中國CDM能力建設(shè)項目培訓(xùn)講義：CDM項目核查與認(rèn)證 ppt課件

1、CDM工程核對與認(rèn)證CDM Project Verification and Certification中國CDM才干建立工程培訓(xùn)講義Training Material Building Capacity for the CDM in ChinaCDM工程流程：The CDM Project Cycle設(shè)計審定/注冊監(jiān)測核對/認(rèn)證簽發(fā)CERsPP： 工程參與方DOE：指定運營實體EB： 執(zhí)行理事會CER： 經(jīng)核證的減排核對：Verification核對是指由指定的運營實體定期獨立審評和事后確定已登記的CDM 工程活動在核實期內(nèi)產(chǎn)生的、經(jīng)監(jiān)測的溫室氣體(GHG)源人為減排量。核實期的期限長短尚沒

2、有規(guī)定。但是, 核對期不得長于計入期。Verification is the periodic independent review and ex post determination by a designated operational entity of monitored reductions in anthropogenic emissions by sources of greenhouse gases (GHG) that have occurred as a result of a registered CDM project activity during the verif

3、ication period. There is no prescribed length of the verification period. It shall, however, not be longer than the crediting period.初始核對自愿性：Initial Verification(voluntary)F 初始核對的目的是核對工程已按照方案實施、監(jiān)測系統(tǒng)已有效是運轉(zhuǎn)，確保工程可以產(chǎn)生CERsFThe objective of an initial verification is to verify that the project is implemen

4、ted as planned, to confirm that the monitoring system is in place and fully functional, and to assure that the project will generate verifiable emission reductions. F 確保工程按照方案曾經(jīng)實施，監(jiān)測系統(tǒng)有效運轉(zhuǎn)，工程曾經(jīng)具備產(chǎn)生CERs的條件F-to ensure that the project has been implemented as planned, that the monitoring system is in p

5、lace and that the project is ready to generate and record GHG emission reductions;F 評價在工程實踐設(shè)計與建立中所導(dǎo)致監(jiān)測系統(tǒng)的變化與調(diào)整，F(xiàn)-to assess adjustments and amendments to the monitoring plan that may have become necessary during the detailed design and construction of the project (Please note that the CDM and JI moda

6、lities do not give guidance on handling changes to previously validated monitoring plans);F 為工程產(chǎn)生高質(zhì)量的CER提供保證F-to provide assurance of generation of high quality emission reductions and clear the way for project commissioning.文件評審：Desk ReviewF 最新版的PDD文件及附件：Fthe last revision of the PDD and attached d

7、ocumentsF 審定報告：Fthe last revision of the validation report,F 管理手冊：Fthe written management manual (if applicable)F 運轉(zhuǎn)答應(yīng)：Foperation licenses of local authorities (if applicable).F 其他文件如工藝流程、技術(shù)指南、設(shè)備手冊等：Fother documents, such as process flow diagrams, technical drawings and manuals of equipment supplier

8、s, may be reviewed as well. 現(xiàn)場評審：On-Site Assessment (1)現(xiàn)場評審應(yīng)可以使核對機構(gòu)確信工程曾經(jīng)具備產(chǎn)生高質(zhì)量的CERs的條件。The on-site assessment shall enable the verifier to arrive at a conclusion regarding the readiness of a project to start with the generation of high quality emission reductions.現(xiàn)場評審應(yīng)包括相關(guān)的設(shè)備能否按照方案曾經(jīng)安裝whether all

9、relevant equipment is installed and works as anticipated.與地方利害相關(guān)方討論在建立階段環(huán)境與社會影響的達(dá)成情況Discussions with local stakeholders to check the achievement of environmental and social impacts which should already be reached during construction phase.與操作員工面談察看其在工程運轉(zhuǎn)和數(shù)據(jù)搜集方面存在能夠的風(fēng)險The operating staff shall be int

10、erviewed and observed in order to check the risks for inappropriate operation and data collection procedures of the project.監(jiān)測數(shù)據(jù)搜集、匯總、報告的流程Information flows for generating, aggregating and reporting the selected monitored parameters shall be reviewed.應(yīng)檢查計量設(shè)備，計量位置應(yīng)予紀(jì)錄Metering equipment shall be check

11、ed and positions of counters have to be recorded in order to prepare for the next periodic verification.工程的一切者應(yīng)提供證據(jù)證明一切的計量設(shè)備已被校驗The project owners have to provide evidence that demonstrates that all metering equipment is calibrated.應(yīng)檢查必需的流程、日常任務(wù)以及文件的適用性The required processes, routines and documentat

