对联合国EB理事会拒绝和撤消中国CDM项目注册原因的研究和思考——对方法学应用争议引发的关于方法学更新和发展问题的研究与探讨

Study and Consideration on the Reasons for Registration of China CDM Project to Be Rejected and Withdrawn by Climate Change Executive Board of United Nations——Research and Investigation on the Methodology Revision and Development Aroused by Disputes on Applicable Methodology in Implementation

摘要: 本文提出了中国清洁发展机制(CDM)项目遭拒绝和撤消的重要原因之一，是联合国清洁发展机制执行理事会(EB)指定的经营实体(DOE)，由于对方法学及其工具理解和解释方面的错误，缺乏应具备的综合分析等基本能力，盲目自信以及出于对自身利益的考虑而出现的自相矛盾和坚持错误的行为，导致其在适用方法学认定方面发生严重错误。建议EB对DOE相关审核人员的能力建设和个人素质提出更高的要求，对其审核行为进行严格的和有效的监控，建立相应的审核错误申诉和仲裁制度以及完善DOE的退出机制，这是联合国清洁发展机制当前最为薄弱的一环，也是其运行效率低下和审核错误频出的根本原因之一。同时通过对方法学应用争议有关问题的深度研究分析，指出了方法学及其制度设计与改进过程中更为深层次的自身理论和应用缺陷：方法学项目情景外延的缺失和基准线内涵的错配，方法学设计分类和改进发展相关的形式和内容方面的问题。最后给出了分析结论和方法学设计开发和改进发展的具体意见建议，以及由此而引发的关于清洁发展机制方法学设计开发和改进的可选择的方向性改革意见。

Abstract: This treatise points out that one of the fundamental reasons for registration of Clean Development Mecha- nism (CDM) project in China to be rejected and withdrawn by the Executive Board of CDM (EB) lies in errors in understanding and interpretation of the methodology and tools, shortage of basic ability to comprehensive analysis, over self-confidence and its own interests pursued by the Designated Operational Entity (DOE) designated by Executive Board of CDM (EB) of United Nations, which lead to its serious mistakes in identifying applicable methodology to the project in question. Therefore, a recommendation to EB that capacity training and personal ability relevant to validator of DOE under higher and more strict conditions should be required and that its review process should be strictly and effectively controlled as well as a relevant institution for complaint and arbitration and an exit mechanism for DOE involved should be established,which is the most vulnerable point at present for CDM and one of the fundamental rea- sons for inefficient operation and frequent mistakes in its review as well. Meanwhile, it indicates, through study and analysis in depth on the dispute to appropriate methodology in implementation, the methodology theory itself and its application defect in more depth in methodology and its institution design and improvement process: Vacancy of project scenario denotation and mismatch of baseline connotation as well as problem in terms of form and content associated with designed classification and improvement of methodologies. Finally, it gives analyzed conclusion, detailed sug- gestions for design/exploitation and improvement/development of methodologies, as well as alternative reform idea in directionality on methodology design, exploitation and improvement of CDM.