SIAR Assessment Guidance v5.0.doc Page 1 of 65

Transcription

1 UNFCCC ITL Administrator Standard Independent Assessment Report Assessment Guidance Part 1 - Completeness Part 2 - Substance Reference IAR Procedure Security classification: RSA Forum Version number: V5.0 State: Final Prepared by: Neil Peerman, Carla Valle, Date: 02/11/2012 Jean-Francois Halleux; UNFCCC Bryan Eckstein, Chris Collins, John Bedard, Heidi McKenna; SIAR Consultants Reviewed by: Jean-Francois Halleux Date: 7/11/2012 Markwin Pieters Approved by: Markwin Pieters Date: 16/11/2012 Circulation list Name/Role Organization Info/Action RSA Forum Registry System Administrators Information UNFCCC.int Public Information Document change record Version Date Description Affected sections v2.3 04/11/2008 Feedback from third SIAR WG meeting and All review comments included; fixed headers and footers and appendices. Formatted. v2.4 07/11/2008 Added paragraph Summary of findings v2.5 13/11/2008 Approved All v2.6 01/12/2008 Final All v2.7 04/03/2009 Final - layout and spelling corrections All v2.8 17/03/2009 Added explanation v2.9 20/04/2009 Improved question to become clearer v /04/2009 Improved explanations All v3.2 11/05/2009 Improved explanations All v3.3 14/05/2009 Improved explanations Section 4, items x and x v3.4 01/07/2009 Incorporation of FAQ document and post All 2009 assessment feedback v3.5 22/07/2009 Incorporation of internal feedback All v4.0 24/09/2009 Streamlining content and format. Updated recommendation language. All v4.1 12/11/2009 Incorporating feedback from SIAR Working Group. P1.2.2, P1.2.3, P1.2.6, P1.2.8, P1.3.7 SIAR Assessment Guidance v5.0.doc Page 1 of 65

2 v4.2 02/12/2009 Incorporating feedback from 6 th meeting of the SIAR Working Group v4.3 15/01/2010 Incorporating feedback from the 7 th meeting of the SIAR Working Group v4.4 30/09/2010 Initial revisions following 2010 SIAR process to improve clarity. Clarified instructions on assessing public information in cases of confidentiality and non-occurrence. Section 2.1, Section P Section 2.3 P P1.0.4, Section 2.4, Comment on P2.1.2, P2.1.5, 4.2 (just formatting), 4.3, P2.2.7, P2.2.10, P , Section 2.5 v4.5 07/12/2010 Incorporated grammatical improvements P and P suggested by JP after CAB 16 v4.6 25/03/2011 Clarified SoF format, clarified guidance on Section 4.1, 4.4, 2.6 response codes, Updated URLs v4.7 23/11/2011 Clarified proper use of SoF; updated JI Section 2.5 (1.4.2) project citation requirements v4.8 02/11/2012 Updated header. Updated for version All consistency. v5.0 12/11/2012 Version increment to 5.0 None SIAR Assessment Guidance v5.0.doc Page 2 of 65

3 Table of Contents 1.0 Introduction Referenced Documents SIAR Part 1 Assessment Guidance Summary Overall Assessment Accounting of Kyoto Protocol Units National Registry Change Public Information Previous Expert Review Team Recommendations SIAR Part 2 Assessment Guidance Summary Overall assessment Summary of Findings Summary of Findings Outline Overall Assessment Result Observations and Recommendations Standard electronic format and reports from the national registry National registry Calculation of commitment period reserve Publically available information Additional Recommendations Identification of Problems Assessor Guidance on Recommendations Identification of Significant Changes Highlighted Readiness Documentation Recommendations Previous Expert Review Team Recommendations Recommendations to Address Identified Problems Common Discrepancies Common Response Codes Out-of-Sequence Message Handling SIAR Assessment Guidance v5.0.doc Page 3 of 65

4 1.0 Introduction This document provides guidance to external assessors, the ITL team and the R&A team of the UNFCCC secretariat on how to assess the completeness ( Part 1 ) and substance ( Part 2 ) of the Standard Independent Assessment Report (SIAR) with regard to a national registry and the relevant information provided as part of its annual report. 2.0 Referenced Documents [RRITL] SIAR Reporting Requirements for ITL [RRREG] SIAR Reporting Requirements and Guidance for Registries [PUBLICINFO] SIAR Publicly Available Information Guidance 2.1 SIAR Part 1 Assessment Guidance As a general guidance for assessor, if an annual submission item is not reported, mark the submission item as incomplete and the overall submission as incomplete. Guidance for Assessors regarding communication with ITL If at any point in time you have questions, please contact the ITL Administrator for clarifications. Specifically on the item Accounting of Information, if the information provided by the ITL Administrator is not the same as provided by the Party, you should request both sides (i.e. the ITL Administrator and the respective Party) to clarify and/or confirm their respective data provided. Guidance for Assessors regarding communication with RSA With regard to requesting further information from the RSA, the SIAR is based on an agreed process with opportunities for feedback on the assessment. Clarifications can be sort within the bounds of this process. The process does preclude one-to-one interaction between the assessors and the RSA. Assessment Templates Assessors are provided with templates for both the completeness ( Part 1 ) and substance ( Part 2 ) assessment. This guidance document and the assessment templates use common reference numbers to refer to information being reviewed. The assessment templates provide default content for common assessment results. This default content appears in red text. For each item, the assessor must determine whether the default comment applies or whether the comment must be revised to accurately reflect the situation for the Party currently being assessed. Upon assessment of each item, change the red text back to the standard black font colour if the default text is consistent with the assessment or, if not, replace the red text with new, black text appropriate for the assessment. 2.2 Summary Ref Nr Description Assessor Guidance P1.0.1 Party name Indicate the name of the Party as recorded in Annex B of the Kyoto Protocol and its amendment(s). P1.0.2 P1.0.3 Reporting period Submission under review Indicate the year for which the Party reported the information, typically the year prior to the assessment. The reporting period for the SIAR is aligned on a calendar year (i.e. from 01/01 to 31/12), covering the year preceding the submission year. Indicate the name of all files of the submission and the date of the submission. Expected files appear in the assessment template by default. Where possible a short name should be assigned to each filename that is SIAR Assessment Guidance v5.0.doc Page 4 of 65