12、ions shall be audited to check their proper application.現(xiàn)場評審：On-Site Assessment (2)F 在審定報告中未處理和有保管的問題，特別還未注冊的工程FOpen issues indicated in Validation Report, especially in projects which are not yet registered at CDM-EB F 工程實施進(jìn)展情況FStatus of the implementation of the projectF 內(nèi)部數(shù)據(jù)的搜集、數(shù)據(jù)來源、計算方法等的可信性FRel

13、iability of internal data, sources and ways in which the data have been collected, calculated, processed, aggregated and stored should be part of initial verificationF 外部數(shù)據(jù)的獲取、數(shù)據(jù)的質(zhì)量、以及提供數(shù)據(jù)的單位的可信性FReliability of the external data, also access to such data and a proof of data quality should be part of

14、 initial verification. Moreover, the entity delivering such data should be auditedF 環(huán)境與社會目的：Environmental and Social IndicatorsF 監(jiān)測方案的完好性：The completeness of the monitoring planF 管理體系運轉(zhuǎn)的有效性：The implementation of Management and operational systemF 與初始核對有關(guān)的問題以及核對的結(jié)論應(yīng)清楚地與客戶闡明FThe relevant aspects relat

15、ed to the development of the Initial verification as well as the verification conclusions must be clearly explained to the client during opening and closing sessions.矯正行動要求：CAR/FARF 矯正行動要求：A Corrective Action Request (CAR) F 當(dāng)存在減排不能在后續(xù)定期核對中進(jìn)展驗證的風(fēng)險時Fthere is a risk that emission reductions cannot be

16、verified at a later periodic verificationF 當(dāng)工程方必需采取馬上的行動以確保后續(xù)的產(chǎn)生的減排Fwhere immediate actions by the project parties are necessary to ensure a later verification of generated emission reduction.F 進(jìn)一步行動要求：A Forward Action Request (FAR) F 在初次定期核對中需求特別關(guān)注的問題Fthe actual status requires a special focus on t

17、his item for the first periodic verification F 對監(jiān)測方案調(diào)整的建議Fan adjustment of the MP is recommended.F FAR識別出來的對今后能夠?qū)ERs的質(zhì)量有影響的風(fēng)險，例如與監(jiān)測方案不一致。這類風(fēng)險在以后的延續(xù)的核對中將予以關(guān)注FIn the context of FARs, risks have been identified, which may endanger the delivery of high quality CERs in the future, i.e. by deviations fro

18、m standard procedures as defined by the monitoring plan. As a consequence such aspects shall receive a special focus during the next consecutive verification. 初始核對聲明：Initial Verification StatementA. Unqualified initial verification statementAn unqualified initial verification statement will be issue

19、d when the review of the project documentation and the on-site assessment have proven that the project is ready for starting operation and no further adjustments have to be made. There might be aspects, which are not in compliance with the expected progress of the project implementation, but which c

20、an be rectified until the first periodic verification. Such aspects will not directly impact the quality of emission reductions.B. Qualified initial verification statementA qualified initial verification statement will be issued when there is a risk that emission reductions cannot be verified at a l

21、ater periodic verification, and where actions by the project parties are necessary to ensure a later verification of generated emission reduction. Hence, the verifier will conclude that the project is not ready to generate verifiable emission reductions.一定的初始核對聲明一定的初始核對聲明當(dāng)文件和現(xiàn)場評審都闡明了工程當(dāng)文件和現(xiàn)場評審都闡明了工程

22、曾經(jīng)具備運轉(zhuǎn)的條件，沒有進(jìn)一曾經(jīng)具備運轉(zhuǎn)的條件，沒有進(jìn)一步伐整時核對機構(gòu)可以開出一定步伐整時核對機構(gòu)可以開出一定的初始核對聲明。這時仍有能夠的初始核對聲明。這時仍有能夠存在一些在實踐運轉(zhuǎn)中的問題，存在一些在實踐運轉(zhuǎn)中的問題，但是這些問題可以在初次定期核但是這些問題可以在初次定期核對中予以矯正，不會直接影響對中予以矯正，不會直接影響CERs的質(zhì)量。的質(zhì)量。否認(rèn)的初始核對聲明否認(rèn)的初始核對聲明當(dāng)存在減排有在今后的定期核對當(dāng)存在減排有在今后的定期核對中無法核對的風(fēng)險時，工程方應(yīng)中無法核對的風(fēng)險時，工程方應(yīng)采取必要的行動以確保今后以后采取必要的行動以確保今后以后的定期核對可以產(chǎn)生的定期核對可以產(chǎn)生CE

