2004R2216 — EN — 04.08.2007 — 001.001

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This document is meant purely as a documentation tool and the institutions do not assume any liability for its contents

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COMMISSION REGULATION (EC) No 2216/2004 of 21 December 2004 for a standardised and secured system of registries pursuant to Directive 2003/87/EC of the European Parliament and of the Council and Decision No 280/2004/EC of the European Parliament and of the Council (Text with EEA relevance) (OJ L 386, 29.12.2004, p.1)

Amended by:

		Official Journal
		No	page	date
►M1	COMMISSION REGULATION (EC) No 916/2007 of 31 July 2007	L 200	5	1.8.2007

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COMMISSION REGULATION (EC) No 2216/2004

of 21 December 2004

for a standardised and secured system of registries pursuant to Directive 2003/87/EC of the European Parliament and of the Council and Decision No 280/2004/EC of the European Parliament and of the Council

(Text with EEA relevance)

TABLE OF CONTENTS
Chapter I	Subject matter and definitions
Chapter II	Registries and transaction logs
Chapter III	Contents of the registries
Section 1	Reporting and Confidentiality
Section 2	Accounts
Section 3	Party accounts
Section 4	Operator holding accounts
Section 5	Person holding accounts
Section 6	Tables
Section 7	Codes and identifiers
Chapter IV	Checks and processes
Section 1	Blocking of accounts
Section 2	Automated checks and the data reconciliation process
Section 3	Execution and finalisation of processes
Chapter V	Transactions
Section 1	Allocation and issue of allowances for the 2005-2007 period
Section 2	Allocation and issue of allowances for the 2008-2012 period and each subsequent five year period
Section 3	Transfers and eligibility
Section 4	Verified emissions
Section 5	Surrender of allowances
Section 6	Cancellation and retirement
Section 7	Cancellation and replacement
Section 8	Voluntary cancellation and retirement
Chapter VI	Security standards, authentication and access rights
Chapter VII	Availability and reliability of information
Chapter VIII	Records and fees
Chapter IX	Final provisions
Annex I
Annex II
Annex III
Annex IV
Annex V
Annex VI
Table VI-1:	Unit Identification Code
Table VI-2:	Valid Initial Unit Type – Supplementary Unit Type
Table VI-3:	Account Identification Code
Table VI-4:	Permit Identification Code
Table VI-5:	Account Holder Identification Code
Table VI-6:	Installation Identification Code
Table VI-7:	Correlation Identification Code
Annex VII
Annex VIII
Table VIII-1:	Message Sequence Diagram for Processes concerning an Account or Verified Emissions
Table VIII-2:	Status Diagram for Processes concerning an Account or Verified Emissions
Table VIII-3:	Components and Functions for Processes concerning an Account or Verified Emissions
Table VIII-4:	MgmtOfAccountWS Component
Table VIII-5:	MgmtOfAccountWS.CreateAccount() function
Table VIII-6:	MgmtOfAccountWS.UpdateAccount() function
Table VIII-7:	MgmtOfAccountWS.CloseAccount() function
Table VIII-8:	MgmtOfAccountWS.UpdateVerifiedEmissions() function
Table VIII-9:	MgmtOfAccountWS.ReceiveAccountOperationOutcome() function
Table VIII-10:	AccountManagement Component
Table VIII-11:	ManagementOfAccount.ValidateAccountCreation() function
Table VIII-12:	ManagementOfAccount.CreateAccount() function
Table VIII-13:	AccountManagement.ValidateAccountUpdate() function
Table VIII-14:	ManagementOfAccount.UpdateAccount() function
Table VIII-15:	ManagementOfAccount.ValidateAccountClosure() function
Table VIII-16:	ManagementOfAccount.CloseAccount()
Table VIII-17:	ManagementOfAccount.ValidateVerifiedEmissionsUpdate()
Table VIII-18:	ManagementOfAccount.UpdateVerifiedEmissions
Table VIII-19:	Secondary Checks
Annex IX
Table IX-1:	Tertiary Checks
Annex X
Table X-1:	Secondary Checks
Annex XI
Annex XII
Table XII-1:	Community Independent Transaction Log Response Codes
Annex XIII
Annex XIV
Annex XV
Annex XVI

CHAPTER I

SUBJECT MATTER AND DEFINITIONS

Article 1

Subject matter

This Regulation lays down general provisions, functional and technical specifications and operational and maintenance requirements concerning the standardised and secured registries system consisting of registries, in the form of standardised electronic databases containing common data elements, and the Community independent transaction log. It also provides for an efficient communication system between the Community independent transaction log and the UNFCCC independent transaction log.

Article 2

Definitions

For the purposes of this Regulation, the definitions laid down in Article 3 of Directive 2003/87/EC shall apply. The following definitions shall also apply:

CHAPTER II

REGISTRIES AND TRANSACTION LOGS

Article 3

Registries

1.  A registry in the form of a standardised electronic database shall be established by each Member State and the Commission by the day after the entry into force of this Regulation.

2.  Each registry shall incorporate the hardware and software set out in Annex I, be accessible via the Internet, and conform to the functional and technical specifications required by this Regulation.

3.  Each registry shall be capable of executing correctly all the processes concerning verified emissions and accounts set out in Annex VIII, the reconciliation process set out in Annex X and all the administrative processes set out in Annex XI by the day after the entry into force of this Regulation.

Each registry shall be capable of executing correctly all the processes concerning allowances and Kyoto units set out in Annex IX by the day after the entry into force of this Regulation, with the exception of the processes with process types 04-00, 06-00, 07-00 and 08-00.

Each registry shall be capable of executing correctly the processes concerning allowances and Kyoto units with process types 04-00, 06-00, 07-00 and 08-00 set out in Annex IX by 31 March 2005.

Article 4

Consolidated registries

A Member State or the Commission may establish, operate and maintain their registry in a consolidated manner together with one or more other Member States or the Community, provided that its registry remains distinct.

Article 5

The Community independent transaction log

1.  The Community independent transaction log shall be established by the Commission in the form of a standardised electronic database by the day after the entry into force of this Regulation.

2.  The Community independent transaction log shall incorporate the hardware and software set out in Annex I, be accessible via the Internet, and conform to the functional and technical specifications required by this Regulation.

3.  The Central Administrator designated pursuant to Article 20 of Directive 2003/87/EC shall operate and maintain the Community independent transaction log in accordance with the provisions of this Regulation.

4.  The Central Administrator shall provide the administrative processes referred to in Annex XI in order to facilitate the integrity of the data within the registries system.

5.  The Central Administrator shall only perform processes concerning allowances, verified emissions, accounts or Kyoto units where necessary to carry out its functions as Central Administrator.

6.  The Community independent transaction log shall be capable of executing correctly all the processes concerning allowances, verified emissions, accounts or Kyoto units set out in Annex VIII and Annex IX by the day after the entry into force of this Regulation.

The Community independent transaction log shall be capable of executing correctly the reconciliation process set out in Annex X and the administrative processes set out in Annex XI by the day after the entry into force of this Regulation.

Article 6

Communication link between registries and the Community independent transaction log

1.  A communication link between each registry and the Community independent transaction log shall be established by 31 December 2004.

The Central Administrator shall activate the communication link after the testing procedures set out in Annex XIII and the initialisation procedures set out in Annex XIV have been completed successfully and notify the relevant registry administrator thereof.

2.  From 1 January 2005 until the communication link referred to in Article 7 has been established, all processes concerning allowances, verified emissions and accounts shall be completed through the exchange of data via the Community independent transaction log.

3.  The Commission may instruct the Central Administrator to temporarily suspend a process referred to in Annexes VIII and IX initiated by a registry if that process is not being executed in accordance with Articles 32 to 37.

The Commission may instruct the Central Administrator to temporarily suspend the communication link between a registry and the Community independent transaction log or to suspend all or some of the processes referred to in Annexes VIII and IX, if that registry is not operated and maintained in accordance with the provisions of this Regulation.

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Article 7

Communication link between the independent transaction logs

1.  A communication link between the Community independent transaction log and the UNFCCC independent transaction log shall be considered as established when these systems are linked on the basis of a decision taken by the Central Administrator after consulting the Climate Change Committee. The Central Administrator shall establish and maintain such a link when

2.  If the conditions provided for in paragraph 1 are not met, the Commission may, subject to the majority support of the Climate Change Committee, instruct the Central Administrator to establish and maintain such a link.

3.  After having established the link described in 1., all processes concerning allowances, verified emissions, accounts, automatic national allocation plan table changes and Kyoto units shall be completed through the exchange of data via the UNFCCC independent transaction log and thereon to the Community independent transaction log.

