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.