5 Ref Nr Description Assessor Guidance used to allow for easier cross referencing to the documents submitted. The Parties submitted documents should be put in one cell of the table and the ITL documents that are used as supporting documents should be put in the Comments cell of the table. P1.0.4 Previous annual review report reference Indicate the reference to the previous annual review report, including the date of the report. The previous annual review report must have a published date of before the 15 th April for the year in which the Party s annual submission is due. If the published date is after 15 th April then the previous year s annual review report must be used (in no case should the Part 1 or Part 2 report from a previous year s SIAR process be used). The previous annual review recommendations can be found at the following UNFCCC web site location: Home > National Reports > GHG Inventories (Annex I) > Inventory Review Reports reports/items/5687.php Overall Assessment Ref Nr Requirement Assessor Guidance P1.1.1 Submission complete? Yes if: And The assessments P1.2.2, P1.2.4, P1.2.6, P1.2.8, P1.2.10, P1.2.12, P1.2.13, P report the submission is complete (value = Yes); The assessments P1.3.1 to P report the submission is complete. P1.1.2 P1.1.3 Public Information Provided? An explanation to each previous annual review recommendati on was provided? No otherwise Yes if: The assessments P1.4.1 to P1.4.4 report that either the information is confidential or has been provided. No otherwise Yes, if all recommendations from the previous annual review report have been addressed in the Party annual report. No, if at least one recommendation from the previous annual review report has not been addressed. NA, if there were no recommendations. Note that whether the recommendation has been appropriately addressed or not is subject to substantive assessment in Part 2. SIAR Assessment Guidance v5.0.doc Page 5 of 65

6 2.3 Accounting of Kyoto Protocol Units Ref Nr Annual Submission Item Assessor Guidance P /CMP.1 annex I. paragraph 3 Check whether there has been any trading so far by looking at the SEF comparison report, referred to in report R-1 of the SIAR Reporting requirements for ITL [RRITL]. If trading has been reported by the ITL, indicate Yes for this item; Otherwise indicate No. If the Registry is not in full operational live mode with the ITL then mark as No and apply a comment to indicate this. The assessor should note that Parties that have not transferred or acquired any Kyoto Protocol units since they entered into live operation with the international transaction log (ITL) need not to provide the following sections in their submission: 2.4 Accounting of the Kyoto Protocol Units: a. 15/CMP.1 annex I.E paragraph 11:Standard electronic format (SEF); b. 15/CMP.1 annex I.E paragraph 12: List of discrepant transactions; c. 15/CMP.1 annex I.E paragraph 13 & 14: List of CDM notifications; d. 15/CMP.1 annex I.E paragraph 15: List of non-replacements; e. 15/CMP.1 annex I.E paragraph 16: List of invalid units; f. 15/CMP.1 annex I.E paragraph 17: Actions and changes to address discrepancies. SIAR Assessment Guidance v5.0.doc Page 6 of 65

7 Ref Nr P1.2.2 Annual Submission Item 15/CMP.1 annex I.E paragraph 11 Standard electronic format (SEF) Assessor Guidance If the assessment to P1.2.1 is Yes (trading occurred): Check that there has been a SEF submission by assessing SEF application completeness and consistency check results. If there has been a SEF submission and it is complete and consistent, indicate Yes. Otherwise indicate No and add a comment (SEF submission missing, completeness check failed, consistency checks failed ). If the information was provided, but in a different format, then it should be assessed in the usual fashion and a recommendation should be made to use the agreed format for subsequent submissions. If the information was not provided at all, then the overall assessment in P1.1.1 will be No, and the detail sections will highlight to the Party the missing information. The draft SIAR Part 1 will be sent to the Party for comment and they will have an opportunity to resubmit R1 with the missing information included. If the assessment to P1.2.1 is No (trading did not occur): Indicate Yes in any case P /CMP.1 annex I.E paragraph 12 Discrepant transactions (ITL part) Add a comment if the SEF that the Party is not required to submit a SEF as they have not yet transferred or acquired any units. If there are any discrepant transactions, i.e. with response code and explicitly marked as discrepancies identified in [RRITL], report R-2 then Yes, otherwise No. If the ITL report R-2 indicates the occurrence of a 7XXX response code is beyond control limits, they should not be investigated as these relate solely to the EU-ETS and are outside the scope of this review. If the ITL report R-2 indicates the occurrence of a 59xx response code is beyond control limits, they should not be investigated. These are given by the acquiring registry and they represent the reasons for an acquiring registry to reject a transaction. Rejection is a valid action by the acquiring registry, and the reasons for it are outside the scope of this assessment For clarification, if the ITL report R-2 displays transactions for which the transaction type is not identified, it is because the transaction proposal elicited an ITL Checked Discrepancy response with a response code below The transaction type is not available for such transactions during the preparation of reports. This is because these transactions do not form part of the formal transaction log, and hence are only recorded in audit and message logs which have limited information available for such reports. SIAR Assessment Guidance v5.0.doc Page 7 of 65