4.  The Commission shall evaluate and report to the Climate Change Committee on options for connecting registries, the UNFCCC independent transaction log and the Community independent transaction log different from the one described in 3.In particular it shall be considered whether all processes concerning allowances and Kyoto units shall be completed through the exchange of data via the Community independent transaction log and thereon to the UNFCCC independent transaction log and all processes concerning verified emissions, accounts and automatic national allocation plan table changes shall be completed through the exchange of data via the Community independent transaction log.

5.  Each Member State shall deliver to the administrator of the UNFCCC independent transaction log and the Central Administrator the documentation required for the initialisation of each registry with the UNFCCC independent transaction log, and by 1 September 2007 each registry shall be technically prepared for the initialisation process to commence, in accordance with 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.  The decisions referred to in paragraphs 1 and 2 shall, where possible be adopted at least three months prior to their implementation.

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Article 8

Registry administrators

1.  Each Member State and the Commission shall designate a registry administrator to operate and maintain its registry in accordance with the provisions of this Regulation.

Member States and the Commission shall ensure that there is no conflict of interest between the registry administrator and its account holders or between the registry administrator and the Central Administrator.

2.  Each Member State shall notify the Commission of the identity and contact details of the registry administrator for its registry by 1 September 2004 in accordance with the initialisation procedures set out in Annex XIV.

3.  The Member States and the Commission shall retain ultimate responsibility and authority for the operation and maintenance of their registries.

4.  The Commission shall coordinate the implementation of the requirements of this Regulation with the registry administrators of each Member State and the Central Administrator.

CHAPTER III

CONTENTS OF THE REGISTRIES

SECTION 1

Reporting and Confidentiality

Article 9

Reporting

1.  Each registry administrator shall make available the information listed in Annex XVI at the frequencies and to the recipients set out in Annex XVI in a transparent and organised manner via his registry web site. Registry administrators shall not release additional information held in the registry.

2.  The Central Administrator shall make available the information listed in Annex XVI at the frequencies and to the recipients set out in Annex XVI in a transparent and organised manner via the Community independent transaction log web site. The Central Administrator shall not release additional information held in the Community independent transaction log.

3.  Each web site shall allow the recipients of the reports listed in Annex XVI to query those reports using search facilities.

4.  Each registry administrator is responsible for the accuracy of the information that originates from his registry and is made available via the Community independent transaction log website.

5.  Neither the Community independent transaction log nor registries shall require account holders to submit price information concerning allowances or Kyoto units.

Article 10

Confidentiality

1.  All information, including the holdings of all accounts and all transactions made, held in the registries and the Community independent transaction log shall be considered confidential for any purpose other than the implementation of the requirements of this Regulation, Directive 2003/87/EC or national law.

2.  Information held in the registries may not be used without the prior consent of the relevant account holder except to operate and maintain those registries in accordance with the provisions of this Regulation.

3.  Each competent authority and registry administrator shall only perform processes concerning allowances, verified emissions, accounts or Kyoto units where necessary to carry out their functions as competent authority or registry administrator.

SECTION 2

Accounts

Article 11

Accounts

1.  From 1 January 2005 onwards, each registry shall contain at least one Party holding account created in accordance with Article 12.

2.  From 1 January 2005 onwards, each Member State registry shall contain one operator holding account for each installation created in accordance with Article 15 and each registry shall contain at least one person holding account for each person created in accordance with Article 19.

3.  From 1 January 2005 onwards, each registry shall contain one retirement account and one cancellation account for the 2005-2007 period and one cancellation account for the 2008-2012 period, created in accordance with Article 12.

4.  From 1 January 2008 and from 1 January of the first year of each subsequent five-year period, each registry shall contain one retirement account and the cancellation and replacement accounts required by the relevant decisions adopted pursuant to the UNFCCC or the Kyoto Protocol for the 2008-2012 period and for each subsequent five-year period, created in accordance with Article 12.

5.  Unless otherwise provided, all accounts shall be capable of holding allowances and Kyoto units.

SECTION 3

Party accounts

Article 12

Creation of Party accounts

1.  The relevant body of the Member State and the Commission shall submit an application to their respective registry administrator for the creation in their registries of the accounts referred to in Article 11(1), (3) and (4).

The applicant shall provide the registry administrator with the information reasonably required by the registry administrator. That information shall include the information set out in Annex IV.

2.  Within 10 days of the receipt of an application in accordance with paragraph 1 or the activation of the communication link between the registry and the Community independent transaction log, whichever is the later, the registry administrator shall create the account in the registry in accordance with the account creation process set out in Annex VIII.

3.  The applicant referred to in paragraph 1 shall notify its registry administrator within 10 days of any changes in the information provided to its registry administrator pursuant to paragraph 1. Within 10 days of the receipt of such a notification the registry administrator shall update that information in accordance with the account update process set out in Annex VIII.

4.  The registry administrator may require the applicants referred to in paragraph 1 to agree to comply with reasonable terms and conditions addressing the issues set out in Annex V.

Article 13

Closure of Party accounts

Within 10 days of the receipt of an application from the relevant body of a Member State or from the Commission to close a Party holding account, its registry administrator shall close the account in accordance with the account closure process set out in Annex VIII.

Article 14

Notification

The registry administrator shall immediately notify the account holder of the creation or update of his Party accounts and of the closure of his Party holding accounts.

SECTION 4

Operator holding accounts

Article 15

Creation of operator holding accounts

1.  Within 14 days of the issue of each greenhouse gas emissions permit to the operator of an installation where the installation has not previously been covered by such a permit or the activation of the communication link between the registry and the Community independent transaction log, whichever is the later, the competent authority, or the operator where the competent authority so requires, shall provide the registry administrator of the Member State registry with the information set out in Annex III.

2.  Within 10 days of the receipt of the information in paragraph 1 or the activation of the communication link between the registry and the Community independent transaction log, whichever is the later, the registry administrator shall create an operator holding account referred to in Article 11(2) for each installation in its registry in accordance with the account creation process set out in Annex VIII.

3.  The competent authority, or the operator where the competent authority so requires, shall notify the registry administrator within 10 days of any changes in the information provided to the registry administrator pursuant to paragraph 1. Within 10 days of the receipt of such a notification the registry administrator shall update the operator’s details in accordance with the account update process set out in Annex VIII.

4.  The registry administrator may require operators to agree to comply with reasonable terms and conditions addressing the issues set out in Annex V.

Article 16

Holding of Kyoto units in operator holding accounts

An operator holding account shall be capable of holding Kyoto units where authorised by Member State or Community legislation.

Article 17

Closure of operator holding accounts

1.  The competent authority shall notify the registry administrator within 10 days of a greenhouse gas emissions permit being revoked or surrendered for an installation that is, as a result, not covered by any such permit. Without prejudice to paragraph 2, the registry administrator shall close all operator holding accounts relating to that revocation or surrender in accordance with the account closure process set out in Annex VIII on 30 June the year after the revocation or surrender took place if the relevant installation’s entry in the latest year of the compliance status table is greater than or equal to zero. If the relevant installation’s entry in the latest year of the compliance status table is less than zero, the registry administrator shall close its account the day after the entry is greater than or equal to zero or the day after the competent authority has instructed the registry administrator to close the account because there is no reasonable prospect of further allowances being surrendered by the installation’s operator.

2.  If there is a positive balance of allowances or Kyoto units in an operator holding account which the registry administrator is to close in accordance with paragraph 1, the registry administrator shall first request the operator to specify another account within the registry system to which such allowances or Kyoto units shall then be transferred. If the operator has not responded to the registry administrator’s request within 60 days, the registry administrator shall transfer the balance to the Party holding account.

Article 18

Notification

The registry administrator shall immediately notify the account holder of the creation, update or closure of his operator holding account.

SECTION 5

Person holding accounts

Article 19

Creation of person holding accounts

1.  An application for the creation of a person holding account shall be submitted to the registry administrator of the registry concerned.

The applicant shall provide the registry administrator with the information reasonably required by the registry administrator. That information shall include the information set out in Annex IV.

2.  Within 10 days of the receipt of an application in accordance with paragraph 1 or the activation of the communication link between the registry and the Community independent transaction log, whichever is the later, the registry administrator shall create a person holding account in its registry in accordance with the account creation process set out in Annex VIII.

The registry administrator shall not establish more than 99 person holding accounts in any one person’s name in its registry.

3.  The applicant shall notify the registry administrator within 10 days of any changes in the information provided to the registry administrator pursuant to paragraph 1. Within 10 days of the receipt of such a notification the registry administrator shall update the person’s details in accordance with the account update process set out in Annex VIII.

4.  The registry administrator may require the applicants referred to in paragraph 1 to agree to comply with reasonable terms and conditions addressing the issues set out in Annex V.

