Commission Regulation (EC) No 916/2007 of 31 July 2007 amending Regulation (EC) No 2216/2004 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)
Date: 2007-07-31
Institutions: European Commission
Subjects: EU environmental policy, data processing, database, documentary reference recording, exchange of information, technical specification, tradeable emission permit

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COMMISSION REGULATION (EC) No 916/2007

of 31 July 2007

amending Regulation (EC) No 2216/2004 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)

THE COMMISSION OF THE EUROPEAN COMMUNITIES,

Having regard to the Treaty
Community,

establishing the European

the European
Having regard to Directive 2003/87/EC of
Parliament and of the Council of 13 October 2003 establishing
a scheme for greenhouse gas emission allowance trading within
the Community and amending Council Directive 96/61/EC (1),
and in particular Article 19(3) thereof,

Having regard to Decision No 280/2004/EC of the European
Parliament and of the Council of 11 February 2004 concerning
a mechanism for monitoring Community greenhouse gas
emissions and for implementing the Kyoto Protocol (2), and in
particular the first subparagraph, second sentence of Article 6(1)
thereof,

Whereas:

(1)

(2)

Commission Regulation (EC) No 2216/2004 (3)
laid
down general provisions, functional and technical speci-
fications and operational and maintenance requirements
concerning the standardised and secured registries system
consisting of registries, in the form of standardised elec-
tronic databases containing common data elements, and
the Community independent transaction log.

transaction log it

Due to the nature of the registries’ system’s architecture,
if registries are communicating with the Community
independent transaction log through the United Nations
Framework Convention on Climate Change (UNFCCC)
independent
is only possible to
change the routing for all registries at the same time.
Any registry that would not be ready for a given
deadline, should also have to stop its participation in
the Community greenhouse gas emission allowance
connected to the
scheme
UNFCCC independent
it.
Therefore, when the UNFCCC independent transaction

transaction log without

if other Member States

(1) OJ L 275, 25.10.2003, p. 32. Directive as amended by Directive

2004/101/EC (OJ L 338, 13.11.2004, p. 18).

(2) OJ L 49, 19.2.2004, p. 1.
(3) OJ L 386, 29.12.2004, p. 1.

(3)

(4)

(5)

(6)

independent

log is operational, it should be ensured that it is linked to
the Community
and
registries either when the Community independent trans-
action log and all registries are technically capable of
such a link or when the Community considers it appro-
priate to link the two transaction logs.

transaction log

It is currently foreseen that when a connection between
the UNFCCC independent
transaction log and the
Community independent transaction log exists, registries
would connect to the Community independent
trans-
action log through the UNFCCC independent transaction
log. However, interactions between the Community inde-
transaction log and registries would become
pendent
registries would
much simpler and more flexible if
transaction log
connect
to the UNFCCC independent
transaction log.
through the Community independent
The
be
therefore
should
Central Administrator
empowered to determine the order of connections.

their

registries

are
transaction log at

Both the Member States and the Community should
connected to the
ensure
that
the earliest
UNFCCC independent
possible date and should deliver to the administrator of
the UNFCCC independent transaction log the documen-
tation required for the initialisation of their registry with
that log 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.

that

every Member

The Community should make all necessary efforts to
ensure
the
the
Community
UNFCCC independent transaction log are connected to
each other before 1 December 2007.

State
transaction log

registry,
and

independent

Registries should be enabled to ensure that entering
verified emissions in the registries is possible only if
the verified emissions report has been delivered to the
competent authority, and after the deadline for surren-
dering allowances, verified emissions data should be
competent
corrected only
authority also addresses the compliance status of
the
installation whose verified emissions are corrected.

the decision of

the

if

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(7)

(8)

(9)

and use CERs

the Kyoto Protocol

Provisions should be adopted to ensure that Member
States that are not able to issue AAUs due to reasons
other than being determined to be ineligible to transfer
and acquire ERUs
in
and AAUs,
accordance with the provisions of Decision 11/CMP.1
of
to the UNFCCC are able to
continue their equal participation in the Community
emissions trading scheme, which would be impeded in
the period 2008 to 2012 as, unlike all other Member
States, they would not be able to issue allowances that
are converted from AAUs. Such equal participation
should be allowed through a mechanism within the
Community registry that allows operators in Member
States which do not have AAUs to exchange allowances
for allowances
that are not converted from AAUs
converted from AAUs when transferring allowances to
accounts in registries of Member States which do have
AAUs. An equivalent process
should allow similar
transfers in the opposite direction. By modifying the
rules of calculating an installation's compliance status,
which is
to express
whether an operator has complied with its obligation
to surrender allowances in accordance with Directive
2003/87/EC, operators should be prevented from being
considered not
in compliance with their obligations
under Directive 2003/87/EC because of surrendering
allowances for a year that is not the one preceding the
current year.

registries use

figure

that

the

The provision of allowances from the reserve by Member
installations and the flow of
States to new entrant
allowances to the reserve due to the closure of instal-
lations should be represented in the national allocation
plan table, thus allowing the public to have access to
comprehensive and up-to-date information related to
such transactions.

a UNFCCC independent

In order to ensure the capability of the Community inde-
pendent transaction log to function independently in the
event of
transaction log
malfunction, those checks defined 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 that are to be carried out by the
UNFCCC independent
transaction log and which are
currently implemented by the Community independent
transaction log should be included in Community legis-
lation

(10)

It is of utmost importance for a latest date to be specified
for displaying information on installations' verified
emissions in order to complete the annual compliance
cycle. In the light of experience, the current latest date
for the display of this information should be replaced by
a provision ensuring that the display by the Member
States and by the Commission takes place at
the
earliest possible moment and in a coordinated and
harmonized manner.

(11) As the current information displayed on the Community
independent transaction log regarding the fulfilment of
surrender obligations by installations as required by the
to Regulation (EC) No
provisions of Annex XVI
in particular with
2216/2004 is not always clear,
regard to any changes that might happen in an instal-
lation’s compliance status after the surrender deadline,
the information regarding the fulfilment of surrender
obligations should be made more detailed and more
specific.

(12)

registries,

is blocked,

In order to ensure an equal access to market-related
information which is a fundamental requirement of a
well-functioning market,
the Community independent
transaction log should make accessible to the public
information items, such as information on
additional
whether an account
the fees charged by
the set-aside table required under
various
Commission Decision 2006/780/EC of 13 November
2006 on avoiding double counting of greenhouse gas
emission reductions under the Community emissions
trading scheme for project activities under the Kyoto
Protocol pursuant
the
European Parliament and of the Council (1), the share
of
submitted their
verified emissions, the share of allowances that never
participated in any transaction between allocation and
surrender.

to Directive 2003/87/EC of

installations

that have

already

(13)

Regulation (EC) No 2216/2004 should therefore be
amended accordingly.

(14)

The measures provided for in this Regulation are in
accordance with the opinion of
the Climate Change
Committee,

HAS ADOPTED THIS REGULATION:

Regulation (EC) No 2216/2004 is amended as follows:

Article 1

1. Article 2 is amended as follows:

(a) point (e) is replaced by the following:

‘(e) “assigned amount unit” (AAU) means a unit issued
pursuant
of Decision No
280/2004/EC or by a Party to the Kyoto Protocol;’;

to Article

7(3)

(1) OJ L 316, 16.11.2006, p. 12.

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(b) In point (p), the following sentence is added:

‘Special provisions are applicable to registries referred to
in Article 63a;’.

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. In Article 3(3), the following subparagraph is added:

‘Each registry shall be capable of executing correctly all the
processes concerning automatic national allocation plan
table changes set out in Annex XIa from 1 February 2008.’.

3. Article 5 is amended as follows:

(a) paragraphs 4 and 5 are replaced by the following:

The Central Administrator

‘4.
shall provide the
administrative processes referred to in Annex XI
in
order to facilitate the integrity of the data within the
registries system and shall provide the processes related
to automatic national allocation plan table changes
referred to in Annex XIa to ensure that national allo-
cation plan tables reflect
the number of allowances
issued and allocated to installations.

