Spot-checks

Spot-checking (unscheduled surveillance) is used to assess whether a DOE still meets accreditation requirements (EB 56, Annex 2, paragraph 8). The Executive Board is authorised to conduct spot-checks of DOEs at any time (EB 56, Annex 2, paragraph 117).  The CDM-AP can recommend the Executive Board to conduct a spot-check of any particular DOE at any time (EB 56, Annex 2, paragraph 119).

The procedure for spot-checks is set out in EB 56, Annex 2, B.8:

  1. A decision to conduct a spot-check may be triggered by:
    1. The review process conducted by the Executive Board including the provisions of the policy framework to address non-compliance of DOEs;
    2. Information received from a third party on changes to a DOE which may significantly affect the competency and performance quality of the DOE, such as ownership, organisational structure, internal policies or technical expertise of personnel; or
    3. Recommendation from the CDM-AP, including as a result of handling complaints against an AE/DOE as specified in Appendix 3 and performance assessment outcome.
  2. Once the Executive Board has decided to conduct a spot-check, it determines a scope and informs the CDM-AP. The scope of the spot-check includes identification of the type and site of the spot-check, and specific aspects, such as:
    • Quality and operational management of the DOE in relation to its competence for performing validation and verification functions.
    • Institutional and organisational structure of the DOE, in particular, for providing validation and verification functions in an independent and impartial manner.
    • Competencies of the DOE to perform all aspects of validation and verification/certification functions.
    • Any other area identified as relevant to ensure competency and conformity of the DOE (EB 56, Annex 2, paragraph 124).
  3. The CDM-AP considers the case, elaborates the scope of the spot-check, and establishes a CDM-AT to conduct the spot-check and prepare a spot-check report.
  4. The CDM-AT reviews the DOE documentation and prepares an assessment plan.
  5. After completion of the spot-check, the CDM-AT has five days to prepare the draft final spot-check report, including a non-conformities report.
  6. The DOE has 6 days to provide comments on the draft final spot-check report.
  7. The CDM-AT has 5 days to complete the final spot-check report.
  8. The CDM-AP based on the reports and the comments received from the DOE, recommends the EB to:
    1. Confirm the accreditation and designation of the DOE;
    2. Request the DOE to identify and implement corrective actions to address the identified non-conformities within specified timeframe. The implemented corrective actions shall be verified by the assessment team through a site visit or a document review as appropriate;
    3. Partially suspend accreditation with corrective actions to be implemented before suspension is lifted;
    4. Fully suspend accreditation with corrective actions to be implemented before suspension is lifted;
    5. Withdraw the accreditation of the DOE (EB 56, Annex 2, paragraph 132).
  9. The recommendation of the CDM-AP to the Board are forwarded to the DOE so the DOE has the opportunity to present its case to the Executive Board at a hearing at the Executive Board's next meeting.
  10. The EB considers the recommendation made by the CDM-AP and the additional documented evidence presented by the DOE at the hearing. In accordance with provisions of paragraph 21 of the CDM M&P and the decision of CMP 4, the EB will decide to:
    1. Confirm the accreditation and designation of the DOE;
    2. Request the DOE to address identified non-conformities, specifying timeframe for implementation and modalities of the assessment;
    3. Partially suspend accreditation, in respect of specific scopes or functions, indicating corrective actions to be implemented before suspension is lifted;
    4. Fully suspend accreditation, indicating corrective actions to be implemented before suspension is lifted;
    5. Withdraw accreditation of the DOE; or
    6. Advise any other action (EB 56, Annex 2, paragraph 134).

The DOE will cover all the costs related to the spot-check in accordance with EB 56, Annex 2, Appendix 5.

Related Topics

Accreditation and designation of DOEs

Designated operational entity (DOE)

Executive Board

CDM Accreditation Panel

CDM Assessment Team

Suspension of accreditation

Withdrawal of accreditation