23、Rs時。核時。核對機構(gòu)將給出工程尚未具備產(chǎn)生對機構(gòu)將給出工程尚未具備產(chǎn)生CERs的條件。的條件。定期核對：Periodic VerificationF 核對是指定運營實體對溫室氣體在確認(rèn)的核對期減排的定期獨立評審以及事后確認(rèn)。FVerification is the periodic independent review and ex post determination by the Designated Operational Entity / Independent Entity of the monitored reductions in GHG emissions during th

24、e defined verification period. F 核對實踐的監(jiān)測系統(tǒng)和程序能否符合監(jiān)測方案中的規(guī)定F-to verify that actual monitoring systems and procedures are in compliance with the monitoring systems and procedures described in the monitoring plan,F 評價對溫室氣體減排數(shù)據(jù)和闡明是具有較高，F(xiàn)-to evaluate the GHG emission reduction data and express a conclusio

25、n with a high, but not absolute, level of assurance about whether the reported GHG emission reduction data is “free of material misstatements,F 能否有充分的證據(jù)支持減排數(shù)據(jù)F-the reported GHG emission data is sufficiently supported by evidence, i.e. monitoring records.核對內(nèi)容：Contents of verificationF檢查PDD文件 F實施現(xiàn)場查驗F

26、運用來自其它來源的補充數(shù)據(jù)F審評監(jiān)測結(jié)果，并核對用其監(jiān)測方法能否運用得當(dāng)、其文件記錄能否完好和透明F假設(shè)有必要建議工程參與方適當(dāng)修正監(jiān)測方法F利用登記的工程設(shè)計書和監(jiān)測方案所列一致的方法確認(rèn)該工程的額外性 。F識別并告知工程參與方任何有關(guān)工程活動的實施與登記的工程設(shè)計書不一致之處；工程參與者應(yīng)關(guān)注這些問題并提供額外的信息F指定運營實體應(yīng)公布監(jiān)測報告F Check of project documentation;F On-site inspections;F If appropriate, check of additional data from other sources;F Review

27、 of monitoring results and verification of monitoring methodologies for estimation of GHG emissions have been applied correctly and that supporting documentation is complete and transparent;F Recommendation of changes to the monitoring methodology for any future crediting period, if necessary;F Dete

28、rmination of additional reductions in GHG emissions using calculation procedures consistent with those contained in the registered project design document and in the monitoring plan;F Confirmation that the actual project activity and its operation conform with the registered project design document.

29、 Project participants should be informed of of any concerns, and shall address these concerns and supply relevant additional information;F Making the monitoring report publicly available定期核對過程：The Periodic Verification Process建立核對小組Verification Team Selection選擇核對機構(gòu)Verifier Selection簽署核對合同Establish C

30、ontract核對報告VerificationReport 文件評審Desk Review, including publicising the monitoring report 核證并公開核證報告Certification and publicising of Certification ReportEB核發(fā)CERs Issuance of CERs by Executive Board現(xiàn)場評審On-Site Assessment定期核對參與方：Periodic Verification Actors (Indicative) 核對機構(gòu)Verifier工程提出方ProjectPropone

31、ntVerification Contract Parties工程單位Project Entity CDM執(zhí)行理事會CDM Executive Board/核對原那么：The risk-based approach報告的范圍GHG 目的GHG 報告要求GHG 排放排放了解控制風(fēng)險的管理體系了解控制風(fēng)險的管理體系識別其他剩余的風(fēng)險識別其他剩余的風(fēng)險附加審核檢驗附加審核檢驗驗證意見驗證意見改良時機改良時機了解業(yè)務(wù)的根本要求了解業(yè)務(wù)的根本要求了解數(shù)據(jù)產(chǎn)生的系統(tǒng)了解數(shù)據(jù)產(chǎn)生的系統(tǒng)與存在潛在的風(fēng)險與存在潛在的風(fēng)險F了解客戶的消費與運轉(zhuǎn)FUnderstand the project operationsF

32、了解客戶的要求FUnderstand the need for monitoring F獲得溫室氣體數(shù)據(jù)來源計算及報告系統(tǒng)FObtain an overview of the clients GHG data sources, calculations and reporting systemsF了解客戶在特定時期的變化FUnderstand key changes to the clients structure throughout the year and with the previous year文件評審：Desk Review經(jīng)過文件評審，核對機構(gòu)應(yīng)對工程情況了解。文件評審至少應(yīng)包