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

allocation plan table

(b) in paragraph 6, the following subparagraph is added:

‘The Community independent transaction log shall be
the processes
capable of
concerning automatic national allocation plan table
changes set out in Annex XIa from 1 February 2008.’.

executing

correctly

all

4. Article 6(2) is replaced by the following:

‘2.
From 1 February 2008 until the communication link
referred to in Article 7 has been established, all processes
automatic
verified
concerning
national allocation plan table changes, and accounts shall
be completed through the exchange of data via the
Community independent transaction log.’.

allowances,

emissions,

5. Article 7 is replaced by the following:

‘Article 7

Communication
transaction logs

link

between

the

independent

1.
pendent

A communication link between the Community inde-
transaction log and the UNFCCC independent

(a) all registries have successfully completed the UNFCCC

initialisation procedure; and

(b) the Community independent transaction log and the
UNFCCC independent
transaction log are able to
provide the necessary functionality and to link to
each other.

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

the Climate Change Committee,

instruct

concerning

After having established the link described in 1., all
3.
processes
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.

allowances,

verified

the UNFCCC independent

4.
to the
The Commission shall evaluate and report
Climate Change Committee on options for connecting
transaction log and
registries,
transaction log different
the Community independent
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
the
exchange of
Community independent transaction log.

through the

data

via

the UNFCCC independent

Each Member State shall deliver to the administrator
5.
transaction log and the
of
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
in accordance with the functional and
to commence,
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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6. Article 10(3) is replaced by the following:

9. Article 28 is replaced by the following:

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

automatic national

concerning

7. Article 15(1) is replaced by the following:

‘Article 28

Detection of
independent transaction log

discrepancies

by

the Community

The Central Administrator

shall ensure that
transaction log conducts

the
1.
Community independent
the
automated checks set out in Annexes VIII, IX, XI and XIa
for all processes concerning allowances, verified emissions,
accounts, automatic national allocation plan table changes
and Kyoto units to ensure that there are no discrepancies.

‘1. Within 14 days of
the entry into force of each
greenhouse gas emissions permit issued 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
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 infor-
mation set out in Annex III.’.

registry

and

If the automated checks referred to in paragraph 1
2.
identify a discrepancy in a process under Annexes VIII, IX,
immediately
XI and XIa, the Central Administrator shall
inform the
administrators
concerned by returning an automated response detailing
the discrepancy using the response
the exact nature of
codes set out in Annexes VIII, IX, XI and XIa.

administrator

registry

or

8. In Article 17, the following paragraph 3 is added:

‘3. Where the competent authority has notified the
registry administrator of the revocation or surrender of a
greenhouse gas emissions permit belonging to an instal-
lation related to an account which has an entry in the
relevant national
submitted in
accordance with Article 44,
the registry administrator
shall, prior to closing the account, propose to the Central
Administrator the following changes to the national allo-
cation plan table:

allocation plan table

Upon receiving such a response code for a process under
Annex VIII, Annex IX or Annex XIa, the registry adminis-
trator 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.’.

(a) deleting from the national allocation plan table and
replacing with a null any allowances in the national
allocation plan table that were not yet allocated to
the installation until the proposed national allocation
plan table change;

10. Article 29 is amended as follows:

(b) adding an equivalent number of allowances to the part
of the national allocation plan table representing the
quantity of allowances not allocated to existing instal-
lations.

The proposal shall be submitted to, and checked and imple-
mented automatically by the Community independent
transaction log in accordance with the processes set out
in Annex XIa.’.

(a)

the first subparagraph of paragraph 1 is replaced by the
following:

that

shall

the data reconciliation process

‘The Central Administrator
the
ensure
transaction log periodically
Community independent
in
initiates
that purpose the Community inde-
Annex X. For
pendent
record all processes
concerning allowances, accounts, automatic national
allocation plan table changes and Kyoto units.’;

transaction log shall

set out

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(b) the following paragraph 3 is added:

the verified emissions table of

‘3.
Upon the request of the Central Administrator,
the registry administrator shall provide a copy of the
verified emissions table in its registry to the Central
Administrator. The Central Administrator shall check
that
the registry is
identical to the records held in the Community inde-
pendent transaction log. If a difference is detected the
Central Administrator shall
immediately inform the
registry administrator, and request it to eliminate the
difference through the verified emissions update process
set out in Annex VIII.

The Community independent
record all changes to the verified emissions table.’.

transaction log shall

changes

concerning accounts, automatic national allocation plan
table
completed
and verified emissions
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
in the
proposal sent by the initiating registry.

they have not detected any discrepancies

are

allocation plan table

In all other cases than those referred to in the first
paragraph, all processes concerning accounts, automatic
national
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.’.

changes

11. Article 32 is replaced by the following:

14. The following Article 34a is inserted:

‘Article 32

Processes

shall

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

to the UNFCCC or

12. Article 33 is replaced by the following:

‘Article 33

Identification codes

The registry administrator shall assign to each process
referred to in Annexes VIII and XIa 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.’.

13. Article 34 is replaced by the following:

‘Article 34

of

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

concerning

processes

‘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 erro-
neously 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
the transaction was
indicating that
initiated erroneously or unintentionally.

The registry administrator may notify the Central
2.
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:

When there is a communication link established between
the two independent transaction logs and if all processes

(a)

the notification was posted within the deadline
indicated in the first subparagraph of paragraph 2;

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(b) the proposed manual

intervention only reverses the
effects of
the transaction considered to have been
initiated unintentionally or erroneously and does not
involve
transactions
involving the same allowances or Kyoto units.

reversing the

effects of

later

shall

transfer

from the

administrator

Party
registry
holding account to the relevant operator holding account
the proportion of the total quantity of allowances issued by
any registry administrator under Article 45 which has been
allocated to the corresponding installation for that year in
accordance with the relevant section of the national allo-
cation plan table.

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

15. Article 44(2) is replaced by the following:

‘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 corre-
sponding correction into the national allocation plan
table held in the Community independent transaction log.

the Central Administrator

to enter

All such corrections relating to new entrants shall be made
in accordance with the automatic national allocation plan
table change process as set out in Annex XIa to this Regu-
lation.

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
allowance allocation process set out in Annex IX.’.

shall be allocated in accordance with the

17. Article 48 is replaced by the following:

‘Article 48

Allocation of allowances to new entrants

shall

instructed to do so by the competent authority,

the
If
a proportion of
transfer
registry administrator
allowances
issued by any registry administrator under
Article 45 that are in the Party holding account to the
operator holding account of a new entrant in accordance
with the relevant section of the national allocation plan
table for that new entrant for the year in question.

All such corrections not relating to new entrants shall be
made in accordance with the initialisation procedures as set
out in Annex XIV to this Regulation.

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

to

to

plan

allocation

the Member State shall notify the
In all other cases,
correction
the
national
its
Commission and if the Commission does not reject this
correction in accordance with the procedure in Article
the Commission shall
9(3) of Directive 2003/87/EC,
instruct
the corre-
sponding 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 to this Regulation.’.

the Central Administrator

to enter

18. The following Article 48a is inserted:

‘Article 48a

Allocation of allowances
Member State

following their

sale by

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.

16. Article 46 is replaced by the following:

‘Article 46

Allocation of allowances to operators

Without prejudice to Articles 44(2) and 47, by 28 February
the
2008 and by 28 February in each year thereafter,

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
(2008 to 2012 onwards)”
transfer
process set out in Annex IX.’.

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19. Article 50 is amended as follows:

(a)

the first subparagraph of paragraph 1 is replaced by the
following:

log

and

transaction

‘When a communication link is established between the
UNFCCC independent
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
in
have elapsed since the submission of
its report
accordance with Article
of Decision No
280/2004/EC, unless the Secretariat to the UNFCCC
has
informed that Member State that compliance
procedures will not be commenced.’;

7(1)

(b) paragraph 2 is replaced by the following:

from 1 January 2008 onwards,

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

is the lowest,

than 1 per

cent higher

less

20. Article 51 is replaced by the following:

‘Article 51

Verified emissions of an installation

Upon the verification as satisfactory,

in accordance
1.
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, each verifier,
including those
competent authorities acting as verifiers shall enter or
the annual verified emissions for
approve the entry of
that
the
verified emissions table designated for that installation for
that year in accordance with the verified emissions update
process set out in Annex VIII to this Regulation.

into the section of

installation for

that year

The competent authority may instruct

the registry
3.
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 to 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 in Annex VIII to this Regulation.

