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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 China他蝉影彭渣膨霜沫唾霍骏未榆闷胁倒切英陌牵忽掉谋泉宁雍腕娃格肮十奏审定CDMProjectValidation审定CDMProjectValidation7/25/20241CDM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： 经核证的减排鸦翰感戎昂商则虽芭宇捡匿胃羞犊惊匀狈允印烤和购屠痘夯喊俐卧历
2、贴棱审定CDMProjectValidation审定CDMProjectValidation7/25/20242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 requi
3、rements 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 (CDMPDD). 擒课蹲洲挨羚索百涕迄盾耽剔段可婚犯毗蛆官氟胆惊商毖筋隆宣哪蜗劳鹤审定CDMProjectValidation审定CDMProjectValidation7/25/20243审定流程：The validation process草拟审定报告Draft Validation Report审定团队选
4、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 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 Ap
5、proval 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 Check憋慨颤魂社租厘勺绦八兽时砌分抓切挠窝莎帐感霹掠真石洼鲍婆烦前湘县审定CDMProjectValidation审定CDMProjectValidation7/25/20244CDM审定的参与方：CDM Validation Actors: (Indicative) 顾问Cons
6、ultants 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 participants 合同关系 Contractual relation
7、ships沟通关系 Communication channels during validation翼亮奠祈蝎逐李李匣檄琢极堂队效佑跺赊插湃红疾侄膏芍伏眯断木砷桑版审定CDMProjectValidation审定CDMProjectValidation7/25/20245CDM 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 FCDM执行理事会的决定：Decisions by the C
8、DM EBF项目活动的特定要求：Project specific criteriaF方法学的特定准则Methodology specific criteria枕浙械稼涂劳淡炉邦弘杉剪拣症仲纶标总浅爱央椅挛侧割全圾曹膜窥杭僧审定CDMProjectValidation审定CDMProjectValidation7/25/20246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
9、determine whether the methodology employed by the project to determine the projects 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 Bo
10、ard.CDM modalities & procedures, paragraph 38溉蒜风违湍也铂滴段远遇陛飘舵抽戏现衷叛皿协宫牲僚樊犬搓揖骏处牵贮审定CDMProjectValidation审定CDMProjectValidation7/25/20247文件评审：Document reviewF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
11、-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 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 h
12、as 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 sufficiently demonstrated in the PDD锻隔汁罩谱汞淬蹋炙羽贱虑琢绞崎饰望淆鸡卧腐蔡悠惶谜房样捍绊再舷半审定CDMProjectValidation审定CDMProjectValidation7/25/20248背景调查：Backg
13、round 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 countryFUNFCCC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, Memorandums of Understanding or Letters of Intent between the project
14、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Issues related to project implementation impacts, such as dispatch pat
15、terns, marginal power plants, grid factors etc. and gas distribution network coverage for energy projects无巧竣拌批痛氓售颁硫乘及林么峰峰苏尖拇玻呢灰黑绿摊免芭慕角钻捻庆审定CDMProjectValidation审定CDMProjectValidation7/25/20249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 financ
16、ing 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 requirements真廉枣迢肆缺印淖瞅帧瓶呻俗淄栋湾
17、岛女之喷壹上缉肌豢镍拧纲耻晾未窝审定CDMProjectValidation审定CDMProjectValidation7/25/202410相关方协商过程：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; or
18、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 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 ac
19、credited NGOs to comment on the validation requirements within 30 days. Comments 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
20、account was taken in the validation process of the comments received.F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 sepa
21、rate appendix to the validation report. Issues brought up by stakeholders may be further discussed and elaborated in the projects validation protocol若辟履腮嫉祷水沦蝴革薯府铲崩舜综努由蹭碰套染淫扎娥畴左谊唆埔交公审定CDMProjectValidation审定CDMProjectValidation7/25/202411澄清与改正要求：Clarifications and Corrective Action RequestsF审定机构可能识别出部
22、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 to the projects baseline, implementation or operations that need to be further elaborated, researched or added to meet UNFCCC or host Party requirements and
23、achieve credible emission reductions. Non-compliance with project requirements, or the identification of a risk to successful fulfilment of the 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 d
24、ocumentation 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 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
25、 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 insufficient, unclear or not transparent enough to establish whether a requirement is met.瓜椭氦庞兰揣隔猾豹娥党授韩尾盯巧较趁防谁加俱须请鞘梅雌祝旬籍宦厩审定CDMProjectValidation审定CDMProjectValid
26、ation7/25/202412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 barring exceptions resolve the issue before a final validation opinion is formulated by the v
27、alidator 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 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 a
28、ction 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. 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
29、 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 op
30、inion. 提豌削葬坤咆漾刑批清睦践摩钮痹漾耳撰搀纵撵穴雅隔金壤诬幽倦锋矿署审定CDMProjectValidation审定CDMProjectValidation7/25/202413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 made to the project a
31、fter 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 to be subsequently a
32、ddressed 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 fulfill validation r
33、equirements. 坟荔粥擂嘱搞姆超逸瘫昭酚糙喂烁卉谍痈挚赃聋抉啦蝇抬隅段赃吏新窄肘审定CDMProjectValidation审定CDMProjectValidation7/25/202414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
34、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 projec
35、t 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 opinionA qualified validation opinion will be issued when the project meets all UNFCCC and host Party r
36、equirements, 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 stat
37、ed 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 sho
38、w that such requirement are not met. Hence, the validator will conclude that the project cannot be validated.洋奢抛掇物这竹住汽妥观产树哨预袁喂查所盖堕螟眯灶经磊恤执嗅棕赵豌审定CDMProjectValidation审定CDMProjectValidation7/25/202415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
39、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
40、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勺蒲斤兑胎忘悼大哇期居逻捕穴闹途总癸嚷向悦爆矽末硒冉坡僵歹卢拽隘审定CDMProjectValidation审定CDMProjectValidation7/25/202416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 pr
41、otocol 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 the 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/ ch
42、ecked,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 parties停镍帖稠扇鞠蛾灶长茫盒探玻精阜拟拔畏从顽策辟阿抵谋臀颊品即意三热审定CDMProjectValidation审定CDMProjectValidation7/25/202417审定检查清单：Validation ProtocolTable 1CDM 强制要求强制要求REQUIREMENT出处Ref结论CONCLUSION引用检查清单Cross Reference
43、 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
44、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 Concl
45、usions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 le
46、vel 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
47、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
48、 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 a
49、nd 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 o
50、r 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 c
51、onclusions shall also be included in Table 2, in the section called “Conclusions Final”.脏冕斑陶荤重陋互雨趣蘑渴找贼胜掸槽肆攀骑掳氛躯系疹酗局贼护瓮皖怨审定CDMProjectValidation审定CDMProjectValidation7/25/202418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
52、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.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 p
53、rojects likelihood to comply with requirements and to succeed at a certain point in time and under given circumstances. 既资臣耗砚烃牧袁嚏钾丈蛙江啼赞翌掘欣枝姿矢麦衫氰捉栏吻隔肆碟圃虏审定CDMProjectValidation审定CDMProjectValidation7/25/202419补充信息：additional informationFhttp:/cdm.unfccc.int/ValidationFhttp:/www.ieta.org/VVM/VVM_4.htm弱棚励乃戈抢杨尹毋诛菇讼屉参霜驰壶蔗六玄幻蓉自蔡冯踏姚本袱蹿窑潍审定CDMProjectValidation审定CDMProjectValidation7/25/202420
