereby accepted, or whether the request was found to contain a discrepancy and was thereby rejected;
- (g)
if the request was successfully validated and thereby accepted, the registry administrator which sent the request shall amend the information held in the registry in accordance with that validated request; otherwise, if the request was found to contain a discrepancy and was thereby rejected, the registry administrator which sent the request shall not amend the information held in the registry in accordance with that rejected request.
Table VIII-1: Message Sequence Diagram for Processes concerning an Account or Verified Emissions
2.
Prior to the communication link between the Community independent transaction log and the UNFCCC independent transaction log being established, a registry administrator sending a request should receive an acknowledgement of receipt from the Community independent transaction log within 60 seconds. Thereafter, a registry administrator sending a request should receive an acknowledgement of receipt from the UNFCCC independent transaction log within 60 seconds. A registry administrator sending a request should receive a notification of validation from the Community independent transaction log within 24 hours.
3.
The status of the process during the message sequence shall be as follows:
Table VIII-2: Status Diagram for Processes concerning an Account or Verified Emissions
4.
The components and functions which are utilised during the message sequence are shown in table VIII-3 to VIII-18. Functions which are public shall be implemented as specified. Functions which are Privatee are for informational purposes only. The inputs of all functions have been structured to match the format and informational requirements described using web services description language, 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. An asterisk ‘(*)’ has been used to denote the fact that an element can appear multiple times as an input.
Table VIII-3: Components and Functions for Processes concerning an Account or Verified Emissions
Component | Function | Scope |
---|---|---|
MgmtOfAccountWS | CreateAccount() | Public |
UpdateAccount() | Public | |
CloseAccount() | Public | |
UpdateVerifiedEmissions() | Public | |
ReceiveAccountOperationOutcome() | Public | |
AccountManagement | ValidateAccountCreation() | Private |
CreateAccount() | Private | |
ValidateAccountUpdate() | Private | |
UpdateAccount() | Private | |
ValidateAccountClosure() | Private | |
CloseAccount() | Private | |
ValidateVerifiedEmissionsUpdate() | Private | |
UpdateVerifiedEmissions() | Private | |
DataValidation | AuthenticateMessage() | Private |
CheckVersion() | Private | |
DataFormatChecks() | Private |
Table VIII-4: MgmtOfAccountWS Component
Purpose | |
---|---|
The purpose of this component is to handle web service requests for the management of accounts and verified emissions. | |
Functions exposed through Web Services | |
CreateAccount() | Handles the account creation requests |
UpdateAccount() | Handles the account update requests |
CloseAccount() | Handles account closure requests |
UpdateVerifiedEmissions() | Handles verified emissions update requests |
ReceiveAccountOperationOutcome() | Receives an account operation (creation, update, …) outcome (‘accepted’ or ‘rejected’) |
Other functions | |
Not applicable. | |
Roles | |
Community independent transaction log (for all functions) and registry (for the ReceiveAccountOperationOutcome function only) |
Table VIII-5: MgmtOfAccountWS.CreateAccount() function
Purpose | |
---|---|
This function receives an account creation request. The Community independent transaction log authenticates the initiating registry (Originating Registry) by calling the AuthenticateMessage() function and checks the version of the initiating registry by calling CheckVersion() function. If authentication and version checks pass, a ‘1’ result identifier is returned without any response codes, the contents of the request are written to a file by calling the WriteToFile() function and the request is put in a queue. If authentication or version checks fail, a ‘0’ result identifier is returned together with a single response code indicating the error cause. If the person (People) is not a natural person its name must be put in the LastName parameter. The ‘PersonIdentifier’ means the account holder identification code comprising the elements set out in Annex VI. The ‘IdentifierInRegistry’ means the alphanumeric identifier for the account as specified by the account holder pursuant to Annexes III and IV. | |
Input parameters | |
From | Mandatory |
To | Mandatory |
CorrelationId | Mandatory |
MajorVersion | Mandatory |
MinorVersion | Mandatory |
Account (*) | Mandatory |
AccountType | Mandatory |
AccountIdentifier | Mandatory |
IdentifierInReg | Mandatory |
CommitmentPeriod | Optional |
Installation | Optional |
InstallationIdentifier | Mandatory |
PermitIdentifier | Mandatory |
Name | Mandatory |
MainActivityType | Mandatory |
Country | Mandatory |
PostalCode | Mandatory |
City | Mandatory |
Address1 | Mandatory |
Address2 | Optional |
ParentCompany | Optional |
SubsidiaryCompany | Optional |
EPERIdentification | Optional |
Latitude | Optional |
Longitude | Optional |
ContactPeople (see People) | Mandatory |
People (*) | Mandatory |
RelationshipCode | Mandatory |
PersonIdentifier | Mandatory |
FirstName | Optional |
LastName | Mandatory |
Country | Mandatory |
PostalCode | Mandatory |
City | Mandatory |
Address1 | Mandatory |
Address2 | Optional |
PhoneNumber1 | Mandatory |
PhoneNumber2 | Mandatory |
FaxNumber | Mandatory |
Mandatory | |
Output parameters | |
Result Identifier | Mandatory |
Response Code | Optional |
Uses | |
| |
Used By | |
Not applicable (called as a web service). |
Table VIII-6: MgmtOfAccountWS.UpdateAccount() function
Purpose | |
---|---|
This function receives an account update request. The Community independent transaction log authenticates the initiating registry (Originating Registry) by calling the AuthenticateMessage() function and checks the version of the initiating registry by calling CheckVersion() function. If authentication and version checks pass, a ‘1’ result identifier is returned without any response codes, the contents of the request are written to a file by calling the WriteToFile() function and the request is put in a queue. If authentication or version checks fail, a ‘0’ result identifier is returned together with a single response code indicating the error cause. If the person (People) is not a natural person its name must be put in the LastName parameter. The ‘PersonIdentifier’ means the account holder identification code comprising the elements set out in Annex VI. The ‘IdentifierInRegistry’ means the alphanumeric identifier for the account as specified by the account holder pursuant to Annexes III and IV. | |
Input parameters | |
From | Mandatory |
To | Mandatory |
CorrelationId | Mandatory |
MajorVersion | Mandatory |
MinorVersion | Mandatory |
Account (*) | Mandatory |
AccountIdentifier | Mandatory |
IdentifierInReg | Optional |
Installation | Optional |
PermitIdentifier | Optional |
Name | Optional |
MainActivityType | Optional |
Country | Optional |
PostalCode | Optional |
City | Optional |
Address1 | Optional |
Address2 | Optional |
ParentCompany | Optional |
SubsidiaryCompany | Optional |
EPERIdentification | Optional |
Latitude | Optional |
Longitude | Optional |
ContactPeople (see People) | Optional |
People (*) | Optional |
Action | Mandatory |
RelationshipCode | Mandatory |
PersonIdentifier | Mandatory |
FirstName | Optional |
LastName | Optional |
Country | Optional |
PostalCode | Optional |
City | Optional |
Address1 | Optional |
Address2 | Optional |
PhoneNumber1 | Optional |
PhoneNumber2 | Optional |
FaxNumber | Optional |