If

the competent authority instructs

the registry
4.
administrator to correct the annual verified emissions for
an installation for a previous year after
the deadline
specified in Article 6(2) of Directive 2003/87/EC for
surrendering allowances equal
that
previous year, the Central Administrator shall only allow
it was informed of the competent
such a correction if
authority’s decision on the new compliance
status
applicable to the installation as a result of the correction
of the verified emissions.’.

to the emissions of

21. Article 55 is replaced by the following:

‘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 determine the following:

(a)

for the years 2005, 2006 and 2007, the compliance
status figure for that installation and for each year by
calculating the sum of all allowances
surrendered
pursuant to Articles 52, 53 and 54 for the 2005 to
2007 period minus the sum of all verified emissions in
the current five-year period up to and including the
current year;

(b) for

thereafter,

the year 2008 and each year

the
compliance status figure for that installation and for
each year by calculating the sum of all allowances
surrendered pursuant to Articles 52, 53 and 54 for
the sum of all verified
the current period minus
emissions from the year 2008 up to and including
the current year, plus a correction factor.

The registry administrator may prohibit the entry of
2.
the annual verified emissions for an installation until the
competent authority has received the verified emissions
report submitted by operators pursuant to Article 14(3)
of Directive 2003/87/EC for that installation, and enabled
the registry to receive the annual verified emissions.

The correction factor referred to in point (b) shall be zero if
the 2007 figure was greater than zero, but shall remain as
the 2007 figure if the 2007 figure is less than or equal to
zero.’.

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22. Article 57 is replaced by the following:

‘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.’.

23. In Article 58, the first subparagraph is replaced by the

following:

‘On 30 June 2006, 2007 and 2008 the registry adminis-
trator shall cancel a number of allowances, CERs, and force
majeure allowances held in the Party holding account
to Articles 52, 53 and 54. The number of
pursuant
allowances, CERs, and force majeure allowances
to be
the
cancelled shall be equal
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
the moment of
moment of cancellation in 2006 until
cancellation in 2007 and from the moment of cancellation
in 2007 until the moment of cancellation in 2008.’.

to the total number at

24. Article 59 is replaced by the following:

‘Article 59

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

By 30 June 2009 and 30 June of each year thereafter,
allowances
registry
the 2008 to 2012 period and each

1.
the
surrendered for
subsequent five year period, by:

administrator

cancel

shall

(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 of the first year of
the relevant period until 31 May of the subsequent
year and since 1 June of the preceding year until 31
May of each 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 Annex VI in accordance with the
“conversion of surrendered allowances for retirement
(2008 to 2012 onwards)” process set out in Annex
IX; and

(b) transferring a number of Kyoto units of

the

competent

the type
authority, with the
specified by
exception of Kyoto units
resulting from projects
referred to in Article 11a(3) of Directive 2003/87/EC,
equal to the total number of allowances surrendered
to Articles 52 and 53 as entered in the
pursuant
surrendered allowance table since 1 January of
the
first year of the relevant period until 31 May of the
subsequent year and from 1 June of the preceding year
until 31 May of each of the subsequent years, from the
Party holding account to the retirement account for the
relevant period in accordance with the “retirement of
(2008 to 2012 onwards)”
surrendered allowances
process set out in Annex IX.

converting

them into AAUs

2.
After 30 June 2013 and 30 June of the year after the
end of each subsequent five-year period, the registry admin-
istrator may retire any allowances not yet allocated to
operators by
through
removing the allowance element from the unique unit iden-
tification code of each such AAU comprising the elements
set out in Annex VI in accordance with the “conversion of
unallocated allowances
(2008 to 2012
onwards)” process set out in Annex IX and transferring
them from the Party holding account to the retirement
account for the relevant period in accordance with the
“retirement of unallocated allowances
(2008 to 2012
onwards)” process set out in Annex IX.’.

retirement

for

25. In Article 60, point (a) is replaced by the following:

‘(a) transferring a number of allowances, equal

to the
number of allowances held in the registry issued for
the 2005 to 2007 period by any registry minus the
number of allowances at the moment of cancellation
and replacement surrendered pursuant to Articles 52
and 54 since the moment of retirement on 30 June
from their holding accounts
of
referred to in Article 11(1) and (2) to the cancellation
account for the 2005 to 2007 period;’.

the preceding year,

26. In Article 61, points (a) and (b) are replaced by the

following:

‘(a) transferring all allowances allocated to operators 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 held in the registry allocated
the preceding five-year period
by any registry for
minus
surrendered
of
the
pursuant to Article 52 since 31 May 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 Annex VI;’.

allowances

number

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27. Article 63(1) is replaced by the following:

Article 63c

‘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
retirement
to the
account in his registry in accordance with the “retirement
of Kyoto units (2008 to 2012 onwards)” process set out in
Annex IX.’.

appropriate

28. After Article 63, the following Chapter Va is inserted:

‘CHAPTER VA

Registries operated in accordance with Article 63a:
detection of discrepancies and inconsistencies by the
UNFCCC independent transaction log

The UNFCCC independent transaction log shall
inform a
registry operated in accordance with Article 63a of any
discrepancy detected in a process which that registry has
initiated through the administrator of
the Community
registry.

the process

administrator of

The registry operated in accordance with Article 63a shall
the
and the
terminate
Community registry shall inform the UNFCCC independent
transaction log thereof. The administrator of the registry
operated in accordance with Article 63a, and any other
registry
immediately
inform the relevant account holders that the process has
been terminated.

administrators

concerned

shall

OPERATION OF REGISTRIES OF MEMBER STATES WHICH
DO NOT HAVE AAUS

Article 63d

Article 63a

Operation of registries of Member States which do not
have AAUs

1. Member States that are not able to issue AAUs due to
reasons other than being determined to be ineligible to
transfer and acquire ERUs and AAUs, and use CERs in
accordance with the provisions of Decision 11/CMP.1 of
the Kyoto Protocol to the UNFCCC shall establish, operate
and maintain their registries in a consolidated manner with
the Community registry. Articles 3(3), 4, 6(1), 11(1), (3)
and (4), 30(1), 34, 35, 36, 44(3), 45, 49(1), 59, 60, 61, 65
shall not apply to those registries.

From 1 January 2008,

2.
the registries operated in
capable of
accordance with paragraph 1 shall be
executing the processes applicable to them in Annexes
VIII, IX, X, XI and XIa.

Article 63b

Communication link between registries operated in
accordance with Article 63a and the Community
independent transaction log

Registries operated in accordance with Article 63a shall
communicate with the Community independent transaction
log through a communication link established by the
Community registry.

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 administrator
of the Community registry thereof.

Registries operated in accordance with Article 63a:
Finalisation of processes concerning accounts, verified
emissions and automatic national allocation plan table
changes

allocation plan table

When there is a communication link established between
the two independent
transaction logs and if processes
concerning accounts, verified emissions and automatic
are directed
national
through the UNFCCC independent transaction log, those
processes shall be final when both independent transaction
logs successfully inform the Community registry that they
in the proposal
have not detected any discrepancies
initiated by the registry operated in accordance with
Article 63a.

changes

In all cases different from those referred to in the first
paragraph, all processes referred to in Annexes VIII and
XIa shall be final when the Community independent trans-
action log successfully informs the Community registry that
it has not detected any discrepancies in the proposal
initiated by the registry operated in accordance with
Article 63a.

Article 63e

Registries operated in accordance with Article 63a:
finalisation of processes
transactions
within registries

concerning

All processes referred to in Annex IX, except the external
transfer process, shall be final when both independent
transaction logs inform the Community registry that they
in the proposal
have not detected any discrepancies
initiated by the registry operated in accordance with
Article 63a and the Community registry has successfully
sent confirmation to both independent
transaction logs
that the registry operated in accordance with Article 63a
has updated its records in accordance with its proposal.

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the external

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
transfer
process, shall be final when the Community independent
transaction log informs the Community registry that it has
not detected any discrepancies in the proposal initiated by
the registry operated in accordance with Article 63a and
the Community registry has successfully sent confirmation
to the Community independent transaction log that the
registry operated in accordance with Article 63a has
updated its records in accordance with its own proposal.

