审定CDMProjectValidation

《审定CDMProjectValidation》由会员分享，可在线阅读，更多相关《审定CDMProjectValidation（20页珍藏版）》请在装配图网上搜索。

1、4/8/2022Slide 1审定CDM Project Validation 中国CDM能力建设项目培训讲义Training Material Building Capacity for the CDM in China4/8/2022Slide 2CDM项目流程：The CDM Project Cycle设计审定/注册监测核查/认证签发CERsPP： 项目参与方DOE：指定经营实体EB： 执行理事会CER： 经核证的减排4/8/2022Slide 3审定： Validation审定是指由指定的经营实体对照第17/CP.7 号决定、该决定附件及COP/MOP 的有关决定所规定的对清洁发展机制

2、合格性的要求, 根据清洁发展机制项目设计书(CDM-PDD), 对项目活动进行独立评估的过程。Validation is the process of independent evaluation of a project activity by a designated operational entity against the requirements of the CDM as set out in decision 17/CP.7 its annex and relevant decisions of the COP/MOP, on the basis of the project

3、design document (CDM PDD). 4/8/2022Slide 4审定流程：The validation process草拟审定报告Draft Validation Report审定团队选择Validation Team Selection选择审定者ValidatorSelection签订审定合同Validation Contract Establishment准备项目文件Develop ProjectDocumentation改正行动要求的决定Resolution of Corrective Action Requests最终审定报告与意见Final Validation

4、Report and Opinion背景调查Background Investigations文件评审Document Review跟踪访问Follow-up InterviewsEB 批准的方法EB Approval ofMethodologies公开听取利害相关方意见 Public Stakeholder Comment Process (30 days)在执行理事会注册EB Registrationof project基准线与监测方法学的检查Baseline & Monitoring Methodology Check4/8/2022Slide 5CDM审定的参与方：CDM Valida

5、tion Actors: (Indicative) 顾问Consultants 项目主办国DesignatedNationalAuthority指定经营实体DesignatedOperationalEntity项目提出方ProjectProponentValidation Contract PartiesInvolved actors 项目实体Project Entity 执行理事会ExecutiveBoard缔约方的相关方认可的NGOParties Stakeholders, Accredited NGOs地方利害相关方LocalStakeholders项目参与方Project partic

6、ipants 合同关系 Contractual relationships沟通关系 Communication channels during validation4/8/2022Slide 6CDM 审定的准则：CDM Validation CriteriaF 项目东道国的要求：Host country criteriaF 京都议定书准则：Kyoto Protocol criteriaF 马拉喀什协议：Marrakech Accords modalities F CDM执行理事会的决定：Decisions by the CDM EBF 项目活动的特定要求：Project specific c

7、riteriaF 方法学的特定准则Methodology specific criteria4/8/2022Slide 7新方法学的审定：Validation of a new methodology 审定者也应确认项目所用的方法学，以及此方法学是否经CDM执行理事会批准。若审定者确认此项目应使用新的方法学，则应将新的方法学送交CDM执行理事会批准。The validator shall determine whether the methodology employed by the project to determine the projects methodology is previ

8、ously approved by the CDM Executive Board. If the validator determines that the project intends to use a new methodology, the new methodology must be submitted for approval by the CDM Executive Board.CDM modalities & procedures, paragraph 384/8/2022Slide 8文件评审：Document reviewF 文件是否全面符合并遵照UNFCCCC CDM

9、-EB的PDD模版结构和准则要求The documentation is complete and comprehensive and follows the structure and criteria given in the UNFCCC CDM-EB template F 基准线和监测计划是否合理并适合该项目之特点The baseline and monitoring methodologies are justified and appropriate for the specific projectF 有关基准线的假设是保守的和适宜的The assumptions for the

10、baseline are conservative and appropriateF 对基准线发展的描述已考虑了与项目有关的技术、政治、社会人口、环境以及立法趋势的因素The description of the baseline development has considered technological, political, socio-demographic, environmental and legal trends of relevance to the projectF 项目文件可以充分证明项目活动的额外性Additionality of the project is su

11、fficiently demonstrated in the PDD4/8/2022Slide 9背景调查：Background InvestigationsF 项目使用的技术：Project technologyF 东道国国家的环境法律法规：Environmental legislation in the host countryF UNFCCC已经接受和注册的相似项目UNFCCC acceptance and registration of similar projectsF 以前项目参与方与东道国签订的协议等Previous established agreements, Memoran

