1. 1 Functional specification: data exchange standards Pre-sessional consultations on registries 2 June 2003 Bonn, Germany Andrew Howard UNFCCC secretariat www.unfccc.int ahoward@unfccc.int

2. 2 Scope Development stages Introduce the functional specification Map the specification against COP decisions Implications for registry developers Indicate necessary refinements in the specification

3. 3 Registry systems and data exchange CDM registry (for Non-Annex I Parties) Sender/receiver National registry (of an Annex I Party) Sender/receiver Transaction log Communication via the data exchange standards Autochecks Sender/receiver Communications hub

4. 4 The data exchange standards Transactions are enacted through data exchange Standards ensure sufficient harmonization Data formats for data exchange Sender/receiver units of registries and the transaction log Behind-the-scenes to ensure accuracy and auditability

5. 5 Data exchange standards development stages Dec 2003 Technical specifications Detail on how they are to be implemented Current Functional specifications Requirements on what the standards are to mandate Data exchange standard in decision 24/CP.8 COP 8 General design requirements Development mandated in decision 19.CP.7 COP 7

6. 6 Purpose of the functional specification To translate COP decisions into technical terms To guide the later technical specification of the standards This is done through identifying Key requirements that the standards are to mandate Mandatory constraints on how the requirements are fulfilled Acceptance criteria for non-mandatory aspects  Written in technical terms for a technical audience Read in conjunction with the glossary!

7. 7 Structure of the document Introduction Outline of the purpose, scope and derivation documents Assumptions What is to hold true for the functional specification to be valid Data transfer format Functional and non-functional requirements Registries Functional and non-functional requirements Transaction log Functional and non-functional requirements General constraints General boundaries that the standards must stay within Interfaces Defines the interfaces that must be supported by the standards Functional specification

8. 8 Registries (functional requirements) COP decisionRequirementReference Unique numbersSerial number elements Transaction number elements Account number elements Message identification 4.1.1 4.1.2 4.1.3 4.1.8 Full audit trailLogging transactions Logging messages and notifications Record retention 4.1.4 4.1.5 4.1.6 Compatible messages Communication hub Central authentication Conform to transaction log sequences All communication through the hub Authentication info from transaction log 4.1.9 4.1.11 4.1.12 Stop discrepanciesIf discrepancy, terminate transaction Provide reference data to the log 4.1.10 4.1.7 ReconciliationProvide holdings and entity data to log Resolve through manual adjustments 4.1.13 4.1.14

9. 9 Registries (non-functional requirements) TopicRequirementReference DataAccuracy of data Integrity of data Discrepancy prevention 4.2.1 4.2.2 4.2.9 PerformanceEfficient processing of data System testing “Minimum” downtime 4.2.3 4.2.4 4.2.5 SafetyProtect against unauthorized access Protect from attack Safeguards, recovery of data/service 4.2.6 4.1.7 4.1.8

10. 10 Transaction log (functional requirements) COP decisionRequirementReference Full audit trailLogging transactions Logging messages and notifications Logging users of the transaction log Record retention 5.1.2 5.1.3 5.1.4 5.1.7 Communication hub Central authentication Provide communications hub Provide authentication information 5.1.8 5.1.1 Transaction finalityPoints in sequences to be agreed5.1.9 ReconciliationCheck holdings and entity data Resolve through manual adjustments 5.1.10 5.1.11

11. 11 Transaction log (non-functional requirements) TopicRequirementReference DataAccuracy of data Integrity of data 5.2.1 5.2.2 PerformanceEfficient processing of data System testing “Minimum” downtime 5.2.3 5.2.4 5.2.5 SafetyProtect against unauthorized access Protect from attack Safeguards, recovery of data/service 5.2.6 5.1.7 5.1.8

12. 12 Data transfer format (functional requirements) COP decisionRequirementReference Transaction infoNumber Transaction type Transaction record Stage information Status information Time of creation Destination registry Information on authorized entities 3.1.1 3.1.2 3.1.3 3.1.4 3.1.5 3.1.8 3.1.11 3.1.12 Indicate discrepancyDiscrepancy information3.1.6 Message and notification information Authentication information 3.1.7 3.1.9 Free-text content3.1.10

13. 13 Data transfer format (non-functional requirements) TopicRequirementReference FlexibilityData format additions LanguagesSupport non-Roman characters on any operating system

14. 14 General constraints COP decisionGeneral constraintReference Reliable data stream6.1 IndependenceIndustry standards preferred Product and vendor independence 6.2 6.3

15. 15 Interfaces RequirementReference ConnectionsAwareness of client connection state Auto-logout timer 7.1.7 7.1.8 ContentSend data/messages Receive data/messages 7.1.5 7.1.6 TransferAccuracy Confidentiality Security 7.1.2 7.1.3 7.1.4