Article 63f

Registries operated in accordance with Article 63a:
finalisation of the external transfer process

The external transfer process involving a registry operated
in accordance with Article 63a shall be final when both
independent transaction logs inform the acquiring registry
(or the Community registry if the acquiring registry is a
registry operated in accordance with Article 63a)
that
they have not detected any discrepancies in the proposal
sent by the initiating registry (or the Community registry if
the initiating registry is a registry operated in accordance
with Article 63a) and the acquiring registry (or
the
Community registry if the acquiring registry is a registry
operated in accordance with Article 63a) has successfully
sent confirmation to both independent transaction logs that
the acquiring registry 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 involving a registry operated in accordance
with Article 63a shall be final when the Community inde-
pendent transaction log informs the acquiring registry (or
the Community registry if the acquiring registry is a registry
operated in accordance with Article 63a) that it has not
detected any discrepancies in the proposal sent by the
initiating registry (or
the
initiating registry is a registry operated in accordance
with Article 63a) and the acquiring registry (or
the
Community registry if the acquiring registry is a registry
operated in accordance with Article 63a) has successfully
sent confirmation to the Community independent trans-
action log that it has updated its records in accordance
with the initiating registry’s proposal.

the Community registry if

through the Community registry with the digital certificates
issued by the Secretariat
to the UNFCCC, or an entity
designated by it.

the communication link between the
However, until
Community independent
transaction log and UNFCCC
independent transaction log is established, they shall be
authenticated to the Community independent transaction
log through the Community registry using digital certi-
ficates 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 certi-
ficates and shall distribute the usernames and passwords.

Article 63h

Special provisions concerning certain obligations of
registry administrators of
registries operated in
accordance with Article 63a

The obligations provided for in Article 71 and Article 72(2)
and (3) shall, as regards registry administrators of registries
operated in accordance with Article 63a, be carried out by
the administrator of the Community Registry.

Article 63i

Registries operated in accordance with Article 63a:
accounts

Registries operated in accordance with Article 63a
1.
shall contain at least two Party holding accounts created
in accordance with Article 12.

2.
Allowances with an initial unit type of 1 shall be held
by only one of the Party holding accounts, and no Party
holding account other than the one holding allowances
with an initial unit type of 1 shall be permitted to parti-
cipate in external transfers between registries operated in
accordance with Article 63a and registries other than ones
so operated. The Party holding account holding allowances
with an initial unit type of 1 shall not be used for trans-
transfers between registries
actions other
operated in accordance with Article 63a and registries
other than ones so operated and shall only hold units
with an initial unit type of 1.

than external

Article 63g

Registries operated in accordance with Article 63a:
Authentication

Registries operated in accordance with Article 63a shall be
authenticated to the UNFCCC independent transaction log

3.
The operator holding accounts created pursuant to
Article 11(2) shall not hold allowances with an initial
unit type of 1 at the end of a transaction. Person holding
accounts in registries operated in accordance with Article
63a may not participate in external
transfers between
registries operated in accordance with Article 63a and
registries other than ones so operated.

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Article 63j

Registries operated in accordance with Article 63a:
national allocation plan table for the 2008 to 2012
period and each subsequent five-year period

Registries operated in accordance with Article 63a shall,
subsequent
to any correction to the national allocation
plan table made pursuant to Article 44(2) which occurs
after allowances have been issued under Article 45 and
which reduces the total quantity of allowances issued
the 2008 to 2012 period or
under Article 45 for
subsequent
the number of
allowances specified by the competent authority from the
holding accounts referred to in Articles 11(2) and 63i and
in which the allowances are held to the cancellation
account of the Community registry for the relevant period.

five-year periods,

transfer

two registries referred to in Article 63a” process, as
set out in Annex IX;

transfer

(c) between a registry operated in accordance with Article
63a and a registry other than one so operated in
accordance with the “External
(between a
registry referred to in Article 63a and other registry)”
process set out in Annex IX. Transfers of allowances
with an initial unit type of 0 and a supplementary unit
type of 4 towards registries that are not operated in
accordance with Article 63a may not be requested by
holders of person holding accounts. The Community
transaction log shall block any trans-
independent
actions that would result in the transfer of allowances
with an initial unit type of 0 and a supplementary unit
type of 4 to registries other than those operated in
accordance with Article 63a.

Article 63k

Registries operated in accordance with Article 63a:
issue of allowances

Article 63m

The administrator of a registry operated in accordance with
Article 63a shall 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 to 2012 period and by 28 February of the
first year of each subsequent five-year period, 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,
whereby the initial unit type shall be 0 and the supple-
mentary unit type shall be 4.

shall be

Allowances
allowance issue (registries
process set out in Annex IX.

issued in accordance with the
referred to in Article 63a)

Article 63l

Registries operated in accordance with Article 63a:
transfers of allowances between operator holding
accounts in registries operated in accordance with
Article 63a and other registries

1.
The registries operated in accordance with Article 63a
shall carry out any transfer of allowances with an initial
unit type of 0 and a supplementary unit type of 4 between
holding accounts, as requested by an account holder:

(a) within its registry in accordance with the internal

transfer process set out in Annex IX;

(b) between two registries operated in accordance with
Article 63a in accordance with the “transfer between

Registries operated in accordance with Article 63a:
cancellation under Article 58 or Article 62

When carrying out a cancellation and retirement
in
accordance with Article 58 or a voluntary cancellation in
accordance with Article 62, the administrator of a registry
operated in accordance with Article 63a shall carry out the
cancellation by transferring allowances as required under
Article 58 or 62 into the cancellation account or the
retirement account of the Community registry.

Article 63n

Registries operated in accordance with Article 63a:
surrendered
retirement
cancellation
allowances and CERs for the 2008 to 2012 period
and subsequent periods

and

of

1.
By 30 June 2009 and on 30 June each year thereafter,
registry operated in
the
registry administrator of
accordance with Article 63a shall cancel a number of
allowances and CERs held in the Party holding account
pursuant to Articles 52 and 53.

a

The number of allowances and CERs to be cancelled shall
be equal to the total number of surrendered allowances
entered into the surrendered allowances table since 1
January of the first year of the relevant period until 31
May of
the
preceding year until 31 May of each of the subsequent
years.

the subsequent year and since 1 June of

Cancellation shall

and CERs, with the

take place by transferring the
2.
allowances
exception of CERs
resulting from projects referred to in Article 11a(3) of
Directive 2003/87/EC,
from the Party holding account
into the retirement account of the Community Registry
for the relevant period in accordance with the “retirement
(registries referred to in Article 63a)” process set out in
Annex IX.

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Article 63o

Registries operated in accordance with Article 63a:
cancellation and replacement of allowances issued for
the 2005 to 2007 period

1.
On 1 May 2008, each registry administrator of a
registry operated in accordance with Article 63a shall
instructed to do so by the competent
cancel and,
authority,
registry in
replace allowances held in his
accordance with the allowance cancellation and repla-
cement process set out in Annex IX by:

if

(a)

the moment of

to the
transferring a number of allowances, equal
number of allowances issued for the 2005 to 2007
period minus the number of allowances surrendered
at
cancellation and replacement
pursuant to Articles 52 and 54 since 30 June of the
preceding year, from their holding accounts referred to
in Articles 11(2) and 63i to the cancellation account of
the Community registry for the 2005 to 2007 period;

(b) if

instructed to do so by the competent authority,
issuing a number of replacement allowances specified
by the competent authority by issuing an equal number
of allowances for the 2008 to 2012 period, giving each
identification code comprising the
allowance a unit
elements set out in Annex VI;

(c)

transferring any such replacement allowances referred
to in point (b) from the Party holding account into the
operator and person holding accounts specified by the
competent authority from which allowances were trans-
ferred under point (a).

Article 63p

Registries operated in accordance with Article 63a:
cancellation and replacement of allowances issued for
the 2008 to 2012 period and subsequent periods

1.
On 1 May in 2013 and on 1 May in the first year of
each subsequent five year period, each registry adminis-
trator of a registry operated in accordance with Article
63a shall cancel and replace allowances held in its
registry in accordance with the allowance cancellation
and replacement process set out in Annex IX by:

(a)

the

period minus

transferring a number of allowances, equal
to the
number of allowances issued for the preceding five-
allowances
year
surrendered pursuant to Article 52 since 31 May of
the preceding year,
from their holding accounts
referred to in Articles 11(2) and 63i to the cancellation
account of the Community registry for the relevant
period;

number

of

(b) issuing an equal number of replacement allowances
with a supplementary unit type of 4 for the current

period into the Party holding account and assigning
to each of these allowances a unique unit identification
code comprising the elements set out in Annex VI;

(c)

transferring a number of those allowances issued in
accordance with point (b) for the current period from
the Party holding account
into each operator and
person holding account from which allowances were
transferred in accordance with point (a), equal to the
number of allowances that were transferred from those
accounts under point (a).’.

