Track 2 monitoring

Projects undertaken in host Parties that do not meet the eligibility criteria in 9/CMP.1, Annex, paragraph 21 are subject to the rules relating to monitoring of Track 2 projects (9/CMP.1, Annex, paragraph 24).

Monitoring plan

Project participants are required to include in the project design document (PDD) a monitoring plan, containing the following information:

Project participants shall include, as part of the project design document, a monitoring plan that provides for:
  1. The collection and archiving of all relevant data necessary for estimating or measuring anthropogenic emissions by sources and/or anthropogenic removals by sinks of greenhouse gases occurring within the project boundary during the crediting period;
  2. The collection and archiving of all relevant data necessary for determining the baseline of anthropogenic emissions by sources and/or anthropogenic removals by sinks of greenhouse gases within the project boundary during the crediting period;
  3. The identification of all potential sources of, and the collection and archiving of data on increased anthropogenic emissions by sources and/or reduced anthropogenic removals by sinks of greenhouse gases outside the project boundary that are significant and reasonably attributable to the project during the crediting period.  The project boundary shall encompass all anthropogenic emissions by sources and/or removals by sinks of greenhouse gases under the control of the project participants that are significant and reasonably attributable to the JI project;
  4. The collection and archiving of information on environmental impacts, in accordance with procedures as required by the host Party, where applicable;
  5. Quality assurance and control procedures for the monitoring process;
  6. Procedures for the periodic calculation of the reductions of anthropogenic emissions by sources and/or enhancements of anthropogenic removals by sinks by the proposed Article 6 project, and for leakage effects, if any.  Leakage is defined as the net change of anthropogenic emissions by sources and/or removals by sinks of greenhouse gases which occurs outside the project boundary, and that is measurable and attributable to the JI project;
  7. Documentation of all steps involved in the calculations referred to in paragraphs (b) and (f) above (9/CMP.1, Annex, Appendix B, paragraph 4; restated in the Guidance on criteria for baseline setting and monitoring, JISC 18, Annex 2, paragraph 30(a)).

The monitoring plan may be taken from a methodology approved for use under the Clean Development Mechanism (CDM), or may be established in accordance with the Criteria for baseline setting and monitoring contained in 9/CMP.1, Annex, Appendix B (in which case it may use selected elements of approved CDM methodologies):

As part of the PDD a monitoring plan has to be established by the project participants in accordance with appendix B of the JI guidelines (Guidance on criteria for baseline setting and monitoring, JISC 18, Annex 2, paragraph 31).

The general process for establishing and approving a monitoring plan is set out in the Guidance on criteria for baseline setting and monitoring:

In any case:

  1. The project participants shall set a monitoring plan in accordance with appendix B of the JI guidelines, in particular covering the criteria listed in paragraph 30(a) above;
  2. The host Party/Parties (as well as the other Parties involved) has/have to approve the project; and
  3. The AIE has to determine whether the project has an appropriate monitoring plan in accordance with the criteria set out in appendix B of the JI guidelines (Guidance on criteria for baseline setting and monitoring, JISC 18, Annex 2, paragraph 36).

Further requirements for the monitoring plan are set out in the Guidance on criteria for baseline setting and monitoring at paragraph 29:

The monitoring plan shall, inter alia:

  1. Describe all relevant factors and key characteristics that will be monitored, and the period in which they will be monitored, in particular also all decisive factors for the control and reporting of project performance;
  2. Specify the indicators, constants and variables used taking into account paragraph 33 below;
  3. Draw on the list of standard variables contained in appendix B to this document, as appropriate;
  4. Describe the methods employed for data monitoring (including its frequency) and recording;
  5. Present the quality assurance and control procedures for the monitoring process. This includes, as appropriate, information on calibration and on how records on data and/or method validity and accuracy are kept and made available on request;
  6. Clearly identify the responsibilities and the authority regarding the monitoring activities;
  7. On the whole, reflect good monitoring practices appropriate to the project type. In the case of JI LULUCF projects, this includes applying the good practice guidance, as developed by the IPCC; and
  8. Provide a complete compilation of the data that needs to be collected for its application. This includes data that is measured or sampled and data that is collected from other sources (e.g. official statistics, expert judgment, proprietary data, IPCC, commercial and scientific literature etc.). Data that is calculated with equations should not be included in the compilation. The information in the monitoring plan shall be provided in tabular form (Guidance on criteria for baseline setting and monitoring, JISC 18, Annex 2, paragraph 32).

