Registration process

In summary, the registration process for afforestation and reforestation (A/R) projects is as follows:

  • The designated operational entity (DOE) submits a request for registration;
  • The secretariat processes the request and appoints a Registration and Issuance Team (EB-RIT) to appraise the request for registration;
  • (where applicable) the Executive Board considers any request for a review of the request for registration; and
  • On the advice of the EB-RIT, the Executive Board either approves or rejects the proposed project activity.

Request for registration

In order to apply for registration of an A/R project, the DOE conducting the validation must submit a request for registration to the Executive Board.  This is set out in 5/CMP.1, Annex, paragraph 15(f), which requires the DOE to:

Submit to the Executive Board, if it determines the proposed A/R project activity under the CDM to be valid, a request for registration in the form of a validation report including the project design document, the written approval of voluntary participation from the designated national authority of each Party involved, as referred to in paragraph 15(a) above, and an explanation of how it has taken due account of comments received (5/CMP.1, Annex, paragraph 15(f)).

The Executive Board has since clarified that the request for registration must be submitted using the CDM project activity registration and validation report form (F-CDM-REG) (EB 24, Annex 29).  The requirements of F-CDM-REG conform to the requirements in the paragraph above, so submission of this completed form with the necessary attachments will satisfy 5/CMP.1, Annex, paragraph 15(f), and no separate reports are required.

Although these procedures are not specifically stated to apply to A/R projects, there is no corresponding document for A/R projects and it can therefore be assumed that these procedures apply equally to A/R projects.

F-CDM-REG requires the following information to be completed and/or attached:

  • Section 1: basic project information (the name of the project, the name of the DOE submitting the request for registration, the names of the project participants and the sector into which the project falls);
  • Section 2: summary of validation findings (the PDD, the validation report and the CVs of validation team members must be attached);
  • Section 3: further documents (the letters of approval and the modalities of communication must be attached); and
  • Section 4: a declaration that the DOE has no conflict of interest in relation to the project.

The requirements for a request for registration are repeated in the Procedures for Registration of Proposed CDM project activities (Version 01), contained in EB 54, Annex 28, paragraph 4:

4. The following prescribes the procedures that DOEs shall comply with to submit a request for registration of a proposed CDM project activity.

These procedures replace earlier versions contained in EB 14, Annex 7 (Version 03).

Procedures for Processing a Request for Registration

The process which follows the request for registration, set out in EB 54, Annex 28, paragraphs 5-9, is as follows:

5. The DOE shall submit a request for registration for a proposed CDM project activity for registration only after it determines that a proposed project activity is valid by following and meeting the requirements prescribed in the latest version of the "Clean Development Mechanism Validation and Verification Manual" and other CDM requirements.

6. The DOE shall submit the required documents listed in the latest applicable version of the completeness checklist for requests for registration, which the secretariat will make publicly available by publishing it on the UNFCCC CDM website. The DOE shall submit the required documents using the electronic, internet-based, submission tool provided to the DOE by the secretariat.

7. The DOE shall receive from the secretariat a unique reference for the submission of the request for registration and a statement of the registration fee due, calculated in accordance with the latest guidelines adopted by the Executive Board, or a confirmation that no registration fee is due.

8. The DOE shall communicate to the project participant(s) the unique reference number, and shall also communicate to the project participant(s) the registration fee due, or a confirmation that no registration fee is due.

9. The project participant(s) shall pay any required registration fee by bank transfer identifying the unique reference number. The DOE shall, using the submission tool, submit proof of payment. If the proposed project activity applies a methodology that has been revised, withdraw, or suspended by the Executive Board, either proof of payment must be uploaded within 20 calendar days or payment must be received within 40 calendar days of the deadlines prescribed in the latest version of the "Procedures for the Revision of an Approved Baseline or Monitoring Methodology by the Executive Board" (EB 54, Annex 28, paragraphs 4-9).

To provide guidance, the Executive Board has adopted Guidelines on the demonstration and assessment of prior consideration of the CDM (Version 3) (EB 49, Annex 22) and the form "F-CDM-Prior consideration" (Version 1) (EB 48, paragraph 63; EB48, Annex 62).

English is the working language of the Executive Board.  Therefore, the secretariat's completeness check is conducted on the basis of the English documents submitted for a request for registration.

To provide guidance on the completeness check performed by the secretariat upon receipt of a request for registration, and to improve efficiency in processing requests for registration, the Executive Board has adopted Guidelines on Completeness Check of Requests for Registration (Version 1) (EB 48, Annex 60).