Optional | |
Output parameters | |
Result Identifier | Mandatory |
Response Code | Optional |
Uses | |
| |
Used By | |
Not applicable (called as a web service). |
Table VIII-7: MgmtOfAccountWS.CloseAccount() function
Purpose | |
---|---|
This function receives an account closure request. The Community independent transaction log authenticates the initiating registry (Originating Registry) by calling the AuthenticateMessage() function and checks the version of the initiating registry by calling CheckVersion() function. If authentication and version checks pass, a ‘1’ result identifier is returned without any response codes, the contents of the request are written to a file by calling the WriteToFile() function and the request is put in a queue. If authentication or version checks fail, a ‘0’ result identifier is returned together with a single response code indicating the error cause. | |
Input parameters | |
From | Mandatory |
To | Mandatory |
CorrelationId | Mandatory |
MajorVersion | Mandatory |
MinorVersion | Mandatory |
Account (*) | Mandatory |
AccountIdentifier | Mandatory |
Output parameters | |
Result Identifier | Mandatory |
Response Code | Optional |
Uses | |
| |
Used By | |
Not applicable (called as a web service). |
Table VIII-8: MgmtOfAccountWS.UpdateVerifiedEmissions() function
Purpose | |
---|---|
This function receives a verified emissions update request. The Community independent transaction log authenticates the initiating registry (Originating Registry) by calling the AuthenticateMessage() function and checks the version of the initiating registry by calling CheckVersion() function. If authentication and version checks pass, a ‘1’ result identifier is returned without any response codes, the contents of the request are written to a file by calling the WriteToFile() function and the request is put in a queue. If authentication or version checks fail, a ‘0’ result identifier is returned together with a single response code indicating the error cause. | |
Input parameters | |
From | Mandatory |
To | Mandatory |
CorrelationId | Mandatory |
MajorVersion | Mandatory |
MinorVersion | Mandatory |
VerifiedEmissions (*) | Mandatory |
Year | Mandatory |
Installations (*) | Mandatory |
InstallationIdentifier | Mandatory |
VerifiedEmission | Mandatory |
Output parameters | |
Result Identifier | Mandatory |
Response Code | Optional |
Uses | |
| |
Used By | |
Not applicable (called as a web service). |
Table VIII-9: MgmtOfAccountWS.ReceiveAccountOperationOutcome() function
Purpose | |
---|---|
This function receives an account management operation outcome. The initiating registry (Originating Registry) authenticates the UNFCCC independent transaction log (or Community independent transaction log prior to the link between the Community independent transaction log and UNFCCC independent transaction log being established) by calling the AuthenticateMessage() function and checks the version of the transaction log by calling CheckVersion() function. If authentication and version checks pass, a ‘1’ result identifier is returned without any response codes, the contents of the request are written to a file by calling the WriteToFile() function and the request is put in a queue. If authentication or version checks fail, a ‘0’ result identifier is returned together with a single response code indicating the error cause. The response code list is populated with couples (the account or installation identifier with an adjoining response code) if the outcome is ‘0’ for any other cause of error. | |
Input parameters | |
From | Mandatory |
To | Mandatory |
CorrelationId | Mandatory |
MajorVersion | Mandatory |
MinorVersion | Mandatory |
Outcome | Mandatory |
Response List | Optional |
Output parameters | |
Result Identifier | Mandatory |
Response Code | Optional |
Uses | |
| |
Used By | |
Not applicable (called as a web service). |
Table VIII-10: AccountManagement Component
Purpose | |
---|---|
The purpose of this component is to provide the validating and update functions for the management of accounts and verified emissions. | |
Functions exposed through Web Services | |
Not applicable. | |
Other functions | |
ValidateAccountCreation() | Validates an account creation |
ValidateAccountUpdate() | Validates an account update |
ValidateAccountClosure() | Validates an account closure |
ValidateVerifiedEmissionsUpdate() | Validates a verified emissions update |
CreateAccount() | Creates accounts |
UpdateAccount() | Updates accounts |
CloseAccount() | Closes accounts |
UpdateVerifiedEmissions() | Updates verified emissions for installations |
Roles | |
Transaction log (all functions), registry (for information only). |
Table VIII-11: ManagementOfAccount.ValidateAccountCreation() function
Purpose | |
---|---|
This function validates an account creation request. If a validation test fails, the account identifier and response code are added to the response code list. | |
Input parameters | |
From | Mandatory |
To | Mandatory |
CorrelationId | Mandatory |
MajorVersion | Mandatory |
MinorVersion | Mandatory |
Account (*) | Mandatory |
AccountType | Mandatory |
AccountIdentifier | Mandatory |
IdentifierInReg | Mandatory |
CommitmentPeriod | Optional |
Installation | Optional |
InstallationIdentifier | Mandatory |
PermitIdentifier | Mandatory |
Name | Mandatory |
MainActivityType | Mandatory |
Country | Mandatory |
PostalCode | Mandatory |
City | Mandatory |
Address1 | Mandatory |
Address2 | Optional |
ParentCompany | Optional |
SubsidiaryCompany | Optional |
EPERIdentification | Optional |
Latitude | Optional |
Longitude | Optional |
ContactPeople (see People) | Mandatory |
People (*) | Mandatory |
RelationshipCode | Mandatory |
PersonIdentifier | Mandatory |
FirstName | Optional |
LastName | Mandatory |
Country | Mandatory |
PostalCode | Mandatory |
City | Mandatory |
Address1 | Mandatory |
Address2 | Optional |
PhoneNumber1 | Mandatory |
PhoneNumber2 | Optional |
FaxNumber | Mandatory |
Optional | |
Output parameters | |
Result Identifier | Mandatory |
Response List | Optional |
Messages | |
Range 7101 to 7110; range 7122 to 7160. |
Table VIII-12: ManagementOfAccount.CreateAccount() function
Purpose | |
---|---|
This function creates accounts. For each account: Create the account and its details. Create all persons (People) and their details if they did not already exist and link these to the account. Update all information linked to persons (People) that already existed and that are linked to the account. Create the installation and installation details if an installation is linked to the account. Create all persons (People) linked to the installation (the contact person) if they did not already exist. Update all information linked to persons (People) that already existed and that are linked to the installation. | |
Input parameters | |
From | Mandatory |
To | Mandatory |
CorrelationId | Mandatory |
MajorVersion | Mandatory |
MinorVersion | Mandatory |
Account (*) | Mandatory |
AccountType | Mandatory |
AccountIdentifier | Mandatory |
IdentifierInReg | Mandatory |
CommitmentPeriod | Optional |
Installation | Optional |
InstallationIdentifier | Mandatory |
PermitIdentifier | Mandatory |
Name | Mandatory |
MainActivityType | Mandatory |
Country | Mandatory |
PostalCode | Mandatory |
City | Mandatory |
Address1 | Mandatory |
Address2 | Optional |
ParentCompany | Optional |
SubsidiaryCompany | Optional |
EPERIdentification | Optional |
Latitude | Optional |
Longitude | Optional |
ContactPeople (see People) | Mandatory |
People (*) | Mandatory |
RelationshipCode | Mandatory |
PersonIdentifier | Mandatory |
FirstName | Optional |
LastName | Mandatory |
Country | Mandatory |
PostalCode | Mandatory |
City | Mandatory |
Address1 | Mandatory |
Address2 | Optional |
PhoneNumber1 | Mandatory |
