CDM项目核查与认证CDM Project Verification and Certification中国CDM能力建设项设项 目培训讲义训讲义Training Material Building Capacity for the CDM in China1CDM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2核查：Verification核查是指由指定的经营实体定期独立审评和事后确定 已登记的CDM 项目活动在核实期内产生的、经监测的 温室气体(GHG)源人为减排量。核实期的期限长短尚 没有规定。但是, 核查期不得长于计入期。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 verification period. There is no prescribed length of the verification period. It shall, however, not be longer than the crediting period.3初始核查（自愿性）：Initial Verification(voluntary)F 初始核查的目的是核查项目已按照计划实施、监测系统已有效是 运行，确保项目可以产生CERsThe objective of an initial verification is to verify that the project is implemented 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. G确保项目按照计划已经实施，监测系统有效运行，项目已经具备产生 CERs的条件-to ensure that the project has been implemented as planned, that the monitoring system is in place and that the project is ready to generate and record GHG emission reductions;G评估在项目实际设计 与建设中所导致监测系统的变化与调整，-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 modalities do not give guidance on handling changes to previously validated monitoring plans);G为项目产生高质量的CER提供保证-to provide assurance of generation of high quality emission reductions and clear the way for project commissioning.4文件评审：Desk ReviewF 最新版的PDD文件及附件：the last revision of the PDD and attached documents F 审定报告： the last revision of the validation report, F 管理手册： the written management manual (if applicable) F 运行许可： operation licenses of local authorities (if applicable). F 其他文件如工艺流程、技术指南、设备手册等： other documents, such as process flow diagrams, technical drawings and manuals of equipment suppliers, may be reviewed as well. 5现场评审：On-Site Assessment (1)现场评审应能够使核查机构确信项目已经具备产生高质量的CERs的条件 。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.G现场评审应包括相关的设备是否按照计划已经安装whether all relevant equipment is installed and works as anticipated.G与地方利害相关方讨论在建设阶段环境与社会影响的达成情况Discussions with local stakeholders to check the achievement of environmental and social impacts which should already be reached during construction phase.G与操作员工面谈观察其在项目运行和数据收集方面存在可能的风险The operating staff shall be interviewed and observed in order to check the risks for inappropriate operation and data collection procedures of the project.G监测数据收集、汇总、报告的流程Information flows for generating, aggregating and reporting the selected monitored parameters shall be reviewed.G应检查计量设备，计量位置应予纪录Metering equipment shall be checked and positions of counters have to be recorded in order to prepare for the next periodic verification.G项目的所有者应提供证据证明所有的计量设备已被校验The project owners have to provide evidence that demonstrates that all metering equipment is calibrated.G应检查必须的流程、日常工作以及文件的适用性The required processes, routines and documentations shall be audited to check their proper application.6现场评审：On-Site Assessment (2)F在审定报告中未解决和有保留的问题，特别还未注册的项目Open issues indicated in Validation Report, especially in projects which are not yet registered at CDM-EB F项目实施进展情况Status of the implementation of the projectF内部数据的收集、数据来源、计算方法等的可信性Reliability of internal data, sources and ways in which the data have been collected, calculated, processed, aggregated and stored should be part of initial verificationF外部数据的获取、数据的质量、以及提供数据的单位的可信性Reliability of the external data, also access to such data and a proof of data quality should be part of initial verification. Moreover, the entity delivering such data should be auditedF环境与社会指标：Environmental and Social IndicatorsF监测计划的完整性：The completeness of the monitoring planF管理体系运行的有效性：The implementation of Management and operational systemF与初始核查有关的问题以及核查的结论应清楚地与客户说明The relevant aspects related 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.7改正行动要求：CAR/FARF 改正行动要求：A Corrective Action Request (CAR) G 当存在减排不能在后续定期核查中进行验证的风险时there is a risk that emission reductions cannot be verified at a later periodic verificationG 当项目方必须采取马上的行动以确保后续的产生的减排where immediate actions by the project parties are necessary to ensure a later verification of generated emission reduction.F 进一步行动要求：A Forward Action Request (FAR) G 在首次定期核查中需要特别关注的问题the actual status requires a special focus on this item for the first periodic verification G 对监测计划调整的建议an adjustment of the MP is recommended.F FAR识别出来的对今后可能对CERs的质量有影响的风险，例如与监测 计划不一致。这类风险在以后的连续的核查中将予以关注In the c