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——关于在CDM项目审核过程中真实性原则基础地位的缺失导致信息处理中的过度保守性问题

Study and Consideration on the Reasons for Registration of China CDM Project to Be Rejected and Withdrawn by Climate Change Executive Board of United Nations——Concerning the Issue That Shortage of Objectivity as Basic Principle in Process of Validation of CDM Project Leads to Over Conservative in Information Processing

摘要: 该文提出了中国清洁发展机制(CDM)项目遭拒绝和撤消的根本原因之一，是联合国气候变化执行理事会(EB)在指定的经营实体(DOE)审核工作中必须遵循的基础性操作文件：清洁发展机制核实核证手册(01.2版)和方法学及其工具以及相关指南等，客观性原则和实质重于形式原则等反映事物的真实性和本质特征的缺失而过度强调保守性，以及对DOE的不当激励与制衡，导致DOE在审核过程中的行为出现扭曲，发生种种不应有的错误和失误。并以中国某电站项目为例，列举了DOE在项目审核与评价过程中出现的各种偏差，深入地研究和指出涉及联合国清洁发展机制的制度层面的问题。最后提出了相关结论和对联合国清洁发展机制，包括正在设计与建设中的中国清洁发展机制的建议。再次呼吁中国DNA对可能存在这类问题的项目，特别是被DOE直接拒绝的项目，结合项目建成后的实际运行情况，采取相应的调查行动，并将调查结果报告EB理事会。

Abstract: This treatise points out that one of the fundamental reasons for registration of Clean Development Mechanism (CDM) project in China to be rejected and withdrawn by the Executive Board of CDM (EB) is caused by shortage of principles of objectivity and substance over form reflecting the reality and essence of a matter in the Clean Development Mechanism Validation and Verification Manual (version 01.2), methodologies and tools and relevant guidelines, etc. complied by Designated Operational Entity (DOE) as a basis in its review, while stress on over conservativeness, and inappropriate incentive to DOE to be controlled, leading to its behavior twisted and various mistakes and faults that should not appear in validation process. In case of a hydropower project in China, it lists various deviation and errors in validation and assessment of the project from DOE and through study in depth brings out some problems with CDM itself. In the end it raises relevant conclusion and suggestions to the United Nations Clean Development Mechanism as well as China Clean Development Mechanism in planning and developing. It once again calls on China DNA to take an action of investigation on these projects possibly with such deviation and errors done by DOE, especially those rejected by DOE prior to submission to EB, as appropriate, combining with the operation fact from the project activity, and to bring its report on these to EB.