PhoneNumber2 | Optional |
FaxNumber | Mandatory |
Optional | |
Output parameters | |
Result Identifier | Mandatory |
Uses | |
Not applicable. | |
Used By | |
Not applicable (called as a web service). |
Table VIII-13: AccountManagement.ValidateAccountUpdate() function
Purpose | |
---|---|
This function validates an account update request. If a validation test fails, the account identifier and response code are added to the response code list. | |
Input parameters | |
From | Mandatory |
To | Mandatory |
CorrelationId | Mandatory |
MajorVersion | Mandatory |
MinorVersion | Mandatory |
Account (*) | Mandatory |
AccountIdentifier | Mandatory |
IdentifierInReg | Optional |
Installation | Optional |
PermitIdentifier | Optional |
Name | Optional |
MainActivityType | Optional |
Country | Optional |
PostalCode | Optional |
City | Optional |
Address1 | Optional |
Address2 | Optional |
ParentCompany | Optional |
SubsidiaryCompany | Optional |
EPERIdentification | Optional |
Latitude | Optional |
Longitude | Optional |
ContactPeople (see People) | Optional |
People (*) | Optional |
Action | Mandatory |
RelationshipCode | Mandatory |
PersonIdentifier | Mandatory |
FirstName | Optional |
LastName | Optional |
Country | Optional |
PostalCode | Optional |
City | Optional |
Address1 | Optional |
Address2 | Optional |
PhoneNumber1 | Optional |
PhoneNumber2 | Optional |
FaxNumber | Optional |
Optional | |
Output parameters | |
Result Identifier | Mandatory |
Response List | Optional |
Messages | |
Range 7102 to 7107; range 7111 to 7113; 7120; 7122; 7124; range 7126 to 7158. |
Table VIII-14: ManagementOfAccount.UpdateAccount() function
Purpose | |
---|---|
This function updates the details of an account. If action = ‘Add’: For each link to be added: If the person (People) existed, update its details if required. If the person (People) did not exist, create the person (People) and link it to the account. If action = ‘Update’: For all persons (People) to update and that are linked to the account, update their details. If action = ‘Delete’: Remove the link between the person (People) and the account (for example, an additional authorised representative is removed). If an installation is linked to the account, update the installation details if required. Update the details of the persons (People) linked to the installation if details have been submitted (by using the same ‘Add’, ‘Update’ and ‘Delete’ actions). | |
Input parameters | |
From | Mandatory |
To | Mandatory |
CorrelationId | Mandatory |
MajorVersion | Mandatory |
MinorVersion | Mandatory |
Account (*) | Mandatory |
AccountType | Mandatory |
AccountIdentifier | Mandatory |
IdentifierInReg | Mandatory |
Installation | Optional |
InstallationIdentifier | Mandatory |
PermitIdentifier | Mandatory |
Name | Mandatory |
MainActivityType | Mandatory |
Country | Mandatory |
PostalCode | Mandatory |
City | Mandatory |
Address1 | Mandatory |
Address2 | Optional |
ParentCompany | Optional |
SubsidiaryCompany | Optional |
EPERIdentification | Optional |
Latitude | Optional |
Longitude | Optional |
ContactPeople (see People) | Mandatory |
People (*) | Mandatory |
RelationshipCode | Mandatory |
PersonIdentifier | Mandatory |
FirstName | Optional |
LastName | Mandatory |
Country | Mandatory |
PostalCode | Mandatory |
City | Mandatory |
Address1 | Mandatory |
Address2 | Optional |
PhoneNumber1 | Optional |
PhoneNumber2 | Optional |
FaxNumber | Optional |
Optional | |
Output parameters | |
Result Identifier | Mandatory |
Uses | |
Not applicable. | |
Used By | |
Not applicable (called as a web service). |
Table VIII-15: ManagementOfAccount.ValidateAccountClosure() function
Purpose | |
---|---|
This function validates an account closure operation. If a validation test fails, the account identifier and response code are added to the response code list. | |
Input parameters | |
From | Mandatory |
To | Mandatory |
CorrelationId | Mandatory |
MajorVersion | Mandatory |
MinorVersion | Mandatory |
Account (*) | Mandatory |
Purpose | |
AccountIdentifier | Mandatory |
Output parameters | |
Result Identifier | Mandatory |
Response List | Optional |
Messages | |
7111; range 7114 to 7115; 7117; range 7153 to 7156; 7158. |
Table VIII-16: ManagementOfAccount.CloseAccount() function
Purpose | |
---|---|
This function closes an account or accounts by setting the end validity date of the account(s) to be closed to the current date. | |
Input parameters | |
Registry | Mandatory |
CorrelationId | Mandatory |
MajorVersion | Mandatory |
MinorVersion | Mandatory |
Account (*) | Mandatory |
AccountIdentifier | Mandatory |
Output parameters | |
Result Identifier | Mandatory |
Table VIII-17: ManagementOfAccount.ValidateVerifiedEmissionsUpdate() function
Purpose | |
---|---|
This function validates a verified emissions update. If a validation test fails, the installation identifier and response code are added to the response code list. | |
Input parameters | |
From | Mandatory |
To | Mandatory |
CorrelationId | Mandatory |
MajorVersion | Mandatory |
MinorVersion | Mandatory |
VerifiedEmissions (*) | Mandatory |
Year | Mandatory |
Installations (*) | Mandatory |
InstallationIdentifier | Mandatory |
VerifiedEmission | Mandatory |
Output parameters | |
Result Identifier | Mandatory |
Response List | Optional |
Messages | |
Range 7118 to 7119; range 7152 to 7156; 7159. |
Table VIII-18: ManagementOfAccount.UpdateVerifiedEmissions function
Purpose | |
---|---|
Updates the verified emissions for the year and installation specified. | |
Input parameters | |
From | Mandatory |
To | Mandatory |
CorrelationId | Mandatory |
MajorVersion | Mandatory |
VerifiedEmissions (*) | Mandatory |
Year | Mandatory |
Installations (*) | Mandatory |
InstallationIdentifier | Mandatory |
VerifiedEmission | Mandatory |
Output parameters | |
Result Identifier | Mandatory |
Preliminary checks for each process
5.
The Community independent transaction log shall check the status of a registry for each process concerning an account or verified emissions. 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 concerning an account or verified emissions, it shall be rejected and the response code 7005 shall be returned.
6.
Prior to the communication link between the Community independent transaction log and the UNFCCC independent transaction log being established, the Community independent transaction log shall perform registry version and registry authentication checks, and message viability checks, on each process concerning an account or verified emissions and return the appropriate response codes if a discrepancy is detected, 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. Thereafter, each registry shall receive such response codes from the UNFCCC independent transaction log.
7.
The Community independent transaction log shall perform data integrity checks on each process concerning an account or verified emissions and return response codes in the range 7122 to 7159 if a discrepancy is detected.
Secondary checks for each process
8.
The Community independent transaction log shall perform secondary checks on each process concerning an account or verified emissions which has passed all of the preliminary checks. The secondary checks, and the adjoining response codes which are returned when a discrepancy is detected, are set out in table VIII-19.
Table VIII-19: Secondary Checks
Process description | Community independent transaction log response codes |
---|---|
Account creation | Range 7101 to 7110 7160 |
Account update | Range 7102 to 7105 Range 7107 to 7108 7111 7113 7120 7160 |
Account closure | 7111 Range 7114 to 7115 7117 |
Verified emissions update | Range 7118 to 7119 |
ANNEX IXProcesses concerning transactions with response codes
Process types
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.