Article 20

Holding of Kyoto units in person holding accounts

A person holding account shall be capable of holding Kyoto units where authorised by Member State or Community legislation.

Article 21

Closure of person holding accounts

1.  Within 10 days of the receipt of an application from a person to close a person holding account, the registry administrator shall close the account in accordance with the account closure process set out in Annex VIII.

2.  If a person holding account has a zero balance and no transactions have been recorded during a period of 12 months, the registry administrator shall notify the account holder that the person holding account shall be closed within 60 days unless the registry administrator receives within that period a request from the account holder that the person holding account be maintained. If the registry administrator does not receive any such request from the account holder, it shall close the account in accordance with the account closure process set out in Annex VIII.

Article 22

Notification

The registry administrator shall immediately notify each account holder of the creation, update or closure of his person holding account.

Article 23

Authorised representatives

1.  Each account holder shall appoint a primary and a secondary authorised representative for each account created in accordance with Articles 12, 15 and 19. Requests to the registry administrator to carry out processes shall be submitted by an authorised representative on behalf of the account holder.

2.  Each Member State and the Commission may allow account holders in its registry to nominate an additional authorised representative whose agreement is required in addition to the agreement of the primary or secondary authorised representative to submit a request to their registry administrator to carry out one or more of the processes pursuant to Articles 49(1), 52, 53 and 62.

3.  Each verifier shall appoint at least one authorised representative to enter or approve the entry of the annual verified emissions for an installation into the verified emissions table in accordance with Article 51(1).

4.  Each registry administrator and the Central Administrator shall appoint at least one authorised representative to operate and maintain their registry and the Community independent transaction log on behalf of that administrator.

SECTION 6

Tables

Article 24

Tables

1.  From 1 January 2005 onwards, each Member State registry shall contain one verified emissions table, one surrendered allowances table, and one compliance status table.

Each registry may contain additional tables for other purposes.

2.  The Community independent transaction log shall contain one national allocation plan table for each Member State for the 2005-2007 period, the 2008-2012 period and for each subsequent five-year period.

The Community independent transaction log may contain additional tables for other purposes.

3.  The tables in each Member State registry shall contain the information set out in Annex II. The operator holding accounts and person holding accounts shall contain the information set out in Annex XVI.

The national allocation plan table in the Community independent transaction log shall contain the information set out in Annex XIV.

SECTION 7

Codes and identifiers

Article 25

Codes

Each registry shall contain the input codes set out in Annex VII and the response codes set out in Annex XII in order to ensure the correct interpretation of information exchanged during each process.

Article 26

Account identification codes and alphanumeric identifiers

Before creating an account the registry administrator shall assign to each account a unique account identification code and the alphanumeric identifier specified by the account holder as part of the information given under Annexes III and IV respectively. Before creating an account, the registry administrator shall also assign to the account holder a unique account holder identification code comprising the elements set out in Annex VI.

CHAPTER IV

CHECKS AND PROCESSES

SECTION 1

Blocking of accounts

Article 27

Blocking of operator holding accounts

1.  If, on 1 April of each year starting in 2006, an installation’s annual verified emissions for the preceding year have not been entered into the verified emissions table in accordance with the verified emissions entry process set out in Annex VIII, the registry administrator shall block the transfer of any allowances out of the operator holding account for that installation.

2.  When the installation’s annual verified emissions for the year referred to in paragraph 1 have been entered into the verified emissions table, the registry administrator shall unblock the account.

3.  The registry administrator shall immediately notify the relevant account holder and the competent authority of the blocking and unblocking of each operator holding account.

4.  Paragraph 1 shall not apply to the surrender of allowances pursuant to Article 52 or the cancellation and replacement of allowances pursuant to Articles 60 and 61.

SECTION 2

Automated checks and the data reconciliation process

Article 28

Detection of discrepancies by the Community independent transaction log

1.  The Central Administrator shall ensure that the Community independent transaction log conducts the automated checks set out in Annex VIII, Annex IX and Annex XI for all processes concerning allowances, verified emissions, accounts and Kyoto units to ensure that there are no discrepancies.

2.  If the automated checks referred to in paragraph 1 identify a discrepancy in a process under Annex VIII, Annex IX and Annex XI, the Central Administrator shall immediately inform the registry administrator or administrators concerned by returning an automated response detailing the exact nature of the discrepancy using the response codes set out in Annex VIII, Annex IX and Annex XI. Upon receiving such a response code for a process under Annex VIII or Annex IX, the registry administrator of the initiating registry shall terminate that process and inform the Community independent transaction log. The Central Administrator shall not update the information contained in the Community independent transaction log. The registry administrator or administrators concerned shall immediately inform the relevant account holders that the process has been terminated.

Article 29

Detection of inconsistencies by the Community independent transaction log

1.  The Central Administrator shall ensure that the Community independent transaction log periodically initiates the data reconciliation process set out in Annex X. For that purpose the Community independent transaction log shall record all processes concerning allowances, accounts and Kyoto units.

Through that process, the Community independent transaction log shall check that the holdings of Kyoto units and allowances in each account in a registry are identical to the records held in the Community independent transaction log.

2.  If an inconsistency is detected during the data reconciliation process, the Central Administrator shall immediately inform the registry administrator or administrators concerned. If the inconsistency is not resolved, the Central Administrator shall ensure that the Community independent transaction log does not allow any further process under Annex VIII and Annex IX concerning any of the allowances, accounts or Kyoto units which are the subject of the earlier inconsistency to proceed.

Article 30

Detection of discrepancies and inconsistencies by the UNFCCC independent transaction log

1.  If the UNFCCC independent transaction log, following an automated check, informs the registry administrator or administrators concerned of a discrepancy in a process, the registry administrator of the initiating registry shall terminate the process and inform the UNFCCC independent transaction log thereof. The registry administrator or administrators concerned shall immediately inform the relevant account holders that the process has been terminated.

2.  If the UNFCCC independent transaction log has detected an inconsistency, the Central Administrator shall ensure that the Community independent transaction log does not allow any further process under Annex VIII and Annex IX concerning any of the Kyoto units which are the subject of the earlier inconsistency, and which is not subject to the UNFCCC independent transaction log’s automated checks, to proceed.

Article 31

Registry automated checks

Prior to and during the execution of all processes the registry administrator shall ensure that appropriate automated checks are conducted within the registry, in order to detect discrepancies and thereby terminate processes in advance of automated checks being conducted by the Community independent transaction log or UNFCCC independent transaction log.

SECTION 3

Execution and finalisation of processes

Article 32

Processes

Each process shall follow the complete sequence for message exchanges for that type of process as set out in Annex VIII, Annex IX, Annex X and Annex XI. Each message shall conform to the format and informational requirements described using web services description language as elaborated pursuant to the UNFCCC or the Kyoto Protocol.

Article 33

Identification codes

The registry administrator shall assign to each process referred to in Annex VIII a unique correlation identification code and to each process referred to in Annex IX a unique transaction identification code. Each such identification code shall comprise the elements set out in Annex VI.

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Article 34

Finalisation of processes concerning accounts, automatic national allocation plan table changes and verified emissions

When there is a communication link established between the two independent transaction logs and if all processes concerning accounts, automatic national allocation plan table changes and verified emissions are completed through the exchange of data via the UNFCCC independent transaction log, these shall be final when both independent transaction logs successfully inform the initiating registry that they have not detected any discrepancies in the proposal sent by the initiating registry.

In all other cases than those referred to in the first paragraph, all processes concerning accounts, automatic national allocation plan table changes and verified emissions shall be final when the Community independent transaction log successfully informs the initiating registry that it has not detected any discrepancies in the proposal sent by the initiating registry.

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Article 34a

Manual reversal of finalised transactions initiated in error

1.  If an account holder or a registry administrator acting on behalf of the account holder unintentionally or erroneously initiated a transaction under Articles 52, 53, 58 or 62(2), it may propose to its registry administrator to carry out a manual reversal of the transaction in a written request duly signed by the authorised representative or representatives of the account holder that are able to initiate a transaction and posted within five working days of the finalisation of the transaction or the entry into force of this Regulation whichever is the later. The request shall contain a statement indicating that the transaction was initiated erroneously or unintentionally.

2.  The registry administrator may notify the Central Administrator of the request and its intention to carry out a specific manual intervention in its database in order to reverse the transaction, within 30 calendar days of its decision on reversing the transaction, but not later than 60 calendar days of the finalisation of the transaction or the entry into force of this Regulation, whichever is the later.

The Central Administrator shall, within 30 calendar days of its receipt of the registry administrator’s notification under the first subparagraph of paragraph 2 carry out a manual intervention in the Community independent transaction log database that is corresponding to the one specified in the notification of the registry administrator if:

3.  The registry administrator may not reverse transactions pursuant to Article 52 and 53 if as a result, an operator would become non-compliant for a previous year.