12、dums of Understanding or Letters of Intent between the project proponent and the host PartyF 东道国可持续发展优先领域和宏观经济政策Sustainable development priorities and Macro-economic trends in the host country F 数据来源及可用性Identification of data sources and data availabilityF 项目实施可能遇到的其他问题，如配销、电厂、电网等， 以及能原项目的气体配送网络Issu

13、es related to project implementation impacts, such as dispatch patterns, marginal power plants, grid factors etc. and gas distribution network coverage for energy projects4/8/2022Slide 10跟踪访问：Follow up interviews F 与项目开发者讨论项目的技术实施或项目财务情况，并确认CDM的实用性Discussing the technical implementation or financing

14、 of the project with the project developer and justification of CDM applicationF 与项目东道国项目指定管理机构讨论，以了解并确认东道国可持续发展战略及要求Discussing with the host Partys designated national authority in order to understand and validate issues related to sustainable development and national requirements4/8/2022Slide 11相关

15、方协商过程：Stakeholder Consultation ProcessDOE应：a) 建立与UNFCCC CDM网站连接的网站，将项目设计文件并以PDF形式公开；或The DOE shall: a) establish a web site where PDDs shall be made publicly available in PDF format through a link to the UNFCCC CDM web site; orb) 将项目设计文件直接放在UNFCCC网站上公开b) make PDDs directly publicly available in PDF

16、format on the UNFCCC web.CDM-EB-09 Annex 7F审定机构应将PDD文件公开30天，邀请缔约方、利害相关方、UNFCCC认可的非政府组织发表评论。协商过程内收到的评论应为公众所获取。The validator shall make the PDD under consideration publicly available and invite Parties, stakeholders and UNFCCC accredited NGOs to comment on the validation requirements within 30 days. C

17、omments received during the 30 day stakeholder consultation process shall be made publicly available. F确认机构应考虑所收到的评论并证明如何把这些评论意见纳入到确认过程中。The validator shall take into account the comments received and shall demonstrate how due account was taken in the validation process of the comments received.F为确保

18、确认的透明度，确认机构应将所受到的评论意见以、如可与利害相关方讨论、评审这些评论意见详细描述在确认报告的附件中。To ensure a transparent validation process, the validator may include the comments received and how the validation has taken due account of the comments received in a separate appendix to the validation report. Issues brought up by stakeholders

19、 may be further discussed and elaborated in the projects validation protocol4/8/2022Slide 12澄清与改正要求：Clarifications and Corrective Action RequestsF 审定机构可能识别出部分议题与项目的基准线、实施或运行需进一步改善、研究或增加，以符合UNFCCC或东道国的要求，并获得可信的减排。与项目要求不符合、或可能造成特定项目目标成功达成风险的发现,均开立“改正行动要改正行动要求求”A validation may identify issues related

20、to the projects baseline, implementation or operations that need to be further elaborated, researched or added to meet UNFCCC or host Party requirements and achieve credible emission reductions. Non-compliance with project requirements, or the identification of a risk to successful fulfilment of the

21、 particular projects objectives have been termed ”Corrective Action Request . G可能对项目结果产生直接影响的假设或项目文件错误mistakes have been made in assumptions or the project documentation which directly will influence on project results; G项目审定相关要求中部分特性没有满足要求the requirements deemed relevant for validation of a project

22、 with certain characteristics have not been met; G存在着项目不能在UNFCCC注册或减排无法核查或认证的风险a risk that the project would not be registered by the UNFCCC or that emission reductions cannot be verified and certified.F 当信息不够充分、不清楚或不够透明以确认是否满足要求时， 会开立“澄清要求“A Clarification Request is issued where information is insu

23、fficient, unclear or not transparent enough to establish whether a requirement is met.4/8/2022Slide 13改正要求的处理：Resolution of Corrective Action Requests F 项目的提出者应回应改正行动和澄清要求，并应在审定者完成组最终审定观点前所提的逐一解决The project proponent will have to respond to the corrective action and clarification requests and barrin

24、g exceptions resolve the issue before a final validation opinion is formulated by the validator and every exception shall be justified.F 项目的提出者有责在一定时间内回应审定者所提出的改正行动要求It is the responsibility of the project proponent to respond to the corrective action requests identified by the validator in a timely

