prop · GS0318 · 2004-09-28 00:00:00 — On 30 2009 and on 30 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 , by: (a)converting a number of allowances issued for that five-year period and held in the Party holding account, equal to the total number of allowances surrendered pursuant to Article 52 as entered in the surrendered allowance table since 1 January 2008 on 30 2009 and since 30 of the preceding year on 30 of the subsequent years, into AAUs by removing the allowance element from the unique unit identification code of each such AAU comprising the elements set out in ; and (b)transferring a number of Kyoto units of the type specified by the competent authority, with the exception of Kyoto units resulting from projects referred to in Article 11(bis)(3) of Directive 2003/87/EC, equal to the total number of allowances surrendered pursuant to Articles 52 and 53 as entered in the surrendered allowance table since 1 January 2008 on 30 2009 and since 30 of the preceding year on 30 of the subsequent years, from the Party holding account to the retirement account for the relevant period. SECTION 7 - CANCELLATION AND REPLACEMENT Cancellation and replacement of allowances issued for the 2005-2007 period On 1 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 by: (a)transferring a number of allowances, equal to the number of allowances issued for the 2005-2007 period minus the number of allowances surrendered pursuant to Articles 52 and 54 since 30 of the preceding year, from their holding accounts referred to in Article 11(1) and (2) to the cancellation account for the 2005-2007 period; (b)if instructed to do so by the competent authority, issuing a number of replacement allowances specified by the competent authority by converting an equal number of AAUs issued for the 2008-2012 period held in the Party holding account into allowances by adding the allowance element to the unique unit identification code of each such AAU comprising the elements set out in ; (c)transferring any such replacement allowances referred to in (b) from the Party holding account into the operator and person holding accounts specified by the competent authority from which allowances were transferred under paragraph 1(a). Cancellation and replacement of allowances issued for the 2008-2012 period and subsequent periods On 1 in 2013 and on 1 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 by: (a)transferring all allowances issued for the preceding five-year period from their operator and person holding accounts to the Party holding account; (b)converting a number of allowances, equal to the number of allowances issued for the preceding five-year period minus the number of allowances surrendered pursuant to Article 52 since 30 of the preceding year, into AAUs by removing the allowance element from the unique unit identification code of each such AAU comprising the elements set out in ; (c)issuing an equal number of replacement allowances by converting AAUs issued for the current period held in the Party holding account into allowances by adding the allowance element to the unique unit identification code of each such AAU comprising the elements set out in ; (d)transferring a number of those allowances issued under paragraph (c) for the current period from the Party holding account into each operator and person holding account from which allowances were transferred under paragraph (a), equal to the number of allowances that were transferred from those accounts under paragraph (a). SECTION 8 - VOLUNTARY CANCELLATION AND RETIREMENT Voluntary cancellation of allowances and Kyoto units 10.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. 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 . 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 . 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. Retirement of Kyoto units 11.If instructed by the relevant body of the , 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 . An operator or person shall not be able to transfer allowances from his operator or person holding account into a retirement account. 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 12.Each registry shall comply with the security standards set out in . The Community independent transaction log shall comply with the security standards set out in . The Member States and the Community shall use the digital certificates issued by 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 . 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. 13.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. 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. 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 . The registry administrator shall take all necessary steps to ensure that unauthorised access to the secure area of the registry website does not occur. Suspension of access to accounts 14.The registry administrator may only suspend an authorised representatives password to any accounts or processes to which he would otherwise have access if the authorised representative has, or the registry administrator has reasonable grounds to believe the authorised representative has: (a)attempted to access accounts or processes which he is not authorised to access; (b)repeatedly attempted to access an account or a process using a non-matching username and password; or (c)attempted, or is attempting, to undermine the security of the registry or the registries system. Where access to an operator holding account has been suspended pursuant to paragraph 1 or pursuant to Article 69 between and 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 . Chapter VII - Availability and reliability of information 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: (a)the registry is available for access by account holders 24 hours a day, 7 days a week, and that the communication link between the registry and the Community independent transaction log is maintained 24 hours a day, 7 days a week, thereby providing backup hardware and software in the event of a breakdown in operations of the primary hardware and software; (b)the registry and the Community independent transaction log respond promptly to requests made by account holders. 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. 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. Notification of suspension of access 15.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. 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. 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. 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. 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 registrys web site or on the public area of the Community independent transaction log's web site. 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 so as to ensure that: (a)any testing procedures on a new version or release of a registry are completed without reducing the availability to account holders of the version or release of the registry which currently has a communication link with the Community independent transaction log or UNFCCC independent transaction log; and (b)any communication link between a new version or release of a registry and the Community independent transaction log or UNFCCC independent transaction log is established and activated with minimum disruption to its account holders. 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 that is representative of the performance of the primary hardware and software referred to in paragraph 1. 16.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. 