29. Article 72 is amended as follows:

(a)

in paragraph 1, the following sentence is added:

‘After such coordination,
the Central Administrator
shall decide on the date of implementation by registries
and the Community independent
transaction log of
each new version of the functional and technical speci-
fications
registry
systems under the Kyoto Protocol.’;

for data exchange standards

for

(b) paragraph 2 is replaced by the following:

If a new version or

‘2.
release of a registry is
required, each registry administrator and the Central
Administrator shall successfully complete the testing
procedures set out in Annex XIII before a communi-
cation 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.’;

(c)

the following paragraph 2a is inserted:

issues

‘2a.
The Central Administrator shall convene regular
meetings of the registry administrators to consult them
and
on
change
management,
incident management and any other
issues of a technical nature related to the operation
of registries and the implementation of
this Regu-
lation.’.

procedures

related

to

30. Article 73(1) is replaced by the following:

‘1.
The Central Administrator and each registry admin-
istrator shall store records concerning all processes and
account holders set out in Annexes III, IV, VIII, IX, X, XI
and XIa for 15 years or until any questions of implemen-
tation relating to them have been resolved, whichever is the
later.’.

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31. Annexes I, II, III, VI to XIII and XVI are amended as set out

in Annex I to this Regulation.

32. Annex XIa is inserted as set out in Annex II to this Regu-

lation.

Article 2

1.
This Regulation shall enter into force on the third day
following its publication in the Official Journal of the European
Union.

Points (1) to (4), (6) to (12), (15), (16), (17), (20), (21),
2.
and (27) to (30) of Article 1, and points (2), (3), (4), (5)(c), (e),
(f), (g), (i), (6)(b), (10), (11), (13), (d)(i), (f) and (g) of Annex I and
Annex II shall apply from 1 February 2008.

3.
Points (24) and (26) of Article 1 and points (13)(a), (b),
(c), (d)(ii), (iii) and (e) of Annex I shall apply from 1 January
(iii) and (e) of
2009. However, points (13)(a),
Annex I may be applied before 1 January 2009.

(d)(ii),

(b),

(c),

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

Done at Brussels, 31 July 2007.

For the Commission

Stavros DIMAS
Member of the Commission

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Annexes I, II, III, VI to XIII and XVI to Regulation (EC) No 2216/2004 are amended as follows:

ANNEX I

1. Annex I is amended as follows:

(a) paragraph 2 is replaced by the following:

‘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).’;

(b) paragraph 3 is replaced by the following:

‘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.’.

2. In Annex III, the following sentences are added to paragraph 1:

‘The name of the operator should be identical to name of the natural or legal person that is the holder of the relevant
greenhouse gas permit. The name of the installation shall be identical to the name indicated in the relevant
greenhouse gas permit.’.

3. Annex VI is amended as follows:

(a)

in Table VI-1 the text ‘4 = Allowance issued for the 2008 to 2012 and subsequent five-year periods by a Member
State that does not have AAUs’ is added in column ‘Range or codes’, row ‘Supplementary unit type’;

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(b) in Table VI-2 the following row is added:

‘0

4

Allowance issued for the 2008 to 2012 and subsequent five-year periods by a Member State that
does not have AAUs, and which is not converted from an AAU or other Kyoto unit’

(c)

in Table VI-3 the text ‘The Central Administrator shall define a separate sub-range of these values for the
Community registry and each registry operated in a consolidated manner with the Community registry’
is
added to the text in column ‘Range or codes’, row ‘Account Identifier’;

(d) in Table VI-5, the words ‘Permit Identifier’ are replaced by ‘Account Holder Identifier’;

(e) paragraph 14 is replaced by the following:

‘14. Table VI-7 details the elements of the correlation identification codes. Each process referred to in Annex
VIII and Annex XIa 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.’.

4. Annex VII is amended as follows:

(a)

in the table under paragraph 4 the following row is deleted:

‘05-00

Retirement (2008 to 2012 onwards)’

(b) in the table under paragraph 4 the following rows are added:

‘10-61

conversion of surrendered allowances for retirement(2008 to 2012 onwards)

10-62

conversion of unallocated allowances for retirement (2008 to 2012 onwards)

05-00

retirement of Kyoto units (2008 to 2012 onwards)

05-01

retirement of surrendered allowances (2008 to 2012 onwards)

05-02

retirement of unallocated allowances (2008 to 2012 onwards)

01-22

Allowance issue (registries referred to in Article 63a)

03-00

External transfer (between a registry referred to in Article 63a and other registry)

10-22

Transfer between two registries referred to in Article 63a

05-22

retirement (registries referred to in Article 63a)’

(c)

in the table under paragraph 5 the following row is added:

‘4

Allowance issued for the 2008 to 2012 and subsequent five-year periods by a Member State that does
not have AAUs, and which is not converted from an AAU or other Kyoto unit’

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5. Annex VIII is amended as follows:

(a)

in paragraph 1, point (c) is replaced by the following:

‘(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.
the appropriate operation on the
Community independent transaction log account management Web service.’;

the registry administrator

In all other cases

shall call

(b) paragraph 2 is replaced by the following:

‘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 acknowl-
edgement 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.’;

(c)

in Tables VIII-5, VIII-11 and VIII-12 the line:

‘FaxNumber

is replaced by:

‘FaxNumber

Mandatory’

Optional’

(d)

‘The initiating registry (Originating Registry) authenticates the UNFCCC independent
in Table VIII-9, the text:
transaction log (or Community independent transaction log prior to the link between the Community inde-
pendent transaction log and UNFCCC independent transaction log being established) by calling the Authenticate
Message() function and checks the version of the transaction log by calling Check Version() function.’ is replaced
by the following text:

‘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.’;

(e)

in Table VIII-11 the number ‘7162’ is added to the last row;

(f)

in Tables VIII-12 and VIII-14 after the row containing ‘PermitIdentifier’, the following row is inserted:

‘PermitDate

Mandatory’

(g)

in Table VIII-13 after the row containing ‘PermitIdentifier’, the following row is inserted:

‘PermitDate

Optional’

(h) in Table VIII-15 the number ‘7161’ is added to the last row;

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(i) paragraph 6 is replaced by the following:

‘6. 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, as set out in Table XII-1 under the
range 7900 to 7999. The abovementioned 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.’;

(j)

in Table VIII-17 the number ‘7525’ is added to the last row.

6. Annex IX is amended as follows:

(a) paragraph 4 is replaced by the following:

‘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) Table IX-1 is amended as follows:

(i) the text ‘Range 7221 to 7222’

is inserted to column ‘Community independent transaction log response

codes’, row ‘External transfer (2008 to 2012 onwards)’;

(ii) the text ‘Range 7221 to 7222’

is inserted to column ‘Community independent transaction log response

codes’, row ‘External transfer (2005 to 2007)’;

(iii) the text ‘(registries referred to in Article 63a); 7219; Range 7223 to 7224; 7360; 7402; 7404; 7406; Range
7407 to 7408; 7202’ is added to column ‘Community independent transaction log response codes’, row
‘Cancellation and replacement’;

(iv) the following row is deleted:

‘Retirement (2008 to 2012 onwards)

05-00

Range 7358 to 7361’

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(v) the following rows are added:

‘conversion of surrendered allowances for retirement
(2008 to 2012 onwards)

10-61

7358

conversion of unallocated allowances for retirement
(2008 to 2012 onwards)

10-62

7364, 7366

retirement of Kyoto units (2008 to 2012 onwards)

05-00

7360
7365

retirement of surrendered allowances (2008 to 2012
onwards)

retirement of unallocated allowances (2008 to 2012
onwards)

05-01

05-02

Range 7359 to 7361
7365

7360, 7361
Range 7363 to 7365

External transfer (between a registry referred to in
Article 63a and other registry)

03-00

Range 7225 to 7226

Allowance issue (registries referred to in Article 63a)

01-22

retirement (registries referred to in Article 63a)

05-22

Transfer between two registries referred to in
Article 63a

10-22

Range 7201 to 7203
7219
7224

Range 7227 to 7228
7357
Range 7360 to 7362

7302, 7304
Range 7406 to 7407
7224
7228’

(c) The following paragraph 7 is added:

‘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;

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(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.’.