Requirements for each process
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.
Preliminary checks for each process
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.
4.
Prior to the communication link between the Community independent transaction log and the UNFCCC independent transaction log being established, the Community independent transaction log shall perform the following categories of preliminary checks on each process concerning a transaction:
- (a)
registry version and registry authentication checks,
- (b)
message viability checks,
- (c)
data integrity checks,
- (d)
general transaction checks, and
- (e)
message sequence checks,
and return the appropriate response codes if a discrepancy is detected, 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. Thereafter, each registry shall receive such response codes from the UNFCCC independent transaction log.
Secondary and tertiary checks for each process
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:
- (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.
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 |
ANNEX XReconciliation process with response codes
Requirements for the process
1.
Prior to the communication link between the Community independent transaction log and the UNFCCC independent transaction log being established, each registry shall respond to any request made by the Community independent transaction log to submit the following information for a specified time and date:
- (a)
the total number of allowances held in each account type in that registry;
- (b)
the unit identification codes of any allowance held in each account type in that registry;
- (c)
the transaction log and audit log history of any allowance held in each account type in that registry;
- (d)
the total number of allowances held in each account in that registry;
- (e)
the unit identification codes of any allowance held in each account in that registry; and
- (f)
the transaction log and audit log history of each allowance held in any account in that registry.
2.
After the communication link between the Community independent transaction log and the UNFCCC independent transaction log has been established, each registry shall respond to any request made by the UNFCCC independent transaction log to submit the following information for a specified time and date:
- (a)
the total number of allowances, AAUs, RMUs, ERUs, CERs (not tCERs or lCERs), lCERs and tCERs, held in each account type in that registry;
- (b)
the unit identification codes of any allowance, AAU, RMU, ERU, CER (not tCER or lCER), lCER and tCER, held in each account type in that registry; and
- (c)
the transaction log and audit log history of any allowance, AAU, RMU, ERU, CER (not tCER or lCER), lCER and tCER held in each account type in that registry.
3.
After the communication link between the Community independent transaction log and the UNFCCC independent transaction log has been established, each registry shall respond to any request by the UNFCCC independent transaction log made on behalf of the Community independent transaction log to submit the following information for a specified time and date:
- (a)
the total number of allowances, AAUs, RMUs, ERUs, CERs (not tCERs or lCERs), lCERs and tCERs held in each account in that registry;
- (b)
the unit identification codes of any allowance, AAU, RMU, ERU, CER (not tCER or lCER), lCER and tCER held in each account in that registry; and
- (c)
the transaction log and audit log history of any allowance, AAU, RMU, ERU, CER (not tCER or lCER), lCER and tCER held in each account in that registry.
4.
The message sequence for the reconciliation process, the status of the reconciliation process and the status of the Kyoto units or allowances involved in the reconciliation process 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.
Preliminary checks for the process
5.
The Community independent transaction log shall check the status of a registry during the reconciliation process. 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 reconciliation process, the process shall be rejected and the response code 7005 shall be returned.
6.
Prior to the communication link between the Community independent transaction log and the UNFCCC independent transaction log being established, the Community independent transaction log shall perform registry version and registry authentication checks, message viability checks, and data integrity checks during the reconciliation process and return the appropriate response codes if a discrepancy is detected, 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. Thereafter, each registry shall receive such response codes from the UNFCCC independent transaction log.
Secondary checks for the process
7.
The Community independent transaction log shall perform secondary checks during the reconciliation process, once the preliminary checks have been passed. The secondary checks, and the adjoining response codes which are returned when an inconsistency is detected, are set out in table X-1.
Process description | Community independent transaction log response codes |
---|---|
Reconciliation | Range: 7501 to 7524 |
Manual intervention
8.
If the information held in a registry has been amended in response to a process initiated but not finalised pursuant to Articles 34, 35 or 36, the Central Administrator shall instruct the registry administrator of that registry to reverse that process by amending the information held back to its original state.
If the information held in a registry has not been amended in response to a process initiated and finalised pursuant to Articles 34, 35 or 36, the Central Administrator shall instruct the registry administrator of that registry to finalise that process by amending the information held accordingly.
9.
Where the reconciliation process has identified an inconsistency, the Central Administrator shall coordinate with the registry administrator or administrators concerned in order to determine the origin of the inconsistency. The Central Administrator shall then, as necessary, either amend the information held in the Community independent transaction log or request the registry administrator or administrators concerned to make specific manual adjustments to the information held in their registry.
ANNEX XIAdministrative processes with response codes
Administrative processes
1.
The Community independent transaction log shall provide the following administrative processes:
- (a)
- Transaction clean-up
all processes under Annex IX which have been initiated but not yet terminated, completed or cancelled within 24 hours shall be cancelled. Transaction clean-up occurs on an hourly basis.
- (b)
- Outstanding units
all allowances which have not been cancelled pursuant to Articles 60 or 61 on or after 1 May 2008 and on or after 1 May in the first year of each subsequent five-year period shall be identified.
- (c)
- Process status
a registry administrator may query the status of a process under Annex IX which has been initiated by that registry administrator.
- (d)
- Time synchronisation
upon request, each registry administrator shall provide the system time of its registry in order that the consistency between the system time of a registry and the system time of the Community independent transaction log can be checked, and that the two times can be synchronised. Upon request, a registry administrator shall change the system time of its registry in order to ensure time synchronisation.
2.
After the communication link between the Community independent transaction log and the UNFCCC independent transaction log has been established, the Community independent transaction log shall only continue to provide the administrative process under paragraph 1(b).
3.
Each registry shall be capable of executing correctly the additional administrative processes provided by the UNFCCC independent transaction log, 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.
Requirements for each process
4.
The message sequence for administrative processes 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.
Checks for each process
5.
If, during the period referred to in paragraph 2, the Community independent transaction log detects a discrepancy under paragraph 1(a) it shall return the appropriate response codes 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.
6.
If the Community independent transaction log detects a discrepancy under paragraph 1(b) it shall return the response code 7601.
7.
During the period referred to in paragraph 2 and where a message is received from a registry under paragraph 1(c) for a process referred to in Annex IX the Community independent transaction log shall perform the following checks:
- (a)
Status of a registry: 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, the message shall be rejected and the response code 7005 shall be returned.
- (b)
Registry version and registry authentication, message viability, and data integrity: if the Community independent transaction log detects a discrepancy, the message shall be rejected and the appropriate response codes shall be returned 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.
8.
During the period referred to in paragraph 2 and where a message is received from a registry under paragraph 1(d) the Community independent transaction log shall perform the following checks:
- (a)
Status of a registry: 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, the message shall be rejected and the response code 7005 shall be returned.
- (b)
Registry version and registry authentication, message viability, data integrity and time synchronisation: if the Community independent transaction log detects a discrepancy, the message shall be rejected and the appropriate response codes shall be returned 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.
ANNEX XIIList of response codes for all processes
1.
The Community independent transaction log shall return response codes as part of each process, where specified in Annex VIII, Annex IX, Annex X and Annex XI. Each response code shall consist of an integer within the range 7000 to 7999. The meaning of each response code is given in table XII-1.
2.
Each registry administrator shall ensure that the meaning of each response code is maintained when displaying information in respect of a process under Annex XVI to the authorised representative who initiated that process.