Indicators and variables used in the monitoring plan must be reliable, and should preferably be those already commonly in use in the industry. Default variables may be used:

The indicators, constants, variables and/or models used shall be reliable (i.e. provide consistent and accurate values) and valid (i.e. be clearly connected with the effect to be measured), and shall provide a transparent picture of the emission reductions or enhancements of net removals (to be) monitored. In particular, it is recommended with regard to:

  1. Project-specific indicators to use, to the extent possible, indicators that are already used in normal business practice and/or have to be reported e.g. to local authorities. Such indicators might also be used to cross-check project operations (e.g. changes in the ratio of fuel input and energy output could indicate that the project equipment is not working properly and leakage effects have occurred);
  2. Leakage indicators to use data from suppliers/utilities and/or available public statistics and/or to conduct surveys, as business-linked indicators might not be available and leakage effects can be controlled less effectively by the project participants.

Default values, may be used, as appropriate. In the selection of default values, accuracy and reasonableness shall be carefully balanced. The default values chosen should originate from recognized sources, be supported by statistical analyses providing reasonable confidence levels and be presented in a transparent manner (Guidance on criteria for baseline setting and monitoring, JISC 18, Annex 2, paragraph 33).

In general, internationally recognised monitoring standards should be applied. However, if national standards must be applied, this should be noted in the monitoring plan:

If a national or international monitoring standard has to be and/or is applied to monitor certain aspects of the project, this standard shall be identified and a reference as to where a detailed description of the standard can be found shall be provided. Whenever possible, internationally recognized standards/methods with regard to monitoring (as well as calibration, as appropriate) should be applied (Guidance on criteria for baseline setting and monitoring, JISC 18, Annex 2, paragraph 35).

In principle, monitoring periods of JI projects should not overlap during the crediting period whenever practicably reasonable. However, monitoring periods may overlap if the project is comprised of components that can be calculated independently, monitoring can be performed independently and the monitoring plan ensures all requirements are met.

In principle, whenever practically reasonable, monitoring periods of a JI project during the crediting period should not overlap.
However, monitoring periods of a JI project during the crediting period may overlap, where:

  1. The underlying project is composed of clearly identifiable components for which emission reductions or enhancements of removals can be calculated independently; and
  2. Monitoring can be performed independently for each of these components, i.e. the data/parameters monitored for one component are not dependent on/effect data/parameters (to be) monitored for another component; and
  3. The monitoring plan ensures that monitoring is performed for all components and that in these cases all the requirements of the JI guidelines and further guidance by the JISC regarding monitoring are met (JISC 13, Annex 13, paragraph 4).

If overlap does occur the monitoring plan must justify the need for overlap and describe how the components, data or parameters can be calculated independently and all requirements are met.

The monitoring plan shall explicitly provide for overlapping monitoring periods of clearly defined project components, justify its need and state how the conditions mentioned in paragraph 4 above are met (JISC 13, Annex 13, paragraph 5).

Implementing the monitoring plan

The implementation of the monitoring plan (as revised) is a condition for verification of emission reductions, which must occur prior to issuance of emission reduction units (ERUs):

The implementation of the monitoring plan and its revisions, as applicable, shall be a condition for verification (9/CMP.1, Annex, Appendix B, paragraph 6; restated in the Guidance on criteria for baseline setting and monitoring, JISC 18, Annex 2, paragraph 30(c)).

