1 Andrew Howard UNFCCC secretariat International transaction log Transaction checks Intersessional consultations on registry systems Bonn 8-10 November 2004

2 ITL transaction checks Independently checks transactions proposed by registries 140 checks defined Primarily technical nature to ensure standard communications  46 checks defined Primarily policy-related nature to ensure conformity to modalities, rules and limits under Kyoto  15 general checks  78 transaction-specific checks

3 Check categories Version and authentication Can the ITL verify submitter ’ s identity? Message validityIs the message readable and complete? Registry validityAre registries involved able to operate? Transaction data integrityDoes the data makes sense? Message sequencesIs the message in the correct order? General transaction checks Does the message comply with general requirements for transactions? Transaction-specific checks Does the message comply with Kyoto requirements for the type of transaction?

4 ITL response code examples Response code Check nameProject identifierAAU issuance quantity Check description CERs, tCERs, lCERs and ERUs must have a valid project identifier The quantity of AAUs issued must not exceed allowed quantity for the commitment period Check categoryData integrityTransaction-specific Transaction typeAllIssuance

5 Technical checks Making the communication work

6 Version and authentication checks NoneCertificateMust be recognized NoneWSDL checkMessage conforms to WSDL 1031Major versionDES is up-to-date 1032Minor versionDES is up-to-date

7 Message viability checks 1301Message ageNot older than 24 hours

8 Registry checks 1501Initiating registryMust be known to the ITL 1503 Initiating registry transaction status Must allow transactions 1504 Acquiring registry transaction status Must allow transactions 1510Registry reconciliation statusMust allow reconciliation

9 Data integrity checks 2001Transaction type codeMust be valid 2004Transaction status codeMust be valid 2006Account type codeMust be valid 2007Initiating account identifier Must be between zero and 999,999,999,999, Unit serial range Block-end must be greater than block-start 2015LULUCF activity code RMUs, ERUs (from RMUs), tCERs and lCERs must have a valid code 2021Expiry date tCERs and lCERs must have a valid expiry date

10 Message sequence checks 3001Transaction ID not unique Proposed transaction requires a new identifier 3002Prior record of transaction ID Required for subsequent messages after proposal 3004 Transaction status out of sequence for rejected transaction Rejected transactions cannot be completed 3004 Transaction status out of sequence for ITL discrepancy status Transactions with ITL discrepancies cannot be completed 3011 Transaction status not compatible with initiating registry Initiating registries cannot give those statuses

11 Policy-related checks Ensuring conformity to Kyoto rules

12 General transaction checks 4001Applicable commitment period Must correspond to current or next period (incl. true-up) 4003Registry holds unitsMust be in initiating registry 4004Unit block attributesMust match those in ITL 4005 Single applicable commitment period All units have same commitment period ID 4010Units are availableNot subject to transactions 4012Units are retiredCannot be further transacted 4014 Units previously used in replacement Cannot be further transacted

13 Transaction processes Issuance Conversion External transfer Internal transfers -Cancellation -Replacement -Retirement Carry-over Expiry date change Internal transfer (for an STL)

14 External data sources Compilation and accounting (C&A) database Quantity of AAUs that may be issued Quantity of RMUs that may be issued -by LULUCF code -annually or for the commitment period CDM information system Quantity of CDM credits that may be issued Choice between CER or tCER/lCER issuance JI information system (track 2) Quantity of ERUs that may be converted Choice between AAUs or RMUs for the conversion

15 Issuance checks 5003CDM registry issuance CERs, tCERs and lCERs must be issued in CDM registry 5006 Consistent applicable commitment period Applicable CP identifier same as original CP identifier 5008AAU issuance quantity Must not exceed amount specified in C&A database 5010CDM issuance unit type Unit type must be consistent with CDM project activity 5011 Consistency of unit type for CDM LULUCF projects Unit type must be consistent with previous issuances 5014CDM project identifierMust be present 5015tCER expiry dateMust be present

16 Cancellation 5151 Net-source, non-compliance and voluntary cancellation must take place in a national registry Must not be attempted by the CDM registry 5153 Acquiring account for cancellation must be a cancellation account Must not be attempted for other account types 5154Cancellation account identifier Account identifier must be supplied 5155 Cancellation account commitment period Applicable CP identifier same as cancellation account 5156 tCER and lCER cancellation to net-source and non-compliance cancellation accounts Must not be attempted 5158 Notification ID for net source cancellations ITL notification identifier must be provided