8 Ref Nr P1.2.4 P1.2.5 P1.2.6 P1.2.7 Annual Submission Item 15/CMP.1 annex I.E paragraph 12 Discrepant transactions (National Registry part) 15/CMP.1 annex I.E paragraph 13 & 14 List of CDM notifications (ITL part) 15/CMP.1 annex I.E paragraph 13 & 14 List of CDM notifications (National Registry Part) 15/CMP.1 annex I.E paragraph 13 & 14 List of CDM notifications (ITL part) Assessor Guidance If the Party has reported a list of discrepant transactions as described in [RRREG] (including an empty list), and this list (in registry report R- 2) matches the list of discrepancies identified in [RRITL] then tick Yes. If the Party has made a statement of nothing to report pursuant to the relevant decision and the ITL has not identified any discrepancy, then tick Yes. In all other cases, tick No and make a comment to that effect taking into consideration the response to P1.2.3 (Party did not state whether discrepancies occurred or not, Party did not report on one or more discrepancies ) For clarification, a discrepancy is defined as a fault in a proposed transaction sent to the international transaction log (ITL) for verification as requested by COP/MOP decisions. The detailed technical specification of the interface between registry systems details all the verification that the ITL performs. The ITL uses a common method for technical verification of transaction proposals sent by the national registries and also the verification required by decisions. The Standard Independent Assessment Report Reporting Requirements and Guidance for Registries has a list titled Applicable DES response codes that lists the specific DES response codes that are discrepancies. Check ITL list of notifications as described in [RRITL], report R-3 for Reversal of Storage and if there are any, respond Yes, otherwise response No. Check Party s list of CDM notifications described in [RRREG] report R-3 for type 4 notifications. If it matches the ITL list of type 4 notifications, respond Yes. If there is a Party statement of nothing to report pursuant to the relevant decision and the ITL list of type 4 notifications is empty, respond Yes. In all other cases, tick No and make a comment to that effect taking into consideration the response to P1.2.5 (Party did not state whether type 4 notifications occurred or not, Party did not report on one or more type 4 notification ). Check ITL list of notifications as described in [RRITL], report R-3 for Non-Submission of Certification Report and if there are any respond Yes, otherwise respond No. SIAR Assessment Guidance v5.0.doc Page 8 of 65

9 Ref Nr P1.2.8 P1.2.9 P P P P Annual Submission Item 15/CMP.1 annex I.E paragraph 13 & 14 List of CDM notifications (National Registry part) 15/CMP.1 annex I.E paragraph 15 List of nonreplacements (ITL part) 15/CMP.1 annex I.E paragraph 15 List of nonreplacements (National Registry Part) 15/CMP.1 annex I.E paragraph 16 List of invalid units (ITL part) 15/CMP.1 annex I.E paragraph 16 List of invalid units (National Registry Part) 15/CMP.1 annex I.E paragraph 17 Actions and changes to address discrepancies Assessor Guidance Check Party s list of CDM notifications described in [RRREG], report R-3 for type 5 notifications. If it matches the ITL list of type 5 notifications, respond Yes. If there is a Party statement of nothing to report pursuant to the relevant decision and the ITL list of type 5 notifications is empty, respond Yes. In all other cases, tick No and make a comment to that effect taking into consideration the response to P1.2.7 (Party did not state whether type 5 notifications occurred or not, Party did not report on one or more type 4 notification ). Check ITL list of notifications as described in [RRITL], report R-3 for lines named Reversal of Storage, Non-Submission of Certification Report and Impending Expiry and column Number Of Units outstanding to fulfil the notification at target date and if there are any entries respond Yes to the assessment question, otherwise respond No. Check Party s list of non-replacements described in [RRREG], report R-4 or the Party statement of nothing to report pursuant to the relevant decision. If there are no non-replacements (either an empty list or a clear statement that there are no non-replacements) reported and the ITL has not identified non-replacements, tick Yes. If there are non-replacements and the list of non-replacements reported matches the ITL list of non-replacements, tick Yes. In all other cases (no list and no statement provided, not all nonreplacements reported, tick No and add a comment taking into account the answer to P1.2.9 above). Check ITL list of discrepant transactions as described in [RRITL], report R-2. If there are any with value in column Final State of Completed then respond Yes to the assessment question, otherwise respond No. Please note that in practice, there should never be a case where a discrepant transaction should have a status of Completed at the ITL as the ITL should prevent a transaction with a discrepancy. This item is included for completeness, and consistency with preceding items in which both ITL data and Registry data are reviewed. If Party has provided a list of invalid units, as described in [RRREG] report R-5, then respond Yes to the assessment question. If the Party has made a statement of nothing to report pursuant to the relevant decision, then respond Yes to the assessment question. If there is no list and no statement then tick No and make a comment to that effect. Check that submission contains actions taken to correct any problem that caused a discrepancy to occur and any changes to the national registry to prevent a discrepancy from recurring. SIAR Assessment Guidance v5.0.doc Page 9 of 65