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Article 35

Finalisation of processes concerning transactions within registries

All processes referred to in Annex IX, except the external transfer process, shall be final when both independent transaction logs inform the initiating registry that they have not detected any discrepancies in the proposal sent by the initiating registry and the initiating registry has successfully sent confirmation to both independent transaction logs that it has updated its records in accordance with its proposal.

However, prior to the communication link between the Community independent transaction log and the UNFCCC independent transaction log being established, all processes referred to in Annex IX, except the external transfer process, shall be final when the Community independent transaction log informs the initiating registry that it has not detected any discrepancies in the proposal sent by the initiating registry and the initiating registry has successfully sent confirmation to the Community independent transaction log that it has updated its records in accordance with its proposal.

Article 36

Finalisation of the external transfer process

The external transfer process shall be final when both independent transaction logs inform the acquiring registry that they have not detected any discrepancies in the proposal sent by the initiating registry and the acquiring registry has successfully sent confirmation to both independent transaction logs that it has updated its records in accordance with the initiating registry’s proposal.

However, prior to the communication link between the Community independent transaction log and the UNFCCC independent transaction log being established, the external transfer process shall be final when the Community independent transaction log informs the acquiring registry that it has not detected any discrepancies in the proposal sent by the initiating registry and the acquiring registry has successfully sent confirmation to the Community independent transaction log that it has updated its records in accordance with the initiating registry’s proposal.

Article 37

Finalisation of the reconciliation process

The reconciliation process referred to in Annex X shall be final when all inconsistencies between the information contained in a registry and the information contained in the Community independent transaction log for a specific time and date have been resolved, and the reconciliation process has been successfully re-initiated and completed for that registry.

CHAPTER V

TRANSACTIONS

SECTION 1

Allocation and issue of allowances for the 2005-2007 period

Article 38

National allocation plan table for the 2005-2007 period

1.  By 1 October 2004, each Member State shall notify to the Commission its national allocation plan table, corresponding to the decision taken under Article 11 of Directive 2003/87/EC. If the national allocation plan table is based upon the national allocation plan notified to the Commission which was not rejected under Article 9(3) of Directive 2003/87/EC or on which the Commission has accepted proposed amendments, the Commission shall instruct the Central Administrator to enter the national allocation plan table into the Community independent transaction log in accordance with the initialisation procedures set out in Annex XIV.

2.  A Member State shall notify each correction to its national allocation plan together with each corresponding correction in its national allocation plan table to the Commission. If the correction to the national allocation plan table is based upon the national allocation plan notified to the Commission which was not rejected under Article 9(3) of Directive 2003/87/EC or on which the Commission has accepted amendments and that correction is in accordance with methodologies set out in that national allocation plan or results from improvements in data, the Commission shall instruct the Central Administrator to enter the corresponding correction into the national allocation plan table held in the Community independent transaction log in accordance with the initialisation procedures set out in Annex XIV. In all other cases, the Member State shall notify the correction to its national allocation plan to the Commission and if the Commission does not reject this correction in accordance with the procedure in Article 9(3) of Directive 2003/87/EC, the Commission shall instruct the Central Administrator to enter the corresponding correction into the national allocation plan table held in the Community independent transaction log in accordance with the initialisation procedures set out in Annex XIV.

3.  The registry administrator shall, subsequent to any correction made pursuant to paragraph 2 which occurs after allowances have been issued under Article 39 and which reduces the total quantity of allowances issued under Article 39 for the 2005-2007 period, transfer the number of allowances specified by the competent authority from the holding accounts referred to in Article 11(1) and (2) in which the allowances are held to the cancellation account for the 2005-2007 period.

The correction shall take place in accordance with the correction to allowances process set out in Annex IX.

Article 39

Issue of allowances

After the national allocation plan table has been entered into the Community independent transaction log and, subject to Article 38(2), by 28 February 2005, the registry administrator shall issue the total quantity of allowances set out in the national allocation plan table into the Party holding account.

When issuing such allowances the registry administrator shall assign a unique unit identification code to each allowance comprising the elements set out in Annex VI.

Allowances shall be issued in accordance with the allowance issue (2005-2007) process set out in Annex IX.

Article 40

Allocation of allowances to operators

Without prejudice to Articles 38(2) and 41, by 28 February 2005 and by 28 February of each year thereafter for the 2005-2007 period, the registry administrator shall transfer from the Party holding account to the relevant operator holding account the proportion of the total quantity of allowances issued under Article 39 which has been allocated to the corresponding installation for that year in accordance with the relevant section of the national allocation plan table.

Where foreseen for an installation in the national allocation plan of the Member State, the registry administrator may transfer that proportion at a later date of each year.

Allowances shall be allocated in accordance with the allowance allocation process set out in Annex IX.

Article 41

Surrender of allowances on instruction of the competent authority

If instructed to do so by the competent authority pursuant to Article 16(1) of Directive 2003/87/EC, the registry administrator shall surrender part or all of the proportion of the total quantity of allowances issued under Article 39 which has been allocated to an installation for a specific year, by entering the number of surrendered allowances into the section of the surrendered allowance table designated for that installation for that year. These surrendered allowances shall remain in the Party holding account.

Allowances surrendered on instruction of the competent authority shall be surrendered in accordance with the allowance allocation process set out in Annex IX.

Article 42

Allocation of allowances to new entrants

If instructed to do so by the competent authority, the registry administrator shall transfer a proportion of the total quantity of allowances issued under Article 39 that are remaining in the Party holding account to the operator holding account of a new entrant.

Allowances shall be transferred in accordance with the internal transfer process set out in Annex IX.

Article 43

Issue of force majeure allowances

1.  If instructed to do so by the competent authority, the registry administrator shall issue into the Party holding account the number of force majeure allowances authorised by the Commission for the 2005-2007 period pursuant to Article 29 of Directive 2003/87/EC.

Force majeure allowances shall be issued in accordance with the force majeure allowance issue process set out in Annex IX.

2.  The registry administrator shall enter the number of issued force majeure allowances into the sections of the surrendered allowance table designated for those installations and years for which authorisation was given.

3.  When issuing force majeure allowances the registry administrator shall assign a unique unit identification code to each such force majeure allowance comprising the elements set out in Annex VI.

SECTION 2

Allocation and issue of allowances for the 2008-2012 period and each subsequent five year period

Article 44

National allocation plan table for the 2008-2012 period and each subsequent five year period

1.  By 1 January 2007 and by 1 January 12 months before the start of each subsequent five year period, each Member State shall notify to the Commission its national allocation plan table, corresponding to the decision taken under Article 11 of Directive 2003/87/EC. If the national allocation plan table is based upon the national allocation plan notified to the Commission which was not rejected under Article 9(3) of Directive 2003/87/EC or on which the Commission has accepted proposed amendments, the Commission shall instruct the Central Administrator to enter the national allocation plan table into the Community independent transaction log in accordance with the initialisation procedures set out in Annex XIV.

2.  A Member State shall notify each correction to its national allocation plan together with each corresponding correction in its national allocation plan table to the Commission. If the correction to the national allocation plan table is based upon the national allocation plan notified to the Commission which was not rejected under Article 9(3) of Directive 2003/87/EC or on which the Commission has accepted amendments and that correction results from improvements in data, the Commission shall instruct the Central Administrator to enter the corresponding correction into the national allocation plan table held in the Community independent transaction log in accordance with the initialisation procedures as set out in Annex XIV. In all other cases, the Member State shall notify the correction to its national allocation plan to the Commission and if the Commission does not reject this correction in accordance with the procedure in Article 9(3) of Directive 2003/87/EC, the Commission shall instruct the Central Administrator to enter the corresponding correction into the national allocation plan table held in the Community independent transaction log in accordance with the initialisation procedures set out in Annex XIV.

3.  The registry administrator shall, subsequent to any correction made pursuant to paragraph 2 which occurs after allowances have been issued under Article 45 and which reduces the total quantity of allowances issued under Article 45 for the 2008-2012 period or subsequent five-year periods, convert the number of allowances specified by the competent authority into AAUs by removing the allowance element from the unique unit identification code of each such AAU comprising the elements set out in Annex VI.

The correction shall take place in accordance with the correction to allowances process set out in Annex IX.

Article 45

Issue of allowances

After the national allocation plan table has been entered into the Community independent transaction log and, subject to Article 44(2), by 28 February of the first year of the 2008-2012 period and by 28 February of the first year of each subsequent five-year period, the registry administrator shall issue the total quantity of allowances set out in the national allocation plan table into the Party holding account by converting an equal quantity of AAUs held in that holding account into allowances.