33、括：The verification team should become familiar with the project最新版PDD文件及其附件，包括監(jiān)測報告the last revision of the PDD and attached documents, including the most recent monitoring plan,最新版的監(jiān)測報告，包括主張工程的減排the last revision of the monitoring report, including the claimed emission reductions for the project,最新版

34、的前一次審定報告或初始核對報告 the last revision of the validation report and/or the last revision of the initial verification report,最新版的前一次定期核對報告the last revision of the previous periodic verification report (as applicable),管理手冊及答應(yīng)：the written management manual, operating licenses of local authorities (as applic

35、able).其他文件例如流程圖、設(shè)備手冊、績效目的等Other documents, such as process flow diagrams, technical drawings, manuals of equipment suppliers, performance records現(xiàn)場評審：On-site Assessment核對機構(gòu)應(yīng)運用風(fēng)險評價的方法核對者應(yīng)根據(jù)審核追蹤線索對現(xiàn)場進(jìn)展調(diào)查During the verification, the verifier investigates on-site, using a risk-based approach. The verifi

36、er will typically follow the audit trails and data sets on site for the specific indicators, and cross check with the existing monitoring plan and records.監(jiān)測目的的搜集、聚集、報告的流程Information flows for generating, aggregating/collating and reporting the selected monitoring parameters確定溫室氣體的計算和假設(shè)Calculations

37、and assumptions made in determining the GHG data對選定的監(jiān)測參數(shù)能夠出現(xiàn)任何艱苦的錯誤情況的控制情況Controls in place to prevent, or detect and correct any significant errors or omissions in the selected monitoring parameters reported核對報告：Verification ReportF核對機構(gòu)應(yīng)向工程方提交草擬核對報告闡明一切與主張的減排量有關(guān)的問題。工程方須針對這些問題進(jìn)展闡明并在最終核對報告完成之前提供額外的信息

38、。FA draft verification report shall provide the project proponent with any concerns and conclusions related to the claimed emission reductions. The project proponent will have the possibility to address the concerns and supply relevant additional information before a final verification report is pro

39、vided.F根據(jù)透明性的原那么，核對報告應(yīng)闡明核對是如何展開的。一切的核對發(fā)現(xiàn)應(yīng)清楚地闡明和合理FBuilding on the transparency principle, the verification report shall give an overview of the verification process deployed by the verifier in order to arrive at the verification conclusions. All verification findings shall be clearly identified and

40、justified. F闡明核對范圍：give an overview of the scope of the verification,F經(jīng)過核對發(fā)現(xiàn)問題的討論：general discussion of details captured by the verification protocol, F核對及核證減排量清楚的結(jié)論：clearly state the conclusions related to the verification and the verified amount of emission reductions報告風(fēng)險：Reporting risksF 完好性：Comp

41、letenessF 排放源的脫漏 Omission of a sourceF 錯誤的定義邊境 Incorrectly defined boundaryF 走漏的影響 Leakage effectsF 準(zhǔn)確性：AccuracyF 反復(fù)計算 Double countingF 重要數(shù)據(jù)的手工計算 Significant manual transfer of key dataF 不正確的排放因子 Inappropriate use of emission factorsF 缺乏審核思緒 Lack of audit trail F 缺乏運轉(zhuǎn)控制或重要計量設(shè)備本身的缺陷FLack of operation

42、al control or inherent uncertainties over key measurement/monitoring equipmentF 數(shù)據(jù)管理較差Poor management control over the dataF 一致性 ConsistencyF 改動未文件化/解釋的方法FUndocumented/unexplained methodology changes or other changes審核意見：Basis of an audit opinion本質(zhì)性：Materiality本質(zhì)性是檢測重要的溫室氣體信息能否被脫漏或誤陳說并對報告運用者的決議產(chǎn)生艱苦影

43、響。Materiality is a test used to assess the extent to which important GHG information may be omitted or misstated (i.e is erroneous), and has the potential to affect the decisions made by users of the reported information.2.Materiality4. Quality ofEvidence1.Monitoringplans andrecords3. CoverageOpinio

