Data Exchange Standards for the interaction with the ITL

08 November 2004Bonn, Germany

Peggy Quarles

Perrin Quarles Associates, Inc.

peggyquarles@pqa.com

Reconciliation

The process by which data from different registry systems are compared and inconsistencies resolved.

Why do you need Reconciliation?

• Credibility

• Data accuracy

• Process to identify and correct problems

Reconciliation

Snapshots

Registry sendsunit toals

ITL compares Registry totals to logged totals

If NO discrepancies are

found...

Registry and ITL agree on timing

HOWEVER, if discrepancies

exist…

…an alternate process takes

place.

Reconciliation (continued)

If Data discrepancies exist…

Registry sends requested Account and Unit data.

ITL requests details of Unit Type, Account Type for

non-matching record sets.

ITL identifies questionable units by serial number and requests unit transaction

history.

MANUAL INTERVENTION

…the ITL works to isolate and identify units in question to facilitate the final

step in the reconciliation

process…ITL

Registry sends transaction history of records in

question.

Key Elements of Reconciliation

• Good communication

• Flexibility in timing, starting point and phases

• Technical feasibility

Notifications

A Notification is a communication to a registry from the ITL about a required or recommended action involving unit transactions.

Types of Notifications

• Net source cancellation

• Non-compliance cancellation

• Impending tCER or lCER expiry

• Reversal of storage for CDM Project

• Non-submission of Certification Report for CDM Project

• Excess issuance for CDM Project

• CPR level problem

• Unit carry-over

Elements of a Notification

• Notification ID

• Number of Units

• Unit Blocks

• Update or status report for earlier notification

Typical Notification Process

Registry

ITL

ITL sends notification of transaction requirements including Notification ID.

Registry responds with transactions including the Notification ID.

ITL monitors compliance with

transaction requirements.

ITL send updates to Registry indicating progress or completion of requirements

ITL reports to CDM Executive

Board and other entities

ITL Administrator initiates notification.

Other Requirements in the DES

• Data Records

• Change Management

• Registry Testing and Initialization

What do Registry Systems Record?

• All transactions, including detail about unit blocks and response codes

• All reconciliation messages

• All notifications

• All internal activity (who changed what and when)

• A message archive (storage of XML files)

Change Management

Change management is the process by which the Data Exchange Specifications can be modified.

Change Management

• Changes or enhancements are unavoidable

• Changes will be minimized to provide stability and reduce costs

• Registries and ITL will cooperate to implement changes methodically

• ITL Administrator will have key role in coordinating and communicating regarding changes

Registry Initialization

• Initialization is the process of bringing a registry system on-line, allowing it to fully participate with the ITL in a trading scheme.

• This is a technical process, not related to eligibility.

What does a Registry Need to Do?

• Establish and test communications

• Coordinate and perform testing with ITL, per Annex H

• Develop and submit documentation

• Provide government account information

Required Registry Documents

• Backup and Recovery Plan

• Disaster Recovery Plan

• Security Plan

• Time Validation and Data Logging Plans

• Version and Change Management Plan

• Test Plans and Reports

• Operational Plan