Procedures by Secretariat for Processing a Request for Registration

Following the receipt of a request for registration, the secretariat must then take the following steps:

10. The following specifies the procedures the secretariat will take in processing a request for registration, and prescribes when a request for registration will be published and received by the Executive Board for consideration.

11. Upon receipt of a request for registration, the secretariat will send to the DOE a unique reference number for the proposed project activity; and shall also send to the DOE a statement of the registration fee due, calculated in accordance with the latest guidelines adopted by the Executive Board, or confirmation that no registration fee is due.

12. The secretariat shall maintain a publicly available list of all submitted requests for registration for which the applicable registration fee has bee received. The schedule of requests for registration to be processed, including the expected date of commencement, shall be made publicly available. The commencement of the processing of these requests for registration shall be scheduled in accordance with the secretariat's operational plans, i.e. monthly quotas. The secretariat's operational plans will also incorporate any relevant instructions from the Executive Board.

13. Upon commencement of the processing of the request for registration the secretariat will complete within 7 calendar days a completeness check to determine whether the request for registration submission is complete, in accordance with latest applicable version of the completeness checklist for requests for registration.

14. Upon completion of the completeness check, the secretariat will notify the project participant(s), as identified in the Modalities of Communication form, and the DOE of the result of the completeness check, including an elaboration of the underlying reasons, and the secretariat will make the result of the completeness check publicly available by publishing it on the UNFCCC CDM website. If the request for registration does not meet the requirements of the completeness check, then upon submission of the revised documentation the request for registration shall be treated as a new submission of a request for registration.

15. Upon a determination by the secretariat that the request for registration meets the requirements of the completeness checklist, the secretariat will conduct within 23 calendar days an information and reporting check in accordance with the latest applicable version of the information and reporting checklist for request for registration, which secretariat shall make publicly available by publishing it on the UNFCCC CDM website.

16. Upon conclusion of the information and reporting check, the secretariat will notify the project participant(s), as identified in the Modalities of Communication form, and the DOE of the result of the information and reporting check, and the secretariat shall make the result, including an elaboration of the underlying reasons of the information and reporting check publicly available by publishing it on the UNFCCC CDM website. If the request for registration does not meet the requirements of the information and reporting check, then upon submission of the revised documentation the request for registration shall be treated as a new submission of a request for registration.

17. Upon a determination by the secretariat that the request for registration meets the requirements of the information and reporting check, the secretariat will publish the request for registration on the UNFCCC CDM website, and the request for registration shall be deemed received by the Executive Board for consideration.

18. The secretariat will notify the project participant(s) (as identified in the Modalities of Communication form), the designated national authority(ies) of the Party(ies) involved, and the DOE: that the secretariat has published the request for registration, that the Executive Board has received the request for registration for consideration of registration, and the last date by which members of the Executive Board or a Party involved may request a review of the request for registration, which shall be 28 days after the date of publication of the request for registration.

19. The secretariat will prepare and send to the Executive Board a summary note on the request for registration, within 14 days of date of publication of the request for registration. (EB 54, Annex 28, paragraphs 10-19)

Executive Board consideration

The method by which the Executive Board either registers or does not register the proposed project activity depends upon whether a request for a review of the request for registration is made.

Procedures requesting a review of a request for registration

EB 54, Annex 28 sets out the procedure for requesting a review of a request for registration:

20. A request for review by a Party involved in the proposed project activity shall be sent by the relevant designated national authority to the Executive Board, through the secretariat, using official means of communication (such as recognized official letterhead and signature or an official dedicated e-mail account). A request for review by any member of the Executive Board shall be made by notifying the Executive Board through the secretariat.

21. The secretariat shall acknowledge the receipt of a request for review and promptly make it available to the Executive Board.

22. A request for review shall be considered to be received by the Executive Board on the date it has been received by the secretariat. A request for review will not be considered by the Executive Board if it is received after 17:00 GMT of the last day of the 28 day period following the publication of the request for registration.

23. A request for review shall:

a. include the latest CDM project activity registration review form (F-CDM-RR) adopted by the Executive Board; and

b. provide reasons for the request for review, based on the latest version of the Clean Development Mechanism Validation and Verification Manual, and other CDM requirements, and any supporting documentation.

24. If a Party involved in a proposed CDM project activity or three Executive Board members request a review of the request for registration, the secretariat shall:

a. notify the project participants and the DOE which validated the proposed project activity that a Party involved in a proposed CDM project activity or at least three Executive Board members have requested a review of the request for registration; and

b. mark the request for registration as "under review" on the UNFCCC CDM website (EB 54, Annex 28, paragraphs 20-24).

