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 China 2019/4/9

CDM项目流程：The CDM 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 2019/4/9

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 design document (CDM‑PDD). 2019/4/9

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 Validator Selection 签订审定合同 Validation Contract Establishment 准备项目文件Develop Project Documentation 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 Report and Opinion 背景调查 Background Investigations 文件评审 Document Review 跟踪访问 Follow-up Interviews EB 批准的方法 EB Approval of Methodologies 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 Registration of project 基准线与监测 方法学的检查 Baseline & Monitoring Methodology Check 2019/4/9

CDM审定的参与方：CDM Validation Actors: (Indicative) Involved actors 执行理事会 Executive Board 地方利害相关方 Local Stakeholders 项目实体 Project Entity 项目参与方 Project participants Validation Contract Parties 顾问 Consultants 项目提出方 Project Proponent 指定经营实体 Designated Operational Entity 项目主办国 Designated National Authority 缔约方的相关方 认可的NGO Parties Stakeholders, Accredited NGOs 合同关系 Contractual relationships 沟通关系 Communication channels during validation 2019/4/9

CDM 审定的准则：CDM Validation Criteria 项目东道国的要求： Host country criteria 京都议定书准则： Kyoto Protocol criteria 马拉喀什协议： Marrakech Accords modalities CDM执行理事会的决定： Decisions by the CDM EB 项目活动的特定要求： Project specific criteria 方法学的特定准则 Methodology specific criteria 2019/4/9

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 project’s methodology is previously 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 38 2019/4/9

文件评审：Document review 文件是否全面符合并遵照UNFCCCC CDM-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 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 project 有关基准线的假设是保守的和适宜的 The assumptions for the baseline are conservative and appropriate 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 project 项目文件可以充分证明项目活动的额外性 Additionality of the project is sufficiently demonstrated in the PDD 2019/4/9

背景调查：Background Investigations 项目使用的技术：Project technology 东道国国家的环境法律法规：Environmental legislation in the host country UNFCCC已经接受和注册的相似项目 UNFCCC acceptance and registration of similar projects 以前项目参与方与东道国签订的协议等 Previous established agreements, Memorandums of Understanding or Letters of Intent between the project proponent and the host Party 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 数据来源及可用性 Identification of data sources and data availability 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 Issues related to project implementation impacts, such as dispatch patterns, marginal power plants, grid factors etc. and gas distribution network coverage for energy projects 2019/4/9

跟踪访问：Follow up interviews 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 of the project with the project developer and justification of CDM application 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 Party’s designated national authority in order to understand and validate issues related to sustainable development and national requirements 2019/4/9

相关方协商过程：Stakeholder Consultation Process DOE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; or b) 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 format on the UNFCCC web. CDM-EB-09 Annex 7 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. Comments received during the 30 day stakeholder consultation process shall be made publicly available. 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. 为确保确认的透明度，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 may be further discussed and elaborated in the project’s validation protocol 2019/4/9

澄清与改正要求：Clarifications and Corrective Action Requests 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构成风险的发现,均开立“改正行动要求” A validation may identify issues related to the project’s 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 particular project’s objectives have been termed ”Corrective Action Request" . 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; 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 with certain characteristics have not been met; 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. 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 insufficient, unclear or not transparent enough to establish whether a requirement is met. 2019/4/9

改正要求的处理：Resolution of Corrective Action Requests 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 barring exceptions resolve the issue before a final validation opinion is formulated by the validator and every exception shall be justified. 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 manner. 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 addressed in the project documents. 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 certified. However, such a choice shall be reflected as a qualification in the final validation opinion. 2019/4/9

审定的最终报告：Validation Report 审定最终报告应能包括以下方面：The validation report should reflect: 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 made to the project after the draft validation report was submitted. 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. 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 to be subsequently addressed during project implementation. 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 fulfill validation requirements. 2019/4/9

审定意见：Validation Opinion 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 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 当审定机构无法获得充分适合的证据以判断项目是否符合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 requirements. This means that all corrective action requests presented in the draft validation report were satisfactorily resolved. B. Qualified validation opinion A qualified validation opinion will be issued when the project meets all UNFCCC and host Party requirements, but does not meet criteria given to provide 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 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 validator will conclude that the project cannot be validated. 2019/4/9

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和核证。因此项目应在实施前建立健全这一程序 2019/4/9

审定检查清单：Validation Protocol 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. 检查清单还能帮助确认人员追踪： The protocol may also be used during the validation process to assist the validator to keep track of: 需要进一步验证/检查的问题 issues to be further verified/ checked, 需要项目方澄清的问题 issues to be clarified by the project parties, 需要项目方改正的问题 issues to be corrected by the project parties 2019/4/9

审定检查清单：Validation Protocol Table 1 CDM 强制要求REQUIREMENT 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 Corrective 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 检查的问题 CHECKLIST QUESTION 出处 Ref 检查方法 MoV 意见 COMMENTS 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 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 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 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. 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 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 Team responses and final conclusions. The conclusions shall also be included in Table 2, in the section called “Conclusions Final”. 2019/4/9

总结：Summary 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 verification of emission reductions, and any changes that have occurred since validation and that have impact on the claimed emission reductions shall therefore be considered. 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 project’s likelihood to comply with requirements and to succeed at a certain point in time and under given circumstances. 2019/4/9

补充信息：additional information http://cdm.unfccc.int/Validation http://www.ieta.org/VVM/VVM_4.htm 2019/4/9