10 Ref Nr P Annual Submission Item 15/CMP.1 annex I.E paragraph 18: CPR Calculation Assessor Guidance Check if the calculation of Party s commitment period reserve (CPR) is available in the submission. SIAR Assessment Guidance v5.0.doc Page 10 of 65

11 2.4 National Registry Change General comments regarding this section on National registry change; The Assessor should be aware that the SIAR Part 1 assessment does not assess whether all changes have been reported. The Party is provided guidance on what is considered as a significant change in Section 3.2 of the document: SIAR Reporting Requirements and Guidance for Registries. Only changes reported by the Party, or changes for which the assessor has evidence, should be assessed. If the Party does not provide information on an item of section 3, National Registry Change, please leave the column Change Reported? blank and fill in the column Submission Complete? with a No for each specific item. Additionally, include a comment for each item missing. Ref-Nr P1.3.1 Annual Submission Item 15/CMP.1 annex II.E paragraph 32.(a) Change of name or contact Submission complete: Assessor Guidance Tick Yes if a change is reported or it is clearly stated that no change occurred. In the comments column cross reference the location in the submission document (section/paragraph or page number) where the Party states the change or confirms that no change has occurred. Tick No otherwise. Item changed during the reporting period: Tick Yes if a change is reported Tick No if it is clearly stated that no change occurred Leave empty if it is neither stated that no change occurred nor is a change reported add a comment to that effect. SIAR Assessment Guidance v5.0.doc Page 11 of 65

12 Ref-Nr P1.3.2 Annual Submission Item 15/CMP.1 annex II.E paragraph 32.(b) Change of cooperation arrangement Submission complete: Assessor Guidance Tick Yes if it is clearly stated that no change occurred. In the comments column cross reference the location in the submission document (section/paragraph or page number) where the Party confirms that no change has occurred. Tick Yes if a change is reported and the revised readiness documentation that demonstrates the correct functioning of the registry after the change is available. In the comments column cross reference the location in the submission document (section/paragraph or page number) where the Party states the change details. Tick No in other cases, and add a comment to that effect. Item changed during the reporting period: Tick Yes if a change is reported Tick No if it is clearly stated that no change occurred. In the comments column cross reference the location in the submission document (section/paragraph or page number) where the Party confirms that no change has occurred. Leave empty if it is neither stated that no change occurred nor is a change reported add a comment to that effect. SIAR Assessment Guidance v5.0.doc Page 12 of 65

13 Ref-Nr P1.3.3 Annual Submission Item 15/CMP.1 annex II.E paragraph 32.(c) Change to database or the capacity of National Registry Submission complete: Assessor Guidance Tick Yes if it is clearly stated that no change occurred. In the comments column cross reference the location in the submission document (section/paragraph or page number) where the Party confirms that no change has occurred. Tick Yes if a change is reported, the submission contains a high-level description of change and the reasons for the change. If the change is deemed significant, check if there are attached test plans, test reports and procedures which were impacted by the change(s). Is the change significant? For a change to the database to be classified as a significant change the structure of the database must have been affected by the change. For example, if the Party has added more hard disk space to the database to provide increased capacity, this would not affect the structure of the database and as such would not be considered a significant change. It would still need some form of small change record, test plan and reports. However if the database has had structural changes that could affect the operation of the Registry software then this should have a full description of the change and the full life cycle of testing, release, operational testing and rollback plans etc. In the comments column cross reference the location in the submission document where the details of the change are defined. Tick No in other cases, and add a comment to that effect. Item changed during the reporting period: Tick Yes if a change is reported Tick No if it is clearly stated that no change occurred Leave empty if it is neither stated that no change occurred nor is a change reported add a comment to that effect. SIAR Assessment Guidance v5.0.doc Page 13 of 65

14 Ref-Nr P1.3.4 Annual Submission Item 15/CMP.1 annex II.E paragraph 32.(d) Change of conformance to technical standards Submission complete: Assessor Guidance Tick Yes if it is clearly stated that no change occurred. A comment containing the cross reference to the statement from the Party should be added to the comments column; Tick Yes if a change is reported, the submission contains a high level description for each change, and reasons for the change. If the change is deemed significant, check if there are attached test plans and test reports where were impacted by the change(s). Is the change significant? For a change to be significant the Registry will have had to change its software, partially or completely and the new software must demonstrate that it still complies with the DES. Most changes to Registry software or other aspects of the operation that might affect the conformance to the technical standards are minor at this stage of operational use with the ITL. For minor changes to software or environment it is still important for the Registry to follow best practices and have appropriate test plans, test reports, back-out plans etc. These can be submitted as evidence of effective release and change management. The test plans should have a specific section that verifies that the change has not negatively affected the conformance to the technical standards. The important criterion for this point is that the Registry must explain exactly what changes have been made during the course of the reporting period. Then an assessment can be made. Tick No in other cases, and add a comment to that effect. Item changed during the reporting period: Tick Yes if a change is reported; Tick No if it is clearly stated that no change occurred; Leave empty if it is neither stated that no change occurred nor is a change reported add a comment to that effect. SIAR Assessment Guidance v5.0.doc Page 14 of 65

