Relevant rules/decisions

3/CMP.1, Annex, paragraph 44 sets out the definition of a baseline.

3/CMP.1, Annex, paragraph 37(e) provides the requirements with which baseline and monitoring methodologies must comply.

3/CMP.1, Annex, paragraph 43 sets out the definition of additionality.

3/CMP.1, Annex, paragraph 37(d) provides that additionality is a requirement for validation, and will be confirmed by the designated operational entity (DOE) as part of the validation report.

EB 26, paragraph 90 clarifies that detailed information on the demonstration of additionality and an assessment of the appropriateness of the method used to demonstrate additionality must be included in the project design document (PDD).

EB 27, paragraph 50 clarifies that that requests for registration attaching a PDD and validation that report do not contain this information shall be considered incomplete.

3/CMP.1, Annex, paragraph 45 sets out that baselines for CDM project activities must be established in accordance with the rules.

3/CMP.1, Annex, paragraph 37(e) sets out the requirements for validation.

3/CMP.1, Annex, paragraph 46 sets out that it is acceptable to argue that the most plausible baseline involves a rise in emissions levels.

3/CMP.1, Annex, paragraph 47 provides that baselines must not be defined so as to enable CERs to be earned for decreases in emissions levels not due to the project activity.

EB 10, Annex 1, paragraphs 5-6 clarifies that ex post calculation of baselines is permitted in some circumstances.

EB 20, paragraph 24 provides the conditions when rules established in a methodology will override calculating baselines for CDM project activities requesting retroactive credits where the most recent (ex post) emissions data should be used.

EB 22, Annex 2, paragraph 4 provides that, where a CDM project activity involves the replacement or retrofit of existing equipment or facilities, the baseline methodology for project activity should provide a methodological approach to assess whether the existing equipment would in the absence of the CDM be replaced.

EB 5, Annex, 3, paragraph 10(a) sets out the definitions of 'transparent' and 'conservative'.

3/CMP.1, Annex, paragraph 48 provides that project participants must choose from one of three approaches  and must justify their selection.

EB 5, Annex 3, paragraph 7 clarifies that these three approaches are the only ones applicable to the selection of a baseline methodology.

EB 8, Annex 1, paragraph 4 sets out that particular requirements apply to projects seeking to use any of the approaches.

EB 8, Annex, 1, paragraph 5 adds that participants must assess the applicability and use the most conservative of the options.

EB 22, Annex 3, paragraph 4 sets out that a baseline scenario shall be established taking into account relevant national and/or sectoral policies and circumstances.

EB 29, Annex 5 provides that only mandatory laws and regulations need to be taken into account.

EB 22, Annex 3, paragraph 6 confirms the two exceptions for the types of mandatory national and/or sectoral policies.

EB 22, Annex 3, paragraph 7(a) provides that for Type E+ policies, only those policies implemented before 11 December 1997 can be taken into account when developing the baseline scenario.

EB 22, Annex 3, paragraph 7(b) sets out that only those policies implemented before 11 November 2001 need to be taken into account when developing the baseline scenario.

EB 22, Annex 3, paragraph 5 provides the objective of the policies.

EB 29, Annex 5 provides that, where analysis shows that there is widespread non-compliance in a country or region with mandatory laws and policies, then a scenario involving non-compliance may be a valid baseline

7/CMP.1, paragraph 28 confirms that the use of the tool for the demonstration and assessment of additionality is not mandatory.

EB 9, Annex 3, paragraph 3 clarifies that project participants shall refrain from providing glossaries or using key terminology not used in the COP documents and the CDM glossary.

EB 39, Annex 10 sets out the steps for the identification of alternatives to the project activity consistent with current laws and regulations, investment analysis, barrier analysis and common practice analysis.

EB 28, paragraph 21 sets out the alternative mechanisms for establishing additionality.

EB 28, Annex 14 provides the use of the combined baseline selection and additionality demonstration tool.

EB 28, Annex 14 sets out the steps to the identification of alternatives to the project activity consistent with current laws and regulations, barrier analysis, investment analysis and common practice analysis.

The development of the combined baseline selection and additionality tool is provided in 7/CMP.1, paragraph 25, EB 26, at [37] and EB 28, paragraph 19.

EB 69, Annex 21 Guidelines for Determining Baselines for Measures.

EB 73, Annex 8 Clarification: Applicability of the "Guidelines on the assessment of investment analysis".

EB 75, Annex 33 provides the revised procedure for the "Development, revision, clarification and update of standardised baselines", which will be effective as of 1 December 2013.

At EB 77, Annex 5 the Board adopted the standard on "Determining coverage of data and validity of standardized baselines". This Standard intends to define: (1) requirements on the coverage and currentness of the data used to develop standardized baselines, and (2) requirements on validity of approved standardized baselines. The aim of this Standard is to also complement the guidance on data quality, for quality assurance and control of the data used to establish standardized baselines.

The Board at EB 79 revised the following documents so that they now include provisions on standardised baselines for CDM project activities:

  • EB 79 Annex 4: the CDM Validation and Verification Standard (Version 7.0);
  • EB 79 Annex 5: the CDM Project Cycle Procedure (Version 7.0); and
  • EB 79 Annex 6: Guidelines for completing the proposed new baseline and monitoring methodology form (Version 2.0).

EB 79 Annex 7 adopts the revised "Guidelines for quality assurance and quality control of data used in the establishment of standardized baselines".