This conversion shall take place through adding the allowance element to the unique unit identification code of each such AAU, comprising the elements set out in Annex VI.

The issue of allowances for the 2008-2012 period and each subsequent five-year period shall take place in accordance with the allowance issue (2008-2012 onwards) process set out in Annex IX.

Article 46

Allocation of allowances to operators

Without prejudice to Articles 44(2) and 47, by 28 February 2008 and by 28 February in each year thereafter, the registry administrator shall transfer from the Party holding account to the relevant operator holding account the proportion of the total quantity of allowances issued under Article 45 which has been allocated to the corresponding installation for that year in accordance with the relevant section of the national allocation plan table.

Where foreseen for an installation in the national allocation plan of the Member State, the registry administrator may transfer that proportion at a later date of each year.

Allowances shall be allocated in accordance with the allowance allocation process set out in Annex IX.

Article 47

Surrender of allowances on instruction of the competent authority

If instructed to do so by the competent authority pursuant to Article 16(1) of Directive 2003/87/EC, the registry administrator shall surrender part or all of the proportion of the total quantity of allowances issued under Article 45 which has been allocated to an installation for a specific year, by entering the number of surrendered allowances into the section of the surrendered allowance table designated for that installation for that year. These surrendered allowances shall remain in the Party holding account.

Allowances surrendered on instruction of the competent authority shall be surrendered in accordance with the allowance allocation process set out in Annex IX.

Article 48

Allocation of allowances to new entrants

If instructed to do so by the competent authority, the registry administrator shall transfer a proportion of the total quantity of allowances issued under Article 45 that are remaining in the Party holding account to the operator holding account of a new entrant.

Allowances shall be transferred in accordance with the internal transfer process set out in Annex IX.

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Article 48a

Allocation of allowances following their sale by Member State

If instructed to do so by the competent authority following a sale of allowances held by a Member State, the registry administrator shall transfer a quantity of allowances from the Party holding account to the person holding account or operator holding account of the buyer of allowances.

Allowances transferred within the same registry shall be transferred in accordance with the ‘internal transfer’ process set out in Annex IX. Allowances transferred from one registry to another will be transferred in accordance with the ‘external transfer (2008 to 2012 onwards)’ process set out in Annex IX.

▼B

SECTION 3

Transfers and eligibility

Article 49

Transfers of allowances and Kyoto units by account holders

1.  The registry administrator shall carry out any transfer between holding accounts referred to in Article 11(1) and (2):

2.  Allowances may only be transferred from an account in a registry to an account in a third country registry or the CDM Registry, or acquired from an account in a third country registry or the CDM Registry by an account in a registry, where an agreement has been concluded in accordance with Article 25(1) of Directive 2003/87/EC and such transfers are in accordance with any provisions relating to the mutual recognition of allowances under that agreement drawn up by the Commission pursuant to Article 25(2) of Directive 2003/87/EC.

Article 50

Eligibility and the commitment period reserve

1.   ►M1  When a communication link is established between the UNFCCC independent transaction log and the Community independent transaction log in accordance with Article 7 of this Regulation a Member State may not transfer or acquire ERUs or AAUs, until 16 months have elapsed since the submission of its report in accordance with Article 7(1) of Decision No 280/2004/EC, unless the Secretariat to the UNFCCC has informed that Member State that compliance procedures will not be commenced. ◄

Pursuant to Article 8 of Decision No 280/2004/EC, if the Secretariat to the UNFCCC informs a Member State that it does not meet the requirements allowing it to transfer or acquire ERUs or AAUs, or use CERs, the relevant body of the Member State shall instruct the registry administrator not to initiate those transactions requiring such eligibility.

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2.  When, from 1 January 2008 onwards, the holdings of ERUs, CERs, AAUs and RMUs valid for the relevant five-year period in the Party holding accounts, operator holding accounts, person holding accounts and retirement accounts in a Member State become less than 1 per cent higher than the commitment period reserve, calculated as 90 per cent of the Member State's assigned amount or 100 per cent of five times its most recently reviewed inventory, whichever is the lowest, the Central Administrator shall notify that Member State.

▼B

SECTION 4

Verified emissions

Article 51

Verified emissions of an installation

1.  Upon the verification as satisfactory, in accordance with the detailed requirements established by the Member State pursuant to Annex V of Directive 2003/87/EC, of an operator’s report on the emissions from an installation during a previous year, the verifier shall enter or approve the entry of the annual verified emissions for that installation for that year into the section of the verified emissions table designated for that installation for that year in accordance with the verified emissions update process set out under Annex VIII.

2.  The competent authority may instruct the registry administrator to correct the annual verified emissions for an installation for a previous year, to ensure compliance with the detailed requirements established by the Member State pursuant to Annex V of Directive 2003/87/EC, by entering the corrected annual verified emissions for that installation for that year into the section of the verified emissions table designated for that installation for that year in accordance with the verified emissions update process set out under Annex VIII.

SECTION 5

Surrender of allowances

Article 52

Surrender of allowances

An operator shall surrender allowances for an installation by requesting or, where provided in Member State legislation, be deemed to have requested, the registry administrator to:

The transfer and entry shall take place in accordance with the allowance surrender process set out under Annex IX.

Article 53

The use of CERs and ERUs

The use of CERs and ERUs by an operator in accordance with Article 11a of Directive 2003/87/EC in respect of an installation shall take place through an operator requesting the registry administrator to:

From 1 January 2008 onwards, the registry administrator shall only accept requests to use CERs and ERUs up to a percentage of the allocation made to each installation, as specified by that administrator’s Member State in its national allocation plan for that period.

The transfer and entry shall take place in accordance with the allowance surrender process set out under Annex IX.

Article 54

Surrender of force majeure allowances

The issue of force majeure allowances in accordance with Article 43 shall constitute the surrender of those force majeure allowances.

Article 55

Calculation of compliance status figures

Upon an entry being made into the section of the surrendered allowance table or verified emissions table designated for an installation, the registry administrator shall:

Article 56

Entries into the compliance status table

1.  The registry administrator shall enter the installation’s compliance status figure calculated in accordance with Article 55 for each year into the section of the compliance status table designated for that installation.

2.  On 1 May 2006 and on 1 May of each year thereafter the registry administrator shall notify the compliance status table to the competent authority. In addition, the registry administrator shall notify any changes to the entries for previous years of the compliance status table to the competent authority.

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Article 57

Entries into the verified emissions table

Where, on 1 May 2006 and on 1 May of each year thereafter, no verified emissions figure has been entered into the verified emissions table for an installation for a previous year, any substitute emissions figure determined pursuant to Article 16(1) of Directive 2003/87/EC which has not been calculated as closely as possible in accordance with the detailed requirements established by the Member State pursuant to Annex V of Directive 2003/87/EC shall not be entered into the verified emissions table.

▼B

SECTION 6

Cancellation and retirement

Article 58

Cancellation and retirement of surrendered allowances and force majeure allowances for the 2005-2007 period

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On 30 June 2006, 2007 and 2008 the registry administrator shall cancel a number of allowances, CERs, and force majeure allowances held in the Party holding account pursuant to Articles 52, 53 and 54. The number of allowances, CERs, and force majeure allowances to be cancelled shall be equal to the total number at the moment of cancellation of surrendered allowances entered in the surrendered allowance table for the periods 1 January 2005 until the moment of cancellation in 2006, from the moment of cancellation in 2006 until the moment of cancellation in 2007 and from the moment of cancellation in 2007 until the moment of cancellation in 2008.

▼B

Cancellation shall take place by transferring CERs, with the exception of CERs resulting from projects referred to in Article 11a(3) of Directive 2003/87/EC, from the Party holding account into the cancellation account for the 2008-2012 period, and by transferring allowances and force majeure allowances from the Party holding account to the retirement account for the 2005-2007 period, in accordance with the retirement (2005-2007) process set out in Annex IX.

Article 59

Cancellation and retirement of surrendered allowances for the 2008-2012 period and subsequent periods

On 30 June 2009 and on 30 June of each year thereafter, the registry administrator shall cancel allowances surrendered for the 2008-2012 period and each subsequent five year period, in accordance with the retirement (2008-2012 onwards) process set out in Annex IX, by:

SECTION 7

Cancellation and replacement

Article 60

Cancellation and replacement of allowances issued for the 2005-2007 period

On 1 May 2008, each registry administrator shall cancel and, if instructed to do so by the competent authority, replace allowances held in his registry in accordance with the allowance cancellation and replacement process set out in Annex IX by:

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▼B

Article 61

Cancellation and replacement of allowances issued for the 2008-2012 period and subsequent periods

On 1 May in 2013 and on 1 May in the first year of each subsequent five year period, each registry administrator shall cancel and replace allowances held in its registry in accordance with the allowance cancellation and replacement process set out in Annex IX by:

SECTION 8

Voluntary cancellation and retirement

Article 62

Voluntary cancellation of allowances and Kyoto units

1.  The registry administrator shall carry out any request from an account holder pursuant to Article 12(4) of Directive 2003/87/EC to voluntarily cancel allowances or Kyoto units held in any of his holding accounts. The voluntary cancellation of allowances and Kyoto units shall take place in accordance with paragraphs 2 and 3.

