International transaction log Transaction checks Andrew Howard UNFCCC

International transaction log Transaction checks Andrew Howard UNFCCC secretariat www. unfccc. int ahoward@unfccc. int Intersessional consultations on registry systems Bonn 8 -10 November 2004 1

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 2

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? 3

ITL response code examples Response code 2017 5008 Check name Project identifier AAU issuance quantity Check description CERs, t. CERs, l. CERs 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 4

Technical checks Making the communication work 5

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 6

Message viability checks 1301 Message Not older than 24 hours 7

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

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 identifier Must be between zero and 999, 999 2014 Unit serial range Block-end must be greater than block-start 2015 LULUCF activity code RMUs, ERUs (from RMUs), t. CERs and l. CERs must have a valid code 2021 Expiry date t. CERs and l. CERs must have a valid expiry date 9

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

Policy-related checks Ensuring conformity to Kyoto rules 11

General transaction checks 4001 Applicable commitment period Must 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 4005 Single 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 4014 Units previously used in replacement Cannot be further transacted 12

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

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 t. CER/l. CER issuance JI information system (track 2) • Quantity of ERUs that may be converted • Choice between AAUs or RMUs for the conversion 14

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

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