25、 manner. F 改正行动要求可能造成项目监测计划修改或、基准线的确定以及项目设计书的调整，也可能包括对项目设计文件未体现或充分关注问题的进一步调查。Corrective action requests may lead to amendments to the projects monitoring plan, or adjustments of the selected project baseline also require further investigation of issues that are not considered or appropriately addres

26、sed in the project documents. F 如果澄清改正要求没有在最终审定阶段完成，将可能导致审定机构不推荐注册，或者导致减排将不能被核查或核证。If this is not done in the final stages of the validation, it may cause the project not to be recommended for UNFCCC registration, or cause the expected emission reductions not to be subsequently verified and certifie

27、d. However, such a choice shall be reflected as a qualification in the final validation opinion. 4/8/2022Slide 14审定的最终报告：Validation ReportF 审定最终报告应能包括以下方面：The validation report should reflect:G在提交草拟报告后有关项目设计完善的调整情况，例如项目提出者对改正或澄清要求的讨论、回复以及对项目文件的修改情况。The results from the dialogue and any adjustments m

28、ade to the project after the draft validation report was submitted. G报告应对该项目是否符合UNFCCC有关要求形成结论，The final validation report should give the final conclusions regarding the projects conformance with relevant UNFCCC requirements. G报告应对在项目实施过程中应注意的问题加以强调。The validation report may raise issues that need

29、to be subsequently addressed during project implementation. G报告应包括审定意见，是否同意推荐注册或者不推荐注册的理由The final validation report shall include a validation opinion which either forms the basis for UNFCCC registration of the project or which explains the reason for non-acceptance if the project is judged not to

30、fulfill validation requirements. 4/8/2022Slide 15审定意见：Validation Opinion A. 肯定的审定意见肯定的审定意见如果对项目设计、基准线监测计划的评审和进一步评估的结果是项目符合UNFCCC以及项目发起国的要求，则形成肯定的合格审定意见B. 有保留的审定意见有保留的审定意见如果项目符合UNFCCC及项目东道国要求，但是项目在运行、监测和报告上不符合一致性的要求时，项目方应在项目开始时作出调整。 首次核查或第一次定期审核时应确定这些有保留的审定意见是否得到了充分的关注C. 否定的意见否定的意见当审定机构无法获得充分适合的证据以判断

31、项目是否符合UNFCCC和项目发起国的要求得到满足时，将形成否定的确认意见。在这种情况下项目将不能被审定。A. Unqualified validation opinion An unqualified validation opinion is issued if the review and further assessment of the project design, the baseline and monitoring plan concluded that the project complies with all UNFCCC and host Party requireme

32、nts. This means that all corrective action requests presented in the draft validation report were satisfactorily resolved.B. Qualified validation opinionA qualified validation opinion will be issued when the project meets all UNFCCC and host Party requirements, but does not meet criteria given to pr

33、ovide for consistent project operations, monitoring and reporting. The project developer shall rectify such issues prior to project commencement, and the initial verification or first periodic verification shall determine whether qualifications stated in the validation opinion have been sufficiently

34、 addressed. C. Denial of validation A denial of validation shall be clearly expressed when the validator is unable to obtain sufficient and appropriate evidence which could confirm that UNFCCC or host Party requirement are met, or where evidence show that such requirement are not met. Hence, the val

35、idator will conclude that the project cannot be validated.4/8/2022Slide 16审定意见：Examples of Validation Opinions肯定的审定意见 Unqualified validation opinion “XYZ 机构对ABC 公司提出的项目进行了审定。审定活动是根据UNFCCC的相关标准以及项目发起国的相关要求以及说给定的项目在实施、监测和报告的一致性的规则进行。在审定项目文件以及后续的跟踪访问活动过程中，提供给审定组有关项目证据可以证明符合确认的相关标准。因此我们的确认意见该项目符合UNFCCC和

36、东道国的相关要求。XYZ 验证公司受到项目主办国对该项目有准予可持续发展的确认文件通过可再生能源替代石化燃料发电，该项目所产生的二氧化碳减排对减缓气候变化是真实的、可测量的和具有长期利益的。通过对投资和技术障碍的分析，所提出的项目不是可能的基准线情景，因此由于项目活动所产生的减排险对于没有改项目活动的情况是额外的。如果项目能过按照所设计 方案实施，该项目可能带到估计的减排数量。根据项目东道国指定管理机构的认可文件，该项目将由XYZ推荐在UNFCCC注册。有保留的审定意见Qualified validation opinion审定发现，监测与报告程序尚未完全建立，缺乏这一程序可能导致减排无法核查