7. Annex X is amended as follows:

(a)

in paragraph 1, the introductory phrase is replaced by the following:

‘When the communication link between the Community independent transaction log and the UNFCCC inde-
pendent 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:’;

(b) in paragraph 2, the introductory phrase is replaced by the following:

‘When the communication link between the Community independent transaction log and the UNFCCC inde-
pendent transaction log is established, each registry shall respond to any request made by the UNFCCC inde-
pendent transaction log to submit the following information for a specified time and date:’;

(c)

in paragraph 3, the introductory phrase is replaced by the following:

‘When the communication link between the Community independent transaction log and the UNFCCC inde-
pendent 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 inde-
pendent transaction log to submit the following information for a specified time and date:’;

(d) paragraph 6 is replaced by the following:

‘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.’.

8. In Annex XI, paragraph 2 is replaced by the following:

‘2. When the communication link between the Community independent transaction log and the UNFCCC inde-
pendent 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.’.

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9. Annex XII is amended as follows:

(a) paragraph 1 is replaced by the following:

‘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) Table XII-1 is amended as follows:

(i) the column headings and the following line are deleted:

‘Response Code

Description

7149

The people fax number is not in valid format or is out of range’

(ii) the following column headings and the following lines are inserted in the appropriate numerical order:

‘Response Code

Description

Equivalent
response code
under the data
exchange
standards

7161

7162

7221

7222

7223

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

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

The acquiring or transferring account may not be in a registry referred to
in Article 63a

The allowances to be transferred may not have a supplementary unit
type 4

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

7226

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

The balance of the Party holding account capable of holding supple-
mentary 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

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

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Response Code

Description

Equivalent
response code
under the data
exchange
standards

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

7408

7451

7452

7525

The quantity to be converted cannot exceed the number of allowances
issued but not allocated

The number of allowances cancelled must be equal to the number of
allowances to be cancelled pursuant to Article 63o

The total quantity of allowances in the updated NAP and in the current
NAP must be equal

The quantity allocated to new entrants may not be greater than the
quantity by which the reserve is decreased

The verified emissions figure for year X cannot be corrected after 30 April
of year X+1 unless the competent authority notifies the Central Adminis-
trator the new compliance status applicable to the installation whose
verified emissions figure is corrected

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

7704

7705

The amount of allowances to allocate for an installation and a year must
be greater than or equal to 0

The permit identifier must exist and be connected to the installation
identifier

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

7902

7903

7904

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.)

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.)

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.)

1501

1503

1504

1510

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Response Code

Description

7905

Transaction ID must be comprised of a valid registry code followed by
numeric values

7906

Transaction type code must be valid

7907

Supplementary Transaction Type code must be valid

7908

Transaction status code must be valid

7909

Account Type code must be valid

7910

Initiating Account Identifier must be greater than zero

7911

Acquiring Account Identifier must be greater than zero

7912

The Originating Registry of all unit blocks must be valid

7913

Unit Type code must be valid

7914

Supplementary Unit Type code must be valid

7915

Unit Serial Block Start and Unit Serial Block End must be present

7916

7917

7918

Unit Serial Block End must be greater than or equal to the Unit Serial
Block Start

RMUs, ERUs converted from RMUs, tCERs and lCERs must have a valid
LULUCF activity code

AAUs, ERUs converted from AAUs and CERs must not have a LULUCF
activity code

7919

ERUs, CERs, tCERs, and lCERs must have a valid Project ID

7920

AAUs or RMUs must not have a Project ID

7921

ERUs must have a valid “Track Code”

7922

AAUs, RMUs, CERs, tCERs and lCERs must not have a track code

7923

AAUs, RMUs, ERUs and CERs must not have an Expiry Date

7924

Transaction ID for proposed transactions must not already exist in the
CITL

Equivalent
response code
under the data
exchange
standards

2001

2002

2003

2004

2006

2007

2008

2010

2011

2012

2013

2014

2015

2016

2017

2018

2019

2020

2022

3001

7925

Transaction ID for ongoing transactions must already exist in the CITL

3002

7926

Previous completed transactions cannot be completed again

7927

Previously rejected transactions cannot be completed

7928

Transactions for which a CITL discrepancy has been previously identified
cannot be completed

3003

3004

3005

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Response Code

Description

7930

Previously terminated transactions cannot be completed

7931

Previously cancelled transactions cannot be completed

7932

Previously accepted external transactions cannot be terminated

7933

7934

7935

7936

Transaction status of Accepted or Rejected is not valid for non-external
transactions

Transaction status from Initiating registry must indicate status of Proposed,
Completed, or Terminated

Transaction status from Acquiring registry for an External Transfer must
indicate status of Rejected or Accepted

Applicable Commitment Period must correspond to the current or next
Commitment Period (including their “true-up” periods)

7937

Units identified in the transaction must already exist in the CITL

7938

Units identified in the transaction must be held by Initiating registry

Equivalent
response code
under the data
exchange
standards

3007

3008

3009

3010

3011

3012

4001

4002

4003

4004

7939

7940

7941

7942

7943

7945

All attributes of all unit blocks must be consistent with CITL unit block
attributes except where attributes are changed by the current transaction

All unit blocks
Commitment Period

in transaction must be

for

a

single Applicable

4005

For all
transactions except
Acquiring Registries must be the same

for external

transfers,

the Initiating and

4006

For external transfers, the Initiating and Acquiring Registries must be
different

Units identified in the transaction must not have inconsistencies identified
through reconciliation with the CITL

Units identified in the transaction must not be involved in another trans-
action

7946

Cancelled units must not be subject to further transactions

7947

A transaction proposal must contain at least one unit block

7948

A transaction must not issue more than one Unit Type.

7949

7950

7951

The Original Commitment Period must be the same for all units issued by
the transaction

The Applicable Commitment Period must be the same as the Original
Commitment Period for all units issued by the transaction

Cancellation to Excess Issuance Cancellation Account must not take place
in a national registry

4007

4008

4010

4011

4012

5004

5005

5006

5152

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Response Code

Description

Equivalent
response code
under the data
exchange
standards

7952

7953

7954

7955

7956

7957

7958

The Acquiring Account for a cancellation transaction must be a cancel-
lation account

Account identifiers must be provided for acquiring accounts in cancel-
lation transactions

The unit blocks
Commitment Period as the cancellation Account

to be cancelled must have the same Applicable

The Initiating registry retiring units must be a national registry or the
Community Registry

The Acquiring Account for a retirement transaction must be a retirement
account

Account identifiers must be provided for acquiring accounts in retirement
transactions

The Unit Blocks retired must have the same Applicable Commitment as
the Retirement Account

5153

5154

5155

5251

5252

5253

5254

7959

The Initiating registry carrying over units must be a national registry

5301

7960

7961

The Initiating Account for a carry-over transaction must be a holding
account

Units may be carried-over only to the next subsequent commitment
period

7962

Reconciliation Identifier must be greater than zero

7963

Reconciliation ID must be comprised of a valid registry code followed by
numeric values

7964

Reconciliation status must be a value between 1 and 11

7965

Reconciliation snapshot must be a date between 1 October 2004 and the
current date plus 30 days

7966

Account Type must be valid

7969

Reconciliation ID must exist in the Reconciliation Log table

7970

Reconciliation status sent by registry must be valid

7971

7972

Incoming reconciliation status must be the same as the reconciliation
status recorded by the CITL

The registry reconciliation snapshot DateTime must be consistent with the
CITL Reconciliation Snapshot DateTime

5302

5303

6201

6202

6203

6204

6205

6301

6302

6303

6304’

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(iii) the line:

‘7301

Approaching breach of commitment period reserve’

is replaced by:

‘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’

10. Annex XIII is amended as follows:

(a)

in paragraph 3, point (e) is replaced by the following:

‘(e)

Integrated process testing: the ability of the registry to execute all processes, including all relevant statuses
and stages set out in Annexes VIII to XI and XIa, and to allow manual interventions to the database pursuant
to Annex X, shall be tested.’;

(b) paragraph 4 is replaced by the following:

‘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 Annexes VIII to XI and XIa are contained within that registry's
database and interpreted and used appropriately in respect of processes.’.