2.  For allowances issued for the 2005-2007 period the registry administrator shall transfer the number of allowances specified by the account holder from his account to the cancellation account for the 2005-2007 period in accordance with the allowance cancellation (2005-2007) process set out in Annex IX.

3.  For Kyoto units and allowances issued for the 2008-2012 period and subsequent five-year periods the registry administrator shall transfer the number of Kyoto units or allowances specified by the account holder from his account to the appropriate cancellation account for the 2008-2012 period and subsequent five-year periods in accordance with the cancellation (2008-2012 onwards) process set out Annex IX.

4.  Allowances or Kyoto units held in a cancellation account may not be transferred to any other account in the registries system or to any account in the CDM registry or in a third country registry.

Article 63

Retirement of Kyoto units

1.  If instructed by the relevant body of the Member State, the registry administrator shall transfer any quantity and types of Kyoto units specified by that body which have not already been retired pursuant to Article 59 from the Party holding account to the appropriate retirement account in his registry in accordance with the retirement (2008-2012 onwards) process set out in Annex IX.

2.  An operator or person shall not be able to transfer allowances from his operator or person holding account into a retirement account.

3.  Kyoto units held in a retirement account may not be transferred to any other account in the registries system or to any account in the CDM registry or in a third country registry.

CHAPTER VI

SECURITY STANDARDS, AUTHENTICATION AND ACCESS RIGHTS

Article 64

Security standards

1.  Each registry shall comply with the security standards set out in Annex XV.

2.  The Community independent transaction log shall comply with the security standards set out in Annex XV.

Article 65

Authentication

The Member States and the Community shall use the digital certificates issued by the Secretariat to the UNFCCC, or an entity designated by it, to authenticate their registries and the Community independent transaction log to the UNFCCC independent transaction log.

However, from 1 January 2005 until the communication link between the Community independent transaction log and UNFCCC independent transaction log is established, the identity of each registry and the Community independent transaction log shall be authenticated using digital certificates and usernames and passwords as specified in Annex XV. The Commission, or an entity designated by it, shall act as the certification authority for all digital certificates and shall distribute the usernames and passwords.

Article 66

Access to registries

1.  An authorised representative shall only have access to the accounts within a registry which he is authorised to access or be able to request the initiation of processes which he is authorised to request pursuant to Article 23. This access or these requests shall take place through a secure area of the website for that registry.

The registry administrator shall issue each authorised representative with a username and password to permit the level of access to accounts or processes to which he is authorised. Registry administrators may apply additional security requirements at their discretion if they are compatible with the provisions of this Regulation.

2.  The registry administrator may assume that a user who has entered a matching username and password is the authorised representative registered under that username and password, until such point that the authorised representative informs the registry administrator that the security of his password has been compromised and requests a replacement. The registry administrator shall promptly issue such replacement passwords.

3.  The registry administrator shall ensure that the secure area of the registry website is accessible to any computer using a widely available Internet browser. Communications between the authorised representatives and the secure area of the registry website shall be encrypted in accordance with the security standards in Annex XV.

4.  The registry administrator shall take all necessary steps to ensure that unauthorised access to the secure area of the registry website does not occur.

Article 67

Suspension of access to accounts

1.  The Central Administrator and each registry administrator may only suspend an authorised representative’s password to any accounts or processes to which he would otherwise have access if the authorised representative has, or that administrator has reasonable grounds to believe the authorised representative has:

2.  Where access to an operator holding account has been suspended pursuant to paragraph 1 or pursuant to Article 69 between 28 April and 30 April in any year from 2006 onwards, the registry administrator shall, if so requested by the account holder and following submission of his authorised representative's identity by means of supporting evidence, surrender the number of allowances and use the number of CERs and ERUs specified by the account holder in accordance with the allowance surrender process set out in Article 52 and 53 and Annex IX.

CHAPTER VII

AVAILABILITY AND RELIABILITY OF INFORMATION

Article 68

Availability and reliability of registries and the Community independent transaction log

The Central Administrator and each registry administrator shall take all reasonable steps to ensure that:

They shall ensure that the registry and Community independent transaction log incorporate robust systems and procedures for the safeguarding of all data and the prompt recovery of all data and operations in the event of a disaster.

They shall keep interruptions to the operation of the registry and Community independent transaction log to a minimum.

Article 69

Suspension of access

The Central Administrator may suspend access to the Community independent transaction log and a registry administrator may suspend access to his registry if there is a breach of security of the Community independent transaction log or of a registry which threatens the integrity of the Community independent transaction log or of a registry or the integrity of the registries system and the back-up facilities under Article 68 are similarly affected.

Article 70

Notification of suspension of access

1.  In the event of a breach of security of the Community independent transaction log that may lead to suspension of access, the Central Administrator shall promptly inform registry administrators of any risks posed to registries.

2.  In the event of a breach of security of a registry that may lead to suspension of access, the relevant registry administrator shall promptly inform the Central Administrator who shall, in turn, promptly inform other registry administrators of any risks posed to registries.

3.  If the registry administrator becomes aware that it is necessary to suspend either access to accounts or other operations of the registry, he shall give all relevant account holders and verifiers, the Central Administrator and other registry administrators such prior notice of the suspension as is reasonably practicable.

4.  If the Central Administrator becomes aware that it is necessary to suspend access to operations of the Community independent transaction log, it shall give all registry administrators such prior notice of the suspension as is reasonably practicable.

5.  The notices referred to in paragraphs 3 and 4 shall include the likely duration of the suspension and shall be clearly displayed on the public area of that registry’s web site or on the public area of the Community independent transaction log's web site.

Article 71

Testing area of each registry and the Community independent transaction log

1.  Each registry administrator shall establish a testing area within which any new version or release of a registry can be tested in accordance with the testing procedures set out in Annex XIII so as to ensure that:

2.  The Central Administrator shall establish a testing area so as to facilitate testing procedures referred to in paragraph 1.

3.  The registry administrators and the Central Administrator shall ensure that the hardware and software of their testing area shall perform in a manner that is representative of the performance of the primary hardware and software referred to in Article 68.

Article 72

Change management

1.  The Central Administrator shall coordinate with registry administrators and the Secretariat to the UNFCCC the preparation and implementation of any amendments to this Regulation resulting in changes in the functional and technical specifications of the registry system before their implementation.

2.  If, as a result of a these amendments, a new version or release of a registry is required, each registry administrator shall successfully complete the testing procedures set out in Annex XIII before a communication link is established and activated between the new version or release of that registry and the Community independent transaction log or UNFCCC independent transaction log.

3.  Each registry administrator shall continuously monitor the availability, reliability and efficiency of his registry in order to ensure a level of performance which meets the requirements of this Regulation. If, as a result of this monitoring or the suspension of the communication link pursuant to Article 6(3), a new version or release of a registry is required, each registry administrator shall successfully complete the testing procedures set out in Annex XIII before a communication link is established and activated between the new version or release of that registry and the Community independent transaction log or UNFCCC independent transaction log.

CHAPTER VIII

RECORDS AND FEES

Article 73

Records

1.  The Central Administrator and each registry administrator shall store records concerning all processes and account holders set out in Annex III, Annex IV, Annex VIII, Annex IX, Annex X and Annex XI for 15 years or until any questions of implementation relating to them have been resolved, whichever is the later.

2.  Records shall be stored in accordance with the data logging standards elaborated pursuant to the UNFCCC or the Kyoto Protocol.

Article 74

Fees

Any fees charged by the registry administrator to account holders shall be reasonable and shall be clearly displayed on the public area of that registry’s web site. Registry administrators shall not differentiate any such fees on the basis of the location of an account holder within the Community.

Registry administrators shall not charge account holders for transactions of allowances pursuant to Article 49, Articles 52 to 54 and Articles 58 to 63.

CHAPTER IX

FINAL PROVISIONS

Article 75

Entry into force

This Regulation shall enter into force on the day following that of its publication in the Official Journal of the European Union.

This Regulation shall be binding in its entirety and directly applicable in all Member States.

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ANNEX I

Hardware 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

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2.