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 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. 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 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. 17.The Central Administrator and each registry administrator shall store records concerning all processes and account holders set out in , , , , and for 15 years or until any questions of implementation relating to them have been resolved, whichever is the later. Records shall be stored in accordance with the data logging standards elaborated pursuant to the UNFCCC or the Kyoto Protocol. fees charged by the registry administrator to account holders shall be reasonable and shall be clearly displayed on the public area of that registrys 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 This Regulation shall enter into force on the day following that of its publication in the This Regulation shall be binding in its entirety and directly applicable in all Member States. Done at , [date]. For the Commission [] Member of the Commission Hardware and software requirements of registries and the Community independent transaction log 18.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 to that or those used for the web server and application server; (d)firewalls. From 1 January 2005 until 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 Community independent transaction log and each registry shall be synchronised to Mean Time; (b)all processes concerning allowances, verified emissions 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). After 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, verified emissions, accounts 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. Tables to be contained in registries 19.Each registry shall be capable of tabulating the following information which shall comprise the verified emissions table: (a)Years: in individual cells from 2005 onwards in ascending order. (b)Installation identification code: in individual cells comprising the elements set out in and in ascending order. (c)Verified emissions: the verified emissions for a specified year for a specified installation shall be entered into the cell connecting that year to that installations identification code. Each registry shall be capable of tabulating the following information which shall comprise the surrendered allowances table: (a)Years: in individual cells from 2005 onwards in ascending order. (b)Installation identification code: in individual cells comprising the elements set out in and in ascending order. (c)Surrendered allowances: the number of allowances surrendered in accordance with Articles 52, 53 and 54 for a specified year for a specified installation shall be entered into the two cells connecting that year to that installations identification code. Each registry shall be capable of tabulating the following information which shall comprise the compliance status table: (a)Years: in individual cells from 2005 onwards in ascending order. (b)Installation identification code: in individual cells comprising the elements set out in and in ascending order. (c)Compliance status: the compliance status for a specified year for a specified installation shall be entered into the cell connecting that year to that installations identification code. The compliance status shall be calculated in accordance with Article 55. Information concerning each operator holding account to be provided to the registry administrator 20.Points 1 to 4.1, 4.4 to 5.5 and point 7 (activity 1) of the information identifying the installation as listed in section 11.1 of to Decision 2004/156/EC. 21.The permit identification code specified by the competent authority, comprising the elements set out in . 22.The installation identification code specified by the competent authority, comprising the elements set out in . 23.The alphanumeric identifier specified by the operator for the account, which shall be unique within the registry. 24.Name, address, city, postcode, country, telephone number, facsimile number and e- mail address of the primary authorised representative of the operator holding account specified by the operator for that account. 25.Name, address, city, postcode, country, telephone number, facsimile number and e- mail address of the secondary authorised representative of the operator holding account specified by the operator for that account. 26.Name, address, city, postcode, country, telephone number, facsimile number and e- mail address of any additional authorised representatives of the operator holding account and their account access rights, specified by the operator for that account. 27.Evidence to support the identity of the authorised representatives of the operator holding account. Information concerning accounts referred to in Article 11(1), (3) and (4) and person holding accounts to be provided to the registry administrator 28.Name, address, city, postcode, country, telephone number, facsimile number and e- mail address of the person requesting the opening of the person holding account. 29.Evidence to support the identity of the person requesting the opening of the person holding account. 30.The alphanumeric identifier specified by the , the Commission or person for the account, which shall be unique within the registry. 31.Name, address, city, postcode, country, telephone number, facsimile number and e- mail address of the primary authorised representative of the account specified by the , the Commission or person for that account. 32.Name, address, city, postcode, country, telephone number, facsimile number and e- mail address of the secondary authorised representative of the account specified by the , the Commission or person for that account. 33.Name, address, city, postcode, country, telephone number, facsimile number and e- mail address of any additional authorised representatives of the account and their account access rights, specified by the , the Commission or person for that account. 34.Evidence to support the identity of the authorised representatives of the account. Structure and effect of core terms and conditions 35.The relationship between account holders and registry administrators. The account holder and authorised representatives obligations The account holder and authorised representatives obligations with respect to security, usernames and passwords, and access to the registry website. The account holder and authorised representatives obligation to post data on the registry website and ensure that data posted is accurate. The account holder and authorised representatives obligation to comply with the terms of use of the registry website. The registry administrators obligations The registry administrators obligation to carry out account holders instructions. The registry administrators obligation to log the account holders details. The registry administrators obligation to create, update or close the account in accordance with the provisions of the Regulation. The process finalisation and confirmation provisions. The terms and conditions regarding any registry fees for establishing and maintaining accounts. Operation of the registry website Provisions regarding the right of the registry administrator to make changes to the registry website. Conditions of use of the registry website. Accuracy of information. 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 Provisions relating to disputes between account holders. The limit of liability for the registry administrator. The limit of liability for the account holder. Agency, notices and governing law