气候变化与清洁发展机制 Introduction to Climate Change and the Clean Development Mechanism 中国CDM能力建设项目培训讲义 Training Material Building Capacity for the CDM in China

气候系统: The climate system 大气圈、水圈、生物圈和地圈的整体及其相互作用。 The totality of the atmosphere, hydrosphere, biosphere and geosphere and their interaction. 地球表面能量主要来自于太阳之辐射，属于短波之入射波经大气吸收、地表及大气反射后仅剩约49﹪为地表所吸收，此经地表土壤、水体、植物等吸收后之能量复以长波辐射方式释出，一部分为对流层水气（H2O）及二氧化碳（CO2）吸收，一部分在平流层为甲烷（CH4）、氧化亚氮（N2O）、氟氯碳化物（CFCs）等所吸收，其余则逸入太空。

温室气体效应：Greenhouse Gas Effect

气候变化：Climate change 指除在类似时期内所观测的气候的自然变迁之外，由于直接或间 接的人类活动改变了地球大气的组成而造成的气候变化。 A change of climate which is attributed directly or indirectly to human activity that alters the composition of the global atmosphere and which is in addition to natural climate variability observed over comparable time periods.

全球气候变化：Change of Global Temperature 根据新的证据以及考虑到不确定因素的情况下，在过去50年所观察到的全球变暖是由于温室气体浓度的增加而导致 In the light of new evidence and taking into account the remaining uncertainties, most of the observed warming over the last 50 years is likely to have been due to the increase in greenhouse gas concentrations Source: IPCC Third Assessment Report 2001

气候变化的影响：Climate Change Impacts

公约目标：UNFCCC objectives 将大气中温室气体的浓度稳定在防止气候系统受到危险的人为干扰的水平上。这一水平应当在足以使生态系统能够自然地适应气候变化，确保粮食生产免受到威胁，并使经济发展能够可持续地进行之时间范围内实现。 Stabilization of greenhouse gas concentrations in the atmosphere at a level that would prevent dangerous anthropogenic interference with the climate system. Such a level should be achieved within a time-frame sufficient to allow ecosystems to adapt naturally to climate change, to ensure that food production is not threatened and to enable economic development to proceed in a sustainable manner. ARTICLE 2 　

京都议定书：The Kyoto Protocol 附件一缔约方应该个别地或共同地确保附件A所列二氧化碳、甲烷等六种受控的温室气体排放总量，在2008年至2012年的承诺期内比1990年水平至少减少5.2％， The Parties included in Annex I shall, individually or jointly, ensure that their aggregate anthropogenic carbon dioxide equivalent emissions of the greenhouse gases listed in Annex A reduce their overall emissions by at least 5 per cent below 1990 levels in the commitment period 2008 to 2012. Article 3 到2005年12月31日前，附件一缔约方应在履行这些承诺方面做出可予证实的进展 Each Party included in Annex I shall, by 2005, have made demonstrable progress in achieving its commitments under this Protocol.

附件一国家：Annex I countries 附件一（工业发达国家） 承诺减排温室气体。 Annex I countries (industrialised countries) commited themselves to reduce their GHG emissions Annex I 非附件一国家（发展中国家） Non-Annex I countries (developing countries) UN Framework Convention on Climate Change is ratified by most countries (in order to be part of KP negotiations). Means that these states accept the key fundaments of Climate change. Many requirements on all parties, particularly on rich countries. But, since it is not quantified, most countries have reneged on at least some of their promises (such as stabilising GHG emissions by 2000 relative to 90 levels. The United Framework For Climate Change Convention set emission reduction targets for industrialised countries. The Convention does not represent a binding commitment. Following the Convention, the international community set fourth to establish a legal instrument to enforce the commitments of the Convention. The Kyoto Protocol representing such a legal instrument, was adopted at the first meeting of the Conference of the Parties to the Convention (CoP 1). The Kyoto Protocol sets emission reduction targets for industrialised countries, in the Protocol named Annex I countries. These targets shall give global emission reductions of 5 % relative to emissions in 1990. The emission reductions are distributed between the Annex I countries based on past efforts, economy of the countries and …?