Response Code | Description |
---|---|
7005 | The current status of the initiating (or transferring) registry does not permit this process to take place. |
7006 | The current status of the acquiring registry does not permit this process to take place |
7020 | The specified account identification code does not exist in the acquiring registry. |
7021 | The specified account identification code does not exist in the transferring registry. |
7022 | The transferring account and acquiring account must be in the same registry for all transactions except external transfers. |
7023 | The transferring account and acquiring account must be in different registries for external transfers. |
7024 | Force majeure allowances cannot be transferred out of the Party holding account unless being cancelled and retired in accordance with Article 58. |
7025 | The transferring account is blocked for all transfers of allowances out of that account, with the exception of the surrender and cancellation and replacement processes pursuant to Articles 52, 53, 60 and 61. |
7027 | One or more units in the serial block are not recognised as being held by the transferring account. |
7101 | The account has already been created. |
7102 | An account must have one and only one account holder. |
7103 | An account must have one and only one primary authorised representative. |
7104 | An account must have one and only one secondary authorised representative. |
7105 | An installation must have one and only one contact person. |
7106 | The installation associated to this account is already associated to another account. |
7107 | The authorised representatives of the account must all be different. |
7108 | The alphanumeric identifier specified for the account is already specified for another account. |
7109 | The account type being created has not been given the correct commitment period. |
7110 | An operator holding account must have one and only one installation associated with that account. |
7111 | The specified account does not exist, and therefore it is not possible to update or close the account. |
7113 | It is not possible to change the account holder of a person holding account. |
7114 | The specified account has already been closed therefore it is not possible to close the account. |
7115 | The specified account still holds units and therefore it is not possible to close the account. |
7117 | The installation linked to the specified account is not in compliance therefore it is not possible to close the account. |
7118 | The specified installation does not exist and therefore it is not possible to update the verified emissions table for that installation. |
7119 | The specified year is a future year and therefore it is not possible to update the verified emissions table for that year. |
7120 | The people and their relationship with the account do not exist and therefore it is not possible to update that relationship. |
7122 | The correlation identifier is not in valid format or is out of range. |
7124 | The account alphanumeric identifier is not in valid format or is out of range |
7125 | The permit identifier is not in valid format or is out of range. |
7126 | The installation name is not in valid format or is out of range. |
7127 | The installation main activity is not in valid format or is out of range. |
7128 | The installation country is not in valid format or is out of range. |
7129 | The installation postal code is not in valid format or is out of range. |
7130 | The installation city is not in valid format or is out of range. |
7131 | The installation address1 is not in valid format or is out of range. |
7132 | The installation address2 is not in valid format or is out of range. |
7133 | The installation parent company is not in valid format or is out of range. |
7134 | The installation subsidiary company is not in valid format or is out of range. |
7135 | The installation EPER identification is not in valid format or is out of range. |
7136 | The installation latitude is not in valid format or is out of range. |
7137 | The installation longitude is not in valid format or is out of range. |
7138 | The people relationship code is not in valid format or is out of range. |
7139 | The person identifier is not in valid format or is out of range. |
7140 | The people first name is not in valid format or is out of range. |
7141 | The people last name is not in valid format or is out of range. |
7142 | The people country is not in valid format or is out of range. |
7143 | The people postal code is not in valid format or is out of range. |
7144 | The people city is not in valid format or is out of range. |
7145 | The people address1 is not in valid format or is out of range. |
7146 | The people address2 is not in valid format or is out of range. |
7147 | The people phonenumber1 is not in valid format or is out of range. |
7148 | The people phonenumber2 is not in valid format or is out of range. |
7149 | The people fax number is not in valid format or is out of range. |
7150 | The people email is not in valid format or is out of range. |
7151 | The people action is not in valid format or is out of range. |
7152 | The installation verified emission is not in valid format or is out of range. |
7153 | The from element is not in valid format or is out of range. |
7154 | The to element is not in valid format or is out of range. |
7155 | The major version is not in valid format or is out of range. |
7156 | The minor version is not in valid format or is out of range. |
7157 | The account type is not in valid format or is out of range. |
7158 | The account identifier is not in valid format or is out of range. |
7159 | The installation identifier is not in valid format or is out of range. |
7160 | It is not possible for a person holding account to have a contact person or his details, or an installation or its details (as listed in section 11.1 of Annex I to Commission Decision 2004/156/EC) associated with that account. |
7201 | The amount of allowances for the specified period requested to be issued exceeds the amount approved by the Commission in the national allocation plan. |
7202 | The acquiring account is not a Party holding account. |
7203 | The national allocation plan table has not been submitted to the Commission and therefore it is not possible for the issuance or allocation of allowances for the specified period to take place. |
7205 | The units requested to be converted into allowances must be AAUs that have been issued for a commitment period matching the commitment period for which allowances are being issued. |
7206 | The specified acquiring account is not the operator holding account which is associated to the specified installation. |
7207 | The installation does not exist in the national allocation plan table. |
7208 | The specified year does not exist in the national allocation plan table. |
7209 | The acquiring account is not the retirement account for the 2005-2007 period. |
7210 | Force-majeure allowances can only be issued prior to 30 June 2008. |
7211 | The amount of force-majeure allowances requested to be issued exceeds the amount approved by the Commission for the commitment period. |
7212 | The acquiring account is not the cancellation account for the 2005-2007 period. |
7213 | The reduction in the number of allowances exceeds the correction to the NAP as approved by the Commission. |
7214 | The number of allowances transferred is not strictly equal to the number foreseen in the NAP for the specified installation and specified year. |
7215 | The installation does not exist. |
7216 | The number of allowances transferred for the specified installation and specified year as foreseen in the national allocation plan has already been transferred. |
7217 | The specified year is not part of the period 2005-2007. |
7218 | The specified AAUs are allowances and therefore it is not possible to convert those AAUs into ERUs. |
7219 | The units requested to be issued do not have the correct allowance identification code and therefore it is not possible for the issue to take place. |
7220 | The units requested to be issued do not have the correct force majeure allowance identification code and therefore it is not possible for the issue to take place. |
7301 | Warning: approaching breach of the commitment period reserve. |
7302 | There is no mutual recognition agreement between the transferring registry and the acquiring registry that enables the transfer of allowances. |
7304 | After 30 April of the first year of the current period, allowances issued for the preceding period may only be transferred to the cancellation account or retirement account for that period. |
7305 | Allowances are not those issued for the 2005-2007 period. |
7353 | It is not possible to surrender allowances issued for the period 2005-2007 for the period 2008-2012 and subsequent five-year periods. |
7354 | The transferring account is not an operator holding account. |
7355 | It is not possible to surrender allowances issued for the current period for the previous period. |
7356 | Units are not eligible for surrender pursuant to Article 53. |
7357 | The number of allowances and force majeure allowances requested to be transferred to the retirement account is not equal to the number of allowances surrendered pursuant to Articles 52 and 54. |
7358 | The number of AAUs requested to be converted from allowances is not equal to the number of allowances surrendered pursuant to Article 52. |
7359 | The number of units requested to be transferred to the retirement account is not equal to the number of allowances surrendered pursuant to Article 52 and 53. |
7360 | The transferring account(s) are not Party holding account(s). |