15 Ref-Nr P1.3.5 Annual Submission Item 15/CMP.1 annex II.E paragraph 32.(e) Change of discrepancies procedures Submission complete: Assessor Guidance Tick Yes if it is clearly stated that no change occurred (include cross reference to location of statement in the comments column); Tick Yes if a change is reported and the submission contains a high level description for each change to remove discrepancies and reasons for the change. If the change is deemed significant, check if there are revised or new procedures attached relevant to the change(s). (include cross reference to location of statement in the comments column); Tick No in other cases, and add a comment to that effect. Item changed during the reporting period: Tick Yes if a change is reported; Tick No if it is clearly stated that no change occurred; P /CMP.1 annex II.E paragraph 32.(f) Change of security Leave empty if it is neither stated that no change occurred nor is a change reported add a comment to that effect. Submission complete: Tick Yes if it is clearly stated that no change occurred (include cross reference to location of statement in the comments column); Tick Yes if a change is reported and the submission contains a high level description for each change to prevent unauthorized manipulations at the system level and at the user level, and a reason for the change. If the change is deemed significant, check if there are procedures, test plans and test results available (include cross reference to location of statement in the comments column). For the user-authentication mechanism section of the security plan, check that the Party reported on one of the recommended methods (see reporting guidance) and optionally on additional improvements or provided a complete description of an alternative user-authentication method. Tick No in other cases, and add a comment to that effect. Item changed during the reporting period: Tick Yes if a change is reported; Tick No if it is clearly stated that no change occurred; Leave empty if it is neither stated that no change occurred nor is a change reported add a comment to that effect. SIAR Assessment Guidance v5.0.doc Page 15 of 65

16 Ref-Nr P1.3.7 Annual Submission Item 15/CMP.1 annex II.E paragraph 32.(g) Change of list of publicly available information Submission complete: Assessor Guidance a) Check if submission contains the list of changes on previously public information that has become confidential or previously confidential information that has become public pursuant to part E of the annex to 13/CMP.1, paragraphs 44 to 48 inclusive. b) Check if the submission say that part of the information became confidential and ensure that the Party has clearly identified which elements are confidential and which are public c) Check if the submission clearly states that no change occurred to the information regarded as confidential; d) Tick Yes if the assessment under a), b), or c) above is positive and the public information reported per decision 13/CMP.1, paragraphs 44 to 48 is complete (include cross reference to location of statement in comments column). Tick No in other cases, and add a comment to that effect. Item changed during the reporting period: Tick Yes if a change is reported; Tick No if it is clearly stated that no change occurred; P /CMP.1 annex II.E paragraph 32.(h) Change of Internet address Leave empty if it is neither stated that no change occurred nor is a change reported add a comment to that effect. Submission complete: Tick Yes if Party reported a change to the Internet address of its registry (include a cross reference to the location of statement in the comments column) Tick Yes if Party clearly stated no change occurred with regard to the Internet address of its registry (include cross reference to location of statement in the comments column). Tick No in other cases, and add a comment to that effect. Item changed during the reporting period: Tick Yes if a change is reported; Tick No if it is clearly stated that no change occurred; Leave empty if it is neither stated that no change occurred nor is a change reported add a comment to that effect. SIAR Assessment Guidance v5.0.doc Page 16 of 65

17 Ref-Nr P1.3.9 Annual Submission Item 15/CMP.1 annex II.E paragraph 32.(i) Change of data integrity measures Submission complete: Assessor Guidance Tick Yes if submission contains a high level description for each change, the reason for the change and, if considered a significant change, attached procedures and evidence of its successful application are available (include cross reference to location of statement in the comments column). Tick Yes if Party clearly stated no change occurred with regard to its data integrity measures (include cross reference to location of statement in comments column). Tick No in other cases, and add a comment to that effect. Item changed during the reporting period: Tick Yes if a change is reported; Tick No if it is clearly stated that no change occurred; P /CMP.1 annex II.E paragraph 32.(j) Change of test results Leave empty if it is neither stated that no change occurred nor is a change reported add a comment to that effect. Submission complete: Tick Yes if any additional test results are provided regarding the changes, including a high level description of the change and if the reasons for the change are supplied (include cross reference to location of statement in the comments column). Tick Yes if Party clearly stated no change occurred with regard to its test results (include cross reference to location of statement in the comments column). Tick No in other cases, and add a comment to that effect. Item changed during the reporting period: Tick Yes if a change is reported; Tick No if it is clearly stated that no change occurred; Leave empty if it is neither stated that no change occurred nor is a change reported add a comment to that effect. SIAR Assessment Guidance v5.0.doc Page 17 of 65