对工业国家要求：The requirements for Annex I countries 为发展中国家缔约方提供新的和额外的资金 Provide new and additional financial resources to meet the agreed full costs incurred to developing country Parties in complying with their obligations 帮助特别易受气候变化不利影响的发展中国家缔约方 Assist the developing country Parties that are particularly vulnerable to the adverse effects of climate change 应采取一切实际可行的步骤，酌情促进、帮助和资助向其他缔约方特别是发展中国家缔约方转让或使他们有机会得到环境友好技术和专有技术 Take all practicable steps to promote, facilitate and finance, as appropriate, the transfer of, or access to, environmentally sound technologies and know-how to other Parties, particularly developing country Parties

京都议定书附录B：Annex B of the Kyoto Protocol 欧盟气泡

减排指标：Reduction objectives 6 -24% -5% Kyoto-Protocol 4 GtC 2 Source: ABB Corporate Research 1990 2000 2010 2020

控制温室气体种类：Kyoto Protocol Greenhouse Gases 二氧化碳  Carbon dioxide (CO2) 甲烷   Methane (CH4) 氧化亚氮 Nitrous oxide (N2O)  氢氟碳化物 Hydrofluorocarbons (HFCs) 氟化碳 Perfluorocarbons (PFCs) 六氟化硫 Sulphur hexafluoride (SF6)

三机制：Three mechanisms 为实现长期可测量符合成本效益原则的减排目标，京都议定书提出三种机制 The KP identifies three mechanisms to supplement national actions to achieve real, long-term, measurable and cost-effective GHG reductions: Clean Development Mechanism 清洁发展机制（CDM） Joint Implementation 联合履行（JI） Emissions Trading (ET) 排放贸易（ET）

清洁发展机制（CDM）：Clean Development Mechanism 发起国 Sponsor 东道国 Host Annex I/B Annex I/B 获得经核证的减排 Certified Emission Reductions 发起CDM项目 CDM Project Sponsoring 发展中国家 Developing countries

CDM目的：CDM Purpose 并协助附件一所列缔约方遵守其依第三条规定的排放量限制和削减承诺。 -to assist Parties included in Annex I in achieving compliance with their quantified emission limitation and reduction commitments 协助未列入附件一的缔约方实现可持续发展并增进《公约》的最终目标， -to assist Parties not included in Annex I in achieving sustainable development and in contributing to the ultimate objective of the Convention Article of KP 12

清洁发展机制的管理：Management of CDM 清洁发展机制由作为本议定书缔约方会议的《公约》缔约方会议授权和指导，并由清洁发展机制的执行理事会监督。 The clean development mechanism shall be subject to the authority and guidance of the Conference of the Parties serving as the meeting of the Parties to this Protocol and be supervised by an executive board of the clean development mechanism. 缔约方会议（ COP ）是联合国气候框架公约的最高机构，每年召开一次会议评审公约的进程。 Conference of the Parties (COP) The COP is the supreme body of the Convention. It currently meets once a year to review the Convention's progress. 作为京都议定书缔约方会议的公约缔约方会议 ( 议定书/ 公约缔约方会议) （COP/MOP）是京都条约最高机构， Meeting of the Parties (MOP) The Kyoto Protocol's supreme body will be the MOP, which will serve as the Protocol's meeting of the Parties.