7361 | Units are not eligible for retirement pursuant to Articles 58 and 59. |
7362 | The number of CERs requested to be transferred to the cancellation account is not equal to the number of allowances surrendered pursuant to Article 53. |
7401 | The number of AAUs requested to be converted into allowances is not equal to the number of allowances cancelled. |
7402 | Specified unit type requested to be cancelled in advance of replacement is not an allowance issued for the preceding period. |
7404 | The number of allowances cancelled is not equal to the number of allowances to be cancelled pursuant to Article 60(a) and 61(b). |
7405 | The quantity of allowances cancelled from the transferring account is not equal to the quantity of allowances transferred back to this account. |
7406 | The transferring account(s) must be accounts referred to in Article 11(1) and (2). |
7407 | The acquiring account(s) must be accounts referred to in Article 11(1) and (2). |
7501 | There is an inconsistency between the registry and the CITL in the operator holding account unit blocks. |
7502 | There is an inconsistency between the registry and the CITL in the person holding account unit blocks. |
7503 | Information: there are no inconsistencies between the registry and the CITL in the operator holding account unit blocks. |
7504 | Information: there are no inconsistencies between the registry and the CITL in the person holding account unit blocks. |
7505 | There is an inconsistency between the registry and the CITL in the totals of the operator holding account unit blocks. |
7506 | There is an inconsistency between the registry and the CITL in the totals of the person holding account unit blocks. |
7507 | Information: there are no inconsistencies between the registry and the CITL in the totals of the operator holding account unit blocks. |
7508 | Information: there are no inconsistencies between the registry and the CITL in the totals of the person holding account unit blocks. |
7509 | There is an inconsistency between the registry and the CITL in the Party holding account unit blocks. |
7510 | There is an inconsistency between the registry and the CITL in the retirement account unit blocks. |
7511 | There is an inconsistency between the registry and the CITL in the cancellation account unit blocks. |
7512 | Information: there are no inconsistencies between the registry and the CITL in the Party holding account unit blocks. |
7513 | Information: there are no inconsistencies between the registry and the CITL in the retirement account unit blocks. |
7514 | Information: there are no inconsistencies between the registry and the CITL in the cancellation account unit blocks. |
7515 | There is an inconsistency between the registry and the CITL in the totals of the Party holding account unit blocks. |
7516 | There is an inconsistency between the registry and the CITL in the totals of the retirement account unit blocks. |
7517 | There is an inconsistency between the registry and the CITL in the totals of the cancellation account unit blocks. |
7518 | Information: there are no inconsistencies between the registry and the CITL in the totals of the Party holding account unit blocks. |
7519 | Information: there are no inconsistencies between the registry and the CITL in the totals of the retirement account unit blocks. |
7520 | Information: there are no inconsistencies between the registry and the CITL in the totals of the cancellation account unit blocks. |
7521 | There is an inconsistency between the registry and the CITL in the replacement account unit blocks. |
7522 | Information: there are no inconsistencies between the registry and the CITL in the replacement account unit blocks. |
7523 | There is an inconsistency between the registry and the CITL in the totals of the replacement account unit blocks. |
7524 | Information: there are no inconsistencies between the registry and the CITL in the totals of the replacement account unit blocks. |
7601 | Reminder: the specified unit blocks of allowances issued for the previous period have not yet been cancelled pursuant to Articles 60 and 61. |
ANNEX XIIITesting procedures
1.
A registry and the Community independent transaction log shall complete the following stages of testing:
- (a)
Unit tests: individual components shall be tested against their specifications.
- (b)
Integration tests: groups of components, comprising parts of the complete system, shall be tested against their specifications.
- (c)
System tests: the system as a whole shall be tested against its specifications.
- (d)
Load tests: the system shall be subjected to peaks in activity reflecting the likely demands that will be made on the system by its users.
- (e)
Security testing: any security weaknesses of the system shall be identified.
2.
Individual tests for a registry carried out as part of the testing stages set out in paragraph 1 shall be conducted according to a pre-defined test plan and the results shall be documented. This documentation shall be made available to the Central Administrator on request. Any deficiencies in a registry detected during the testing stages set out in paragraph 1 shall be addressed before any testing of data exchange takes place between that registry and the Community independent transaction log.
3.
The Central Administrator shall require a registry to complete the following stages of testing:
- (a)
Authentication tests: the ability of the registry to identify the Community independent transaction log, and vice versa, shall be tested.
- (b)
Time synchronisation tests: the ability of the registry to establish its system time and to change its system time in order to be consistent with the system time of the Community independent transaction log and UNFCCC independent transaction log shall be tested.
- (c)
Data format tests: the ability of the registry to generate messages corresponding to the appropriate process status and stage and to the appropriate format, 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, shall be tested.
- (d)
Programming code and database operations tests: the ability of the registry to process messages received which correspond to the appropriate format, 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, shall be tested.
- (e)
Integrated process testing: the ability of the registry to execute all processes, including all relevant statuses and stages set out in Annex VIII, Annex IX, Annex X and Annex XI, and to allow manual interventions to the database pursuant to Annex X, shall be tested.
- (f)
Data logging tests: the ability of the registry to establish and maintain the records required pursuant to Article 73(2) shall be tested.
4.
The Central Administrator shall require a registry to demonstrate that the input codes referred to in Annex VII and the response codes referred to in Annex VIII, Annex IX, Annex X and Annex XI are contained within that registry's database and interpreted and used appropriately in respect of processes.
5.
The testing stages set out in paragraph 3 shall take place between the testing area of the registry and the testing area of the Community independent transaction log, established pursuant to Article 71.
6.
Individual tests carried out as part of the testing stages set out in paragraph 3 may vary to reflect the software and hardware used by a registry.
7.
Individual tests carried out as part of the testing stages set out in paragraph 3 shall be conducted according to a pre-defined test plan and the results shall be documented. This documentation shall be made available to the Central Administrator on request. Any deficiencies in a registry detected during the testing stages set out in paragraph 3 shall be addressed prior to a communication link between that registry and the Community independent transaction log being established. The registry administrator shall demonstrate that any such deficiencies have been addressed by the successful completion of the testing stages set out in paragraph 3.
ANNEX XIVInitialisation procedures
1.
By 1 September 2004 at the latest, each Member State shall notify the Commission of the following information:
- (a)
Name, address, city, postcode, country, telephone number, facsimile number and e-mail address of the registry administrator for its registry.
- (b)
Address, city, postcode and country of the physical location of the registry.
- (c)
The uniform resource locator (URL) and the port(s) of both the secure area and public area of the registry, and the URL and the port(s) of the testing area.
- (d)
Description of the primary and backup hardware and software used by the registry, and of the hardware and software supporting the testing area pursuant to Article 68.
- (e)
Description of the systems and procedures for the safeguarding of all data, including the frequency with which a backup of the database is undertaken, and the systems and procedures for prompt recovery of all data and operations in the event of a disaster pursuant to Article 68.
- (f)
Description of the security plan of the registry established pursuant to the general security requirements under Annex XV.
- (g)
Description of the system and procedures of the registry in respect of change management pursuant to Article 72.
- (h)
Information requested by the Central Administrator to enable the distribution of digital certificates pursuant to Annex XV.
Any subsequent changes shall be promptly notified to the Commission.
2.
For the period 2005-2007, each Member State shall notify the Commission of the number of force majeure allowances to be issued, subsequent to an authorisation to issue such allowances being granted by the Commission pursuant to Article 29 of Directive 2003/87/EC.
3.