18 2.5 Public Information Ref-Nr P1.4.1 Annual Submission Item 13/CMP.1 Annex II paragraph 45 Account information provided? Is Submission complete? Assessor Guidance Tick Yes if Party provided a public URL to access account information and if this information can be viewed. Tick No otherwise. If the Party has provided a public URL but the specific information required by paragraph 45 is not available, or the assessor could not find the information, then tick No. Insert a comment stating that the information was not accessible at the time of the assessment and ask the Party to provide more information. Has Party identified this type of information confidential? Tick Yes if Party stated that this information is confidential If part of the information is declared as confidential then ensure that the Party has clearly identified which elements are confidential and which are public Tick Partial if Party has stated some of the elements are confidential P /CMP.1 Annex paragraph 45 (a) Account name: the holder of the account Tick No otherwise Is Submission complete? Tick Yes if Party provided a public URL to access required information and if this information can be viewed. If the Party clearly and explicitly states on the publicly accessible website that this specific information is confidential, or not shown due to non-occurrence, tick Yes. Tick No otherwise. Has Party identified this type of information confidential? Tick Yes if Party stated that this information is confidential If part of the information is declared as confidential, ensure that the Party has clearly identified which elements are confidential and which are publicly available. Tick Partial if Party has stated some of the elements are confidential, or if the Party has stated that data outside of a date range is confidential Tick No otherwise SIAR Assessment Guidance v5.0.doc Page 18 of 65

19 Ref-Nr P Annual Submission Item 13/CMP.1 Annex paragraph 45 (b) Account type: the type of account (holding, cancellation or retirement) Is Submission complete? Assessor Guidance Tick Yes if Party provided a public URL to access required information and if this information can be viewed. If the Party clearly and explicitly states on the publicly accessible website that this specific information is confidential, or not shown due to non-occurrence, tick Yes. Tick No otherwise. Has Party identified this type of information confidential? Tick Yes if Party stated that this information is confidential If part of the information is declared as confidential then ensure that the Party has clearly identified which elements are confidential and which are publicly available. Tick Partial if Party has stated some of the elements are confidential, or if the Party has stated that data outside of a date range is confidential Tick No otherwise P /CMP.1 Annex paragraph 45 (c) Commitment period: the commitment period with which a cancellation or retirement account is associated Is Submission complete? Tick Yes if Party provided a public URL to access required information and if this information can be viewed. If the Party clearly and explicitly states on the publicly accessible website that this specific information is confidential, or not shown due to non-occurrence, tick Yes. Tick No otherwise. Has Party identified this type of information confidential? Tick Yes if Party stated that this information is confidential If part of the information is declared as confidential then ensure that the Party has clearly identified which elements are confidential and which are publicly available. Tick Partial if Party has stated some of the elements are confidential, or if the Party has stated that data outside of a date range is confidential Tick No otherwise SIAR Assessment Guidance v5.0.doc Page 19 of 65

20 Ref-Nr P Annual Submission Item 13/CMP.1 Annex paragraph 45 (d) Representative identifier: the representative of the account holder, using the Party identifier (the two-letter country code defined by ISO 3166) and a number unique to that representative within the Party s registry Is Submission complete? Assessor Guidance Tick Yes if Party provided a public URL to access required information and if this information can be viewed. If the Party clearly and explicitly states on the publicly accessible website that this specific information is confidential, or not shown due to non-occurrence, tick Yes. Tick No otherwise. Has Party identified this type of information confidential? Tick Yes if Party stated that this information is confidential If part of the information is declared as confidential then ensure that the Party has clearly identified which elements are confidential and which are publicly available. Tick Partial if Party has stated some of the elements are confidential, or if the Party has stated that data outside of a date range is confidential Tick No otherwise P /CMP.1 Annex paragraph 45 (e) Representative name and contact information; the full name, mailing address, telephone number, facsimile number and address of the representative of the account holder Is Submission complete? Tick Yes if Party provided a public URL to access required information and if this information can be viewed. If the Party clearly and explicitly states on the publicly accessible website that this specific information is confidential, or not shown due to non-occurrence, tick Yes. Tick No otherwise. Has Party identified this type of information confidential? Tick Yes if Party stated that this information is confidential If part of the information is declared as confidential then ensure that the Party has clearly identified which elements are confidential and which are publicly available. Tick Partial if Party has stated some of the elements are confidential, or if the Party has stated that data outside of a date range is confidential Tick No otherwise SIAR Assessment Guidance v5.0.doc Page 20 of 65