11. In Annex XIV, paragraph 7 is replaced with the following:

‘7. The XML schema for submitting a national allocation plan table to the Commission is the following:

<?xml version="1.0" encoding="UTF-8"?>

<xs:schema targetNamespace="urn:KyotoProtocol:RegistrySystem:CITL:1.0:0.0"
xmlns:xs="http://www.w3.org/2001/XMLSchema"
xmlns="urn:KyotoProtocol:RegistrySystem:CITL:1.0:0.0" elementFormDefault="qualified">

<xs:simpleType name="ISO3166MemberStatesType">

<xs:restriction base="xs:string">

<xs:enumeration value="AT"/>

<xs:enumeration value="BE"/>

<xs:enumeration value="BG"/>

<xs:enumeration value="CY"/>

<xs:enumeration value="CZ"/>

<xs:enumeration value="DE"/>

<xs:enumeration value="DK"/>

<xs:enumeration value="EE"/>

<xs:enumeration value="ES"/>

<xs:enumeration value="FI"/>

<xs:enumeration value="FR"/>

<xs:enumeration value="GB"/>

<xs:enumeration value="GR"/>

<xs:enumeration value="HU"/>

<xs:enumeration value="IE"/>

<xs:enumeration value="IT"/>

<xs:enumeration value="LT"/>

<xs:enumeration value="LU"/>

<xs:enumeration value="LV"/>

<xs:enumeration value="MT"/>

<xs:enumeration value="NL"/>

<xs:enumeration value="PL"/>

<xs:enumeration value="PT"/>

<xs:enumeration value="RO"/>

<xs:enumeration value="SE"/>

<xs:enumeration value="SI"/>

<xs:enumeration value="SK"/>

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</xs:restriction>

</xs:simpleType>
<xs:simpleType name="AmountOfAllowancesType">

<xs:restriction base="xs:integer">
<xs:minInclusive value="0"/>
<xs:maxInclusive value="999999999999999"/>

</xs:restriction>

</xs:simpleType>
<xs:group name="YearAllocation">

<xs:sequence>

<xs:element name="yearInCommitmentPeriod">

<xs:simpleType>

<xs:restriction base="xs:int">

<xs:minInclusive value="2005"/>
<xs:maxInclusive value="2058"/>

</xs:restriction>

</xs:simpleType>

</xs:element>
<xs:element name="allocation" type="AmountOfAllowancesType"/>

</xs:sequence>

</xs:group>

<xs:simpleType name="ActionType">

<xs:annotation>

<xs:documentation>The action to be undertaken for the installation

A = Add the installation to the NAP
U = Update the allocations for the installation in the NAP
D = Delete the installation from the NAP
For each action, all year of a commitment period need to be given
</xs:documentation>
</xs:annotation>
<xs:restriction base="xs:string">

<xs:enumeration value="A"/>
<xs:enumeration value="U"/>
<xs:enumeration value="D"/>

</xs:restriction>

</xs:simpleType>
<xs:complexType name="InstallationType">

<xs:sequence>

<xs:element name="action" type="ActionType"/>
<xs:element name="installationIdentifier">

<xs:simpleType>

<xs:restriction base="xs:integer">
<xs:minInclusive value="1"/>
<xs:maxInclusive value="999999999999999"/>

</xs:restriction>

</xs:simpleType>

</xs:element>
<xs:element name="permitIdentifier">

<xs:simpleType>

<xs:restriction base="xs:string">
<xs:minLength value="1"/>
<xs:maxLength value="50"/>
<xs:pattern value="[A-Z0-9\-]+"/>

</xs:restriction>

</xs:simpleType>

</xs:element>
<xs:group ref="YearAllocation" minOccurs="3" maxOccurs="5"/>

</xs:sequence>

</xs:complexType>
<xs:simpleType name="CommitmentPeriodType">

<xs:restriction base="xs:int">

<xs:minInclusive value="0"/>
<xs:maxInclusive value="10"/>

</xs:restriction>

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</xs:simpleType>

<xs:element name="nap">

<xs:complexType>

<xs:sequence>

<xs:element name="originatingRegistry" type="ISO3166MemberStatesType"/>

<xs:element name="commitmentPeriod" type="CommitmentPeriodType"/>

<xs:element name="installation" type="InstallationType" maxOccurs="unbounded">

<xs:unique name="yearAllocationConstraint">

<xs:selector xpath="yearInCommitmentPeriod"/>

<xs:field xpath="."/>

</xs:unique>

</xs:element>

<xs:element name="reserve" type="AmountOfAllowancesType"/>

</xs:sequence>

</xs:complexType>

<xs:unique name="installationIdentifierConstraint">

<xs:selector xpath="installation"/>

<xs:field xpath="installationIdentifier"/>

</xs:unique>

</xs:element>

</xs:schema>’.

12. Annex XV is amended as follows:

(a)

in paragraph 1 the introductory phrase is replaced by the following:

‘When the communication link between the Community independent transaction log and the UNFCCC inde-
pendent 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:’;

(b) paragraph 2 is replaced by the following:

‘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.’.

13. Annex XVI is amended as follows:

(a) paragraph 1 is replaced by the following:

‘1. The Central Administrator shall display and update the information in paragraphs 2 to 4a 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.’;

(b) paragraph 2 is amended as follows:

(i)

in point (a) the following sentence is added:

‘In the case of operator holding accounts, the account holder name should be identical to name of the natural
or legal person that is the holder of the relevant greenhouse gas permit;’;

(ii) point (c) is replaced by the following:

‘(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, unless the registry administrator allows account holders to request keeping all or some of this
information confidential and the account holder requested the registry administrator in writing not to
display all or some of this information.’;

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(c) paragraph 3 is amended as follows:

(i) point (d) is replaced by the following:

‘(d) allowances and any force majeure allowances allocated and issued 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 and any corrections to such allocations;’;

(ii) the following point (e) is added:

‘(e) The date of the greenhouse gas permit's entry into force and the date of the opening of the account.’;

(d) paragraph 4 is amended as follows:

(i) point (a) is replaced by the following:

‘(a) verified emissions figure, along with its corrections in accordance with Article 51 for the installation
related to the operator holding account for year X shall be displayed from 15 May onwards of year
(X+1);’;

(ii) point (c) is replaced by the following:

‘(c) a symbol identifying whether the installation related to the operator holding account did or did not
surrender the necessary number of allowances for year X by 30 April of year (X+1) in accordance with
point (e) of Article 6(2) of Directive 2003/87/EC and any subsequent changes to that status pursuant to
corrections to verified emissions in accordance with Article 51 (4) of this Regulation shall be displayed
from 15 May onwards of year (X+1). Depending on the installation's compliance status figure and the
registry's operational status, the following symbols shall be displayed together with the following
statements:

Table XVI-1: compliance statements

Compliance status figure for year X under
Article 55 on 30 April of year (X+1)

surrendered

Total
in
accordance with Articles 52, 53, 54 for
period ≥ verified emissions
in period
until current year

allowances

surrendered

Total
in
accordance with Articles 52, 53 and 54
for period < verified emissions in period
until current year

allowances

Verified emissions in period until current
year were corrected pursuant to Article 51

Verified emissions in period until current
year were corrected pursuant to Article 51

Symbol

Statement

A

B

C

D

E

X

to be displayed on CITL and registries

“A number of allowances and Kyoto units
greater
to verified emissions
than or equal
were surrendered by 30 April”

“A number of allowances and Kyoto units lower
than verified emissions were surrendered by 30
April”

“Verified emissions were not entered until 30
April”

“Verified emissions were corrected by competent
authority after 30 April of year X. The
competent
the Member State
decided that the installation is not in compliance
for year X.”

authority of

“Verified emissions were corrected by competent
authority after 30 April of year X. The
the Member State
competent
decided that the installation is in compliance
for year X.”

authority of

“Entering verified emissions and/or surrendering
impossible until 30 April due to the
was
allowance
and/or verified
emissions update process being suspended for
the Member State's registry in accordance with
Article 6(3)” ’

surrender process

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(iii) the following point (d) is added:

‘(d) a symbol indicating if the installation’s account is blocked in accordance with Article 27(1) shall be

displayed from 31 March onwards of year (X+1).’;

(e)

the following paragraphs 4a and 4b are inserted:

‘4a. The national allocation plan table of each Member State, indicating the allocations to installations and the
quantity of allowances reserved for later allocation or sale shall be displayed and updated whenever there is
a correction to the national allocation plan table, clearly indicating where corrections were made.