44、n本質(zhì)性：Materiality exampleTanker offloadingBiodegradation pond“Imported electricityTank storage and pipelineRefinery2%16%77%1%4%覆蓋性：Coverage審核應(yīng)確保在溫室氣體排放量的覆蓋性，包括The auditors should ensure an appropriate coverage in terms of the volume of GHG emissions audited, including coverage: 包括組織地理邊境across the org

45、anisations geographic/operational spread 包括各種類型的排放類型across the various emission types包括各種類型的計算和數(shù)據(jù)管理 across various calculation and data management types 2.Materiality4. Quality ofEvidence1.Monitoringplans andrecords3. CoverageOpinion覆蓋性：Coverage exampleBoundariesSourcesInformation management systems

46、Calculation MethodsDataaggregation證據(jù)質(zhì)量：Quality of EvidenceF當(dāng)核對減排信息時，應(yīng)核對工程報告的減排能否有一個明晰的審核途徑FWhen verifying GHG information the auditor shall verify that there is a clear audit trail for the reported emission reductions.F審核員還應(yīng)獲得充分適當(dāng)?shù)淖C據(jù)，證據(jù)包括包括完好的審核途徑。例如文件的來源，根本假設(shè)以及其他重要的數(shù)據(jù)FThe auditor shall also obtain

47、sufficient and appropriate audit evidence. Evidence includes a complete audit trail including source documents the basis for assumptions, and other information underlying the GHG data.F 燃料購買和耗費紀(jì)錄 Fuel purchase and consumption records, F 銷售熱、電的發(fā)票 Invoices for sold electricity and heat,F 實驗室分析記錄 Labor

48、atory analysis.2.Materiality4. Quality ofEvidence1.Monitoringplans andrecords3. CoverageOpinion核對發(fā)現(xiàn)：Verification FindingsF 當(dāng)存在以下情況時，核對機構(gòu)可開出進(jìn)一步行動要求FThe term “Forward Action Request shall be used in the verification report, when:F 在下一個核對期應(yīng)留意的監(jiān)測或報告問題Fthe actual project monitoring and reporting requires

49、 attention for the next consecutive verification period, F 對程序調(diào)整的建議Fan adjustment of the MP is recommended.F 核對發(fā)現(xiàn)：Findings established during the verification may be that:F 核對不能對報告的減排或部分減排獲得足夠的證據(jù)。在這種情況下，這部分減排量不能得到核證。FThe verification is not able to obtain sufficient evidence for the reported emissio

50、n reductions or part of the reported emission reductions. In this case these emission reductions shall not be verified and certified;F 核對對報告的減排發(fā)現(xiàn)本質(zhì)性的誤差。在這種情況下，存在誤差的減排將從事前確實認(rèn)到達(dá)的減排量中予以扣除。FThe verification has identified material misstatements in the reported emission reductions. In this case emission

51、reductions with material misstatements shall be discounted based on the verifiers ex-post determination of the achieved emission reductions.核對聲明：Verification StatementF核對完成之后，核對機構(gòu)將為工程提出者提供核對聲明。核對聲明是最終核對報告的一部分，應(yīng)與公開F After completed verification, a verification statement shall be provided by the verif

52、ier to the project proponent. The verification statement will be part of the final verification report and shall be made publicly available. F核對聲明包括：This verification statement shall include:F核對范圍： the scope of the verificationF核對期間： the period of the verificationF核對結(jié)論，包括經(jīng)核證的在一定期間的減排量Fconclusions of

53、 the verification, including the verified amount of emission reductions for the given periodF有關(guān)核對聲明準(zhǔn)確性責(zé)任聲明F liability statement with regards to the accuracy of the verification statementF嚴(yán)密聲明： statement of confidentialityF核對聲明應(yīng)對報告的溫室氣體減排的全面性、可比性、準(zhǔn)確性、正確性做出最終結(jié)論。核對聲明是經(jīng)核證的減排的根底。FThe verification stateme

54、nt shall give the final verdict of the project in terms of the completeness, comparability, accuracy and correctness of the reported GHG emission reductions. The verification statement will be the basis for the certified emission reductions.核對聲明：Verification StatementWe planned and performed our wor

55、k to obtain the information and explanations that we considered necessary to provide sufficient evidence for us to give reasonable assurance that the amount of GHG emission reductions for the reporting period, prepared on the basis of the Monitoring and Verification Plan dated , are fairly stated.We

56、 conducted our verification having regard to the Project Design Document including the projects Monitoring and Verification Plan dated and the applied baseline as registered for the project. This assessment included: -collection of evidence supporting the reported data -checking whether the provisions of the Monitoring and Verifica