21 Ref-Nr P1.4.2 Annual Submission Item 13/CMP.1 Annex II paragraph 46 Article 6 project information provided? Is Submission complete? Assessor Guidance Tick Yes if Party provided a public URL to access Article 6 project information and if this information can be viewed. Tick No otherwise. If the Party has provided a public URL but the specific information required by paragraph 46 is not available, or the assessor could not find the information, then tick No and insert a comment stating that the information was not accessible at the time of the assessment and ask the Party to provide more information. It is permissible for the party to provide links on their public website to project information maintained by the UNFCCC at ji.unfccc.int Has Party identified this type of information confidential? Tick Yes if Party stated that this information is confidential If part of the information is declared as confidential then ensure that the Party has clearly identified which elements are confidential and which are publicly available. Tick Partial if Party has stated some of the elements are confidential Tick No otherwise P /CMP.1 Annex paragraph 46 (a) Project name: a unique name for the project Is Submission complete? Tick Yes if Party provided a public URL to access required information and if this information can be viewed. If the Party clearly and explicitly states on the publicly accessible website that this specific information is confidential, or not shown due to non-occurrence, tick Yes. Tick No otherwise. Has Party identified this type of information confidential? Tick Yes if Party stated that this information is confidential If part of the information is declared as confidential then ensure that the Party has clearly identified which elements are confidential and which are publicly available. Tick Partial if Party has stated some of the elements are confidential, or if the Party has stated that data outside of a date range is confidential Tick No otherwise SIAR Assessment Guidance v5.0.doc Page 21 of 65

22 Ref-Nr P Annual Submission Item 13/CMP.1 Annex paragraph 46 (b) Project location; the Party and town or region in which the project is located Is Submission complete? Assessor Guidance Tick Yes if Party provided a public URL to access required information and if this information can be viewed. It is permissible for the party to provide links on their public website to project information maintained by the UNFCCC at ji.unfccc.int. If the Party clearly and explicitly states on the publicly accessible website that this specific information is confidential, or not shown due to non-occurrence, tick Yes. Tick No otherwise. Has Party identified this type of information confidential? Tick Yes if Party stated that this information is confidential If part of the information is declared as confidential then ensure that the Party has clearly identified which elements are confidential and which are publicly available. Tick Partial if Party has stated some of the elements are confidential, or if the Party has stated that data outside of a date range is confidential P /CMP.1 Annex paragraph 46 (c) Years of ERU issuance; the years in which ERU s have been issued as a result of the Article 6 project Tick No otherwise Is Submission complete? Tick Yes if Party provided a public URL to access required information and if this information can be viewed. It is permissible for the party to provide links on their public website to project information maintained by the UNFCCC at ji.unfccc.int. If the Party clearly and explicitly states on the publicly accessible website that this specific information is confidential, or not shown due to non-occurrence, tick Yes. Tick No otherwise. Has Party identified this type of information confidential? Tick Yes if Party stated that this information is confidential If part of the information is declared as confidential then ensure that the Party has clearly identified which elements are confidential and which are publicly available. Tick Partial if Party has stated some of the elements are confidential, or if the Party has stated that data outside of a date range is confidential Tick No otherwise SIAR Assessment Guidance v5.0.doc Page 22 of 65

23 Ref-Nr P Annual Submission Item 13/CMP.1 Annex paragraph 46 (d) Reports; downloadable electronic version of all publicly available documentation relating to the project, including proposals, monitoring, verification and issuance of ERU s, where relevant, subject to the confidentiality provisions in decision 9/CMP.1 Is Submission complete? Assessor Guidance Tick Yes if Party provided a public URL to access required information and if this information can be viewed. It is permissible for the party to provide links on their public website to project information maintained by the UNFCCC at ji.unfccc.int. If the Party clearly and explicitly states on the publicly accessible website that this specific information is confidential, or not shown due to non-occurrence, tick Yes. Tick No otherwise. Has Party identified this type of information confidential? Tick Yes if Party stated that this information is confidential If part of the information is declared as confidential then ensure that the Party has clearly identified which elements are confidential and which are publicly available. Tick Partial if Party has stated some of the elements are confidential, or if the Party has stated that data outside of a date range is confidential P /CMP.1 Annex II paragraph 47 Holding and transaction information provided? Tick No otherwise Has Party identified this type of information confidential? Tick Yes if Party stated that this information is confidential Tick No otherwise Is public information provided? Tick Yes if Party provided public URL to access holding and transaction information and if this information can be viewed. Tick No otherwise. If the Party has provided a public URL but the specific information required by paragraph 47 is not available, or the assessor could not find the information, then tick No and insert a comment stating that the information was not accessible at the time of the assessment and ask the Party to provide more information. SIAR Assessment Guidance v5.0.doc Page 23 of 65

24 Ref-Nr P Annual Submission Item 13/CMP.1 Annex paragraph 47 (a) The total quantity of ERUs, CERs, AAUs and RMUs in each account at the beginning of the year Is Submission complete? Assessor Guidance Tick Yes if Party provided a public URL to access required information and if this information can be viewed. If the Party clearly and explicitly states on the publicly accessible website that this specific information is confidential, or not shown due to non-occurrence, tick Yes. Tick No otherwise. Has Party identified this type of information confidential? Tick Yes if Party stated that this information is confidential If part of the information is declared as confidential then ensure that the Party has clearly identified which elements are confidential and which are publicly available. Tick Partial if Party has stated some of the elements are confidential, or if the Party has stated that data outside of a date range is confidential Tick No otherwise P /CMP.1 Annex paragraph 47 (b) The total quantity of AAUs issued on the basis of the assigned amount pursuant to Article 3, paragraphs 7 and 8 Is Submission complete? Tick Yes if Party provided a public URL to access required information and if this information can be viewed. If the Party clearly and explicitly states on the publicly accessible website that this specific information is confidential, or not shown due to non-occurrence, tick Yes. Tick No otherwise. Has Party identified this type of information confidential? Tick Yes if Party stated that this information is confidential If part of the information is declared as confidential then ensure that the Party has clearly identified which elements are confidential and which are publicly available. Tick Partial if Party has stated some of the elements are confidential, or if the Party has stated that data outside of a date range is confidential Tick No otherwise SIAR Assessment Guidance v5.0.doc Page 24 of 65