37、和核证。因此项目应在实施前建立健全这一程序4/8/2022Slide 17审定检查清单：Validation ProtocolF 在对CDM项目进行审定时，检查清单是提高审定全面性和效率的手段A generic protocol for the validation of CDM projects has been developed to facilitate cost-effective and comprehensive validation of CDM projects. F 检查清单还能帮助确认人员追踪：The protocol may also be used during th

38、e validation process to assist the validator to keep track of:G 需要进一步验证/检查的问题issues to be further verified/ checked,G 需要项目方澄清的问题issues to be clarified by the project parties,G 需要项目方改正的问题issues to be corrected by the project parties4/8/2022Slide 18审定检查清单：Validation ProtocolTable 1CDM 强制要求强制要求REQUIREM

39、ENT出处Ref结论CONCLUSION引用检查清单Cross Reference to Checklist (Table 2)项目必须满足的要求The requirements the project must meet. 该要求的出处Reference to the legislation or agreement where the requirement is found. 该要求通过提供的证据可接受，或者由于存在一定的风险或不满足标准的要求开出CAR. This is either acceptable based on evidence provided (OK), or a Co

40、rrective Action Request (CAR) of risk or non-compliance with stated requirements.使用表2的检查清单的部分，说明确认过程是如何进行的。To ensure a transparent process, this refers to the relevant checklist questions in Table 2 to show how the specific requirement is validated. Table 2检查检查的问题的问题CHECKLIST QUESTION出处Ref检查方法MoV意见C

41、OMMENTS初步结论Draft Conclusions最终意见Final Conclusions根据表1中的总要求展开一系列的问题。（根据CDM-PDD躲结沟逐一展开。每一个问题可能包括一系列的子问题。The various requirements in Table 1 are linked to specific checklist questions the project shall meet. The checklist is organised in different sections, following the CDM-PDD structure. Each section

42、 is then further sub-divided. The lowest level constitutes a checklist question检查问题的依据Reference to documents where the source to the checklist question or item is found.文件评审/现场观察/访问等 The means of verification explains how conformance with the checklist question is investigated, i.e. through document

43、 review (DR) or interview (I).说明问题是否符合要求形成结论 The section is used to elaborate and discuss the checklist question and/or the conformance to the question. and to explain the conclusions reached. 根据证据说明是否可接受或者开出CAR。表3应对所开出的CAR进行追踪 This is either acceptable based on evidence provided (OK), or a CAR or a

44、 CL Whenever a CAR or CL is issued, table 3 shall be used to describe how the findings have been resolved and concluded. 根据表3或证据得出审定最终结论The final conclusion of the validation shall be documented as either OK , CAR or CL. This is based on the resolution of outstanding issues as elaborated in Table 3.

45、Table 3澄清与改正要求Draft report clarifications and corrective action requests by validation team出处对回答的总结审定结论澄清或改正行动要求的描述 If the conclusions from the draft validation are either a Corrective Action Request or a Clarification Request, these shall be listed in this section.表2检中的问题 Reference to the checklist

46、 question number in Table 2 where the CAR or CL is explained.对澄清或改正行动要求的回答 The responses given from the project proponent or other project participants during the communications with the validation team shall be summarised in this section.对回答的评审结果（最终审定结论） This section shall summarise the Validation

47、Team responses and final conclusions. The conclusions shall also be included in Table 2, in the section called “Conclusions Final”.4/8/2022Slide 19总结：Summary F 对审定机构来，审定报告是核查减排的一个输入。所有在审定之后可能发生的对减排有重要影响的变化都应考虑在内。For the verifier, the validation report will hence be one of the inputs used for verific

48、ation of emission reductions, and any changes that have occurred since validation and that have impact on the claimed emission reductions shall therefore be considered.F 审定机构只能对在特定情况下项目符合要求的可能性进行说明It must be kept in mind that a validation can only tell something about the projects likelihood to comply with requirements and to succeed at a certain point in time and under given circumstances. 4/8/2022Slide 20补充信息：additional informationFhttp:/cdm.unfccc.int/ValidationFhttp:/www.ieta.org/VVM/VVM_4.htm