In advance of the 2008-2012 period and each subsequent five year period, each Member State shall notify the Commission of the following information:
- (a)
The total number of ERUs and CERs which operators are allowed to use for each period pursuant to Article 11a(1) of Directive 2003/87/EC.
- (b)
The commitment period reserve, calculated in accordance with Decision 18/CP.7 of the Conference of the Parties to the UNFCCC as 90 per cent of the Member State’s assigned amount or 100 % of five times its most recently reviewed inventory, whichever is lowest. Any subsequent changes shall be promptly notified to the Commission.
National allocation plan table requirements
4.
Each national allocation plan shall be submitted in accordance with the formats set out in paragraphs 5 and 7.
5.
The format for submitting a national allocation plan table to the Commission is the following:
- (a)
Total number of allowances allocated: in a single cell the total number of allowances that are allocated for the period covered by the national allocation plan.
- (b)
Total number of allowances in the new entrants reserve: in a single cell the total number of allowances that are set aside for new entrants for the period covered by the national allocation plan.
- (c)
Years: in individual cells for each of the years covered in the national allocation plan from 2005 onwards in ascending order.
- (d)
Installation identification code: in individual cells comprising the elements set out in Annex VI and in ascending order.
- (e)
Allocated allowances: the allowances to be allocated for a specified year for a specified installation shall be entered into the cell connecting that year to that installation’s identification code.
6.
The installations listed under paragraph 5(d) shall include installations unilaterally included under Article 24 of Directive 2003/87/EC and shall not include any installations temporarily excluded under Article 27 of Directive 2003/87/EC.
7.
The XML schema for submitting a national allocation plan table to the Commission is the following:
8.
As part of the initialisation procedures 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 Commission shall inform the Secretariat to the UNFCCC of the account identification codes of the cancellation accounts, retirement accounts and replacement accounts of each registry.
ANNEX XVSecurity standards
Communication link between the Community independent transaction log and each registry
1.
From 1 January 2005 until the communication link between the Community independent transaction log and the UNFCCC independent transaction log is established, all processes concerning allowances, verified emissions and accounts shall be completed using a communication link with the following properties:
- (a)
Secure transmission shall be achieved through the use of secure socket layer (SSL) technology with a minimum of 128 bit encryption.
- (b)
The identity of each registry shall be authenticated using digital certificates for the requests originating from the Community independent transaction log. The identity of the Community independent transaction log shall be authenticated using digital certificates for each request originating from a registry. The identity of each registry shall be authenticated using a user name and password for each request originating from a registry. The identity of the Community independent transaction log shall be authenticated using a user name and password for each request originating from the Community independent transaction log. Digital certificates shall be registered as valid by the certification authority. Secure systems shall be used to store the digital certificates and usernames and passwords, and access shall be limited. Usernames and passwords shall have a minimum length of 10 characters and shall comply with the hypertext transfer protocol (HTTP) basic authentication scheme (http://www.ietf.org/rfc/rfc2617.txt).
2.
After the communication link between the Community independent transaction log and the UNFCCC independent transaction log is established, all processes concerning allowances, verified emissions, accounts and Kyoto units shall be completed using a communication link with the properties 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.
Communication link between the Community independent transaction log and its authorised representatives, and each registry and all authorised representatives in that registry
3.
The communication link between the Community independent transaction log and its authorised representatives, and between a registry and the authorised representatives of account holders, verifiers and the registry administrator, when the authorised representatives are obtaining access from a network different from the one serving the Community independent transaction log or that registry, shall have the following properties:
- (a)
Secure transmission shall be achieved through the use of secure socket layer (SSL) technology with a minimum of 128 bit encryption.
- (b)
The identity of each authorised representative shall be authenticated through the use of usernames and passwords, which are registered as valid by the registry.
4.
The system for issuing usernames and passwords pursuant to paragraph 3(b) to authorised representatives shall have the following properties:
- (a)
At any time, each authorised representative shall have a unique username and a unique password.
- (b)
The registry administrator shall maintain a list of all authorised representatives who have been granted access to the registry and their access rights within that registry.
- (c)
The number of authorised representatives of the Central Administrator and registry administrator shall be kept to a minimum and access rights shall be allocated solely on the basis of enabling administrative tasks to be performed.
- (d)
Any default vendor passwords with Central Administrator or registry administrator access rights shall be changed immediately after installation of the software and hardware for the Community independent transaction log or registry.
- (e)
Authorised representatives shall be required to change any temporary passwords they have been given upon accessing the secure area of the Community independent transaction log or registry for the first time, and thereafter shall be required to change their passwords every two months at a minimum.
- (f)
The password management system shall maintain a record of previous passwords for an authorised representative and prevent re-use of the previous ten passwords for that authorised representative. Passwords shall have a minimum length of 8 characters and be a mix of numeric and alphabetical characters.
- (g)
Passwords shall not be displayed on a computer screen when being entered by an authorised representative, and password files shall not be directly visible to an authorised representative of the Central Administrator or registry administrator.
Communication link between the Community independent transaction log and the general public, and each registry and the general public
5.
The public area of the website of the Community independent transaction log and the public website of a registry shall not require authentication of its users representing the general public.
6.
The public area of the Community independent transaction log website and the public area of a registry website shall not permit its users representing the general public to directly access data from the database of the Community independent transaction log or the database of that registry. Data which is publicly accessible in accordance with Annex XVI shall be accessed via a separate database.
General security requirements for the Community independent transaction log and each registry
7.
The following general security requirements shall apply to the Community independent transaction log and each registry:
- (a)
A firewall shall protect the Community independent transaction log and each registry from the Internet, and shall be configured as strictly as is possible to limit traffic to and from the Internet.
- (b)
The Community independent transaction log and each registry shall run regular virus scans on all nodes, workstations and servers within their networks. Anti-virus software shall be updated regularly.
- (c)
The Community independent transaction log and each registry shall ensure that all node, workstation and server software is correctly configured and routinely patched as security and functional updates are released.
- (d)
When necessary, the Community independent transaction log and each registry shall apply additional security requirements to ensure that the registry system is able to respond to new security threats.
ANNEX XVIReporting requirements of each registry administrator and the Central Administrator
Publicly available information from each registry and the Community independent transaction log
1.
The Central Administrator shall display and update the information in paragraphs 2 to 4 in respect of the registry system on the public area of the Community independent transaction log's web site, in accordance with the specified timing, and each registry administrator shall display and update this information in respect of its registry on the public area of that registry's web site, in accordance with the specified timing.
2.
The following information for each account shall be displayed in the week after the account has been created in a registry, and shall be updated on a weekly basis:
- (a)
account holder name: the holder of the account (person, operator, Commission, Member State);
- (b)
alphanumeric identifier: the identifier specified by the account holder assigned to each account;
- (c)
name, address, city, postcode, country, telephone number, facsimile number and email address of the primary and secondary authorised representatives of the account specified by the account holder for that account.
3.
The following additional information for each operator holding account shall be displayed in the week after the account has been created in the registry, and shall be updated on a weekly basis:
- (a)
points 1 to 4.1, 4.4 to 5.5 and point 7 (activity 1) of the information identifying the installation related to the operator holding account as listed in section 11.1 of Annex I to Commission Decision 2004/156/EC;
- (b)
permit identification code: the code assigned to the installation related to the operator holding account comprising the elements set out in Annex VI;
- (c)
installation identification code: the code assigned to the installation related to the operator holding account comprising the elements set out in Annex VI;
- (d)
allowances and any force majeure allowances allocated to the installation related to the operator holding account, which is part of the national allocation plan table or is a new entrant, under Article 11 of Directive 2003/87/EC.