25 Ref-Nr P Annual Submission Item 13/CMP.1 Annex paragraph 47 (c) The total quantity of ERUs issued on the basis of Article 6 projects Is Submission complete? Assessor Guidance Tick Yes if Party provided a public URL to access required information and if this information can be viewed. If the Party clearly and explicitly states on the publicly accessible website that this specific information is confidential, or not shown due to non-occurrence, tick Yes. Tick No otherwise. Has Party identified this type of information confidential? Tick Yes if Party stated that this information is confidential If part of the information is declared as confidential then ensure that the Party has clearly identified which elements are confidential and which are publicly available. Tick Partial if Party has stated some of the elements are confidential, or if the Party has stated that data outside of a date range is confidential Tick No otherwise P /CMP.1 Annex paragraph 47 (d) The total quantity of ERUs, CERs, AAUs and RMUs acquired from other registries and the identity of the transferring accounts and registries Is Submission complete? Tick Yes if Party provided a public URL to access required information and if this information can be viewed. If the Party clearly and explicitly states on the publicly accessible website that this specific information is confidential, or not shown due to non-occurrence, tick Yes. Tick No otherwise. Has Party identified this type of information confidential? Tick Yes if Party stated that this information is confidential If part of the information is declared as confidential then ensure that the Party has clearly identified which elements are confidential and which are publicly available. Tick Partial if Party has stated some of the elements are confidential, or if the Party has stated that data outside of a date range is confidential Tick No otherwise SIAR Assessment Guidance v5.0.doc Page 25 of 65

26 Ref-Nr P Annual Submission Item 13/CMP.1 Annex paragraph 47 (e) The total quantity of RMUs issued on the basis of each activity under Article 3, paragraphs 3 and 4 Is Submission complete? Assessor Guidance Tick Yes if Party provided a public URL to access required information and if this information can be viewed. If the Party clearly and explicitly states on the publicly accessible website that this specific information is confidential, or not shown due to non-occurrence, tick Yes. Tick No otherwise. Has Party identified this type of information confidential? Tick Yes if Party stated that this information is confidential If part of the information is declared as confidential then ensure that the Party has clearly identified which elements are confidential and which are publicly available. Tick Partial if Party has stated some of the elements are confidential, or if the Party has stated that data outside of a date range is confidential Tick No otherwise P /CMP.1 Annex paragraph 47 (f) The total quantity of ERUs, CERs, AAUs and RMUs transferred to other registries and the identity of the acquiring accounts and registries Is Submission complete? Tick Yes if Party provided a public URL to access required information and if this information can be viewed. If the Party clearly and explicitly states on the publicly accessible website that this specific information is confidential, or not shown due to non-occurrence, tick Yes. Tick No otherwise. Has Party identified this type of information confidential? Tick Yes if Party stated that this information is confidential If part of the information is declared as confidential then ensure that the Party has clearly identified which elements are confidential and which are publicly available. Tick Partial if Party has stated some of the elements are confidential, or if the Party has stated that data outside of a date range is confidential Tick No otherwise SIAR Assessment Guidance v5.0.doc Page 26 of 65

27 Ref-Nr P Annual Submission Item 13/CMP.1 Annex paragraph 47 (g) The total quantity of ERUs, CERs, AAUs and RMUs cancelled on the basis of activities under Article 3, paragraphs 3 and 4 Is Submission complete? Assessor Guidance Tick Yes if Party provided a public URL to access required information and if this information can be viewed. If the Party clearly and explicitly states on the publicly accessible website that this specific information is confidential, or not shown due to non-occurrence, tick Yes. Tick No otherwise. Has Party identified this type of information confidential? Tick Yes if Party stated that this information is confidential If part of the information is declared as confidential then ensure that the Party has clearly identified which elements are confidential and which are publicly available. Tick Partial if Party has stated some of the elements are confidential, or if the Party has stated that data outside of a date range is confidential Tick No otherwise P /CMP.1 Annex paragraph 47 (h) The total quantity of ERUs, CERs, AAUs and RMUs cancelled following determination by the Compliance Committee that the Party is not in compliance with its commitment under Article 3, paragraph 1 Is Submission complete? Tick Yes if Party provided a public URL to access required information and if this information can be viewed. If the Party clearly and explicitly states on the publicly accessible website that this specific information is confidential, or not shown due to non-occurrence, tick Yes. Tick No otherwise. Has Party identified this type of information confidential? Tick Yes if Party stated that this information is confidential If part of the information is declared as confidential then ensure that the Party has clearly identified which elements are confidential and which are publicly available. Tick Partial if Party has stated some of the elements are confidential, or if the Party has stated that data outside of a date range is confidential Tick No otherwise SIAR Assessment Guidance v5.0.doc Page 27 of 65