CDM 管理架构：CDM Bodies CDM 执行理事会 CDM Executive Board (CDM-EB) 认可专家组 林业工作组 作为京都议定书缔约方会议的公约缔约方会议 ( 议定书/ 公约缔约方会议) Conference of Parties to the UNFCCC Meeting of the Parties to the Kyoto Protocol ( COP/MOP) CDM 执行理事会 CDM Executive Board (CDM-EB) 认可专家组 Accreditation Panel 林业工作组 Afforestation and Reforestation Working Group/Panel 方法学专家组 Methodology Panel 小项目专家组 Small scale CDM Panel

执行理事会组成：Executive Board 执行理事会（EB）是在COP/MOP领导下的负责CDM活动机构 Executive Board (EB) The Executive Board operates under the authority of the Parties. 执行理事会由十个专家构成，其中五个专家分别代表五个联合国官方区域(非洲、亚洲、拉丁美洲、加勒比海地区、中东欧、OECD 国家)，一个专家来自小岛国组织，两个专家来自附件Ⅰ国家，两个专家来自非附件Ⅰ国家。 The Executive Board consists of 10 members, including one representative from each of the five official UN regions (Africa, Asia, Latin America and the Caribbean, Central Eastern Europe, and OECD), one from the small island developing states, and two each from Annex I and non-Annex I Parties. Members Alternates Mr. John W. Ashe 1 Ms. Desna Solofa 1 Mr. Jean-Jacques Becker 2 Mr. Martin Enderlin 2 Mr. John Shaibu Kilani 2 (Chair) Mr. Ndiaye Cheikh Sylla 2 Mr. Sozaburo Okamatsu 2 Ms. Sushma Gera 2 Ms. Marina Shvangiradze 1 Ms. Anastasia Moskalenko1 Mr. Georg Børsting 1(Vice-Chair) Mr. Hans Jürgen Stehr 1 Mr. Fareed Al-Asaly 2 Mr. Chow Kok Kee 2 Mr. Richard Muyungi 1 Mr. Hernán Carlino1 Mr. Xuedu Lu 1 Mr. Juan Pablo Bonilla 1 Mr. José Miguez 2 Mr. Eduardo Sanhueza 2 The CDM-EB 2004 1Term: 2 Years e.g. ending 2005 2Term: 3 years e.g. ending 2004

执行理事会工作：EB tasks 批准建议的基准和监测方法 Approval of proposed baseline and monitoring methodologies 执行理事会（EB）负责认证经营实体（DOE） Accreditation of designated operational entities 执行理事会（EB）负责建立、维护并管理清洁发展机制项目的注册登记（ CDM registry ），签发经核证减排证明（ CERs ） The CDM-EB is responsible for the maintenance of a CDM registry, which will issue new CERs

经营实体的工作：task of DOE 审定CDM项目 Validation of CDM projects 申请项目的登记 Presentation of projects for registration 核查监测报告 Verification of monitoring reports 推荐签发CERs Recommendation for CER issuance. 目前共有4个指定经营实体(DOEs)，20个申请实体(AEs) At present 4 DOEs, approximately 20 Applicant Entities.

CDM参与条件：Participation requirements 所有的缔约方都应满足三个基本要求： All Parties must meet three basic requirements: 自愿参与CDM项目活动 i) voluntary participation, 建立一个CDM项目活动的管理机构 ii) establishment of the National CDM Authority, 已经批准京都条约 iii) ratification of the Kyoto Protocol.

项目合格标准：Project Eligibility 京都议定书第12条规定温室气体的减排应是在没有经证明的项目活动的情况下产生任何减少排放而言是额外的，与减缓气候变化有关的真实的、可测量的和长期的效益 Article 12 of the Protocol states that projects must result in “reductions in emissions that are additional to any that would occur in the absence of the project activity”. The CDM project must lead to real, measurable, and long-term benefits related to the mitigation of climate change. Kyoto article 12 温室气体的排放应小于可信和可能的基准排放是否是真实的 Real if actual GHG emissions are less than the emissions in a credible and probable baseline scenario 测定确定项目排放水平与基准排放水平方法的可行性应是在合理的范围内 Measurable if the actual level of GHG emissions of the project case and the level of GHG emission in the baseline scenario can be established with a reasonable degree of certainty 项目对温室气体的减排的收益应是长期的 Avoiding GHG emissions is per definition a long-term benefit