Project participants must ensure that monitoring occurs in accordance with the monitoring plan:

Project participants shall ensure that monitoring occurs in accordance with the monitoring plan (Guidance on criteria for baseline setting and monitoring, JISC 18, Annex 2, paragraph 37).

If statistical techniques are used for monitoring, these must be documented and used conservatively:

If statistical techniques are used for monitoring, these shall be documented and used in a conservative manner (Guidance on criteria for baseline setting and monitoring, JISC 18, Annex 2, paragraph 38).

The Joint Implementation Supervisory Committee (JISC) has provided a Clarification regarding utilization of laboratory services for monitoring and determination of emission reductions or enhancements of removals.  This document is available on the UNFCCC website here.

Revising the monitoring plan

Revisions to the monitoring plan are permitted, but must be submitted to the accredited independent entity (AIE) for determination:

Revisions, if any, to the monitoring plan to improve the accuracy and/or applicability of information collected shall be justified by project participants and shall be submitted as a part of the determination referred to in paragraph 37 of the JI guidelines by the AIE (9/CMP.1, Annex, Appendix B, paragraph 5; restated in the Guidance on criteria for baseline setting and monitoring, JISC 18, Annex 2, paragraph 30(b)).

If revisions are submitted, the AIE must determine whether the proposed revisions improve the accuracy or completeness of the information:

In this case the AIE shall determine whether the proposed revisions improve the accuracy and/or applicability of information collected shall be justified by project participants and shall be submitted for the determination referred to in paragraph 37 of the JI guidelines by the AIE. In this case the AIE shall determine whether the proposed revisions improve the accuracy and/or applicability of information collected, compared to the original monitoring plan without changing conformity with the relevant rules and regulations for the establishment of monitoring plans and, in case of a positive determination, shall proceed with the determination referred to in paragraph 37 of the JI guidelines (Guidance on criteria for baseline setting and monitoring, JISC 18, Annex 2, paragraph 40).

Monitoring report

The JI rules require project participants to submit to the AIE a monitoring report in accordance with the monitoring plan on the emission reductions achieved by the project. This report is to be made publicly available:

Project participants shall submit to an accredited independent entity a report in accordance with the monitoring plan on reductions in anthropogenic emissions by sources or enhancements of anthropogenic removals by sinks that have already occurred. The report shall be made publicly available (9/CMP.1, Annex, paragraph 36).

This is restated in the Guidance on criteria for baseline setting and monitoring:

In accordance with paragraph 36 of the JI guidelines, project participants shall submit to an AIE a monitoring report on reductions in anthropogenic emissions by sources or enhancements of net anthropogenic removals by sinks that have already occurred. This report will be made publicly available. (Guidance on criteria for baseline setting and monitoring, JISC 18, Annex 2, paragraph 39).

The guidelines for public availability are set out in the Procedures on public availability of documents under the verification procedure under the Joint Implementation Supervisory Committee.  This document was adopted in draft form by the Joint Implementation Supervisory Committee (JISC) at its second meeting (JISC 2, Annex 2). Version 1, adopted by the JISC at its fourth meeting (JISC 4, Annex 13) is available on the UNFCCC website here.

The JISC provided further clarification on these Procedures in the Clarification regarding the public availability of documents under the verification procedure under the Joint Implementation Supervisory Committee. This document was first adopted by the JISC at its sixth meeting (JISC 6, Annex 9).  The latest version (Version 2) was adopted by the JISC at its eighth meeting (JISC 8, Annex 6) and is available on the UNFCCC website here.

Data obtained through monitoring must be kept for two years after the last transfer of ERUs to project participants:

Data monitored and required for determination according to paragraph 37 of the JI guidelines are to be kept for two years after the last transfer of ERUs for the project (Guidance on criteria for baseline setting and monitoring, JISC 18, Annex 2, paragraph 41).

Last updated on 27 May 2010

Related topics

Track 2

Accredited independent entity

Project participants

Track 2 verification

Project design document

Leakage

Project boundary