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Andrew HowardUNFCCC secretariat

www.unfccc.intahoward@unfccc.int

Internationaltransaction log

Transaction checks

Intersessional consultationson registry systems

Bonn8-10 November 2004

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ITL transaction checks

Independently checks transactions proposed by registries

140 checks defined

• Primarily technical nature to ensure standard communications

46 checks defined

• Primarily policy-related nature to ensure conformity to modalities, rules and limits under Kyoto

15 general checks

78 transaction-specific checks

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Check categories

Version and authentication

Can the ITL verify submitter’s identity?

Message validity Is the message readable and complete?

Registry validity Are registries involved able to operate?

Transaction data integrity Does the data makes sense?

Message sequences Is the message in the correct order?

General transaction checks

Does the message comply with general requirements for transactions?

Transaction-specific checks

Does the message comply with Kyoto requirements for the type of transaction?

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ITL response code examples

Response code 2017 5008

Check name Project identifier AAU issuance quantity

Check descriptionCERs, tCERs, lCERs and ERUs must have a valid project identifier

The quantity of AAUs issued must not exceed allowed quantity for the commitment period

Check category Data integrity Transaction-specific

Transaction type All Issuance

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Technical checksMaking the communication work

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Version and authentication checks

None Certificate Must be recognized

None WSDL check Message conforms to WSDL

1031 Major version DES is up-to-date

1032 Minor version DES is up-to-date

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Message viability checks

1301 Message age Not older than 24 hours

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Registry checks

1501 Initiating registry Must be known to the ITL

1503Initiating registrytransaction status

Must allow transactions

1504Acquiring registrytransaction status

Must allow transactions

1510 Registry reconciliation status Must allow reconciliation

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Data integrity checks

2001 Transaction type code Must be valid

2004 Transaction status code Must be valid

2006 Account type code Must be valid

2007 Initiating account identifierMust be between zero and 999,999,999,999,999

2014 Unit serial rangeBlock-end must be greater than block-start

2015 LULUCF activity codeRMUs, ERUs (from RMUs), tCERs and lCERs must have a valid code

2021 Expiry datetCERs and lCERs must have a valid expiry date

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Message sequence checks

3001 Transaction ID not uniqueProposed transaction requires a new identifier

3002 Prior record of transaction IDRequired for subsequent messages after proposal

3004Transaction status out of sequence for rejected transaction

Rejected transactions cannot be completed

3004Transaction status out of sequence for ITL discrepancy status

Transactions with ITL discrepancies cannot be completed

3011Transaction status not compatible with initiating registry

Initiating registries cannot give those statuses

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Policy-related checksEnsuring conformity to Kyoto rules

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General transaction checks

4001 Applicable commitment periodMust correspond to current or next period (incl. true-up)

4003 Registry holds units Must be in initiating registry

4004 Unit block attributes Must match those in ITL

4005Single applicable commitment period

All units have same commitment period ID

4010 Units are available Not subject to transactions

4012 Units are retired Cannot be further transacted

4014Units previously used in replacement

Cannot be further transacted

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Transaction processes

• Issuance

• Conversion

• External transfer

• Internal transfers

- Cancellation

- Replacement

- Retirement

• Carry-over

• Expiry date change

• Internal transfer (for an STL)

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External data sources

Compilation and accounting (C&A) database

• Quantity of AAUs that may be issued

• Quantity of RMUs that may be issued

- by LULUCF code

- annually or for the commitment period

CDM information system

• Quantity of CDM credits that may be issued

• Choice between CER or tCER/lCER issuance

JI information system (track 2)

• Quantity of ERUs that may be converted

• Choice between AAUs or RMUs for the conversion

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Issuance checks

5003 CDM registry issuanceCERs, tCERs and lCERs must be issued in CDM registry

5006Consistent applicable commitment period

Applicable CP identifier same as original CP identifier

5008 AAU issuance quantityMust not exceed amount specified in C&A database

5010 CDM issuance unit typeUnit type must be consistent with CDM project activity

5011Consistency of unit type for CDM LULUCF projects

Unit type must be consistent with previous issuances

5014 CDM project identifier Must be present

5015 tCER expiry date Must be present

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Cancellation

5151Net-source, non-compliance and voluntary cancellation must take place in a national registry

Must not be attempted by the CDM registry

5153Acquiring account for cancellation must be a cancellation account

Must not be attempted for other account types

5154 Cancellation account identifierAccount identifier must be supplied

5155Cancellation account commitment period

Applicable CP identifier same as cancellation account

5156tCER and lCER cancellation to net-source and non-compliance cancellation accounts

Must not be attempted

5158Notification ID for net source cancellations

ITL notification identifier must be provided