4b. The fees charged for the opening and annual maintenance of holding accounts in each registry shall be
displayed on a continuous basis. Updates to this information shall be notified to the Central Administrator
by the registry administrator within 15 days of any change in fees.’;

(f)

in paragraph 6, the following point (e) is added:

‘(e) any set-aside table drawn up in accordance with Commission Decision 2006/780/EC (*).
___________
(*) OJ L 316, 16.11.2006, p. 12.’;

(g) the following paragraph 12a is inserted:

‘12a. The Central Administrator shall make available on the public area of the Community independent trans-
action log's web site from 30 April onwards of year (X+1) information indicating the percentage share of
allowances surrendered in each Member State for year X that were not transferred prior to their surrender.’.

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The following Annex XIa is inserted to Regulation (EC) No 2216/2004:

ANNEX II

‘ANNEX XIa

Processes concerning automatic national allocation plan table changes

1. In accordance with Articles 17(3) and 44(2), registries may propose to the Community independent transaction log to
check and implement an automatic change to the national allocation plan through a process described in this Annex.

Requirements for each process

2. The following message sequence for processes concerning automatic national allocation plan table changes shall apply:

(a)

the registry administrator shall initiate the automatic national allocation plan table change process by assigning a
unique correlation identification code comprising the elements set out in Annex VI to its request;

(b) the registry administrator shall call the appropriate operation on the Community independent transaction log

automatic national allocation plan table change Web service;

(c)

the Community Independent Transaction Log shall validate the request by calling the appropriate validation
function within the Community Independent Transaction Log;

(d) 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;

(e)

the Community Independent Transaction Log shall call the “receiveNapManagementOutcome” operation on the
automatic national allocation plan table change 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;

(f)

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.

3. Provided that automatic national allocation plan table change processes are directed through 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 all other cases, 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;

4. The components and functions which are utilised during the message sequence are shown in table XIa-1 to XIa-6. 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.

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Table XIa-1: Components and Functions for Processes concerning automatic national allocation plan table
changes

Component

Function

Scope

NAPTableManagementWS

AddNEInstallationtoNAP()

IncreaseNAPallocationtoNEInstallation()

RemoveNAPallocationofclosingInstallation()

Public

Public

Public

Table XIa-2: NAPTableManagementWS Component

Purpose

The purpose of this component is to handle web service requests for the management of automatic changes to the
national allocation plan table

Functions exposed through Web Services

AddNEInstallationtoNAP()

IncreaseAllocationtoNEInstallationinNAP()

RemoveNAPallocationofclosingInstallation()

Handles the requests for adding new entrant new instal-
lations to the national allocation plan table

Handles the requests for increasing the allocation in the
national allocation plan table of existing installations that
are new entrants

Handles the requests for removing the allocation from
the national allocation plan table of
installations that
are closing

Not applicable.

Other functions

Roles

Community independent transaction log (for all functions) and registry (for the receiveNapManagementOutcome
function only)

Table XIa-3: NAPTableManagementWS.AddNEInstallationtoNAP() function

Purpose

This function receives a request for adding a new entrant new installation to the national allocation plan table. The
allowances allocated for the years before the current year will have a value of zero. If the new entrant new
installation does not receive an allocation, the amount of allowances will have a value of zero.
If the new
entrant new installation does receive an allocation, the reserve is reduced by an equivalent quantity.

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.

The “PermitIdentifier” means the permit identification code comprising the elements set out in Annex VI.

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From

To

CorrelationId

MajorVersion

MinorVersion

InitiatingRegistry

CommitmentPeriod

NewValueofReserve

Installation (*)

PermitIdentifier

InstallationIdentifier

Allocation (*)

YearinCommitmentPeriod

AmountofAllowances

Result Identifier

Response Code

— AuthenticateMessage

— WriteToFile

— CheckVersion

Not applicable (called as a web service).

Mandatory

Mandatory

Mandatory

Mandatory

Mandatory

Mandatory

Mandatory

Mandatory

Mandatory

Mandatory

Mandatory

Mandatory

Mandatory

Mandatory

Mandatory

Optional

Input parameters

Output parameters

Uses

Used By

Table XIa-4: NAPTableManagementWS.IncreaseAllocationtoNEInstallationinNAPIncreaseallocationto-

NEInstallationinNAP() function

Purpose

This function receives a request for increasing the allocation of installations already existing in the national allocation
plan table that are considered new entrants. The allowances allocated for the years before the current year won’t be
modified. The reserve is reduced by a quantity that is equivalent to the quantity allocated in this process.

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.

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From

To

CorrelationId

MajorVersion

MinorVersion

InitiatingRegistry

CommitmentPeriod

NewValueofReserve

Installation (*)

InstallationIdentifier

Allocation (*)

Yearincommitmentperiod

AmountofAllowances

ResultIdentifier

ResponseCode

— AuthenticateMessage

— WriteToFile

— CheckVersion

Not applicable (called as a web service).

Mandatory

Mandatory

Mandatory

Mandatory

Mandatory

Mandatory

Mandatory

Mandatory

Mandatory

Mandatory

Mandatory

Mandatory

Mandatory

Mandatory

Optional

Input parameters

Output parameters

Uses

Used By

Table XIa-5: NAPTableManagementWS RemoveNAPallocationofclosingInstallation() function

Purpose

This function receives a request for removing installations existing in the national allocation plan table. The
allowances yet unallocated will be deleted and an equivalent quantity of allowances will be added to the reserve.

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.

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From

To

CorrelationId

MajorVersion

MinorVersion

InitiatingRegistry

CommitmentPeriod

NewValueofReserve

Installation (*)

InstallationIdentifier

Result Identifier

Response Code

— AuthenticateMessage

— WriteToFile

— CheckVersion

Mandatory

Mandatory

Mandatory

Mandatory

Mandatory

Mandatory

Mandatory

Mandatory

Mandatory

Mandatory

Mandatory

Optional

Input parameters

Output parameters

Uses

Used By

Not applicable (called as a web service).

Table XIa-6: NAPTableManagementWS receiveNapManagementOutcome () function

This function receives a NAP management operation outcome.

Purpose

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 directed through Community independent
transaction log and thereon to the UNFCCC independent transaction log) by calling the AuthenticateMessage()
function and checks the version of the transaction log 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.

The response code list is populated with couples (a response code with possibly a list of installation identifiers) if the
outcome is “0” for any other cause of error.

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From

To

CorrelationId

MajorVersion

MinorVersion

Outcome

Response List

Result Identifier

Response Code

— AuthenticateMessage

— WriteToFile

— CheckVersion

Not applicable (called as a web service).

Mandatory

Mandatory

Mandatory

Mandatory

Mandatory

Mandatory

Optional

Mandatory

Optional

Input parameters

Output parameters

Uses

Used By

Table XIa-7: Processes concerning NAP Table changes

Process description

NAPTableManagementWS.AddNEInstallationtoNAP

NAPTableManagementWS.IncreaseallocationtoNEInstallationinNAP

NAPTableManagementWS
RemoveNA PallocationofclosingInstallation

Community independent transaction log response
codes

7005, 7122, 7125, 7153, 7154, 7155,
7156, 7159, 7215, 7451, 7452, 7700,
7701, 7702, 7703, 7704

7005, 7153, 7154, 7155, 7156, 7159,
7207, 7451, 7452, 7700, 7701, 7702,
7703, 7705

7005, 7153, 7154, 7155, 7156, 7159,
7207, 7451, 7700, 7706

5. If all the checks have been passed successfully, the Community independent transaction log automatically implements
the national allocation plan table change into its database and informs the registry administrator and the Central
Administrator thereof.’.