可持续发展标准：Sustainable development criteria 京都条约中规定清洁发展机制的目的是协助未列入附件一的缔约方实现可持续发展，可持续发展指标主要包括： The protocol specifies that the purpose of the CDM is to assist non-Annex I Parties in achieving sustainable development. 社会指标：项目可以提高生活质量、减少贫困、增进公平等 Social criteria The project improves the quality of life, alleviates poverty, and improves equity. 经济指标： 项目可以为地方实体提供经济来源，对收支平衡及新技术转移起到积极作用 Economic criteria The project provides financial returns to local entities, results in a positive impact on balance of payments, and transfers new technology. 环境指标：项目通过减少对石化燃料的使用导致温室气体的减排，可以降低对地方环境的压力，提供健康的生活环境等，实现能源环境政策 Environmental criteria The project reduces greenhouse gas emissions and the use of fossil fuels, conserves local resources, reduces pressure on the local environments, provides health and other environmental benefits, and meets energy and environmental policies.

联合履行（JI）: Joint Implementation 发起国 Sponsor 东道国 Host 减排单位 Emission Reduction Units Annex I/B Annex I/B 发起联合履行项目 JI Project Sponsoring Both Parties are Annex I Parties 在附件I国家之间 Economies in Transition

排放贸易（ET）：International Emission Trading 120 today’s emission 目前排放水平 100 国家Country B 必须购买 must buy credits 可以出售 can sell credits 国家Country A 市场信用MARKET FOR CREDITS Index Emission target 排放目标 80 1990 2000 2010 2020

京都机制总结：Summary KP “Flexible” Mechanisms 清洁发展机制：Clean Development Mechanism 输出：经核证的减排(CERs) Output: Certified Emission Reductions (CERs) 在附件一和非附件一国家之间，开始时间为2000年 Between Annex I and non-Annex I countries, started year 2000 联合履行：Joint Implementation 输出：减排单位(ERU) Output: Emission Reduction Units (ERU) 在附件一国家之间，开始时间为2008年 Between Annex I countries, starts from 2008 排放国际贸易：International Emissions Trading 输出：分配的数量单位(AAU) Output : Assigned Amount Units (AAU) Between Annex I Parties, starts from 2008 Ask and explain what the difference is between AAU/ERU and CER: Project based: CER and ERU Within AAU Cap: ERU and AAU (JI and EIT). Baseline and credit vs. Cap and trade Explain AA, QUELRO, AAU, PAA. Tonnes CO2 eq. In order to allow for cost-effective reductions, the Kyoto Protocol opens up for three flexible mechanisms that are to be additional to national achievements in reducing greenhouse gas emissions.

马拉喀什协定：Marrakech accords17/CP.7 京都议定书第十二条确定的清洁发展机制的模式和程序 Decision 17/CP.7 Modalities and procedures for a clean development mechanism as defined in Article 12 of the Kyoto Protocol 附件:清洁发展机制的方式和程序 ANNEX:Modalities and procedures for a clean development mechanism A. 定义 Definitions B. 作为京都议定书缔约方会议的公约缔约方会议的作用 Role of the Conference of the Parties serving as the meeting of the Parties to the Kyoto Protocol C. 执行理事会 Executive board D. 认证和指定经营实体 Accreditation and designation of operational entities E. 指定经营实体 Designated operational entities F. 参与要求 Participation requirements G. 审定和登记 Validation and registration H. 监测 Monitoring I. 核查和核证 Verification and certification J. 核证的排减量的发放 Issuance of certified emission reductions

马拉喀什协定附录：Marrakech Accords: APPENDICES APPENDIX A: Standards for the accreditation of operational entities 附录B：项目设计书 APPENDIX B: Project design document 附录C：基准和监测方法学制订指南的职权范围 APPENDIX C: Terms of reference for establishing guidelines on baselines and monitoring methodologies 附录D：清洁发展机制注册要求 APPENDIX D: Clean development mechanism registry requirements

CDM项目流程：project cycle 设计 审定/注册 监测 PP： 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 核查/认证 签发CERs