4.
The following additional information for each operator holding account for the years 2005 onwards shall be displayed in accordance with the following specified dates:
- (a)
verified emissions figure for the installation related to the operator holding account for year X shall be displayed from 15 May onwards of year (X+1);
- (b)
allowances surrendered pursuant to Articles 52, 53 and 54, by unit identification code, for year X shall be displayed from 15 May onwards of year (X+1);
- (c)
a symbol identifying whether the installation related to the operator holding account is or is not in breach of its obligation under Article 6(2)(e) of Directive 2003/87/EC for year X shall be displayed from 15 May onwards of year (X+1).
Publicly available information from each registry
5.
Each registry administrator shall display and update the information in paragraphs 6 to 10 in respect of its registry on the public area of that registry's web site, in accordance with the specified timing.
6.
The following information for each project identifier for a project activity implemented pursuant to Article 6 of the Kyoto Protocol against which the Member State has issued ERUs shall be displayed in the week after the issue has taken place:
- (a)
project name: a unique name for the project;
- (b)
project location: the Member State and town or region in which the project is located;
- (c)
years of ERU issuance: the years in which ERUs have been issued as a result of the project activity implemented pursuant to Article 6 of the Kyoto Protocol;
- (d)
reports: downloadable electronic versions of all publicly available documentation relating to the project, including proposals, monitoring, verification and issuance of ERUs, where relevant, subject to the confidentiality provisions in Decision -/CMP.1 [Article 6] of the Conference of the Parties to the UNFCCC serving as the meeting of the Parties to the Kyoto Protocol.
7.
The following holding and transaction information, by unit identification code comprising the elements set out in Annex VI, relevant for that registry for the years 2005 onwards shall be displayed in accordance with the following specified dates:
- (a)
the total quantity of ERUs, CERs, AAUs and RMUs held in each account (person holding, operator holding, Party holding, cancellation, replacement or retirement) on 1 January of year X shall be displayed from 15 January onwards of year (X+5);
- (b)
the total quantity of AAUs issued in year X on the basis of the assigned amount pursuant to Article 7 of Decision No 280/2004/EC shall be displayed from 15 January onwards of year (X+1);
- (c)
the total quantity of ERUs issued in year X on the basis of project activity implemented pursuant to Article 6 of the Kyoto Protocol shall be displayed from 15 January onwards of year (X+1);
- (d)
the total quantity of ERUs, CERs, AAUs and RMUs acquired from other registries in year X and the identity of the transferring accounts and registries shall be displayed from 15 January onwards of year (X+5);
- (e)
the total quantity of RMUs issued in year X on the basis of each activity under Article 3, paragraphs 3 and 4 of the Kyoto Protocol shall be displayed from 15 January onwards of year (X+1);
- (f)
the total quantity of ERUs, CERs, AAUs and RMUs transferred to other registries in year X and the identity of the acquiring accounts and registries shall be displayed from 15 January onwards of year (X+5);
- (g)
the total quantity of ERUs, CERs, AAUs and RMUs cancelled in year X on the basis of activities under Article 3, paragraphs 3 and 4 of the Kyoto Protocol shall be displayed from 15 January onwards of year (X+1);
- (h)
the total quantity of ERUs, CERs, AAUs and RMUs cancelled in year X following determination by the compliance committee under the Kyoto Protocol that the Member State is not in compliance with its commitment under Article 3, paragraph 1 of the Kyoto Protocol shall be displayed from 15 January onwards of year (X+1);
- (i)
the total quantity of other ERUs, CERs, AAUs and RMUs, or allowances, cancelled in year X and the reference to the Article pursuant to which these Kyoto units or allowances were cancelled under this Regulation shall be displayed from 15 January onwards of year (X+1);
- (j)
the total quantity of ERUs, CERs, AAUs, RMUs and allowances retired in year X shall be displayed from 15 January onwards of year (X+1);
- (k)
the total quantity of ERUs, CERs, AAUs carried over in year X from the previous commitment period shall be displayed from 15 January onwards of year (X+1);
- (l)
the total quantity of allowances from the previous commitment period cancelled and replaced in year X shall be displayed from 15 May onwards of year X;
- (m)
current holdings of ERUs, CERs, AAUs and RMUs in each account (person holding, operator holding, Party holding, cancellation or retirement) on 31 December of year X shall be displayed from 15 January onwards of year (X+5).
8.
The list of persons authorised by the Member State to hold ERUs, CERs, AAUs and/or RMUs under its responsibility shall be displayed in the week after such authorisations have been given, and shall be updated on a weekly basis.
9.
The total number of CERs and ERUs which operators are allowed to use for each period pursuant to Article 11a(1) of Directive 2003/87/EC shall be displayed in accordance with Article 30(3) of Directive 2003/87/EC.
10.
The commitment period reserve, calculated in accordance with Decision 18/CP.7 of the Conference of the Parties to the UNFCCC as 90 % of the Member State's assigned amount or 100 % of five times its most recently reviewed inventory, whichever is lowest, and the number of Kyoto units by which the Member State is exceeding, and therefore in compliance with, its commitment period reserve shall be displayed on request.
Publicly available information from the Community independent transaction log
11.
The Central Administrator shall display and update the information in paragraph 12 in respect of the registry system on the public area of the Community independent transaction log's web site, in accordance with the specified timing.
12.
The following information for each completed transaction relevant for the registries system for year X shall be displayed from 15 January onwards of year (X+5):
- (a)
account identification code of the transferring account: the code assigned to the account comprising the elements set out in Annex VI;
- (b)
account identification code of the acquiring account: the code assigned to the account comprising the elements set out in Annex VI;
- (c)
account holder name of the transferring account: the holder of the account (person, operator, Commission, Member State);
- (d)
account holder name of the acquiring account: the holder of the account (person, operator, Commission, Member State);
- (e)
allowances or Kyoto units involved in the transaction by unit identification code comprising the elements set out in Annex VI;
- (f)
transaction identification code: the code assigned to the transaction comprising the elements set out in Annex VI;
- (g)
date and time at which the transaction was completed (in Greenwich Mean Time);
- (h)
process type: the categorisation of a process comprising the elements set out in Annex VII.
Information from each registry to be made available to account holders
13.
Each registry administrator shall display and update the information in paragraph 14 in respect of its registry on the secure area of that registry's web site, in accordance with the specified timing.
14.
The following elements for each account, by unit identification code comprising the elements set out in Annex VI, shall be displayed on the account holder's request to that account holder only:
- (a)
current holdings of allowances or Kyoto units;
- (b)
list of proposed transactions initiated by that account holder, detailing for each proposed transaction the elements in paragraph 12(a) to (f), the date and time at which the transaction was proposed (in Greenwich Mean Time), the current status of that proposed transaction and any response codes returned consequent to the checks made pursuant to Annex IX;
- (c)
list of allowances or Kyoto units acquired by that account as a result of completed transactions, detailing for each transaction the elements in paragraph 12(a) to (g);
- (d)
list of allowances or Kyoto units transferred out of that account as a result of completed transactions, detailing for each transaction the elements in paragraph 12(a) to (g).