Spot-checks

Spot-checking (unscheduled surveillance) is used to assess whether a DOE still meets accreditation requirements (EB 34, Annex 1, paragraph 5). The Executive Board is authorised to conduct spot-checks of DOEs at any time (EB 34, Annex 1, paragraph 89).

The procedure for spot-checks is set out in EB 34, Annex 1, B.6:

1. A decision to conduct a spot-check can be triggered by:
   1. A request for review of a project activity or the issuance of CERs;
   2. Information received on changes to a DOE which may affect performance quality, such as ownership, organisational structure, internal policies or technical expertise of personnel;
   3. A written and substantiated complaint about a DOE's failure to comply with accreditation requirements, submitted by another DOE, an NGO or a stakeholder.
2. Once the Executive Board has decided to conduct a spot-check, it determines a scope and informs the CDM-AP.
3. The CDM-AP considers the case and determines whether to:
   1. recommend immediate suspension pending the result of the spot-check;
   2. agree an exception to the spot-check procedure (such as a limited on-site assessment or witnessing activity; or
   3. send advance notification of the spot-check to the DOE.
4. The CDM-AP establishes a CDM-AT and elaborates the scope of the spot-check for the CDM-AT.
5. The CDM-AT reviews the DOE documentation and prepares an assessment plan. The CDM-AP approves the assessment plan.
6. The CDM-AT undertakes the spot-check assessment.
7. Within 5 days, the CDM-AT reports to the CDM-AP. The report must contain a description of any non-conformities and a final assessment report including conclusions regarding accreditation or suspension.
8. The CDM-AP considers the report and recommends to the Executive Board whether to:
   1. Suspend accreditation until corrective actions are undertaken (such actions to be verified by the CDM-AT);
   2. Withdraw accreditation; or
   3. Confirm accreditation and designation.
9. After the DOE has had an opportunity to present its case to the Executive Board, the Executive Board decides whether to:
   1. Confirm accreditation and designation; or
   2. Recommend to the COP/MOP to suspend or withdraw designation.

   This decision has immediate effect and remains in effect pending a final decision by the COP/MOP. The affected DOE is immediately notified in writing and both the recommendation and the decision will be made public.

10. If corrective actions are undertaken by the DOE, the CDM-AT reports on these to the CDM-AP. The CDM-AP considers these reports and recommends to the Executive Board whether to:
    1. Terminate the suspension of the DOE; or
    2. Provisionally withdraw accreditation pending the COP/MOP decision.
11. The Executive Board decides, based on the CDM-AP's recommendation, whether to:
    1. Terminate the suspension of the DOE; or
    2. Provisionally withdraw accreditation pending the COP/MOP decision (for all sectoral scopes or the sectoral scope in question).

    This decision has immediate effect and remains in effect pending a final decision by the COP/MOP. The affected DOE is immediately notified in writing and both the recommendation and the decision will be made public.

12. The Executive Board may make the name of the DOE public before the spot-check is conducted.

The costs relating to spot-checks are payable by the applicant entity in accordance with EB 34, Annex 1, Appendix 3.