When the communication link between the Community independent transaction log and the UNFCCC independent transaction log is not 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, automatic national allocation plan table changes 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.

When 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 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. If processes concerning verified emissions, accounts and automatic national allocation plan table changes are completed through an exchange of data via the UNFCCC independent transaction log and thereon to the Community independent transaction log, the data exchange shall be carried out 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. If processes concerning verified emissions, accounts and automatic national allocation plan table changes are completed through an exchange of data via the Community independent transaction log, the data exchange shall be carried out in accordance with point (b) of paragraph 2.

▼B

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ANNEX II

Tables to be contained in Member State registries

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ANNEX III

Information concerning each operator holding account to be provided to the registry administrator

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ANNEX IV

Information concerning accounts referred to in Article 11(1), (3) and (4) and person holding accounts to be provided to the registry administrator

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ANNEX V

Core 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 legislation

Security 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 rights

Agency, notices and governing law

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ANNEX VI

Definitions 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. Table VI-1:  Unit Identification Code 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. Table VI-2:  Valid Initial Unit Type — 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. Table VI-3:  Account Identification Code 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. Table VI-4:  Permit 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 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. Table VI-5:  Account Holder 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 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. Table VI-6:  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. Table VI-7:  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.

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ANNEX VII

List 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.

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ANNEX VIII

Processes 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; ▼M1 (c) provided that these processes are completed through the exchange of data via the UNFCCC independent transaction log and thereon to the Community independent transaction log, the registry administrator shall call the appropriate operation on the UNFCCC independent transaction log account management Web service. In all other cases the registry administrator shall call the appropriate operation on the Community independent transaction log account management Web service; ▼B (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

▼M1

2.

Provided that these are completed through the exchange of data via the Community independent transaction log and thereon to the UNFCCC independent transaction log, a registry administrator sending a request should receive an acknowledgement of receipt from the UNFCCC independent transaction log within 60 seconds, and should receive a notification of validation from the Community independent transaction log within 24 hours. In any other case, a registry administrator sending a request should receive an acknowledgement of receipt from the Community independent transaction log within 60 seconds, and should receive a notification of validation from the Community independent transaction log within 24 hours.

▼B

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 Email Mandatory Output parameters Result Identifier Mandatory Response Code Optional Uses — AuthenticateMessage — WriteToFile — CheckVersion 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 Email Optional Output parameters Result Identifier Mandatory Response Code Optional Uses — AuthenticateMessage — WriteToFile — CheckVersion 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 — AuthenticateMessage — WriteToFile — CheckVersion 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 — AuthenticateMessage — WriteToFile — CheckVersion Used By Not applicable (called as a web service). Table VIII-9: MgmtOfAccountWS.ReceiveAccountOperationOutcome() function Purpose This function receives an account management operation outcome. ►M1  The initiating registry (Originating Registry) authenticates the UNFCCC independent transaction log (or Community independent transaction log if all processes referred to in Annex VIII are completed through the exchange of data via the Community independent transaction log) by calling the Authenticate Message() function and checks the version of the transaction log by calling Check Version() 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 — AuthenticateMessage — WriteToFile — CheckVersion 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 Email 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 Email 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 Email 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 Email 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; ►M1  7161. ◄ 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; ►M1  7525. ◄ 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

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ANNEX IX

Processes 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.

▼M1

4.

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

▼B

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. Table IX-1:  Tertiary Checks Process description Process type Community independent transaction log response codes Issue of AAUs and RMUs 01-00 [not applicable] Conversion of AAUs and RMUs to ERUs 02-00 7218 External transfer (2008-2012 onwards) 03-00 Range 7301 to 7302 7304 Cancellation (2008-2012 onwards) 04-00 [not applicable] Retirement (2008-2012 onwards) 05-00 Range 7358 to 7361 Cancellation and replacement of tCERs and lCERs 06-00 [not applicable] Carry-over of Kyoto units and allowances issued for the 2008-2012 period and subsequent five-year periods 07-00 [not applicable] Change of expiry date of tCERs and lCERs 08-00 [not applicable] Internal transfer 10-00 7304 Range 7406 to 7407 Allowance issue (2005-2007) 01-51 Range 7201 to 7203 7219 Allowance issue (2008-2012 onwards) 10-52 Range 7201 to 7203 7205 7219 Allowance allocation 10-53 7202 7203 Range 7206 to 7208 7214 7216 7304 7360 Force-majeure allowance issue 01-54 7202 Range 7210 to 7211 7215 7217 7220 Correction to allowances 10-55 Range 7212 to 7213 External transfer (2005-2007) 03-21 7302 Range 7304 to 7305 Range 7406 to 7407 Allowance cancellation (2005-2007) 10-01 7212 7305 Allowance surrender 10-02 7202 7304 Range 7353 to 7356 Retirement (2005-2007) 04-03 7209 7305 7357 Range 7360 to 7362 Cancellation and replacement 10-41 (2005 to 2007) 7205 7212 7219 7360 7402 7404 Range 7406 to 7407 (2008-2012 onwards) 7202 7205 7219 7360 Range 7401 to 7402 Range 7404 to 7407

▼M1

7.

An external transfer between a registry referred to in Article 63a and other registry shall be carried out in the following steps: (a) upon the account holder's request to transfer allowances with a supplementary unit type 4 from an account in a registry referred to in Article 63a, the transferring registry: (i) checks if the balance of the Party holding account in the registry referred to in Article 63a which is only capable of holding allowances with a supplementary unit type 1, 2 or 3 is at least equal to the quantity to be transferred; (ii) redirects the allowances to the Party holding account in the registry referred to in Article 63a which is only capable of holding allowances with a supplementary unit type 4; (iii) transfers an equivalent amount of supplementary unit type 1, 2 or 3 allowances from the Party holding account that is only capable of holding allowances with a supplementary unit type of 1, 2 or 3 to the account of the account holder initiating the transaction; (iv) transfers these supplementary unit type 1, 2 or 3 allowances from account of the account holder initiating the transaction to the destination account; (b) upon the account holder's request to transfer allowances with a supplementary unit type of 1, 2 or 3 to an account in a registry referred to in Article 63a, the acquiring registry: (i) transfers the allowances with a supplementary unit type of 1, 2 or 3 to the destination account; (ii) transfers these allowances from the destination account to the Party holding account in the registry operated in accordance with Article 63a which is only capable of holding allowances with a supplementary unit type 1, 2 or 3; (iii) transfers an equivalent amount of supplementary unit type 4 allowances from the Party holding account that is only capable of holding allowances with an initial unit type of 0 and a supplementary unit type of 4 to the destination account. If the balance on the Party holding account capable of holding supplementary unit type 4 allowances is less than the quantity that needs to be transferred, the missing number of supplementary unit type 4 allowances are created on the Party holding account before the transfer.

▼B

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ANNEX X

Reconciliation process with response codes

Requirements for the process

1.

►M1  When the communication link between the Community independent transaction log and the UNFCCC independent transaction log is not 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.

►M1  When the communication link between the Community independent transaction log and the UNFCCC independent transaction log is 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.

►M1  When the communication link between the Community independent transaction log and the UNFCCC independent transaction log is established, each registry shall respond to any request by the UNFCCC independent transaction log made on behalf of the Community independent transaction log, or by 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.

▼M1

6.

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

▼B

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. Table X-1:  Secondary Checks 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.

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ANNEX XI

Administrative 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.

▼M1

2.

When the communication link between the Community independent transaction log and the UNFCCC independent transaction log is established and all processes concerning allowances, verified emissions, accounts, automatic national allocation plan table changes and Kyoto units shall be completed through the exchange of data via the UNFCCC independent transaction log and thereon to the Community independent transaction log, the Community independent transaction log shall only continue to provide the administrative process under point (b) of paragraph 1.

▼B

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.

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ANNEX XII

List of response codes for all processes

▼M1

1.	The Community independent transaction log shall return response codes as part of each process, where specified in Annexes VIII to XIa. 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.