In order to elaborate on the provisions in decision 2/CMP.5, paragraph 39, the Executive Board has also adopted a set of procedures – Procedures for Review of Requests for Registration – which further clarifies and adds to the procedures for requesting a review (EB 55, Annex 40). Namely:

7. If a Party involved in a proposed CDM project activity or at least three Executive Board members request a review of the request for registration, the secretariat shall:

a. Notify the project participants and the DOE that validated the proposed project activity that a Party involved in a proposed CDM project activity or at least three Executive Board members have requested a review of the request for registration;

b. Make publicly available an anonymous version of each request for review form;

c. Assign a team comprising two experts from the Registration and Issuance Team ("RIT Team") to participate in the assessment of the request for review. The secretariat shall appoint one of the assigned Team members to serve as the lead, who shall be responsible for all communications with the secretariat.

Finalising a request for registration where no request for review made

Where no request for a review of the request for registration has been made, the EB shall register the proposed project activity:

25. The Executive Board shall register the proposed project activity if the secretariat does not receive a request for review, as prescribed above, from a Party involved or at least three members of the Executive Board. The effective date of registration for the proposed project activity shall be the date that the DOE had submitted a complete request for registration (EB 59, annex 12, paragraph 25).

Appraisals of requests for registration

When a request for registration is made, the secretariat identifies an RIT team. Any member that has a conflict of interest in relation to the assignment must notify the secretariat:

With the announcement of a request for registration, as defined in the procedure "Procedures for registration of a proposed CDM project activity"4, the member assigned to undertake the task will be informed and shall have a maximum of 2 days to indicate whether they have or not a conflict of interest, which should be described. If a conflict of interest situation exists another person shall be assigned (EB 29, Annex 14, paragraph 22).

The review team prepares an appraisal of the request for registration, in accordance with the procedure set out in EB 29, Annex 14:

The appraisal shall indicate whether validation requirements have been met and/or appropriately dealt with by the DOE and provide reasons in case these conditions are not fulfilled. The appraisal shall also cover whether additional guidance/clarification/revisions could avoid re-occurrence of the issues identified. The appraisal should assess in particular the application of the baseline and monitoring methodology, additionality, and determination of baseline (EB 29, Annex 14, paragraph 23).

The appraisal must be submitted using the form CDM-REGappr, within the relevant time period:

The member shall prepare an appraisal using the form "Appraisal of registration requests (F-CDM-REGappr)"submit it within 20 (15 for small-scale) calendar days to the secretariat through a dedicated interface on the UNFCCC CDM website (EB 29, Annex 14, paragraph 24).

The secretariat will prepare a summary note of the appraisal and forward it to the Executive Board for consideration:

The secretariat shall prepare, on the basis of the member's appraisal, a summary note of the request for registration and forward this, together with the member's appraisal, to the Board within 10 (5 for small-scale) calendar days of receiving the member's appraisal (EB 29, Annex 14, paragraph 25).

Rejection by the Executive Board

If the Executive Board rejects a project activity, the reasons for that rejection must be published on the relevant section of the CDM website:

The Board agreed to instruct the secretariat to include on the relevant section of the CDM website the reasons for the rejection of the project activity for all cases rejected by the Board (EB 26, paragraph 82).

If a proposed project activity is not registered the first time, it may be resubmitted and registered later:

A proposed A/R project activity that is not accepted may be reconsidered for validation and subsequent registration after appropriate revisions, provided that this A/R afforestation or reforestation project activity follows the procedures and meets the requirements for validation and registration, including those relating to public comments (5/CMP.1, Annex, paragraph 17).

Withdrawal of a project participant

If a project participant withdraws from a proposed CDM project activity after validation but before registration, it must provide the Executive Board with a letter confirming its voluntary withdrawal:

The Board agreed that where a project participant listed in the PDD published at validation is not included in the PDD submitted for registration, the DOE shall provide a letter from the withdrawn project participant confirming its voluntary withdrawal from the proposed project activity, and address this issue in its validation report (EB 30, paragraph 41).

 

Related Topics

Designated operational entity (DOE)

UNFCCC secretariat

Registration and Issuance Team (EB-RIT)

Executive Board

What is the letter of approval? (A/R)

Modalities of communication

What is additionality? (A/R)

Project participants

Registration process (P)

Registration process (SSC)

Registration process (SSC A/R)

Registration process (PoA)