▼B

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. Table XII-1:  Community Independent Transaction Log Response Codes ▼M1 ————— ▼M1 Response Code Description Equivalent response code under the data exchange standards ▼B 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.   ▼M1 ————— ▼B 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.   ▼M1 7161 The installation related to the operator holding account is not indicated as ‘closed’ in the national allocation plan table and therefore it is not possible to close the account.   7162 The installation related to the operator holding account does not have an entry in the national allocation plan table and therefore it is not possible to open the account.   ▼B 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.   ▼M1 7221 The acquiring or transferring account may not be in a registry referred to in Article 63a.   7222 The allowances to be transferred may not have a supplementary unit type 4.   7223 The acquiring account must be the cancellation account for the relevant period.   7224 Allowances to be issued must have a supplementary unit type 4.   7225 The combined holdings after the transaction of the two Party holding accounts involved in the transaction in the registry referred to in Article 63a must be equal to their combined holdings before the transaction.   7226 The balance of the Party holding account capable of holding supplementary unit type 1, 2 or 3 allowances must be greater than or equal to the quantity to be transferred from the registry referred to in Article 63a.   7227 The acquiring account must be the retirement account for the current period.   7228 Allowances must be those issued for the current period.   ▼M1 7301 Warning: holdings calculated pursuant to Decision 18/CP.7 of the Conference of the Parties of the UNFCCC are only 1 % above commitment period reserve   ▼B 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.   ▼M1 7363 the quantity of AAUs to be retired is not equal with the quantity of allowances converted with the ‘conversion of unallocated allowances for retirement’ process.   7364 The transaction is not initiated after 30 June of the year following the last year of the relevant five-year period.   7365 The units to be retired are allowances and thus cannot be retired.   7366 The quantity to be converted cannot exceed the number of allowances issued but not allocated.   ▼B 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).   ▼M1 7408 The number of allowances cancelled must be equal to the number of allowances to be cancelled pursuant to Article 63o.   7451 The total quantity of allowances in the updated NAP and in the current NAP must be equal.   7452 The quantity allocated to new entrants may not be greater than the quantity by which the reserve is decreased.   ▼B 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.   ▼M1 7525 The verified emissions figure for year X cannot be corrected after 30 April of year X+1 unless the competent authority notifies the Central Administrator the new compliance status applicable to the installation whose verified emissions figure is corrected.   ▼B 7601 Reminder: the specified unit blocks of allowances issued for the previous period have not yet been cancelled pursuant to Articles 60 and 61.   ▼M1 7700 The commitment period code is out of range.   7701 Allocation must be provided for all the years within the commitment period except the years before the current one.   7702 The new reserve must remain positive or zero.   7703 The amount of allowances to allocate for an installation and a year must be greater than or equal to 0.   7704 The permit identifier must exist and be connected to the installation identifier.   7705 The amount of allowances allocated for an installation and a year in the updated NAP must be greater than or equal to this amount in the current NAP.   7706 The amount of allowances deleted from the NAP table for installations must be equal to the amount by which the reserve is increased.   7901 Initiating registry must be listed in Registry table. 1501 7902 Initiating registry status must allow transactions to be proposed. (The CITL will maintain the current status of each registry. In this case, the CITL must recognize that the registry is fully operational.). 1503 7903 Acquiring registry status must allow transactions to be accepted. (The CITL will maintain the current status of each registry. In this case, the CITL must recognize that the registry is fully operational.). 1504 7904 Registry status must allow reconciliation actions to be conducted. (The CITL will maintain the current status of each registry. In this case, the CITL must recognize that the registry is available for reconciliation.). 1510 7905 Transaction ID must be comprised of a valid registry code followed by numeric values. 2001 7906 Transaction type code must be valid. 2002 7907 Supplementary Transaction Type code must be valid. 2003 7908 Transaction status code must be valid. 2004 7909 Account Type code must be valid. 2006 7910 Initiating Account Identifier must be greater than zero. 2007 7911 Acquiring Account Identifier must be greater than zero. 2008 7912 The Originating Registry of all unit blocks must be valid. 2010 7913 Unit Type code must be valid. 2011 7914 Supplementary Unit Type code must be valid. 2012 7915 Unit Serial Block Start and Unit Serial Block End must be present. 2013 7916 Unit Serial Block End must be greater than or equal to the Unit Serial Block Start. 2014 7917 RMUs, ERUs converted from RMUs, tCERs and lCERs must have a valid LULUCF activity code. 2015 7918 AAUs, ERUs converted from AAUs and CERs must not have a LULUCF activity code. 2016 7919 ERUs, CERs, tCERs, and lCERs must have a valid Project ID. 2017 7920 AAUs or RMUs must not have a Project ID. 2018 7921 ERUs must have a valid ‘Track Code’. 2019 7922 AAUs, RMUs, CERs, tCERs and lCERs must not have a track code. 2020 7923 AAUs, RMUs, ERUs and CERs must not have an Expiry Date. 2022 7924 Transaction ID for proposed transactions must not already exist in the CITL. 3001 7925 Transaction ID for ongoing transactions must already exist in the CITL. 3002 7926 Previous completed transactions cannot be completed again. 3003 7927 Previously rejected transactions cannot be completed. 3004 7928 Transactions for which a CITL discrepancy has been previously identified cannot be completed. 3005 7930 Previously terminated transactions cannot be completed. 3007 7931 Previously cancelled transactions cannot be completed. 3008 7932 Previously accepted external transactions cannot be terminated. 3009 7933 Transaction status of Accepted or Rejected is not valid for non-external transactions. 3010 7934 Transaction status from Initiating registry must indicate status of Proposed, Completed, or Terminated. 3011 7935 Transaction status from Acquiring registry for an External Transfer must indicate status of Rejected or Accepted. 3012 7936 Applicable Commitment Period must correspond to the current or next Commitment Period (including their ‘true-up’ periods). 4001 7937 Units identified in the transaction must already exist in the CITL. 4002 7938 Units identified in the transaction must be held by Initiating registry. 4003 7939 All attributes of all unit blocks must be consistent with CITL unit block attributes except where attributes are changed by the current transaction. 4004 7940 All unit blocks in transaction must be for a single Applicable Commitment Period. 4005 7941 For all transactions except for external transfers, the Initiating and Acquiring Registries must be the same. 4006 7942 For external transfers, the Initiating and Acquiring Registries must be different. 4007 7943 Units identified in the transaction must not have inconsistencies identified through reconciliation with the CITL. 4008 7945 Units identified in the transaction must not be involved in another transaction. 4010 7946 Cancelled units must not be subject to further transactions. 4011 7947 A transaction proposal must contain at least one unit block. 4012 7948 A transaction must not issue more than one Unit Type. 5004 7949 The Original Commitment Period must be the same for all units issued by the transaction 5005 7950 The Applicable Commitment Period must be the same as the Original Commitment Period for all units issued by the transaction. 5006 7951 Cancellation to Excess Issuance Cancellation Account must not take place in a national registry. 5152 7952 The Acquiring Account for a cancellation transaction must be a cancellation account. 5153 7953 Account identifiers must be provided for acquiring accounts in cancellation transactions. 5154 7954 The unit blocks to be cancelled must have the same Applicable Commitment Period as the cancellation Account. 5155 7955 The Initiating registry retiring units must be a national registry or the Community Registry. 5251 7956 The Acquiring Account for a retirement transaction must be a retirement account. 5252 7957 Account identifiers must be provided for acquiring accounts in retirement transactions. 5253 7958 The Unit Blocks retired must have the same Applicable Commitment as the Retirement Account. 5254 7959 The Initiating registry carrying over units must be a national registry. 5301 7960 The Initiating Account for a carry-over transaction must be a holding account. 5302 7961 Units may be carried-over only to the next subsequent commitment period. 5303 7962 Reconciliation Identifier must be greater than zero. 6201 7963 Reconciliation ID must be comprised of a valid registry code followed by numeric values. 6202 7964 Reconciliation status must be a value between 1 and 11. 6203 7965 Reconciliation snapshot must be a date between 1 October 2004 and the current date plus 30 days. 6204 7966 Account Type must be valid. 6205 7969 Reconciliation ID must exist in the Reconciliation Log table. 6301 7970 Reconciliation status sent by registry must be valid. 6302 7971 Incoming reconciliation status must be the same as the reconciliation status recorded by the CITL. 6303 7972 The registry reconciliation snapshot DateTime must be consistent with the CITL Reconciliation Snapshot DateTime. 6304 ▼B

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ANNEX XIII

Testing 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.

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ANNEX XIV

Initialisation 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.

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.

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ANNEX XV

Security standards

Communication link between the Community independent transaction log and each registry

1.

►M1  When the communication link between the Community independent transaction log and the UNFCCC independent transaction log is not established, all processes concerning allowances, automatic national allocation plan table changes, 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).

▼M1

2.

When the communication link between the Community independent transaction log and the UNFCCC independent transaction log is established, all processes concerning allowances, automatic national allocation plan table changes, 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.

▼B

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.

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ANNEX XVI

Reporting 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).

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( 1 ) OJ L 275, 25.10.2003, p. 32.

( 2 ) OJ L 49, 19.2.2004, p. 1.

( 3 ) OJ L 41, 14.2.2003, p. 26.

( 4 ) OJ L 281, 23.11.1995, p. 31.

( 5 ) OJ L 201, 31.7.2002, p. 37.

( 6 ) OJ L 8, 12.1.2001, p. 1.